Data Driven Decisions

SEXUALASSAULTCASEPROCESSINGINVERMONT

DISTRICTCOURTCASEPROCESSINGANDSENTENCING

2004-2010

Preparedby:

TheVermontCenterforJusticeResearch

P.O.Box267NorthfieldFalls,VT05664

802-485-4250

ElizabethMaier,Ph.D.

PrincipalInvestigatorandResearchAssociate

RobinAdler,Ph.D.

DirectorofResearch

JoanOwen,B.S.

ResearchAnalyst

AlishaNowicki

ResearchAssistant

FundedbytheBureauJusticeStatisticsUnitedStatesDepartmentofJustice

Grant#2009-BJ-CX-K038

April,2012

TableofContentsEXECUTIVESUMMARY.................................................................................................................................3

INTRODUCTION............................................................................................................................................4

ARRESTSVS.CITATIONS...............................................................................................................................5

SEXUALASSAULTANDAGGRAVATEDSEXUALASSAULT..............................................................................9

SexualAssaultCaseProcessingandOutcomes........................................................................................9

AggravatedSexualAssaultCaseProcessingandOutcomes...................................................................13

SENTENCINGANALYSIS..............................................................................................................................15

PREDICTORSOFSENTENCING....................................................................................................................17

DemographicsofCohort........................................................................................................................17

BEFOREANDAFTERTHE2006SEXUALVIOLENCEPREVENTIONACT........................................................19

SexualAssault:PreandPost2006SexualViolencePreventionAct.......................................................20

AggravatedSexualAssault:PreandPost...............................................................................................21

CaseStudy:ChittendenCounty..............................................................................................................22

SexualAssault.....................................................................................................................................23

AggravatedSexualAssault.................................................................................................................23

CONCLUSION..............................................................................................................................................24

Table1:SexualAssaultCountySummarySentencingStatistics.................................................................26

Table2:SexualAssaultDispositionTimeByCounty..................................................................................29

3

EXECUTIVESUMMARYThisreportexaminedtheVermontDistrictCourtprocessingandsentencingofAggravatedSexualAssaultandSexualAssaultoffenseswherethevictimwasanadultduringtheperiodof2004-2010.Whethersexualassaultoffenderswerearrestedorsimplyreceivedacitationtoappearincourt,andwhatfactorsmightinfluencethatdecision,wasalsostudied.Finally,thereportdiscussedtheeffectsoftheSexualViolencePreventionActwhichwaspassedbyVermontStateLegislatorsin2006.KeyFindings:

• Betweentheyears2003-2010,over1,200sexoffenses(forciblerapesbyanadultoffender)werereportedtolawenforcement.

• Regardlessofthecircumstancesofthecrime,theproportionofdefendantsarrestedvs.citedremainsrelativelyequal.

• Overhalf(approximately63percent)ofsexualassaultandaggravatedsexualassaultconvictionsareforthesamecategoryofoffenseasthedefendantwasoriginallycharged.

• Themostcommonsentencesforsexualassaultandaggravatedsexualassaultconvictions

areincarceration,splitsentence,andprobation.

• Adismissalbythestatewasthelargestcategoryofdispositionsforallcharges.

• Thereappearstobesomevariationinsentencingforsexualassault,whilethereislittlesentencingvariationforaggravatedsexualassault.Thecountyvariablewasnotstatisticallyrelatedtothesentenceanoffenderreceived.

• AccordingtobivariateanalysisofcriminalhistorydatafromtheVermontCriminal

InformationCenter(VCIC),theoriginalchargelevelandwhetherthedefendantwasarecidivistareinfluentialinsentencing,whilethedefendant’srace,criminalhistory,age,andcountydonotseemtohaveanyimpact.

• In2006,theVermontLegislaturepassedtheSexualViolencePreventionAct(SVPA).Apre-

andpost-comparisonrevealedsimilarfinalcharges,disposalnumbers,andsentencing.

4

INTRODUCTIONInVermont,sexualassaultchargescanfallunderseveralstatutes.ThisreportincludesinformationonAggravatedSexualAssaultandSexualAssaultoffenseswherethevictimwasanadult1.Thisreportexaminesthedistrictcourtprocessingandsentencingofthesesexualassaultoffensesduringthestudyperiodof2004-20102.NATIONALINCIDENTBASEDREPORTSYSTEMOVERVIEW(NIBRS)

Betweentheyears2003-2010,over1,200sexoffenses(forciblerapesbyanadultoffender)werereportedtolawenforcement3.Figure1providestheforciblerapesbyanadultperyear.Municipalpolicedepartmentswereresponsibleforrespondingtoandinvestigatingmostoftheforciblerapes.TheVermontStatePolicewerethenextmostfrequentlawenforcementagencyresponsibleforinvestigatingtheseoffenses.Themajorityoftheoffendersweremale;howevertypicallyatleastfouroftheoffenderseachyearwerefemale.

Figure1:ForcibleRapesbyYear

1AggravatedSexualAssault(13V3253,13V3253A1-A7)andSexualAssault(13V3252,13V3252A1A,13V3252A1B,13V3252A1C,13V1379A,B,B1,B22Dataforthisstudyincludedoriginalsexualassaultandaggravatedsexualassaultchargesfrom2004-2009.Duetothelengthyprocessfortheaveragecasetoreachaconclusion,dispositionsandsentencinginformationwereincludedfrom2004-2010.3VermontCrimeOnline(VCON)http://vcic.vermont.gov/crime+statistics/Vermont+Crime+On-Line

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2003 2004 2005 2006 2007 2008 2009 2010

NumberofForcibleRapes

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ForcibleRapesbyAdults

ForcibleRapes

5

ARRESTSVS.CITATIONS

InVermont,therearethreetypesofarrests:arrestwithawarrant,arrestwithoutawarrant,andacitationtoappearincourt.Allthreemustbebasedonprobablecauseandeachinitiatesacriminalcourtprosecution.However,acitationdoesnotinitiateabookingprocess.Therefore,nofingerprintsaretakenandthedefendantdoesnothaveanofficialarrestrecordonfileattheVermontCriminalInformationCenteruntilthecaseisarraignedinaVermontDistrictCourt.Ithasbeenarguedthatlawenforcementusescitationsforcasesthattheydeemlessstrongandusestraditionalarrestproceduresforstrongercases.4Stakeholdershavealsosuggestedthatlackofholdingfacilitiesfordefendantsinlocalpolicedepartmentsleadstocitationsoverarreststhatrequireprocessing.Thissectionexploresthearrestvs.citationdistinctionusingNIBRSdatafrom2003-2010.5

Duringthetimeperiod,771victimizationswerereportedtothepolice,representing752incidents.Onehundredandsixty-threeincidents(21.7%)wereclearedbyarrest.Onehundredandthirty-sixarrestswereforforciblerape,14forforciblefondling,10forforciblesodomyand3forsexualassaultwithanobject.Arrestswerealmostevenlysplitbetweenarrestswithawarrant(45.4%)andcitations(46%),arrestswithoutawarrantaccountedfor8.6%ofthearrests.Figure2belowillustratesthenumberofarrestsbytypeofarrestsandtypeofagency.

4Shernock,S.“PoliceCategorizationandDispositionofNon-LethalPartnerViolenceIncidentsInvolvingWomenOffendersinaStatewideRuralJurisdictionWithaPresumptiveArrestPolicy”FamilyViolence&SexualAssaultBulletinVolume:21Issue:2/3.Summer/Fall20055Victimizationsfrom2003-2010onadultvictimsofforciblesexualassaultwerematchedbyincidentnumber,incidentdateandvictimsequencenumbertothearresteesegmentforthesametimeperiod.

6

Circumstancesofthecrimeswereanalyzedtoexploretherelationshipbetweenthetypeofarrestandcharacteristicsofthecrime.Aregressionanalysiswasperformed,however,noneofthecircumstancesprovedtobestatisticallysignificantinpredictingthetypeofarrest6.Thismayindicatethatofficersarebasingtheirdecisiononfactorssuchasthedemeanorofwitnesses,strengthofthecase,holdingfacilityavailability,orotherfactorsnotcapturedbythedata.Thefollowingchartsillustratethatregardlessofthecircumstancesofthecrime,theproportionofarrestsvs.citationremainsrelativelyconstant.

Figure3belowillustratesthevictimoffenderrelationshipandthetypeofarrests.NIBRSvalueswerecombinedtomaketheanalysismoremeaningful.7

6Thefollowingvariableswereusedintheregressionanalysis:victim/offenderrelation,weapons,injuries,agency(local,sheriff,state),agency(rural,suburban,urban),agedifferencebetweenoffender&victims,multiplevictims,andlocation(public,private,school/prison).7Acquaintanceincludedthefollowingcategories:Acquaintance,employee,neighbor,friend,andotherwiseknown.Intimateincluded:spouse,commonlawspouse,boyfriend/girlfriend,ex-spouse.Familyincluded:child,step-child,in-law,sibling,step-siblingandotherfamilymember.StrangerincludedonlythestrangervalueinNIBRS.

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LocalPolice SatePolice Sheriff

NumberofArrests

AgencyType

Figure2:NumberofArrests,byTypeof

ArrestandTypeofAgency2003-2010

Citation ArrestwithWarrant ArrestWithoutWarrant

7

Figure4illustratesthetypeofarrestsbylocationoftheoffense.Mostoffensesoccurredinaprivatespace.Arrestwithawarrantwasslightlymorelikelytooccurinapublicspaceorataschool/university.Again,NIBRSdatawascombinedtomaketheanalysismoremeaningful.

Figure5showsthetypeofarrestbythetypeofinjurysustainedbythevictim.Anoffenderwasgenerallymorelikelytoreceiveacitationwhentherewasnoinjuryandwasmorelikelytobearrestedwithawarrantwhenminorinjuriesoccurred.

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05101520253035404550

Aquaintence Intimate Family Stranger

NumberofArrests

Victim'sRelationshiptoOffender

Figure3:RelationshipbyTypeofArrest

Citation

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ArrestWithoutaWarrant

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Figure4:LocationTypebyTypeofArrest

Citation

ArrestwithWarrant

ArrestwithoutWarrant

8

Onlytwospecificweapontypesappearedinthedata:asphyxiationandpersonalweapons.Figure6illustratesthearresttypebyrecordedweapon.Personalweaponsweremostlikelyused;andthoseusingapersonalweapon,wereslightlymorelikelytobearrested(withandwithoutawarrantcombined)thancited.

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Figure5:ArrestTypebyInjury

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ArrestwithoutWarrant

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Figure6:ArrestTypebyWeapon

Citation

ArrestwithWarrant

ArrestwithoutWarrant

9

SEXUALASSAULTANDAGGRAVATEDSEXUALASSAULTThereareoveradozenstatutesinVermontthatdealwithsexualassault.SexualAssaultisdefinedinVermontas,“Nopersonshallengageinasexualactwithanotherpersonandcompeltheotherpersontoparticipateinasexualact:(1)withouttheconsentoftheotherperson;or(2)bythreateningorcoercingtheotherperson;or(3)byplacingtheotherpersoninfearthatanypersonwillsufferimminentbodilyinjury.8”AggravatedSexualAssaultisdefinedas:

“Apersoncommitsthecrimeofaggravatedsexualassaultifthepersoncommitssexualassaultunderanyofthefollowingcircumstances:

(1) Atthetimeofthesexualassault,theactorcausesseriousbodilyinjurytothevictimortoanother

(2) Theactorisjoinedorassistedbyoneormorepersonsinphysicallyrestraining,assaultingorsexuallyassaultingthevictim

(3) Theactorcommitsthesexualactundercircumstanceswhichconstitutethecrimeofkidnapping

(4) Theactorhaspreviouslybeenconvictedinthisstateofsexualassaultundersubsection3252(a)or(b)ofthistitleoraggravatedsexualassaultorhasbeenconvictedinanyjurisdictionintheUnitedStatesandterritoriesofanoffensewhichwouldconstitutesexualassaultundersubsection3252(a)or(b)ofthistitleoraggravatedsexualassaultifcommittedinthisstate

(5) Atthetimeofthesexualassault,theactorisarmedwithadeadlyweaponanduses,orthreatenstouse,thedeadlyweapononthevictimoronanother

(6) Atthetimeofthesexualassault,theactorthreatenstocauseimminentseriousbodilyinjurytothevictimortoanotherandthevictimreasonablybelievesthattheactorhasthepresentabilitytocarryoutthethreat

(7) Atthetimeofthesexualassault,theactorappliesdeadlyforcetothevictim(8)Thevictimissubjectedbytheactortorepeatednonconsensualsexualactsaspartofthesameoccurrenceorthevictimissubjectedtorepeatednonconsensualsexualactsaspartoftheactor’scommonschemeandplan.9”

SexualAssaultCaseProcessingandOutcomesThecourtdatacontainedfinalchargeanddispositioninformationfor203sexualassaultcharges.Figure7showsthenumberoforiginalvs.finalchargesforsexualassaults10.Twentypercent(41)ofthesexualassaultchargesweredisposedofbyguiltyplea.Twopercent(5)ofsexualassaultchargeswasdismissedbythecourt,and68percent(139)wasdismissedbythestate.Ninepercent(18)ofsexualassaultchargeswenttotrial.Attrial,ninedefendants(50%)werefoundnotguilty.813VSA3252913VSA325310Thecaseprocessinginformationandoutcomeanalysiscoversthe61percent(203charges)ofchargesthatmovedforward.

10

Figure7:Originalvs.FinalSexualAssaultCharges,OffenseDateFY2004-2009,Disposition

DateFY2004-2010

Withchargesdismissedbythestatebeinghigh,additionalanalysiswasperformedtotryanddetermineifsomeofthosedismissedcaseswereactuallybeingconvictedofanotheroffense.Firstitneedstobementionedthatuptothispointtheanalysishasfocusedoncharges.Forabriefmoment,theanalysiswillshifttocases;acasebeingthetotalnumberofchargesscheduledtobearraignedatthesametime.Withregardtosexualassaultfrom2004-2009inVermont,therewere257casesresultingin333charges.Ofthose257cases,193casesendedwithsometypeofconviction(75%convictionrate).Figure8showsthetopfiveconvictionoffenses.

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Figure8:TopFiveConvictionOffensesforSexualAssaultCases

Onaverage,sexualassaultchargesresultinginapleaweredisposedofin273.13days;thosebeingdismissedbythecourt,in167.75days;andthosedismissedbythestatein257.04days.Forthosesexualassaultchargesgoingtotrial,theaveragedispositiontimewas389.44days.Ofthe50sexualassaultchargesthatendedinconvictionsthemostcommonsentencewasincarceration(25),splitsentence(15)andprobation(7).

Figure9:SexualAssaultSentenceTypes

Informationwasavailablefor108originalsexualassaultchargesthatwereamendedtoalessercharge,convicted,andsentenced.Thetwomostcommonamendedchargeswere

Incarceration

SplitSentence

Probation

Deferred

50%

30%

14%

6%

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Lewd/ProhibitedAct11with38percent(41)andLewd&LasciviousConduct12with33percent(36).Themostcommonsentencesgiventoanindividualoriginallychargedwithsexualassaultbutamendedtolewd/prohibitedactswasprobation(16)andincarceration(15).Figure10illustratesthesentencesforsomeoneoriginallychargedwithsexualassaultbutamendedtolewd&lasciviousconduct.Themostcommonsentencewassplitsentence(13)andprobation(10).Figure10:SentenceforSexualAssaultChargeAmendedtoLewd&LasciviousConduct

Attemptingtodetermineiftherewereanycountyleveldifferenceswithregardtosentencingwaschallengingduetothelownumberofcharges(severalcountieswithjustonetothreecharges).Thereappeared,however,tobesomedifferencesinsentencingbycounty.Somecountiessentencedmoretoincarceration(Addison,Bennington,Orleans,Rutland),whileotherssentencedmoretoasplitsentence(Caledonia,Essex).Othercountieshadafairlyequaldistributionbetweenthosereceivingasentenceofincarceration,asplitsentence,orprobation(Chittenden,Franklin,Orange,Washington).

1113V2632A81213V2601

Incarceration

SplitSentence

Probation

DeferredSentence

Sentence forAmended

toLewd&Lascivious

38%

29%

12%

21%

13

Figure11:SexualAssaultSentencingbyCounty,DispositionFY2004-2010

Tableone(attheendofthisreport)providestheaveragelengthofsentenceaswellastheminimumandmaximumforcountiesthathadatleastonesexualassaultchargeduringtheresearchperiod.Tabletwo(alsoatend)providestheaveragenumberofdaystodispositionbycountyforbothconvictionsandpledcases.Thestatewideaveragefortheminimumsentenceforanincarcerationsentence(convictions&pledcases)was10.7yearswhiletheaveragemaximumwas54.3years.Theaveragetimeforsplitsentenceswas3.9years(min)to15.4years(max).Theaveragedaystoservewas747days.Theaverageprobationsentencewas2.9yearsto13.2years.

AggravatedSexualAssaultCaseProcessingandOutcomesThecourtdatacontainedfinalchargeanddispositioninformationfor45aggravatedsexualassaultcharges.Twenty-fourpercent(11)offinalchargesweredisposedofbyguiltyplea.Fourpercent(2)weredismissedbythecourtand64percent(29)weredismissedbythestate.Foraggravatedsexualassaultcharges,sixpercent(3)wenttotrial;allthreewerefoundguilty.Onaverage,aggravatedsexualassaultchargesresultinginapleaweredisposedofin454.42days;thosebeingdismissedbythecourt,in130.0days;andthosedismissedbythestatein405.0days.Forthoseaggravatedsexualassaultchargesgoingtotrial,theaveragedispositiontimewas509.33days.Ofthe14aggravatedsexualassaultchargesthatendedinconviction,themostcommonsentencewasincarcerationwith86percent(12)receivingthatsentence.Splitsentence(1)andprobation(1)werethenextmostcommonsentence.Figure12illustratesthisinformation.

024681012

SexualAssaultSentencingbyCounty

Incarceration SplitSentence Probation

14

Figure12:AggravatedSexualAssaultSentenceTypes

Informationwasavailablefor27aggravatedsexualassaultchargesthatwereamended,convicted,andsentenced.Lewd/ProhibitedActs(8),Lewd&LasciviousConduct(5),andSexualAssault-NoConsent(4)werethemostcommonamendedcharges.Ofthoseconvictedoftheamendedchargeoflewd/prohibitedacts,themostcommonsentencewasincarceration(6).Ofthoseconvictedoftheamendedchargeoflewd&lasciviousconductthemostcommonsentenceswereincarceration(2)andsplitsentence(2).Ofthoseconvictedoftheamendedchargeofsexualassault-noconsentthemostcommonsentenceswereincarceration(2)andsplitsentence(2).Threeoutofthefourcountieswithaggravatedsexualassaultchargessentencedalloftheirchargestoincarceration(Bennington,Chittenden,Orange).TheoneexceptionwasWindhamCountywhereonly50percent(2)oftheirconvictionsweresentencedtoincarceration.Theotherhalfwassentencedtoeitherasplitsentenceorprobation.Unfortunatelywithsentencingdataforonly14aggravatedsexualassaultconvictionsduringtheresearchperiodmorecomparisonsbetweencountiescouldnotbemade.

Incarceration

SplitSentence

Probation

86%

7%

7%

15

Figure13:AggravatedSexualAssaultSentencingbyCounty,DispositionFY2004-2010

Thestatewideaveragefortheminimumofanincarcerationsentencewas25.1yearswhiletheaveragemaximumwas66.7years.Thestatewidemedianfortheminimumofanincarcerationsentencewas27.5yearswhilethemedianmaximumwaslife.Theaveragetimetoserveforsplitsentenceswas10years(min)and20years(max).Theaveragedaystoservewas366.Theaverageprobationsentencewas15to20years.

SENTENCINGANALYSISAdismissalbythestatewasthelargestcategoryofdispositionsforallcharges;guiltypleasweresecond.Figure14illustratesthatpoint.Fouroffenseshada100percentdismissalrate(SexualAssault-Agg.SeriousInjury,SexualAssault-Agg.Kidnap,SexualAssault-Agg.Weapon,andSexualAssault-Agg.ThreatenInjury).SexualAssault-NoConsent13andSexualAssault-AggravatedMorethanOne14hadthenexthighestdismissalrates(73%and70%respectively).VulnerableAdultSexualAbuse15andSexualAssault16hadthelargestpercentageofcasesdisposedofbyguiltyplea(approximately40%each).

1313V3252A1A1413V3253A21513V1379A,B,B1,B21613V3252

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100%

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ington

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Essex

Franklin

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Lamoille

Orange

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ndWashington

Windh

amWindsor

Probation

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Incarceration

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Figure14:PercentagesofAllCasesbyMethodsofCaseDisposal

Figure15illustratesthepercentageofchargesdisposedbystatedismissalvs.guiltyplea.

Figure15:PercentageofChargesDisposedofbyDismissalbyStateorGuiltyPleabyOffense

Forbothsexualassaultandaggravatedsexualassaultcharges,amajorityofconvictions63%wereforthesameoffensecategoryasthedefendantwasoriginallycharged.Ofthe318originalsexualassaultchargesduringthestudyperiod,258(81.1%)wereconvictedofafelony.Forcaseswhereanindividualwaschargedwithsexualassault,199(62.6%)wereconvictedofsexualassault.

0%

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DismissedbyCourt

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GuiltyPlea GuiltyatTrial

SexualAssault

AggravatedSexualAssault

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VulnerableAdultSexualAbuse

SexualAssault

SexualAssault-NoConsent

SexualAssault-Agg.MorethanOne

SexualAssault-Agg.Prior/Repeated

GuiltyPlea

DismissedbyState

17

Thepercentagesaresimilarforaggravatedsexualassault.Ofthe75originalaggravatedsexualassaultcharges,66(88%)wereconvictedofafelony.Forty-seven(62.7%)oftheaggravatedsexualassaultchargeswereconvictedofaggravatedsexualassault.Six(8%)wereconvictedofsexualassault.Sentencedistributionappearstoflowlogically;themoreseriousoffenses/chargesweremorelikelytobesentencedtoincarceration.Thebulkofaggravatedsexualassaultchargesweresentencedtoincarcerationwhiletherewasmorevariationamongsexualassaultcharges.

PREDICTORSOFSENTENCING

TheinformationintheabovesectionswasgatheredfromVermontcourtdata.VCICdatawasusedforthefollowinganalysis.Becauseoftheuseoftwodifferentdatasets,thenumberofchargesvaries.BelowarethespecificdemographicsoftheVCICdatathatwereutilizedfortheanalysisofthepredictorsofsentencing.

DemographicsofCohortDuringthestudyperiod,94chargesofsexualassaultonadultswerefiledanddisposedofinVermontDistrictCourts.Ofthesexualassaultcharges,93(98.9%)werefelonychargesandonewasamisdemeanorcharge.All94chargeswerefiledagainstmales.Raceofthedefendantwasavailableforapproximately75percentofthedata.Therewere61Caucasianmales(64.9%)andnineAfricanAmericanmales(9.6%)chargedwithsexualassault.Twenty-fivepercentofthedefendants’racewaseitherunknownormissing.Theaverageageattimeofdispositionwas35.96years.Themedianagewas34.77years.Theyoungestoffenderwas17.28attimeofdispositionwhiletheoldestwas67.30.Thirty-seven(39.4%)ofthechargeswereforSexualAssault-NoConsent17.Eighteen(19.1%)wereforSexualAssault-Aggravated-Repeatedand17(18.1%)wereforSexualAssault18.Oftheoffensesanalyzedinthisreport,thosewerethemostcommon.Figure16providesthefilingratesforthecounties.Aftertakingintoaccountthesizeoftheadultpopulationinthosecounties,BenningtonCountyhadthehighestfilingrateandLamoilleCountyhadthelowest.

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Figure16:FilingRatesbyCounty

County FilingRate

Addison 0.10Bennington 0.47Caledonia 0.20Chittenden 0.14Essex 0.39Franklin 0.39GrandIsle 0.18Lamoille 0.05Orange 0.22Orleans 0.33Rutland 0.08Washington 0.15Windham 0.28Windsor 0.07

Theoriginalplanwastoconductmultivariateanalysisofthedatatodeterminefactorsthatpredictsentencing;however,withasampleoffewerthan100cases(N=94)itwasimpossibletoprovidereliableregression(multivariate)analysisforthedata.Thereforebivariateanalysiswascompleted.Cross-tabulations,whichshowarelationship/associationbetweentwovariables,wereutilized.Thefollowingvariableswerecross-tabulatedwiththe“Sentence”variable19:CriminalHistory,Age,Defendant’sRace,County,OriginalChargeOffenseLevel(felonyvs.misdemeanor),andRecidivist.Pearson’srwasemployedtodetermineifthecross-tabulationswerestatisticallysignificant20.Figure17presentstheresultsofthecorrelationalanalysis.

19Thesentencevariableisfromthedispositioncodesandisthetypeofdisposition.Itwasformattedtomatchthesentencesinthecourtdata.20Statisticalsignificanceillustratesthatthefindingsmostlikelydidnotoccurbychance.The.05levelofsignificancewasusedforthisresearch.Thismeansthatweare95%confidentthattherelationshiporassociationfounddidnothappenbychance.

19

Figure17:CrossTabulationResults

Variables

Pearson

Chi-Square

Value df Significance

CriminalHistory&Sentence 26.137 51 0.999DefendantRace&Sentence 3.851 6 0.697Age&Sentence 282 279 0.439County&Sentence 46.825 39 0.182OriginalChargeLevel&Sentence 7.627 3 0.05Recidivist 9.255 3 0.026

Therelationshipbetweencriminalhistoryandsentencewasnotstatisticallysignificant.Defendant’sraceandsentencedidnothaveastatisticallysignificantrelationship.Therelationshipbetweenageandsentencewasnotstatisticallysignificant.Thecountythedefendantwasprocessedinwasnotstatisticallyrelatedtothesentencevariable.Theoriginalchargeoffenselevelwasstatisticallyrelatedtothesentence.Whetherthedefendantwasarecidivistwasstatisticallyrelatedtothesentencevariable.Insum,itappearsfrombivariateanalysisthattheoriginalchargelevelandwhetherthedefendantwasarecidivistarerelatedtoandpotentiallyinfluence/predictsentencing.

BEFOREANDAFTERTHE2006SEXUALVIOLENCEPREVENTIONACTIn2006,VermontStateLegislatorspassedtheSexualViolencePreventionAct(SVPA).ThisactcreatedSpecialInvestigationUnitsacrossthestate;however,severalspecialinvestigationunitsalreadyexistedpriorto2006.BenningtonCountyhadsuchaunitin1989andChittendenCountycreatedonein1992.Othercommunitiesthoughdidnotcreatespecialinvestigationunitsuntilmuchlater.Figure18providestheyearinwhichspecialinvestigationunitswerecreatedthroughoutVermont21.Legislatorsalsoincreasedpenaltiesforforciblesexualassault.Thisreportalsoexaminedsexualassaultcaseprocessingkeepinginmindthislegislation.Unfortunately,thedataavailableforthisanalysisandreportdidnotprovideenoughinformationtoadequatelydetermineiftheSVPAimpactedsexualviolenceprosecutions.ThefollowinginformationispreliminaryandamorethoroughanalysisoftheSVPAshouldbeconducted.

21StateofVermont–FY121stQuarterStatisticsbySIU

20

Figure18:YearofCreationofSpecialInvestigationUnits

SexualAssault:PreandPost2006SexualViolencePreventionActFigure19presentsacomparisonofsexualassaultfilingsandsentencingpatternsbeforeandafterthepassageofthe2006SexualViolencePreventionAct.Statewideduringthestudyperiodof2004-2009,therewere363sexualassaultoriginalchargesfiledinDistrictCourts.PriortotheSexualViolencePreventionAct(2004-2006),therewere149(41%)sexualassaultchargesfiled.AftertheSVPA(2007-2010),214(59%)sexualassaultchargeswerefiled.TheaveragenumberofchargesfiledpriortotheSVPAwas49.6whiletheaveragenumberofchargesfiledaftertheSVPAwas53.5.Theaveragesarethemorecomparablenumberssincethepreandposterasdifferinlength.AccordingtoNIBRSdata,thenumberofforciblerapeswasdecliningpriortoSVPA.AfterthepassageofSVPA,thenumberofforciblerapesfluctuatedfromyeartoyear(seeFigure1earlierinthisreport).Theincreaseinfilingscouldbebecauseofthisfluctuationoritcouldbeduetothefactthatfouryearsofdatawasincludedinthepost-SVPAanalysiswhileonlythreeyearswereincludedinthepre-SVPAperiod.Ofthe81sexualassaultchargesthatendedinconvictionpriortoSVPA,27percent(22)weredisposedofbyguiltyplea,whiletwopercent(2)weredismissedbythecourt.Thebulkofsexualassaultcharges(64%,52)weredismissedbythestate.Sixpercent(5)wenttotrial.Attrial,two(40%)werefoundguilty.AfterSVPA,therewasfinalchargesandsentencinginformationfor122sexualassaultcharges.Sixteenpercent(19)ofthesexualassaultchargesweredisposedbyguiltypleawhiletwopercent(3)weredismissedbythecourt.Similartothepre-SVPA,overhalfofthedisposals

County YearAddison 2010Bennington 1989Calendonia 2008Chittenden 1992Essex 2009Franklin 1995GrandIsle 1995Lamoille 2007Orange 2008Orleans 2008Rutland 2007Washington 2008Windham 2007Windsor 2008

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(71%,87)werebydismissalsbythestate.Elevenpercent(13)wenttotrial.Attrial,seven(54%)werefoundguilty.PriortoSVPA,sentencinginformationwasavailablefor24sexualassaultcharges.Forty-fivepercent(11)receivedincarcerationwhile29percent(7)receivedasplitsentence.Threereceivedprobationandthreereceiveddeferredsentences.AfterSVPA,sentencinginformationwasavailablefor26sexualassaultcharges.Ofthose14(54%)receivedincarceration,8(31%)receivedasplitsentence,and4(15%)receivedprobation.Therewerenodeferredsentences.

Figure19:PercentagesofSexualAssaultFilingsandSentencingBeforeandAfter

SexualViolencePreventionAct

AggravatedSexualAssault:PreandPostStatewideduringthestudyperiodof2004-2009,therewere90aggravatedsexualassaultoriginalchargesfiledinDistrictCourt.Figure20presentsacomparisonofaggravatedsexualassaultfilingsandsentencingpatternsbeforeandafterthepassageofthe2006SexualViolencePreventionAct.

0 20 40 60 80

ChargesFiled

DisposedofbyGuiltyPlea

DismissedbyCourt

DismissedbyState

Incarceration

SplitSentence

Percentage

AfterSVPA

BeforeSVPA

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Figure20:PercentagesofAggravatedSexualAssaultFilingsandSentencesBeforeandAfter

SexualViolencePreventionAct

PriortoSVPA,therewerefinalchargesanddisposalinformationfor23aggravatedsexualassaultcharges.Ofthose26percent(6)weredisposedofbyguiltypleawhileonewasdismissedbythecourt.Sixty-fivepercent(15)weredismissedbythestate.Onlyoneaggravatedsexualassaultchargewenttotrial(foundguiltyattrial).AfterSVPA,therewerefinalchargesanddisposalinformationfor22aggravatedsexualassaults.Ofthose22percent(5)weredisposedofbyguiltypleawhileonewasdismissedbythecourt.Sixty-fourpercent(14)weredismissedbythestate.Twoaggravatedsexualassaultchargeswenttotrial.Attrial,bothwerefoundguilty.PriortoSVPA,sentencinginformationwasavailablefor7aggravatedsexualassaultcharges.Themajority(5)weresentencedtoincarceration.Onereceivedasplitsentenceandanotherreceivedprobation.AfterSVPA,sentencinginformationwasavailablefor7aggravatedsexualassaultcharges.Allofthose(100%)receivedasentenceofincarceration.

CaseStudy:ChittendenCountyTobetterdeterminethepotentialeffectsoftheSVPA,itwasdecidedtoexaminethelawfromtheperspectiveofonecounty.Asevidencedbythedataprovidedearlierinthisreport,ChittendenCountyhadthemostchargesforsexualassaultandaggravatedsexualassaultduringthestudytimeperiod.DataonavarietyofparameterswereavailableforChittendenCounty.AdditionallyChittendenCountyalreadyhadaspecialinvestigationunitpriortotheSVPAbecominglaw.ThereforeChittendenCountywasselectedforthecasestudyasitwouldprovideanopportunitytoseethelaw’simpactonacommunityalreadydoingwhatthelawintended.

0 20 40 60 80 100 120

ChargesFiled

DisposedofbyGuiltyPlea

DismissedbyCourt

DismissedbyState

Incarceration

SplitSentence

Percentage

AfterSVPA

BeforeSVPA

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InlinewiththeparametersoftheSexualViolencePreventionAct,ChittendenCountyhastheChittendenUnitforSpecialInvestigations(C.U.S.I.)which“isamulti-agencytaskforcededicatedtoprovidingcriminalinvestigationsinresponsetoreportsofsexualassaultsandseriouschildabuse.22”Asmentionedpreviously,ChittendenCountyhaditsspecialinvestigationunitforover10yearspriortotheSVPAbecominglaw.TheSVPAdidnotimpactthefunctionalityoftheCUSI23;itsprocedures,policies,etc.werewellformedbythetimetheSVPAwentintoeffect.

SexualAssaultFinalchargesanddisposalinformationwasavailablefor38sexualassaultchargesinChittendenCountyduringthestudyperiod,2004-2009.Ofthose,17(45%)occurredbeforethepassageofSVPAand21(55%)occurredafteritspassage.PriortoSVPAinChittendenCounty,sixcharges(35%)weredisposedofbyguiltypleawhilenoneweredismissedbythecourt.Similartothestatewidedatatrends,mostofthedisposalswerebecausethestatedismissedthecharges.InChittendenCounty,ten(59%)weredismissedbythestate.Onlyonewenttotrial(foundguiltyattrial).AfterthepassageofSVPA,three(14%)ofchargesweredisposedofbyaguiltypleawhilenoneweredismissedbythecourt.Againmostcasesweredisposedbybeingdismissedbythestate.Eighteen(85%)ofsexualassaultchargesafterthepassageofSVPAweredismissedbythestate.Nonewenttotrial.Ofthe10chargesthatendedinconvictions(7-PriorSVPAand3-PostSVPA),three(43%)chargespriortoSVPAresultedinincarcerationsentences,two(29%)receivedsplitsentences,one(14%)receivedprobation,andone(14%)receivedadeferredsentence.AfterSVPAone(33%)chargeresultedinincarcerationandtwo(67%)resultedinsplitsentences.CaseprocessingpatternsweresimilarbeforeandaftertheSVPAinChittendenCounty.OverallbothbeforeandafterSVPA,thehighestcategoryofcasedisposalmethodwasbeingdismissedbythestate.Ifacasemadeitbeyondthatstage,itendedwithaguiltypleaorconviction.

AggravatedSexualAssaultFinalchargesanddisposalinformationwasavailablefor9aggravatedsexualassaultchargesinChittendenCountyduringthestudyperiod,2004-2009.Ofthose4(44%)occurredpriortoSVPAand5(55%)occurredafteritspassage.PriortoSVPAinChittendenCounty,two(50%)ofchargesweredisposedofbyguiltypleaandtheremainingtwochargesweredismissedbythestate.AfterSVPA,therewerenoguiltypleas.Threecharges(60%)weredismissedbythestatewhiletheremainingtwo(40%)chargeswent22http://www.cusi-vermont.org/23ThisinformationcamefromthecurrentDirectorofCUSI,anindividualwithover8yearsworkingforthatunit.

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totrial.Attrial,bothwerefoundguilty.Ofthefourcharges(twopreandtwopost)thatendedinconvictions,allfourchargesresultedinincarcerationsentences.Aswithsexualassaultcaseprocessing,aggravatedsexualassaultcaseprocessinginChittendenCountywassimilarbeforeandafterSVPA.Ifacasewasn’tdismissedbythestate,itwouldendwithaguiltypleaorverdictandasentenceofincarceration.

CONCLUSIONKeyFindings:

• Betweentheyears2003-2010,over1,200sexoffenses(forciblerapesbyanadultoffender)werereportedtolawenforcement.

• Regardlessofthecircumstancesofthecrime,theproportionofdefendantsarrestedvs.citedremainsrelativelyequal.

• Overhalf(approximately63percent)ofsexualassaultandaggravatedsexualassaultconvictionsareforthesamecategoryofoffenseasthedefendantwasoriginallycharged.

• Themostcommonsentencesforsexualassaultandaggravatedsexualassaultconvictionsareincarceration,splitsentence,andprobation.

• Adismissalbythestatewasthelargestcategoryofdispositionsforallcharges.• Thereappearstobesomevariationinsentencingforsexualassault,whilethereislittle

variationforaggravatedsexualassaultsentencing.Thecountyvariablewasnotstatisticallyrelatedtothesentenceanoffenderreceived.

• AccordingtobivariateanalysisofcriminalhistorydatafromtheVermontCriminalInformationCenter(VCIC),theoriginalchargelevelandwhetherthedefendantwasarecidivistareinfluentialinsentencing,whilethedefendant’srace,criminalhistory,age,andcountydonotseemtohaveanyimpact.

• In2006,theVermontLegislaturepassedtheSexualViolencePreventionAct(SVPA).Apre-andpost-comparisonrevealedsimilarfinalcharges,disposalnumbers,andsentencing.

Adismissalbythestatewasthelargestcategoryofdispositionsforallcharges.Ofthesexualassaultandaggravatedsexualassaultchargesthatendedinconvictionthemajoritywereforthesameoffensecategoryandreceivedasentenceofincarceration.Theoriginalchargelevelandwhetherthedefendantwasarecidivistappeartobeinfluentialinsentencing.

Unfortunately,thedataavailableforthisanalysisandreportdidnotprovideenoughinformationtoadequatelydetermineiftheSVPAimpactedsexualviolenceprosecutions.SeveralfactorsmighthaveimpactedwhyitappearedthattheSVPAhashadlittleeffectonsexualviolencecharges,convictions,etc.First,itmighthavebeenthefactthatonlyafewyearshadpassedsincethelegislationbecamelawandpractitionersmightnothavehadadequatetimetomakechanges.Thisisespeciallyevidencedbythefactthatseveralcommunitiesdidnotestablishthespecialinvestigationunituntilyearsafterthelegislationpassed.Second,severalcountieshadspecialinvestigationunitslongbeforetheSVPA;thereforethelaw’seffectmighthavebeenlimited.Third,factorsotherthancriminaljusticepractitionersmightbethereasonforsimilarnumbersbeforeandafterthelaw.Sincesituationaland/orenvironmentalfactors

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wereunavailable,thereisnowaytodetermineifthechargesfiled,casesdismissedbythestate,etc.beforeandafterthelawaresimilar.Forexample,therecouldhavebeenanimpactonthewayevidencewascollectedincertaintypesofcasesandthatmighthavemadeadifferenceonthechargesfiled,casesdismissed,andconvictions,butwithoutmoredetailsitishardtodeterminethelaw’seffect.FurtherresearchisneededtodeterminetheeffectivenessofSVPA24.Finally,thefactthatmostsexualassaultandaggravatedsexualassaultchargesweredisposedofbyadismissalbythestateshouldbeexaminedfurther.Agreaterunderstandingofwhyspecificallythisoccurscouldbetterinformcurrentpolicies,procedures,andfuturelegislation.

24Additionallyitwashopedthatthisreportcouldprovideanalysisoffactorsthatledtoprosecution.Unfortunately,thedataavailabletoresearchersdidnotincludethenecessaryinformationtoconductsuchanalysis.

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Table1:SexualAssaultCountySummarySentencingStatistics

OffenseDate=FY2004-2009,DispositionDate=FY2004-

FY2010

AddisonCounty Min Max Mean S.D. NIncarcerationTotal

MinimumSentenceLength(years) 3.591 3.591 3.591 0.000 3MaximumSentenceLength(years) 99.000 99.000 99.000 0.000 3SplitTotal

MinimumSentenceLength(years) 5.000 5.000 5.000 - 1MaximumSentenceLength(years) 15.000 15.000 15.000 - 1DaystoServe 1,096 1,096 1,096 - 1

BenningtonCounty IncarcerationTotal MinimumSentenceLength(years) 1.169 40.000 17.930 19.069 10

MaximumSentenceLength(years) 1.253 99.000 46.055 45.854 10SplitTotal

MinimumSentenceLength(years) 4.000 5.000 4.500 0.707 2MaximumSentenceLength(years) 10.000 10.000 10.000 0.000 2DaystoServe 765 1,279 1,022 364 2

CaledoniaCounty IncarcerationTotal MinimumSentenceLength(years) 3.000 3.000 3.000 - 1

MaximumSentenceLength(years) 6.000 6.000 6.000 - 1SplitTotal

MinimumSentenceLength(years) 3.000 3.000 3.000 0.000 2MaximumSentenceLength(years) 7.000 10.000 8.500 2.121 2DaystoServe 60 549 305 346 2

ChittendenCounty IncarcerationTotal MinimumSentenceLength(years) 2.505 8.000 4.376 2.495 4

MaximumSentenceLength(years) 12.000 99.000 37.750 41.007 4SplitTotal

MinimumSentenceLength(years) 1.000 3.000 2.001 0.817 4MaximumSentenceLength(years) 5.000 8.000 6.500 1.291 4DaystoServe 30 732 289 318 4ProbationTotal

MinimumSentenceLength(years) 2.000 2.000 2.000 - 1

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MaximumSentenceLength(years) 5.000 5.000 5.000 - 1

EssexCounty SplitTotal MinimumSentenceLength(years) 3.000 3.000 3.000 - 1

MaximumSentenceLength(years) 4.000 4.000 4.000 - 1DaystoServe 731 731 731 - 1

FranklinCounty IncarcerationTotal

MinimumSentenceLength(years) 10.000 20.000 14.000 5.292 3MaximumSentenceLength(years) 99.000 99.000 99.000 0.000 3SplitTotal

MinimumSentenceLength(years) 3.000 6.000 4.500 2.121 2MaximumSentenceLength(years) 12.000 99.000 55.500 61.518 2DaystoServe 90 2,192 1,141 1,486 2ProbationTotal

MinimumSentenceLength(years) 0.000 10.000 3.333 5.774 3MaximumSentenceLength(years) 20.000 20.000 20.000 0.000 3

GrandIsleCounty ProbationTotal MinimumSentenceLength(years) 4.000 4.000 4.000 - 1

MaximumSentenceLength(years) 8.000 8.000 8.000 - 1

OrangeCounty IncarcerationTotal MinimumSentenceLength(years) 3.000 3.000 3.000 - 1

MaximumSentenceLength(years) 15.000 15.000 15.000 - 1ProbationTotal

MinimumSentenceLength(years) 1.000 1.000 1.000 - 1MaximumSentenceLength(years) 5.000 5.000 5.000 - 1

OrleansCounty IncarcerationTotal MinimumSentenceLength(years) 4.000 4.000 4.000 - 1

MaximumSentenceLength(years) 20.000 20.000 20.000 - 1

RutlandCounty IncarcerationTotal MinimumSentenceLength(years) 2.000 2.000 2.000 - 1

MaximumSentenceLength(years) 12.000 12.000 12.000 - 1

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WashingtonCountyIncarcerationTotal

MinimumSentenceLength(years) 6.000 6.000 6.000 - 1MaximumSentenceLength(years) 99.000 99.000 99.000 - 1SplitTotal

MinimumSentenceLength(years) 4.000 4.000 4.000 - 1MaximumSentenceLength(years) 15.000 15.000 15.000 - 1DaystoServe 365 365 365

ProbationTotal MinimumSentenceLength(years) 3.000 3.000 3.000 - 1

MaximumSentenceLength(years) 15.000 15.000 15.000 - 1

WindhamCounty SplitTotal MinimumSentenceLength(years) 3.000 12.000 7.500 6.364 2

MaximumSentenceLength(years) 7.000 17.000 12.000 7.071 2DaystoServe 1,096 1,826 1,461 517 2

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Table2:SexualAssaultDispositionTimeByCounty

OffenseDate=FY2004-

FY2009

AddisonCounty N

Mean#ofDaysto

Disposition

TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 6 142.33TotalDisposedbyPlea 10 254.70TotalDisposedbyTrial 4 286.25Overall 20 227.30

BenningtonCounty

TotalDismissedbyCourt 2 90.00TotalDismissedbyProsecutor 29 203.86TotalDisposedbyPlea 25 287.91TotalDisposedbyTrial 3 315.00Overall 59 242.19

CaledoniaCounty

TotalDismissedbyCourt 1 161.00TotalDismissedbyProsecutor 8 253.87TotalDisposedbyPlea 8 276.50TotalDisposedbyTrial 0 -Overall 17 259.06

ChittendenCounty

TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 31 306.77TotalDisposedbyPlea 43 257.60TotalDisposedbyTrial 1 258.00Overall 75 277.93

EssexCounty

TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 0 -TotalDisposedbyPlea 1 671.00TotalDisposedbyTrial 0 -

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Overall 1 671.00

FranklinCounty TotalDismissedbyCourt 0 -

TotalDismissedbyProsecutor 24 208.96TotalDisposedbyPlea 20 253.95TotalDisposedbyTrial 2 504.50Overall 46 241.37

GrandIsleCounty

TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 1 157.00TotalDisposedbyPlea 3 140.00TotalDisposedbyTrial 0 -Overall 4 144.25

LamoilleCounty

TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 4 448.25TotalDisposedbyPlea 5 222.60TotalDisposedbyTrial 1 716.00Overall 10 362.20

OrangeCounty

TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 5 315.60TotalDisposedbyPlea 4 336.25TotalDisposedbyTrial 0 -Overall 9 324.78

OrleansCounty

TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 6 348.83TotalDisposedbyPlea 4 385.25TotalDisposedbyTrial 1 365.00Overall 11 363.55

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RutlandCountyTotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 3 351.33TotalDisposedbyPlea 2 331.00TotalDisposedbyTrial 0 -Overall 5 343.20

WashingtonCounty

TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 7 227.43TotalDisposedbyPlea 6 329.83TotalDisposedbyTrial 2 643.00Overall 15 323.80

WindhamCounty

TotalDismissedbyCourt 1 330.00TotalDismissedbyProsecutor 18 308.72TotalDisposedbyPlea 8 356.25TotalDisposedbyTrial 2 328.00Overall 29 323.90

WindsorCounty

TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 8 176.25TotalDisposedbyPlea 11 209.55TotalDisposedbyTrial 0 -Overall 19 195.53