Framing Biases in Plea Bargaining Decisions: Fairness Under the Law

IF 1.4 3区 心理学 Q3 PSYCHOLOGY, APPLIED
Brent M. Wilson
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Across a range of contexts, fairness perceptions often shape behavior in ways that depart from the predictions of rational choice theory.</p><p>Rational decision-making often breaks down when an offer feels unfair, even if accepting it would serve everyone's best interest. Richard Thaler (<span>2015</span>) offers a particularly memorable example in his book <i>Misbehaving: The Making of Behavioral Economics</i>, illustrating how fairness concerns can interfere with efficient bargaining. The Coase theorem posits that when legal rights are clearly defined and parties can bargain without significant costs, they will negotiate to reach efficient outcomes based on who values the result most. Accordingly, no matter who “owns” something at the start, the final outcome will reflect who cares most about a specific result. Thaler had a tree in his backyard that stood close to the property line and regularly dropped leaves, making cleanup a hassle in the late fall. Whereas Thaler did not care much about the tree one way or another, his neighbor hated it and asked for it to be removed. Applying Coasean logic, Thaler proposed a seemingly efficient solution: Since the neighbor disliked the tree more than Thaler valued keeping it, the neighbor could arrange to have it removed at their own expense. But instead of accepting what a rational actor might see as a fair deal, the neighbor was offended, slammed the door, and never brought up the tree again. Despite being economically rational, the offer struck the neighbor as unfair. After all, it was Thaler's tree, so they felt he should be the one to bear the cost.</p><p>A more systematic demonstration of fairness overriding rational self-interest is found in the ultimatum game. In this two-player game, one person (the proposer) offers a split of a sum of money, and the other (the responder) decides whether to accept or reject the offer. If accepted, the money is divided as proposed. If rejected, both players receive nothing. Rational choice theory predicts that responders should accept any amount greater than zero, and proposers, anticipating this, should offer the smallest possible amount. However, this is not how people typically behave. Responders frequently reject low offers they perceive as unfair, even though rejecting means walking away with nothing. For example, if the proposer is given $100, rational models would suggest offering $1 and keeping $99. In practice, however, offers below 20% are often rejected, and proposers tend to offer far more, typically between 40% and 50% (Güth and Kocher <span>2014</span>).</p><p>These examples show that people often resist offers that feel unfair, even at a personal cost. When an offer is perceived as unjust, individuals may reject it in order to preserve a sense of moral or relational equity, even when doing so is irrational by conventional standards. This dynamic has clear relevance for plea bargaining. A defendant may reject a plea not just because of the sentence length or probability of conviction but because the offer itself feels wrong. Moreover, the way the offer is framed—especially as a loss—may strongly influence how unfair it feels.</p><p>Consider the following examples that illustrate how framing influences whether an action is perceived as unfair. In a study by Kahneman et al. (<span>1991</span>), participants were asked to judge the fairness of different company decisions. In one scenario, “A company is making a small profit. It is located in a community experiencing a recession with substantial unemployment but no inflation. The company decides to decrease wages and salaries 7 percent this year” (204). In this case, 63% of respondents judged the action to be unfair. In a different scenario, “A company is making a small profit. It is located in a community experiencing a recession with substantial unemployment and inflation of 12 percent. The company decides to increase salaries only 5 percent this year” (204). Here, only 22% judged the action to be unfair. Although both cases result in a comparable real wage decrease, the second is framed as a gain, which elicited significantly lower perceptions of unfairness.</p><p>A similar pattern appeared in a pricing example involving car sales. In this case, Kahneman et al. (<span>1991</span>) presented participants with two different scenarios, both beginning with a shortage for a popular car model that would delay delivery by 2 months. In one version, participants read that “a dealer has been selling these cars at list price” and now prices them at $200 above list price; 71% judged this increase as unfair. In the other version, participants read that “a dealer has been selling these cars at a discount of $200 below list price” and now charges list price; only 42% judged this change as unfair (203). Kahneman et al. persuasively argue that “imposing a surcharge (which is likely to be judged a loss) is considered more unfair than eliminating a discount (a reduction of a gain)” (204). The implication is that loss framing can heighten perceptions of unfairness relative to gain framing, even when the options are equivalent.</p><p>This insight is directly relevant to the plea offer framing examined in Reyna et al. (<span>2025</span>). For example, one version of the plea offer was framed as “gaining 10 years of freedom,” whereas the other described it as “losing 30 years of freedom.” If the loss-framed version felt more unfair to participants, this could help explain the higher rejection rates observed in that condition. People tend to reject offers that feel unfair, and losses are often perceived as more unfair than comparable gains.</p><p>Another important factor likely to influence how fair a plea offer is perceived to be is whether the defendant is actually innocent or guilty. Reyna et al. (<span>2025</span>) deliberately avoided telling participants whether they were to assume that they were innocent or guilty of the crime. This design choice may have been informed by findings from Garnier-Dykstra and T. Wilson (<span>2021</span>), who observed a puzzling reversal in framing effects depending on guilt status. In that study, the standard framing effect (greater plea rejection under a loss frame) appeared when participants were told they were innocent, consistent with Reyna et al.'s results. However, when participants were told they were guilty, the effect reversed: loss-framed offers were more likely to be accepted than gain-framed ones.</p><p>Although leaving the defendant's guilt ambiguous could allow for a focused examination of framing effects independent of culpability, defendants in real-world settings almost certainly know whether they committed the crime. That knowledge may strongly influence how fair a plea offer feels. 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Although the study focused on broader attitudes toward the justice system, future research inspired by their work could examine how the perceived fairness of a specific plea offer affects whether it is accepted or rejected. This question is especially relevant in light of existing research showing that people often decline offers they view as unfair, even when accepting would serve their interests.</p><p>As behavioral research continues to shape our understanding of legal decision-making, fairness and framing are likely to remain central themes. Investigating how these factors interact, particularly in relation to defendants' knowledge of their own guilt or innocence, may help clarify when and why plea offers are rejected. Building on the insights of Reyna et al. (<span>2025</span>), future work can advance more psychologically informed and ethically grounded models of decision-making in the justice system. 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引用次数: 0

Abstract

The traditional rational choice model assumes that people seek to maximize their own expected utility, without accounting for fairness, justice, or concern for the greater good. Reyna et al. (2025) provide a compelling empirical demonstration of how this model breaks down in the context of plea bargaining. Their innovative findings open the door to a wide range of new questions about how framing influences legal decision-making. Although the study focused on general attitudes toward the justice system, future research could build on this foundation by examining how the perceived fairness of a specific plea offer affects decision-making. Whether an offer feels fair is likely to play a central role in its acceptance or rejection. Across a range of contexts, fairness perceptions often shape behavior in ways that depart from the predictions of rational choice theory.

Rational decision-making often breaks down when an offer feels unfair, even if accepting it would serve everyone's best interest. Richard Thaler (2015) offers a particularly memorable example in his book Misbehaving: The Making of Behavioral Economics, illustrating how fairness concerns can interfere with efficient bargaining. The Coase theorem posits that when legal rights are clearly defined and parties can bargain without significant costs, they will negotiate to reach efficient outcomes based on who values the result most. Accordingly, no matter who “owns” something at the start, the final outcome will reflect who cares most about a specific result. Thaler had a tree in his backyard that stood close to the property line and regularly dropped leaves, making cleanup a hassle in the late fall. Whereas Thaler did not care much about the tree one way or another, his neighbor hated it and asked for it to be removed. Applying Coasean logic, Thaler proposed a seemingly efficient solution: Since the neighbor disliked the tree more than Thaler valued keeping it, the neighbor could arrange to have it removed at their own expense. But instead of accepting what a rational actor might see as a fair deal, the neighbor was offended, slammed the door, and never brought up the tree again. Despite being economically rational, the offer struck the neighbor as unfair. After all, it was Thaler's tree, so they felt he should be the one to bear the cost.

A more systematic demonstration of fairness overriding rational self-interest is found in the ultimatum game. In this two-player game, one person (the proposer) offers a split of a sum of money, and the other (the responder) decides whether to accept or reject the offer. If accepted, the money is divided as proposed. If rejected, both players receive nothing. Rational choice theory predicts that responders should accept any amount greater than zero, and proposers, anticipating this, should offer the smallest possible amount. However, this is not how people typically behave. Responders frequently reject low offers they perceive as unfair, even though rejecting means walking away with nothing. For example, if the proposer is given $100, rational models would suggest offering $1 and keeping $99. In practice, however, offers below 20% are often rejected, and proposers tend to offer far more, typically between 40% and 50% (Güth and Kocher 2014).

These examples show that people often resist offers that feel unfair, even at a personal cost. When an offer is perceived as unjust, individuals may reject it in order to preserve a sense of moral or relational equity, even when doing so is irrational by conventional standards. This dynamic has clear relevance for plea bargaining. A defendant may reject a plea not just because of the sentence length or probability of conviction but because the offer itself feels wrong. Moreover, the way the offer is framed—especially as a loss—may strongly influence how unfair it feels.

Consider the following examples that illustrate how framing influences whether an action is perceived as unfair. In a study by Kahneman et al. (1991), participants were asked to judge the fairness of different company decisions. In one scenario, “A company is making a small profit. It is located in a community experiencing a recession with substantial unemployment but no inflation. The company decides to decrease wages and salaries 7 percent this year” (204). In this case, 63% of respondents judged the action to be unfair. In a different scenario, “A company is making a small profit. It is located in a community experiencing a recession with substantial unemployment and inflation of 12 percent. The company decides to increase salaries only 5 percent this year” (204). Here, only 22% judged the action to be unfair. Although both cases result in a comparable real wage decrease, the second is framed as a gain, which elicited significantly lower perceptions of unfairness.

A similar pattern appeared in a pricing example involving car sales. In this case, Kahneman et al. (1991) presented participants with two different scenarios, both beginning with a shortage for a popular car model that would delay delivery by 2 months. In one version, participants read that “a dealer has been selling these cars at list price” and now prices them at $200 above list price; 71% judged this increase as unfair. In the other version, participants read that “a dealer has been selling these cars at a discount of $200 below list price” and now charges list price; only 42% judged this change as unfair (203). Kahneman et al. persuasively argue that “imposing a surcharge (which is likely to be judged a loss) is considered more unfair than eliminating a discount (a reduction of a gain)” (204). The implication is that loss framing can heighten perceptions of unfairness relative to gain framing, even when the options are equivalent.

This insight is directly relevant to the plea offer framing examined in Reyna et al. (2025). For example, one version of the plea offer was framed as “gaining 10 years of freedom,” whereas the other described it as “losing 30 years of freedom.” If the loss-framed version felt more unfair to participants, this could help explain the higher rejection rates observed in that condition. People tend to reject offers that feel unfair, and losses are often perceived as more unfair than comparable gains.

Another important factor likely to influence how fair a plea offer is perceived to be is whether the defendant is actually innocent or guilty. Reyna et al. (2025) deliberately avoided telling participants whether they were to assume that they were innocent or guilty of the crime. This design choice may have been informed by findings from Garnier-Dykstra and T. Wilson (2021), who observed a puzzling reversal in framing effects depending on guilt status. In that study, the standard framing effect (greater plea rejection under a loss frame) appeared when participants were told they were innocent, consistent with Reyna et al.'s results. However, when participants were told they were guilty, the effect reversed: loss-framed offers were more likely to be accepted than gain-framed ones.

Although leaving the defendant's guilt ambiguous could allow for a focused examination of framing effects independent of culpability, defendants in real-world settings almost certainly know whether they committed the crime. That knowledge may strongly influence how fair a plea offer feels. For someone who knows they are innocent, the prospect of jail time is likely to feel fundamentally unfair. Indeed, Tor et al. (2010) found that innocent participants were less likely to accept a plea offer than guilty participants, likely due in part to fairness concerns.

Reyna et al. (2025) offer a methodologically rigorous and conceptually insightful demonstration of how gain and loss framing can shape plea bargain decisions. Their work highlights important departures from traditional rational choice models, particularly in legal contexts where perceptions of fairness and justice often guide behavior. By showing that framing influences defendants' choices, their study provides a valuable foundation for understanding the psychological processes that underlie plea decision-making.

Their findings also invite further exploration into the role of fairness perceptions in this context. Although the study focused on broader attitudes toward the justice system, future research inspired by their work could examine how the perceived fairness of a specific plea offer affects whether it is accepted or rejected. This question is especially relevant in light of existing research showing that people often decline offers they view as unfair, even when accepting would serve their interests.

As behavioral research continues to shape our understanding of legal decision-making, fairness and framing are likely to remain central themes. Investigating how these factors interact, particularly in relation to defendants' knowledge of their own guilt or innocence, may help clarify when and why plea offers are rejected. Building on the insights of Reyna et al. (2025), future work can advance more psychologically informed and ethically grounded models of decision-making in the justice system. Their work lays a strong foundation for future studies examining how fairness perceptions and framing shape decisions in real-world legal settings.

辩诉交易决策中的框架偏见:法律下的公平
传统的理性选择模型假设人们寻求最大化自己的预期效用,而不考虑公平、正义或对更大利益的关注。Reyna等人(2025)提供了一个令人信服的实证证明,说明该模型在辩诉交易背景下是如何崩溃的。他们的创新发现为一系列关于框架如何影响法律决策的新问题打开了大门。虽然这项研究关注的是人们对司法系统的普遍态度,但未来的研究可以在此基础上,研究人们对特定认罪提议的公正性的感知如何影响决策。要约是否公平可能是决定接受或拒绝的关键因素。在各种情况下,公平观念往往会以偏离理性选择理论预测的方式塑造行为。当一个提议让人感觉不公平时,理性决策往往会崩溃,即使接受它符合每个人的最佳利益。理查德·塞勒(2015)在他的《行为不端:行为经济学的形成》一书中提供了一个特别令人难忘的例子,说明了公平问题如何干扰有效的讨价还价。科斯定理认为,当法律权利被明确界定,各方可以在没有重大成本的情况下进行谈判时,他们将根据谁最重视结果进行谈判,以达成有效的结果。因此,无论一开始是谁“拥有”某物,最终的结果都会反映出谁最关心某一特定结果。塞勒的后院有一棵树,离地产线很近,经常落叶,深秋的时候清理起来很麻烦。尽管塞勒并不怎么在乎这棵树,但他的邻居却讨厌它,要求把它移走。运用科斯的逻辑,塞勒提出了一个看似有效的解决方案:由于邻居对这棵树的厌恶程度超过了塞勒对保留这棵树的重视程度,邻居可以自费安排把它移走。但是,这位邻居并没有接受一个理性的行为者可能认为的公平交易,而是生气了,砰地关上了门,再也没有把树抬起来。尽管从经济上讲是合理的,但这个提议让邻居觉得不公平。毕竟,这是塞勒的树,所以他们觉得应该由他来承担成本。在最后通牒博弈中,公平凌驾于理性自利之上,这是一个更为系统的例证。在这个双人游戏中,一个人(提议者)提供一笔钱的分成,另一个人(回应者)决定是否接受或拒绝这个提议。如果被接受,这笔钱将按照提议进行分配。如果被拒绝,双方都一无所获。理性选择理论预测,回应者应该接受任何大于零的金额,而提议者,预计到这一点,应该提供尽可能小的金额。然而,这并不是人们通常的行为方式。回应者经常拒绝他们认为不公平的低报价,即使拒绝意味着什么也得不到。例如,如果提议者得到100美元,理性模型会建议提供1美元并保留99美元。然而,在实践中,低于20%的报价往往会被拒绝,而提议者往往会提出更高的报价,通常在40%到50%之间(g<s:1> th和Kocher 2014)。这些例子表明,人们通常会拒绝那些感觉不公平的提议,即使要为此付出个人代价。当一个提议被认为是不公平的,个人可能会拒绝它,以保持一种道德或关系的公平感,即使这样做按照传统标准是非理性的。这种动态与辩诉交易有着明显的相关性。被告可能不仅因为刑期或定罪的可能性而拒绝认罪,还因为认罪本身感觉不对。此外,出价的表达方式——尤其是作为损失——可能会强烈影响它给人的不公平感觉。考虑以下例子,说明框架如何影响行为是否被视为不公平。在Kahneman et al.(1991)的一项研究中,参与者被要求判断不同公司决策的公平性。在一个场景中,“一家公司正在赚取少量利润。它位于一个经历经济衰退的社区,失业率很高,但没有通货膨胀。公司决定今年减薪7%”(204)。在这种情况下,63%的受访者认为这种行为是不公平的。在另一种情况下,“一家公司正在赚取少量利润。它所处的社区正经历着经济衰退,失业率居高不下,通货膨胀率高达12%。公司决定今年只增加5%的工资。在这里,只有22%的人认为这种行为是不公平的。尽管这两种情况都会导致实际工资的相应下降,但第二种情况被认为是一种增长,从而大大降低了人们对不公平的看法。在一个涉及汽车销售的定价示例中也出现了类似的模式。在这种情况下,Kahneman等人。 (1991)向参与者展示了两种不同的场景,都是从一种流行的汽车型号短缺开始的,这将推迟两个月的交付。在一个版本中,参与者读到“一个经销商一直在以标价出售这些车”,现在定价比标价高200美元;71%的人认为这种增长是不公平的。在另一个版本中,参与者读到“一个经销商一直在以低于标价200美元的折扣出售这些汽车”,现在收取标价;只有42%的人认为这种变化不公平(203)。Kahneman等人令人信服地认为,“征收附加费(很可能被视为损失)被认为比取消折扣(减少收益)更不公平”(204)。这意味着,相对于收益框架,损失框架可以增强人们对不公平的感知,即使在期权相同的情况下也是如此。这一见解与Reyna等人(2025)研究的认罪协议框架直接相关。例如,一个版本的认罪协议被描述为“获得10年的自由”,而另一个版本则描述为“失去30年的自由”。如果失去框架的版本对参与者更不公平,这可以帮助解释在这种情况下观察到的更高的拒斥率。人们倾向于拒绝感觉不公平的提议,而损失往往被认为比可比的收益更不公平。另一个可能影响认罪协议是否公平的重要因素是被告实际上是无罪还是有罪。Reyna等人(2025)故意避免告诉参与者他们是假设自己是无辜的还是有罪的。这种设计选择可能是由Garnier-Dykstra和T. Wilson(2021)的发现所启发的,他们观察到框架效应在内疚状态下的令人困惑的逆转。在该研究中,当参与者被告知他们是无辜的时,标准框架效应(在损失框架下更大的请求拒绝)就会出现,这与Reyna等人的结果一致。然而,当参与者被告知他们有罪时,效果正好相反:损失框架的提议比收益框架的提议更容易被接受。尽管让被告的罪责模棱两可可以允许对框架效应进行独立于罪责的集中检查,但现实环境中的被告几乎肯定知道他们是否犯了罪。这些知识可能会强烈影响认罪协议的公平程度。对于那些知道自己是无辜的人来说,入狱的前景可能会从根本上感到不公平。事实上,Tor等人(2010)发现,无辜的参与者比有罪的参与者更不可能接受认罪协议,部分原因可能是出于对公平的担忧。Reyna等人(2025)提供了一个方法严谨、概念深刻的论证,说明得失框架如何影响辩诉交易的决定。他们的工作强调了与传统理性选择模型的重要背离,特别是在公平和正义观念经常指导行为的法律环境中。通过表明框架影响被告的选择,他们的研究为理解认罪决策背后的心理过程提供了有价值的基础。他们的发现也促使人们进一步探讨公平观念在这一背景下的作用。虽然这项研究关注的是对司法系统的更广泛的态度,但受他们工作启发的未来研究可能会研究对特定认罪提议的感知公平性如何影响其被接受或拒绝。考虑到现有的研究表明,人们经常拒绝他们认为不公平的提议,即使接受会符合他们的利益,这个问题就显得尤为重要。随着行为研究继续塑造我们对法律决策的理解,公平和框架可能仍然是核心主题。调查这些因素是如何相互作用的,特别是被告对自己有罪或无罪的认知,可能有助于澄清辩诉何时以及为何被拒绝。在Reyna等人(2025)的见解的基础上,未来的工作可以在司法系统中推进更多的心理知情和道德基础的决策模型。他们的工作为未来研究公平观念和框架如何影响现实世界法律环境中的决策奠定了坚实的基础。
本文章由计算机程序翻译,如有差异,请以英文原文为准。
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来源期刊
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自引率
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期刊介绍: The Journal of Behavioral Decision Making is a multidisciplinary journal with a broad base of content and style. It publishes original empirical reports, critical review papers, theoretical analyses and methodological contributions. The Journal also features book, software and decision aiding technique reviews, abstracts of important articles published elsewhere and teaching suggestions. The objective of the Journal is to present and stimulate behavioral research on decision making and to provide a forum for the evaluation of complementary, contrasting and conflicting perspectives. These perspectives include psychology, management science, sociology, political science and economics. Studies of behavioral decision making in naturalistic and applied settings are encouraged.
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