Racial and Ethnic Disparities in Felony Case Processing

The Justice Lab at the Division of Criminal Justice Services publishes reports and analyses to inform justice policy and planning across New York State. This work offers insight into the functioning of the state’s criminal justice system and allows local and state policymakers, practitioners, advocates, legislators, and researchers to better understand and respond to issues that exist within the system.

This report describes an analysis of racial and ethnic disparities in felony case processing in New York State at three processing points: arrests made in 2019, disposition of those arrests, and prison sentences imposed after convictions resulting from those arrests. 2019 was chosen as the benchmark because arrests made that year occurred prior to the implementation of landmark changes to the state’s bail, and evidence and information disclosure (discovery) laws. As a result, this analysis provides an overview of how the system functioned prior to those reforms and before the full impact of the COVID-19 pandemic, which disrupted all facets of the state’s criminal justice system.

This report details those three processing points for two regions: the five boroughs in New York City (NYC), and the 57 counties outside New York City (Non-NYC). Prior analyses have shown that population demographics and case processing differ between these regions. The report contains four different analyses:

• The racial and ethnic distribution of the adult (18 years old and older) population, and adult arrests, felony arrests, and prison sentences.
• Disparities in case processing among felony arrests made in 2019.
• Disparities in outcomes of 2019 felony arraignments facing mandatory prison charges.
• Racial and ethnic differences in prison sentences of 2019 felony arraignments.

Data analyzed for this report show that Black individuals experience disproportionality starting at arrest, the initial point of contact with the criminal justice system. Black individuals are arrested at a rate far exceeding their population proportion in New York City and Non-NYC, with their 2019 felony arrest rate being approximately seven times higher than that of white individuals.

Disparities remain evident in arraignment charges. In both NYC and Non-NYC, Black individuals are more likely than Hispanic or white individuals to face mandatory prison sentences at arraignment. In NYC, individuals charged with felonies more frequently face mandatory prison sentences due to those current charges rather than prior convictions. The opposite is true in Non-NYC. After cases are processed through the system, however, overall conviction rates across racial and ethnic groups show minimal differences.

Regional disparities also emerge in sentence length. In NYC, cases more often result in the shortest allowable sentences compared to Non-NYC. No significant racial or ethnic differences are observed among individuals in NYC: The number of white individuals is too small to draw meaningful conclusions, and only slight differences are noted between Black and Hispanic individuals. Generally, white individuals in Non-NYC are less likely than Black individuals to receive the shortest allowable sentence.

Felony Arrests

• In 2019, the felony arrest rate for Black individuals was approximately seven times higher than that of white individuals in both NYC and Non-NYC. This disproportionality makes comparisons across race and ethnicity difficult because there are relatively few white individuals involved in the justice system in NYC, and very few Hispanic individuals in Non-NYC.
• Black individuals arrested are more likely to have prior felony convictions than other racial and ethnic groups. In NYC, 25 percent of Black, 21 percent of Hispanic, and 17 percent of white individuals arrested have prior felony convictions. In Non-NYC, 32 percent of Black, 19 percent of Hispanic and 21 percent white individuals have prior felony convictions.
• Having a prior felony conviction appears to significantly impact case outcomes. Conviction rates are much higher among those who have a prior felony conviction than among those who do not.  
• While having a prior felony conviction appears to have a substantial impact, minimal differences in criminal conviction rates by race and ethnicity are observed, particularly in NYC. Misdemeanor conviction rates were slightly higher for white individuals with no prior felony convictions in Non-NYC (e.g., 29 percent of Black individuals are convicted of misdemeanor charges compared to 34 percent among white individuals). Notably, Black individuals are more likely to receive favorable case dispositions than Hispanic or white individuals.

Felony Arraignments Facing Mandatory Prison Sentences

• At arraignment, the percent of individuals facing prison sentences is higher among Black individuals than Hispanic or white individuals in both regions. However, the difference in the percentage of convictions requiring a prison sentence is small.
• Black individuals in both regions are more likely to have their cases dismissed or otherwise disposed in their favor.
• Among convictions requiring prison in Non-NYC, Black individuals are more likely to be sentenced to prison, compared to Hispanic and white individuals.

Prison Sentence Length

• Among the 2019 felony arraignments resulting in a prison sentence, NYC cases were more likely than Non-NYC cases to receive the shortest allowable sentence across charge types, including convictions for a first violent felony offense (VFO) or non-violent felony with a prior felony conviction.
• Cases receiving determinate sentences (VFOs and drug offenses) were less likely to receive the shortest allowable sentence than cases receiving indeterminate sentences (non-VFO).
• Compared across race and ethnicity, NYC had only small differences in prison sentence length when comparing Black and Hispanic individuals. Conclusions could not be drawn due to the small number of white individuals sentenced to prison in NYC. In Non-NYC, white individuals were generally less likely to receive the shortest allowable sentence when compared to Black individuals. Due to the small number of Hispanic individuals sentenced to prison in Non-NYC, conclusions could not be drawn.

Adults Arrests and Prison Sentences by Race/Ethnicity in NYC and Non-NYC: 2019

DCJS publishes comprehensive criminal justice statistics on its website, including the demographics of the adult population, adults arrested, adults arrested for felony offenses, and adults sentenced to prison. Information is published for each of the state’s 62 counties, and by region: NYC and non-NYC. The charts below illustrate the racial and ethnic composition of these groups by region.

The demographics of the populations in NYC and Non-NYC are very different but, in both regions, Black and Hispanic individuals are disproportionately represented in the criminal justice system.

NYC

• While only 22 percent of the adult population in NYC are Black (non-Hispanic), Black individuals make up 47 percent of adults arrested, 51 percent of adults arrested for felonies, and 55 percent of adults sentenced to prison. White individuals comprise 34 percent of the population, but make up only 12 percent of adults arrested, 10 percent of adults arrested for a felony offense, and 7 percent of adults sentenced to prison.
• Among persons sentenced to prison, 55 percent were Black and 35 percent Hispanic, while only 7 percent were white.

Non-NYC

• In Non-NYC , Black individuals comprise only 9 percent of the population but represent more than 30 percent of adults in the criminal justice system. White individuals comprise 76 percent of the population but make up 53 percent of adult arrests.
• Of those sentenced to prison, 43 percent were Black and 41 percent white.

Felony Arrest Rates per 100,000 Population in NYC and Non-NYC: 2019

When considering the size of the population and the volume of felony arrests, Black individuals in both NYC and Non-NYC have higher felony arrest rates than other racial and ethnic groups.

• In NYC, the felony arrest rate among Black individuals is more than 7 times that of white individuals, and the rate among Hispanic individuals is almost 4 times that of white individuals.
• In Non-NYC, the felony arrest rate among Black individuals is around 7 times that of white individuals, and the rate among Hispanic individuals is more than twice that of white individuals.

Black individuals in both regions had more prior arrests than other racial and ethnic groups. Among the individuals arrested in NYC in 2019, 85 percent of Black, 78 percent of Hispanic, and 73 percent of white individuals had at least one prior arrest. The median number of prior arrests was six for Black, four for Hispanic, and three for white individuals. In Non-NYC, 85 percent of Black, 72 percent of Hispanic, and 80 percent of white individuals had one or more prior arrests. The median number of prior arrests was five for Black, three for white, and two for Hispanic individuals. 

2019 Felony Arrests: Case Processing Outcomes by Race and Ethnicity

This section presents disposition outcomes for 2019 felony arrests. The arrests are divided between two categories: those with, and without, prior felony convictions because prior convictions can affect case outcomes. In these analyses, prior felony convictions are defined as felony convictions that occurred within 10 years prior to the crime date of the 2019 case. The 10-year period excludes time incarcerated.*

*Note: The time incarcerated is calculated using best available data at DCJS: jail sentence days, the first prison release date in DCJS CCH, and 6/7^th of determinate sentence and the minimum sentence length for the cases with no known prison release date. 

Prior Felony Conviction Rates

The prior felony conviction rates among 2019 felony arrests vary by region and across race and ethnicity. In both NYC and Non-NYC, Black individuals arrested were more likely than other groups to have a prior felony conviction.

• In NYC, 25 percent of Black individuals arrested had a prior felony conviction, compared to 21 percent of Hispanic and 17 percent of white individuals arrested.
• In Non-NYC, more than 30 percent of Black, 19 percent of Hispanic, and 21 percent of white individuals arrested had a prior felony conviction.

Criminal Conviction Rates by Prior Felony Conviction

The impact of having a prior felony conviction is significant. In both NYC and Non-NYC, felony arrests with a prior felony conviction are more likely to result in a criminal conviction than felony arrests without prior felony convictions.

• In NYC, the conviction rate was 19 percent among felony arrests with no prior felony convictions. The rate almost doubled to 36 percent when individuals had a prior felony conviction on their record.
• In Non-NYC, the conviction rate was much higher than in NYC, and higher still among individuals with a prior felony conviction: 51 percent among felony arrests with no prior felony and 64 percent among those with any prior felony.

Disposition Outcomes

• The percent of cases resulting in a felony conviction is 7 percent for Blacks and whites, and 8 percent for Hispanics, with no priors, compared to 13 percent Blacks and whites, and 14 percent for Hispanics, with a prior felony. The percent of cases resulting in a misdemeanor conviction range from 11 to 13 percent for arrests without a prior and 22 to 24 percent for arrests with a prior.
• The percent of felony arrests resulting in favorable dispositions (i.e. dismissals, adjourned in contemplation, and acquittals) is slightly higher among Black individuals. Among felony arrests with no prior felony convictions, 45 percent of Black individuals and 42 percent of white individuals received favorable dispositions. Declines to prosecute were also higher for Black and Hispanic individuals (10%) compared to white individuals (5%).
• Among cases with a prior felony conviction, favorable dispositions were highest for Black individuals (33%), followed by Hispanic individuals (30%) and white individuals (26%).

Disposition outcomes of Non-NYC arrests show similar patterns. There are small differences across race and ethnicity in the conviction rates; the percent of Black individuals receiving favorable dispositions is slightly higher.

• Among felony arrests with no prior felony conviction, the percent of cases resulting in a felony conviction is 19 percent for Black, and 21 percent for Hispanic and white, individuals. The misdemeanor conviction rate was higher for white individuals (34%) compared to Black (29%) and Hispanic (27%) individuals.
• When an individual has a prior felony conviction, the percent of cases resulting in a felony conviction varies from 30 percent (Black); 32 percent (white); and 36 percent (Hispanic). The misdemeanor conviction rate was slightly higher for white individuals.
• There is a difference across race/ethnicity in favorable dispositions for individuals without a prior felony conviction: 28 percent of Black individuals compared to 22 percent of Hispanic and 21 percent of white. Differences were smaller among individuals with prior felony convictions.

2019 Felony Arraignments Facing Mandatory Prison at Lower Court Arraignment, by Race and Ethnicity

Previous analyses showed that racial and ethnic disparities are apparent at the front end of the criminal justice system: the point of arrest. Black individuals and, to a lesser degree Hispanic individuals, are more likely to be arrested and are disproportionately represented in the criminal justice system, relative to the adult population. Black and Hispanic individuals, however, were not more likely to receive a criminal conviction. This analysis focuses on dispositions of felony arraignments and examines racial and ethnic disparities in sentences to prison.

Individuals charged with a felony offense may be sentenced to prison in NYS although not all receive prison sentences. Certain felony offenses require a mandatory minimum prison sentence and second felony offenders who have a prior felony conviction from within the past ten years should be sentenced to prison based on statute. This section examines 2019 felony cases facing mandatory prison at arraignment. A mandatory prison proxy identified cases in 2019 that appeared to require a prison sentence, either based on arraignment charge or prior criminal history information. Notable differences exist in the prevalence of, and reasons for, mandatory prison between NYC and Non-NYC.

• 41 percent of NYC felony arraignments appear to be facing mandatory prison at arraignment, compared to 30 percent of Non-NYC arraignments.
• Mandatory prison is more likely because of the current charge in NYC and prior felony convictions in Non-NYC. In the rest of the state, 57 percent face a mandatory prison sentence due to prior felony convictions alone as compared to 35 percent in NYC. 

In both NYC and Non-NYC, the percent of felony arraignments facing mandatory prison sentences is higher for Black individuals compared to other racial and ethnic groups.

• In NYC, 46 percent of Black, 41 percent of Hispanic, and 31 percent of white individuals who were arraigned for felony charges appear to be facing mandatory prison sentences.
• In Non-NYC, 36 percent of Black, 27 percent of Hispanic, and 26 percent of white individuals appear to be facing mandatory prison at arraignment.

In addition to differences in rates, there also are significant differences in volume across race and ethnicity in each region that make it challenging to compare racial and ethnic groups. NYC cases include more Black and Hispanic individuals than white individuals, while Non-NYC cases involve more white and Black individuals, than Hispanic individuals.

Disposition Outcomes for Felony Arraignments Facing Mandatory Prison Charges

Among the felony arraignments that appear to face mandatory prison sentences, only 14 to 15 percent of cases in NYC and 19 to 23 percent in Non-NYC were convicted on charges requiring prison. The differences across race and ethnicity are small.

Hispanic and white individuals were more likely to be convicted for charges that did not require prison. Favorable outcomes (i.e. dismissals and acquittals) were most common for Black individuals.

Sentences Imposed in Mandatory Prison Convictions for Felony Arraignments Facing Mandatory Prison Charges

Most cases that appear to be facing mandatory prison at arraignment and that are convicted of mandatory prison charges are sentenced to prison: 86 percent of NYC cases and 74 percent of Non-NYC cases. Racial differences are small in NYC and the percentage gap among race and ethnicity is wider in Non-NYC.

• In NYC, 85 percent of Black, 88 percent of Hispanic, and 88 percent of white individuals were sentenced to prison.
• In Non-NYC, 79 percent of Black, 70 percent of Hispanic, and 70 percent of white individuals were sentenced to prison.

Prison Sentence Lengths Imposed, by Race and Ethnicity

The rate of felony arraignments resulting in prison sentences is similar across racial and ethnic groups in both regions of the state.

• In NYC, 18 percent of Hispanic, 16 percent of Black, and 15 percent of white individuals arraigned on felony charges were sentenced to prison.
• In Non-NYC, 22 percent of Hispanic, 21 percent of Black and 19 percent of white individuals were sentenced to prison.

Since conviction outcomes did not vary significantly, this section examines whether the length of prison sentence differs across race and ethnicity among 2019 felony arraignments.

The analysis excludes charges resulting in life sentences, such as non-drug Class A felonies and persistent violent felony offenders. A small number of crimes that required mandatory prison sentences also are excluded because very few are included  in the data, such as certain first-time, non-violent felonies and Class A drug charges. Youthful Offenders and Juvenile Offenders are excluded from the analysis, as sentence length for those individuals is different from adults.

An examination of sentence lengths for various offenses showed that the most frequent sentence length was often the minimum allowable by law. For example, an individual convicted of a Class B violent felony offense with no prior felony convictions could be receive a sentence anywhere from five to 25 years.

The most common sentence in NYC was five years.

In Non-NYC, five years also was the most common sentence for the same offense, however it was closely followed by a sentence length of 10 years because many individuals received longer sentences than the minimum allowable.

Based on these observed distributions, this analysis examined whether individuals were sentenced to the minimum allowable time or received longer sentences. The maximum sentence range was used for calculating the minimum allowable time for indeterminate sentences. For example, an individual convicted of a Class B non-VFO offense with no prior felony convictions could be sentenced to a maximum length between three and 25 years, and thus the shortest allowable sentence length is defined as three years.

The table and chart above show the percent of cases sentenced to the shortest allowable sentence length by offense type. While NYC sentences are more likely to be the shortest compared to Non-NYC, the patterns are very similar within each region.

The Drug Law Reform Act of 2009 eliminated mandatory minimum prison sentences for drug offenders and reduced the number of individuals serving prison time for those crimes. When individuals are convicted of drug offenses, however, they tend to receive longer sentences in both regions; less than 50 percent receive the shortest allowable sentence.

Individuals sentenced to prison for violent felony charges are less likely to get the shortest sentence allowable than non-VFOs in both regions. 

The table above shows the percent of cases in NYC that received the shortest sentence allowable, by race and ethnicity. The number of white individuals is too small to have a meaningful interpretation. Overall, there are only slight differences between Black and Hispanic individuals. The largest difference is in drug charges (46% Black vs. 40% Hispanic) and VFO with prior felony convictions (49% Black vs. 54% Hispanic), but there does not appear to be any distinct pattern of disparity.

The table above shows Non-NYC cases. There are more white individuals sentenced to prison and fewer Hispanic individuals involved in the criminal justice system. Generally, white individuals are less likely to receive the shortest allowable sentence, compared to Black individuals. The difference is largest for VFOs: 10 to 14 percentage point range between Black and white individuals receiving the shortest sentence.