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. 2023 Jan 17;18(1):e0280397. doi: 10.1371/journal.pone.0280397

Incarceration history and ethnic bias in hiring perceptions: An experimental test of intersectional bias & psychological mechanisms

Christopher R Beasley 1,, Y Jenny Xiao 1,‡,*
Editor: Andrea Knittel2
PMCID: PMC9844837  PMID: 36649297

Abstract

This study seeks to better understand mechanisms of bias against formerly incarcerated and ethnically minoritized job applicants as well as the interactive effects of those two identities. In a sample of 358 hiring managers in the United States, the 2 (incarceration history) x 4 (ethnicity) experiment will manipulate incarceration history and ethnicity through job application materials, and measure hireability, and perception of job applicants along dimensions of sociability/warmth, competence, and morality. We will use a moderated mediation model to test hypotheses regarding a main effect of prior incarceration and an interaction effect of incarceration history and ethnicity on judgments of hireability, as well as whether such effects are mediated through perception of job applicants. We expect results to inform both research and practice related to employment practices.

Introduction

Mass incarceration is one of the most pressing social issues in the United States and results in collateral consequences that appear to have a disparate impact on people of color. The U.S. has a higher rate of incarceration than any other industrialized country in the world [1], with 3.11% of U.S. adults currently in prison, on parole, or formerly incarcerated [2]. Notably, the same study estimated that nearly one out of six Black men are currently in prison, on parole, or formerly incarcerated [2]. Although similar cumulative data are not available for other ethnicities, other reports have found that Latinx, Native American, Pacific Islander, American Indian, and Alaskan Native individuals are incarcerated at much higher rates than their White counterparts and the general public [3, 4]. Individuals with incarceration history appear to experience interrelated collateral consequences such as unemployment, which was 27.3% for formerly incarcerated people in 2008 compared to 5.2% for the general population [5]. Such unemployment trends appear much more likely among formerly incarcerated Hispanic and Black men than White men. For example, the unemployment rate for formerly incarcerated people in 2008 was 18.4% for White men, 26.5% for Hispanic men, and 35.2% for Black men [5]. Although there has been some (still limited) research on the main and interactive effects of criminal history and ethnicity on biased hiring outcomes, little is known about the psychological mechanisms through which these biases may occur. Therefore, the current study seeks to better understand the psychological mechanisms for the unemployment collateral consequence.

Incarceration history and hireability

One likely reason for considerably higher unemployment rates among formerly incarcerated people is their criminal records. Employer screenings of such records have become increasingly widespread. Batastini and colleagues [6] found a causal link between criminal history and a host of outcomes in attitudes and intentions among undergraduate participants, including perceptions of acceptability of job applicants, the extent to which the applicant’s current problems were their fault, how dangerous the applicant was, preferred social distance with the applicant, and likelihood to help. Batastini and colleagues [7] replicated this study with Human Resources (HR) professionals and found similar causal effects of criminal history on judgements of applicants. Similarly, in a recent nationwide survey, [8] manipulated incarceration history and job applicant’s ethnicity (Black or White) and measured participants’ perception of job applicants. These results confirmed that participants were apprehensive about applicants with incarceration history, which was consistent with much of the existing work, providing converging evidence for the unemployment consequences for individuals with incarceration history. In the current research, we will first examine the effect of incarceration history on judgment of hireability, in our first hypothesis.

  • H1: Incarceration history will have a direct effect on judgment of hireability.

Racial inequities in hireability

The detrimental effects of incarceration history for employment can be exacerbated for people of color. Numerous studies have shown a causal link between ethnicity and employment decisions, and a recent meta-analysis found this effect does not appear to be diminishing [9]. These authors found that White applicants received 36% more callbacks than Black applicants and 24% more than Latinx applicants.

Importantly, such racial bias may intersect with criminal history, although the precise effects of such an interaction seems inconclusive given the existing empirical evidence. In an experiment where applicants’ ethnicity and criminal history (none vs. drug-related felony) were manipulated, 34% of White applicants without criminal records received call-backs followed by White applicants with criminal records (17%), Black applicants without criminal records (14%), and Black applicants with criminal records (4%; [10]). Similar interactions have been found for Latinx applicants when compared to White applicants. For example, in an experiment, researchers found main effects of education, work experience, and criminal history (none vs. drug-related misdemeanor vs. drug-related felony), but no main effect of ethnicity (Latinx vs. White), on dichotomous hiring decisions and strength of recommendation [11]. Although there was an interaction between ethnicity and criminal history affecting strength of recommendation, the interaction didn’t emerge for hiring decisions. Importantly, Latinx applicants with felony drug convictions were rated lower on strength of recommendation than Latinx applicants with no criminal history; whereas, White applicants were rated similarly regardless of conviction history. In a similar study, the same researchers found main effects for job qualifications and type of criminal history on both hiring decision and strength of recommendation, but no effect of ethnicity (Latinx vs. White) nor any interactions between ethnicity and other factors [12].

Furthermore, Reicher [13] examined employment outcomes for job applicants with incarceration history in Australia, by experimentally manipulating job candidates’ ethnicity (Caucasian Australian vs. Indigenous Australian). Employers expressed somewhat lower willingness to hire an Indigenous Australian job candidate, compared to their Caucasian Australian counterparts, but this finding was only marginally significant. Most recently, DeWitt and Denver [8] found that while job applicants with an incarceration history were viewed more negatively in the hiring context, ethnicity (Black or White) did not moderate such effect. Importantly, DeWitt and Denver [8] posited several possible reasons for the null effect of ethnicity, such as their survey methodology, and the possibility that certain social categories could dominate our perception when encountering multiple intersectional social categories.

Collectively, these findings suggest a relatively consistent effect of incarceration history on hireability, but provide rather mixed evidence on the interaction between incarceration history and ethnicity. This could be, at least partially, due to the inconsistency of the specific ethnic and/or racial groups included in existing research, inclusion of different additional variables (e.g., education, job qualification, type of crime), as well as the idiosyncratic choices of professions or jobs. In the current research, we examine how incarceration history interacts with ethnicity by including four ethnicities—White, Black, Asian, Latinx—to affect judgments of hireability, and several possible psychological mechanisms through which such effects could occur.

  • H2: The interaction between incarceration history and ethnicity will have a direct effect on hireability ratings

Social categorization

One potential explanation for the main effects of criminal history and ethnicity on hiring perceptions may be self and social categorization. Self and social categorization entail grouping people in a manner that makes sense to the perceiver and structures our social environment [14]. We may categorize ourselves based on an individual identity, a collective identity, or both, according to the immediate social and motivational context–a process known as self-categorization [15]. Indeed, there is extensive evidence that self-categorization with a social group can influence perception of the social environment, leading to biases in memory [16], evaluation [17], and behavior [18]. These intergroup biases could ultimately hurt employment opportunities for individuals with incarceration history, especially when the majority of people making hiring decisions do not have incarceration histories themselves.

Similar to the self-categorization process, we approach others in social situations through a person-based processing mode of impression formation, or a category-based processing mode, which could affect everything from attention to behavior towards the individual [19]. Whereas person-based processing focuses on the representation of the unique individual, category-based processing revolves around a category prototype and its associated group stereotypes [19]. It has been theorized and empirically shown that affective, evaluative, and behavioral biases occur more likely when category-based judgment processes dominate impression formation, since attitudes and behaviors towards group members are derived more from attitudes towards the group as a whole rather than direct experiences with particular individuals (e.g., [19, 20]).

Recently, Young and Powell [21] proposed a theoretical model explaining mechanisms through which impression formation could produce such bias. This model emphasized the role of hiring managers’ perceptions of warmth and competence of ex-offender job applicants in their hiring decisions. Young and Powell [21] argued that the lack of interest and/or motivation to gain additional individuating information about ex-offender job applicants may result in largely category-based processing of such applicants. Therefore, it is possible that the largely category-based processing of ex-offender job applicants elicits negative stereotypes of this group, placing them at a disadvantage during the hiring process.

Intersectionality

Additional social psychological concepts and theory suggest schemas may be a psychological mechanism through which ethnicity may interact with other variables to produce disparate outcomes. As types of schemas [22], stereotypes are complex, with subtypes and subgroups of superordinate stereotypes developing [23]. Considering the intersectionality of multiple social categories and identities (e.g., gender and ethnicity) allow us to predict and understand experiences of unique forms of prejudice and discrimination, distinct from only considering a single aspect of one’s identity (e.g., ethnicity) [24]. Such intersectional effects have been demonstrated for ethnicity and gender in stereotyping [25] and implicit bias [26], as well as for ethnicity and height in threat perception and police stops [27].

According to the framework of gendered race theory, racial stereotypes contain a gendered component whereby certain racial and ethnic groups are stereotyped as more masculine or feminine (e.g., [28]). The gendered race phenomenon has been shown to have important implications not only for categorization and perception of individuals [29], but also for stereotype content. For instance, Asian men and Black women are viewed as less prototypical of their race categories [28]. Such gendered racial stereotypes have been shown to harbor implications for interracial marriages, leadership selection, and athletic participation [30].

It is also possible, as DeWitt and Denver [8] pointed out in their writing, that certain social categories could dominate our perception when encountering multiple intersectional social categories. For instance, Rattan and colleagues [31] found that evaluation of job candidates depended on which social category was more salient in the given context, even when the job candidates were perceived to belong to multiple social categories. In a stereotypically male and stereotypically Asian employment context, participants rated an Asian American female applicant as more hirable when her ethnicity, rather than gender, was made salient [31].

To date, little to no theoretical or empirical work exists regarding intersectionality between ethnicity and incarceration history. However, intersectional stereotypes and the gendered race theoretical perspective provide a general framework for making predictions that ethnicity and incarceration history can combine to create unique subgroups of incarceration stereotypes for people of various ethnicities.

Fundamental dimensions of impression formation

As noted earlier, warmth and competence appear to be important factors in judgements of people with criminal records (e.g., [21]). Warmth and competence have been established, both theoretically and empirically, as two fundamental dimensions along which we form impressions of individuals as well as social groups (e.g., [32]). According to this framework, while warmth judgments allow us to understand others’ intentions including trustworthiness, competence judgments allow us to evaluate the ability of others. Importantly, warmth and competence judgments are not only central to perception of individuals, they also underlie group stereotypes. The warmth and competence dimensions of specific group stereotypes have been shown to predict distinct patterns of responses to members of these groups [33].

Although ex-offenders are not a group originally mapped onto the competence/warmth dimensions by [21, 33], argued that perception of ex-offenders may be synonymous with populations such as those perceived to be poor or receiving public assistance (who are mapped in the low competence/low warmth quadrant; [33]). Moreover, because White people have been shown to elicit perceptions of high competence/high warmth reactions (compared to racial minority groups), this model [21] also proposed that racial and ethnic minority ex-offenders would be perceived to be less warm and less competent compared to their White counterparts [21]. Because this model regarding the central role of hiring managers’ perceptions of warmth and competence of ex-offender job applicants in hiring decisions was purely theoretical, it is important to empirically evaluate its tenets.

More recently, a newly emerging perspective and empirical evidence points to moral character as a third independent dimension of impression formation of people and groups (e.g., [3437]). Importantly, such a three-dimensional model is theorized to apply not just to perception and judgment of individuals, but that of social groups, such as social stereotypes [34]. Providing strong support for the addition of moral character as a unique third dimension, Brambilla and colleagues [36] showed that evaluations of an unfamiliar ethnic group were influenced more by ratings of the group’s moral traits than by ratings of its sociability/warmth or competence traits.

A prevalent perception of a criminal record is that it signals that a person is untrustworthy [38, 39]. In recent research [40], Mikkelson and Schweitzer manipulated incarceration status, length of incarceration, time since release from prison, and measured perception of morality and hiring decisions. As a result, perceived morality of the applicant mediated the relationship between incarceration status and hiring decisions, such that previously incarcerated applicants were perceived to be less moral, leading to lower likelihood of being hired [40]. Given this collection of previous research and theorizing, in the current work we explore whether perceptions of competence, warmth, and moral character could explain, at least partially, the intention to hire individuals with incarceration history (compared to their counterparts without) (Fig 1).

Fig 1. Conceptual model for effect of incarceration history and ethnicity on perceived hireability.

Fig 1

  • H3: The effect of the interaction between incarceration history and ethnicity on hireability ratings will be mediated by judgments of morality, sociability/warmth), and competence

Methods

All research design, materials, hypotheses, and planned analyses will be pre-registered prior to data collection. In accordance with open science practices, all measures, experimental conditions, data exclusions, and methods of determining sample size are reported below. Anonymized data will be made available at the time of publication in on online public repository (e.g., https://osf.io/).

Participants

We will recruit an online sample of workplace supervisors in the United States. G*Power 3.1 suggests collecting from 358 participants to achieve power of .80 at alpha of .05 for a linear multiple regression type model to detect small-to-medium effects (f2 = .05) with the number of predictors included in the model. We will recruit about 10% more in order to meet the target sample size of 358 after attrition and/or exclusion of data (e.g., based on manipulation checks). We will contract with CloudResearch to manage recruitment through Amazon Mechanical Turk using their CloudResearch Toolkit. We will establish quotas for this sample to better ensure representation of people involved in hiring decisions. Such quotas will approximate 74.9% women, 61.3% White Non-Hispanic, 11.9% Black, 6.16% Asian, 2.01% Mixed Ethnicity, 0.53% Native American, 18% Native Hawaiian or Pacific Islander, and an average age of 45 years. Our data collection will require that potential participants have an approval rating of 95% or more, and prospective participants whose past responses CloudResearch has designated as low-quality will be ineligible for the study. Each participant will be compensated $6 for the 30-min online experiment. We have obtained approval from the University of Washington Human Subjects Division (IRB) for all procedures in this research.

Design

This study will employ a 2 (incarceration history) x 4 (ethnicity: Asian, Black, Latinx, White) between-subjects randomized experimental design, with judgments of hireability as the dependent variable. We will control applicant gender, qualifications, and other characteristics by holding them constant across all conditions.

Materials

Participant instructions

We will provide participants with an overview of the study (see S1 Appendix) that describes the context of a simulated hiring process for a Human Resources Manager position and an overview of the materials they will be reviewing. We selected this position to enhance generalizability of past research to white-collar hiring. Participants will be instructed to approach the hiring decision-making process as they would in their job and to evaluate the applicant to the best of their ability even when information may be limited.

Job materials

We will manipulate job applicant ethnicity [Asian, Black, Latinx, or White] and prior incarceration history [previously incarcerated or not previously incarcerated] through the job application materials and highlights from a hiring assistant’s job interview with the applicant. The job materials [see Appendices B and C] will include an advertisement for the position, the candidate’s cover letter and resume, and highlights from a hiring assistant’s interview with the applicant. The job advertisement will be for a Human Resources Manager position and will include information about the position, its responsibilities and roles, and required as well as preferred qualifications. We adapted a job advertisement for a Human Resources Manager position at the authors’ university for use in this study to maximize ecological validity. The same job advertisement is used in all conditions.

The cover letter, resume, and interview will all include information about the candidate’s involvement in a staff association. We will manipulate the ethnicity of the applicant in these materials by using a stereotypical name (e.g., Kevin Ming Lee as a stereotypical Asian name), and through their staff association experiences (e.g., Chinese American Association). We use names that have been shown to be overwhelmingly perceived to signal each ethnicity (e.g., [41, 42]). For instance, in a previous study, the Black name Jamal was perceived as Black among more than 95% of respondents [42]. In a separate study, it was shown that when Hispanic first names were paired with Hispanic last names (as opposed to White last names), the individual was perceived as Hispanic more than 90% of the time [42]. However, to offset potential covariance of minoritized names with lower SES, we used an atypical White name of Kody, because atypical names are more likely to be given by mothers with lesser education [43]. We will manipulate incarceration history in these materials by including terms related to previous incarceration in their staff association experiences (e.g., Formerly Incarcerated Future Professionals Network) or not. The interview summary will also include information about a challenge the applicant overcame, which will speak to either their previous incarceration (incarceration history) or a different challenge in life (no incarceration history). We will further manipulate ethnicity and incarceration history by discussing challenges related to the candidate’s ethnicity and reintegration after prison (see interviews in S3 Appendix).

Person perception measures (morality, sociability/warmth, competence)

After viewing the application, participants will be asked to indicate on a 7-point scale, anchored by 1 (not at all) and 7 (very much), the extent to which each of the nine traits characterizes the job candidate they just read about (S4 Appendix). The measure is adapted from [44], with three morality traits (i.e., sincere, honest, trustworthy), three sociability/warmth traits (i.e., friendly, warm, likeable), and three competence traits (i.e., intelligent, competent, skillful). Traits will be presented in randomized order.

Perceived hireability

We will use the Hireability Scale [45] to assess the extent to which participants perceive applicants as hireable. This is a 4-question, 9-point Likert-type (1 = Not at All to 9 = Very Much) self-report instrument (S5 Appendix) with prompts such as, “How likely would you be willing to hire this candidate?” and “To what extent is this a top-notch candidate?” The scale was found to have high internal consistency (Cronbach’s alpha = .99) and high predictive validity, correlating with job candidate characteristics, in previous research [45].

Manipulation checks

We will assess the manipulation effectiveness by asking three multiple choice questions subsequent to measurement of the dependent variables (see S6 Appendix). The first question, “What ethnicity was the job applicant?,” will include four response options—“Asian”, “Black”, “Mexican”, “White”. The second question, “Has the job applicant been to prison or otherwise incarcerated?,” will include two response options—“No, the applicant has not been to prison or otherwise incarcerated” and “Yes, the applicant has been to prison or otherwise incarcerated.” Lastly, if participants indicate the applicant has been incarcerated, we will ask whether that incarceration occurred as a result of a blue or white collar crime. This exploratory question is meant to provide us with information regarding participants’ perception of type of crime, without us providing this information explicitly.

Demographic questionnaire

The final instrument participants will complete is the Demographic Questionnaire (see S7 Appendix). This includes open-ended and forced choice questions about the participant’s traits and characteristics. The open-ended questions will inquire about participants’ age, gender, ethnicity, and occupation, and personal experience of incarceration. The closed-ended questions will inquire about their annual income bracket, level of current and completed education, incarceration history, existing close relationships with incarcerated people.

Procedures

Recruitment

We will be using CloudResearch’s MTurk Toolkit to gather data through the Amazon MTurk online research platform. CloudResearch will be contracted to manage this recruitment, with our research team providing specifications for the sample. As noted in the sample description, we will establish quotas to ensure greater representation of the Human Resources Management field.

Informed consent

The link to our study directs prospective participants to an informed consent page on Qualtrics. This informed consent page will include an overview of the study, the purpose of the study, procedures participants can expect, risks involved with participation, benefits of participation, assurances of anonymity, a summary of how data will be used, and who to contact if participants have concerns or harms to report. We will include multiple choice questions about the study to help ensure comprehension of the information presented. Prospective participants will then sign the informed consent form digitally. Participants will not be able to advance past this page until five minutes have elapsed and they have answered each of these questions.

Job ad

Qualtrics will then direct consenting participants to the job ad for a Human Resources Manager position (see S2 Appendix). The job ad page will also include a set of questions about the position to help draw the participant’s attention to this information. These questions assess the participant’s recall about the position, its responsibilities and roles, and both required and preferred qualifications (see S2 Appendix). Participants will not be able to advance past this page until five minutes have elapsed and they have answered each of these questions.

Manipulation

Following informed consent, Qualtrics will randomly direct participants to the job application materials for one of the eight experimental conditions, (1) formerly incarcerated Asian applicant, (2) formerly incarcerated Black applicant, (3) formerly incarcerated Latinx applicant, (4) formerly incarcerated White applicant, (5) Asian applicant with no indication of incarceration history, (6) Black applicant with no indication of incarceration history, (7) Latinx applicant with no indication of incarceration history, White applicant with no indication of incarceration history. The application package (see S3 Appendix) includes a cover letter, a resume, and highlights from a hire assistant’s interview with the applicant. In addition to these job materials, the manipulation includes a set of questions about the applicant to help draw the participant’s attention to this information. These questions will assess participants’ recall about the candidate’s name, their level of education, the candidate’s years of experience in the role, the experiences the candidate has had, the candidate’s volunteer experiences, and why the candidate is interested in the position (see S3 Appendix). Participants will not be able to advance past these pages until five minutes have elapsed and they have answered each of these questions.

Data collection

Following the manipulation, Qualtrics will direct participants randomly to the dependent variable measures in randomized order—morality, sociability/warmth and competence, and hireability. After participants have completed all of the dependent variable measures, Qualtrics will direct them to a page with the three manipulation check questions (see S6 Appendix). Qualtrics will then direct participants to a page with demographic questions (see S7 Appendix). Lastly, Qualtrics will present those who complete the study with a final confirmation page that acknowledges their contributions to the research.

Planned analyses

We will first exclude data from participants who fail our attention and/or manipulation check from data analysis. It is hypothesized that a moderated-mediation relationship will exist whereby manipulating the incarceration history of the job applicant (X) will decrease participants’ perceived hireability (Y) especially for racial minority applicants (W–moderator) via multiple parallel mediators (Ms): competence, sociability/warmth, morality. All continuous variables will be mean centered, and nominal predictors will be dummy coded. We will use the PROCESS moderated mediation Model 8 [46], with Y = hireability rating; X = incarceration history; parallel Ms = competence, sociability/warmth, morality; W = ethnicity of job applicant (White, Black, Asian, Latinx).

Expected findings

Conditional direct and indirect effects will be examined using PROCESS Model 8 [46] with incarceration history as the primary independent variable (x); ethnicity of job applicant (White, Black, Asian, Latinx) as the moderator (w); competence, sociability/warmth, and morality as parallel mediators; and hireability as the dependent (y). All indirect effects will be computed for each of 10,000 bootstrapped samples and will be considered significant if their 95% confidence intervals do not include zero, as these bootstrapped effects do not produce exact p values.

We expect that the overall model would predict a significant percentage of the variance in hireability ratings. Of the individual predictors, if Hypothesis #1 and #2 are supported, we expect to see that incarceration history and the incarceration history x applicant ethnicity interaction will all predict significant unique variance in hireability ratings. Specifically, we expect that applicants with incarceration history will receive lower hireability ratings.

If our Hypotheses #3 is supported, we also expect that the incarceration history x applicant ethnicity interaction would have significant indirect effects on hireability ratings through all mediators (competence, sociability/warmth, and morality). We expect that increased feelings of competence, sociability/warmth, and morality should all predict higher levels of hireability ratings.

Discussion

This study addresses a pressing social issue in the United States—the collateral consequences of unemployment after incarceration. Such unemployment is estimated to be five times that of people who have not been incarcerated [5]. The current study seeks to better understand the mechanisms for the unemployment collateral consequence and its disparate impact on people of color. Prior inquiry into this topic suggests that job applicants with criminal records are viewed more negatively than those without such records [6], and that this effect may be more pronounced for non-White applicants [10]. Previous research further suggests some potential mechanisms for the hireability bias such as perceptions of formerly incarcerated applicants as less moral (e.g., [40]). However, research examining the psychological mechanisms underlying the hireability bias for formerly incarcerated individuals are still scant, although we have outlined theoretical support for other mechanisms such as warmth and competence judgments [21]. Given this body of literature, we developed the following four hypotheses.

  • H1: Incarceration history will have a direct effect on perception of hireability.

  • H2: The interaction between incarceration history and ethnicity will have a direct effect on hireability ratings.

  • H3: The effect of the interaction between incarceration history and ethnicity on hireability ratings will be partially mediated by judgments of morality, sociability/warmth, and competence

To test these hypotheses, we will be conducting an online 2 (incarceration history) x 4 (ethnicity: Asian, Black, Latinx, White) between-subjects randomized posttest-only experiment with 358 workplace supervisors in the United States. Recruitment and data collection will be managed by CloudResearch through Their Toolkit for Amazon Mechanical Turk. We will present participants with a fictitious job ad as well as accompanying materials from a fictitious applicant, with the applicants’ incarceration history and ethnicity manipulated through stereotypical names, organizational affiliations, and explanations of gaps in work history. We will then assess our dependent variables of perceived hireability as well as potential mediators such as morality, sociability/warmth, and competence. We will analyze a moderated mediation model to examine whether incarceration history has an effect on perceived hireability, whether there is an interaction between incarceration history and ethnicity, and whether morality, sociability/warmth, and competence partially mediate this effect. We expect to find a main effect for incarceration history, and interaction with ethnicity, and partial mediation through the aforementioned factors.

The limitations of our design primarily center on external validity. Although our position is one of a Human Resource Manager, our participants will likely hold a variety of management roles rather than the more specific HR Director role that would typically oversee hiring of this position. However, given our limited access to HR Directors, we are not able to circumvent this limitation. Similarly, we are not randomly sampling from the complete population of HR Directors, because we do not have access to a complete database of said directors. Given the roles of our participants and the lack of random sampling, our results are not likely to fully generalize to the population of HR Directors. Additionally, our manipulation and participants’ perceptions of candidates are occurring through a simulated situation. Specifically, we recognize that real-life hiring situations often involve interactions with the candidates (e.g., interviews), comparing certain candidates with others applying for the same position, and may come with more consequential decision making processes. Such features of our simulated hiring setting may limit the generalizability of our findings. However, despite such limitations, the current experimental design offers us the opportunity to closely control the manipulations and allows us to make stronger arguments regarding the causal nature of the relationships we are examining in our model. Similarly, we expect random assignment to conditions will control extraneous participant variables such as participant attitudes and beliefs, prior exposure to formerly incarcerated people, exposure to people of different ethnicities, and tendency to respond in socially desirable ways.

Significance and conclusions

Despite these limitations, we expect findings to advance the field’s understanding about the effect of incarceration history and ethnicity on the hiring process. In particular, we expect this research will foster a greater understanding about psychological mechanisms for biases in such hiring. Although some empirical evidence of bias exists, currently such psychological mechanisms are not well understood. We believe a better understanding of such mechanisms will facilitate the development of interventions to prevent and/or reduce such bias. However, further research may be needed to better understand the ways in which people develop these perceptions and ways to alter them. We also expect that future research will be able to use these findings to support investigations of other mechanisms as well as whether such mechanisms are dependent on the types of crimes people have been convicted of.

Supporting information

S1 Appendix. Participant instructions.

(DOCX)

S2 Appendix. Job ad.

(DOCX)

S3 Appendix. Job applicant materials.

(DOCX)

S4 Appendix. Measures of morality, sociability/warmth, and competence.

(DOCX)

S5 Appendix. Measure of perceived hireability and hiring decision.

(DOCX)

S6 Appendix. Manipulation check questions.

(DOCX)

S7 Appendix. Demographic survey.

(DOCX)

Data Availability

All research design, materials, hypotheses, and planned analyses will be pre-registered prior to data collection. In accordance with open science practices, all measures, experimental conditions, data exclusions, and methods of determining sample size are reported below. Anonymized data will be made available at the time of publication in on online public repository (e.g., https://osf.io/).

Funding Statement

Funded by University of Washington Tacoma School of Interdisciplinary Arts and Sciences The funders had and will not have a role in study design, data collection and analysis, decision to publish, or preparation of the manuscript.

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Decision Letter 0

Andrea Knittel

2 May 2022

PONE-D-22-02329Incarceration History and Ethnic Bias in Hiring Perceptions: An Experimental Test of Intersectional Bias & Psychological MechanismsPLOS ONE

Dear Dr. Beasley,

Thank you for submitting your manuscript to PLOS ONE. After careful consideration, we feel that it has merit but does not fully meet PLOS ONE’s publication criteria as it currently stands. Therefore, we invite you to submit a revised version of the manuscript that addresses the points raised during the review process. You should be pleased to note how enthusiastic the reviewers and I were to read this protocol. Revision to include the suggestions from the reviewers will strengthen the protocol as written and also prepare the study team for eventual publication of the study findings.

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PLOS ONE

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[Note: HTML markup is below. Please do not edit.]

Reviewers' comments:

Reviewer's Responses to Questions

Comments to the Author

1. Does the manuscript provide a valid rationale for the proposed study, with clearly identified and justified research questions?

The research question outlined is expected to address a valid academic problem or topic and contribute to the base of knowledge in the field.

Reviewer #1: Partly

Reviewer #2: Yes

**********

2. Is the protocol technically sound and planned in a manner that will lead to a meaningful outcome and allow testing the stated hypotheses?

The manuscript should describe the methods in sufficient detail to prevent undisclosed flexibility in the experimental procedure or analysis pipeline, including sufficient outcome-neutral conditions (e.g. necessary controls, absence of floor or ceiling effects) to test the proposed hypotheses and a statistical power analysis where applicable. As there may be aspects of the methodology and analysis which can only be refined once the work is undertaken, authors should outline potential assumptions and explicitly describe what aspects of the proposed analyses, if any, are exploratory.

Reviewer #1: Yes

Reviewer #2: Partly

**********

3. Is the methodology feasible and described in sufficient detail to allow the work to be replicable?

Reviewer #1: Yes

Reviewer #2: Yes

**********

4. Have the authors described where all data underlying the findings will be made available when the study is complete?

The PLOS Data policy requires authors to make all data underlying the findings described in their manuscript fully available without restriction, with rare exception, at the time of publication. The data should be provided as part of the manuscript or its supporting information, or deposited to a public repository. For example, in addition to summary statistics, the data points behind means, medians and variance measures should be available. If there are restrictions on publicly sharing data—e.g. participant privacy or use of data from a third party—those must be specified.

Reviewer #1: No

Reviewer #2: No

**********

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PLOS ONE does not copyedit accepted manuscripts, so the language in submitted articles must be clear, correct, and unambiguous. Any typographical or grammatical errors should be corrected at revision, so please note any specific errors here.

Reviewer #1: Yes

Reviewer #2: Yes

**********

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Please use the space provided to explain your answers to the questions above and, if applicable, provide comments about issues authors must address before this protocol can be accepted for publication. You may also include additional comments for the author, including concerns about research or publication ethics.

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(Please upload your review as an attachment if it exceeds 20,000 characters)

Reviewer #1: Overall Comments:

- The authors have chosen a timely and important topic of focus. I suggest that the purpose of the paper be more explicitly aligned with the model that is presented. Further, the paper is structures in a clear and articulate way however, there is limited literature for each of the categories and I suggest the authors expand here. The literature requires to be woven together further rather than step by step overview of a few selected studied per category. The study generally requires further rooting in the existing literature. There are grammatical errors through, the authors are encouraged to carefully edit the document. It is noted that the data will be made available, however it is not clear where.

Review:

- need further context as it pertains to employment outcomes and experiences for formerly incarcerated persons (i.e., exploitation in employment, underemployment, industries that do hire vs those that don’t, etc.)

- the authors mention that the intention of the study is to “better the mechanisms r the unemployment collateral consequence understand and its disparate impact on people of color”; if the outcomes were related to impact on people of colour then how come the focus is on hiring manager decision making? If this was the case, wouldn’t formerly incarcerated people of colour be the population and sample of focus for the study? Instead, this study seems to point to employer decision making and perhaps what factors might impact their hiring decisions, that in turn may better help to explain employment outcomes for persons, instead, impact is suggestive of an internal effect and would require the perspectives of the persons of interest.

- The authors note that “employer screenings of such [criminal records] have become increasingly widespread”, there are other contributing factors – availability of record through media and internet search, and especially in the U.S. seeking information through various sources – this context is missing.

- The literature supporting hypothesis 1 is quite limited. For example how about scholarship which points to employer willingness to hire (e.g. SHRM & Chalres Koch Institure, 2018)

- Each study is described separately in the literature review, I suggest writing this cohesively and demonstrating how the results and findings from each relates to the other in some way.

- limited literature referenced for intersectionality. I would like to see more here. This is relevant but the leap from how this is currently conceptualized to how it will be approached with this population is much too big. The authors need to close this gap, perhaps with further literature and/or theorizing.

- Limited explanation of the warm and competence model, expand

- The authors cite “Goodwin et al., 2041” – please correct this with the correct citation

- Warmth, Morality, sociability, competence are not clearly delineated as distinct constructs. Sociability is not clearly conceptualized.

- Under participants, the authors mention that they will recruit? The language throughout this section references what the authors will do? Is this what was done? Rephrasing may be required.

- Is Latinx synonymous with Chicanx? The terms seem to be used interchangeably. Please explain or use one term for consistency.

- Is there a reason for focusing on human resource managers when the outcome is hiring? How about expanding to hiring managers in general?

Reviewer #2: The authors are proposing to carry out a much-needed study about the mechanisms underlying discriminatory processes in hiring by race/ethnicity and incarceration history. We know stark disparities exist in employment/hireability by both of these characteristics, but we know much less about why. My comments are meant to strengthen the proposed design and connect these authors to criminological and sociological work that might bolster the contribution of this study. My comments are as follows: (see attachment)

**********

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Reviewer #1: No

Reviewer #2: No

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Attachment

Submitted filename: PLOS ONE Review.docx

PLoS One. 2023 Jan 17;18(1):e0280397. doi: 10.1371/journal.pone.0280397.r002

Author response to Decision Letter 0


25 Oct 2022

COMMENTS BELOW ARE ALSO UPLOADED AS A FORMATTED DOCUMENT

Dear Editor Andrea Knittel,

We are grateful for the opportunity to revise and resubmit our manuscript “Incarceration Hias & Psychological Mechanism” to PLOS ONE. We were pleased to hear that the reviewers commented on the research “a much-needed study about the mechanisms underlying discriminatory processes in hiring by race/ethnicity and incarceration history”, on a “a timely and important topic”, and our manuscript “structures in a clear and articulate way”.

We found the thoughtful and generous suggestions by you and the two reviewers to be very helpful as we revised our manuscript. We believe the revised manuscript is much stronger thanks to the feedback. We outline how we incorporated the suggestions and addressed the concerns below.

Major concerns/suggestions

Reviewer 1 pointed out they’d like to see us providing more context demonstrating the (un)employment consequences of incarceration, and support for Hypothesis #1.

We are grateful for Reviewer 1 for this general suggestion. We have revisited this part of our introduction, and have enriched the context leading up to Hypothesis #1. For instance, on Page 4, we have cited further - and recent - research (also thanks to suggestions from Reviewer #2) demonstrating unemployment consequences of incarceration history (e.g., Reich, 2007; DeWitt & Denver, 2020). Importantly, research mostly converged to demonstrate a clear employment disadvantage for individuals with incarceration history, despite the different contexts, jobs, candidate race manipulations, etc. examined in each research study cited here.

Review 1 points out that they would like to see us elaborate on the section on intersectionality.

In the revised manuscript, we have now added more substance (such as on Pages 9-10), while also pointing out that there has been little to none theoretical or empirical work regarding intersectionality between race and incarceration history. For this reason, we drew from the gendered race theoretical perspective as a general framework for making predictions regarding how race and incarceration history could interact to inform hiring decisions.

Review 1 asked for more clarification and delineation of the “warmth, competence, morality, sociability” constructs.

We appreciate Review 1 pointing out that in our original manuscript, we were using “warmth” and “sociability” interchangeably to refer to the same dimension of social perception. This is mostly because of the inconsistency of terminology in previous literature - the same dimension has been referred to by both/either terms (for instance, “warmth” in Young & Powell, 2015, and “sociability” in Brambilla et al., 2011).

In the revised manuscript, we make it clear that the warmth/sociability dimension is one of the three dimensions of person perception. We have changed the language throughout the manuscript to be consistent and clear.

Reviewer 2 pointed out that the justification of “intergroup threat” was thin in the original manuscript, and suggested focusing on “perceived risk for liability and safety reasons”. Here Reviewer #2 also suggested additional research.

First of all, we are grateful for Reviewer 2’s suggestions of additional literature to enrich our literature review and introduction in general. We have consulted the suggested research, and have incorporated them into our narrative. For instance, we found that incorporating Reich (2017) helped us strengthen the background discussion on the effect of incarceration history on willingness to employ, which also addresses Reviewer 1’s suggestion (explained above) of enriching the literature on this relationship (incarceration history and employment outcomes).

In addition, we also incorporated recent work from DeWitt & Denver (2020), as suggested by Reviewer #2. Specifically, on Page 6, we have added: “Most recently, DeWitt & Denver (2020) found that while job applicants with an incarceration history were viewed more negatively in the hiring context, race (Black or White) did not moderate such an effect. Importantly, DeWitt & Denver (2020) posited several possible reasons for the null effect of race, such as their survey methodology, or the possibility that certain social categories could dominate our perception when encountering multiple intersectional social categories (DeWitt & Denver, 2020).”

Moreover, we believe that the inclusion of this work also helps add to comment #2 above (from Reviewer 1) concerning intersectionality. On Page 9, we added further clarification regarding this point “It is also possible, as DeWitt & Denver (2020) pointed out in their writing, that certain social categories could dominate our perception when encountering multiple intersectional social categories. For instance, Rattan and colleagues (2019) found that evaluation of job candidates depended on which social category was more salient in the given context, even when the job candidates were perceived to belong to multiple social categories. In a stereotypically male and stereotypically Asian employment context, participants rated an Asian American female applicant as more hirable when her race, rather than gender, was made salient (Rattan et al., 2019).”

In considering our research in light of the comments from reviewers and additional literature we’ve reviewed during revision, we’ve now eliminated the measures of perceived threat (reflected on Page 14 as well as in our hypotheses, model and power estimates). Our prior conceptualization of threat emphasized interpersonal threat, which may be less relevant for professional positions and hiring decisions made by people who may not personally interact with the job candidate. This will also allow us to better focus on the core person perception and theory we plan to test.

In addition, we also had extensive discussion on the role of perceived risk for liability and safety reasons, and consulted the additional literature suggested by Reviewer 2. While we agree that perceived risk for liability and safety could play a role in hiring individuals with incarceration history, we eventually decided that such measures would not be the best fit in the current study. Because our participants are instructed to put themselves in the position of a hiring manager evaluating the quality and fit of the job application, and not in the position of HR personnel who are typically responsible for the legal aspects of hiring. For this reason, we don’t think perceived risk for liability and safety is of central concern in this specific context.

Reviewer #2 asked for more justification for our name selections.

First of all, we agree with the Reviewer’s point about using an “Americanized” first name for our Asian job candidate, so that it does not introduce the possible confound of activating the stereotype regarding English fluency. While it is unfortunate and probably unavoidable that an Asian name (even Americanized first name with an Asian last name) would activate foreigner stereotypes (and relatedly, stereotypes regarding English fluency), we agree that using an Americanized first name (e.g., Kevin) would help temper this possible confound. In addition, we appreciate the additional source that Reviewer #2 shared (Gladdis, 2017). While we agree and fully recognize that different Black names may signify different levels of socioeconomic class, we must prioritize a strong manipulation of ethnicity. Of course, as Gladdis (2017) points out, the more Black stereotypical names tend to be perceived to belong to lower SES, and we recognize that this may be a limitation of the current study. To provide further justification and clarification along these lines, on Page 14, , we added “​​For instance, in a previous study, the Black name Jamal was perceived as black among more than 95% of respondents (Gladdis, 2017a). In a separate study, it was shown that when Hispanic first names were combined with Hispanic last names (as opposed to Anglo last names), the individual was perceived as Hispanic more than 90% of the time (Gladdis, 2017b).”

We also now make an effort to address Reviewer 2’s comment regarding perceived SES of the names. For instance, on Page 14, we add: “However, to offset potential covariance of minoritized names with lower SES, we used an atypical White name of Kody, because atypical names are more likely to be given by mothers with lesser education (Barlow & Lahey, 2018).”

Before we conduct the study, we would pilot our chosen names to make sure that the vast majority of participants would attribute the ethnicity correctly according to our intended manipulation. Moreover, we think that social class signal is quite interesting in this context, and would love to explore this factor further in follow up work. We have now added some clarification in our manuscript, and have pointed out this limitation in the Discussion section.

Minor concerns/suggestions:

Reviewer #1 pointed out that by manipulating incarceration through signaling the applicant as the founder and president of an organization for formerly incarcerated people, it is possible that this would make the results potentially more conservative. We agree with the reviewer’s comment in that being the founder and president of such an organization, in addition to manipulating incarceration status, could have possibly also signaled positive characteristics (especially in morality, competence, warmth, etc.). Therefore, we’ve changed this manipulation to member and Secretary of the organization. This change is reflected in the revised manuscript.

Reviewer #1 asked for clarification about the framing of the study’s overall aims, which were previously indicated as better understanding mechanisms of the unemployment collateral consequence and its disparate impact on people of color. We revised our aim to emphasize the psychological mechanisms we’re interested in. This aim now reads “Although past research has examined main and interactive effects of criminal history and ethnicity on biased hiring outcomes, little is known about the psychological mechanisms through which these biases may occur. Therefore, the current study seeks to better understand the psychological mechanisms for the unemployment collateral consequence.”

Review #1 suggested that we use either Latinx or Chicanx throughout the manuscript for consistency and to avoid confusion. We agree with this point and now refer to this level of our ethnicity manipulation “Latinx”.

Reviewer #1 asked about our reasoning for focusing on human resource managers. To clarify, we are recruiting individuals who are in the position to hire (e.g., hiring managers), and NOT specifically HR managers. We have added clarifications in the manuscript as well (Page 13).

Reviewer #1 also asked about our reasoning for choosing this particular job posting. Here we’d like to clarify that we had intended to use a white collar job, which adds to the literature on hireability of previously incarcerated individuals focusing primarily on blue collar jobs. We also planned to use an entry level position, in order to allow room for variability among hireability judgments. Lastly, we adapted a job ad from a similar position at our university to increase ecological validity. We added clarifications in our manuscript (Page 14).

Reviewer #2 suggested adding additional questions to Appendix M about the size of respondents’ departments/units in which they were hiring managers and the number of years they’ve been in these roles. We have added two questions to the Demographic Survey for the size of respondents’ departments/units as well as the number of years they have been in a role in which they hire other employees.

Reviewers #1 and #2 indicated a lack of description for data access. We added a paragraph at the beginning of the methods section describing pre-registration and access to data.

We thank you and the two reviewers for the valuable suggestions that have improved the manuscript. Naturally, we have also re-read and edited the entire paper to make additional improvements, fixed some typos. streamlined the paper after making the suggested changes, and edited formatting to adhere to the publication guidelines of the journal. We believe the paper is much stronger than our initial submission and hope it is ready for publication.

Sincerely,

Christopher Beasley, Ph.D. Y. Jenny Xiao, Ph.D.

University of Washington, Tacoma University of Washington, Tacoma

Attachment

Submitted filename: R1 Rebuttal Letter.pdf

Decision Letter 1

Andrea Knittel

28 Dec 2022

Incarceration History and Ethnic Bias in Hiring Perceptions: An Experimental Test of Intersectional Bias & Psychological Mechanisms

PONE-D-22-02329R1

Dear Dr. Beasley,

We’re pleased to inform you that your manuscript has been judged scientifically suitable for publication and will be formally accepted for publication once it meets all outstanding technical requirements.

Within one week, you’ll receive an e-mail detailing the required amendments. When these have been addressed, you’ll receive a formal acceptance letter and your manuscript will be scheduled for publication.

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If your institution or institutions have a press office, please notify them about your upcoming paper to help maximize its impact. If they’ll be preparing press materials, please inform our press team as soon as possible -- no later than 48 hours after receiving the formal acceptance. Your manuscript will remain under strict press embargo until 2 pm Eastern Time on the date of publication. For more information, please contact onepress@plos.org.

Kind regards,

Andrea Knittel

Academic Editor

PLOS ONE

Additional Editor Comments (optional):

Reviewers' comments:

Reviewer's Responses to Questions

Comments to the Author

1. Does the manuscript provide a valid rationale for the proposed study, with clearly identified and justified research questions?

The research question outlined is expected to address a valid academic problem or topic and contribute to the base of knowledge in the field.

Reviewer #2: Yes

**********

2. Is the protocol technically sound and planned in a manner that will lead to a meaningful outcome and allow testing the stated hypotheses?

The manuscript should describe the methods in sufficient detail to prevent undisclosed flexibility in the experimental procedure or analysis pipeline, including sufficient outcome-neutral conditions (e.g. necessary controls, absence of floor or ceiling effects) to test the proposed hypotheses and a statistical power analysis where applicable. As there may be aspects of the methodology and analysis which can only be refined once the work is undertaken, authors should outline potential assumptions and explicitly describe what aspects of the proposed analyses, if any, are exploratory.

Reviewer #2: Yes

**********

3. Is the methodology feasible and described in sufficient detail to allow the work to be replicable?

Reviewer #2: Yes

**********

4. Have the authors described where all data underlying the findings will be made available when the study is complete?

The PLOS Data policy requires authors to make all data underlying the findings described in their manuscript fully available without restriction, with rare exception, at the time of publication. The data should be provided as part of the manuscript or its supporting information, or deposited to a public repository. For example, in addition to summary statistics, the data points behind means, medians and variance measures should be available. If there are restrictions on publicly sharing data—e.g. participant privacy or use of data from a third party—those must be specified.

Reviewer #2: Yes

**********

5. Is the manuscript presented in an intelligible fashion and written in standard English?

PLOS ONE does not copyedit accepted manuscripts, so the language in submitted articles must be clear, correct, and unambiguous. Any typographical or grammatical errors should be corrected at revision, so please note any specific errors here.

Reviewer #2: Yes

**********

6. Review Comments to the Author

Please use the space provided to explain your answers to the questions above and, if applicable, provide comments about issues authors must address before this protocol can be accepted for publication. You may also include additional comments for the author, including concerns about research or publication ethics.

You may also provide optional suggestions and comments to authors that they might find helpful in planning their study.

(Please upload your review as an attachment if it exceeds 20,000 characters)

Reviewer #2: The authors have adequately addressed and incorporated all feedback.

**********

7. PLOS authors have the option to publish the peer review history of their article (what does this mean?). If published, this will include your full peer review and any attached files.

If you choose “no”, your identity will remain anonymous but your review may still be made public.

Do you want your identity to be public for this peer review? For information about this choice, including consent withdrawal, please see our Privacy Policy.

Reviewer #2: No

**********

Acceptance letter

Andrea Knittel

6 Jan 2023

PONE-D-22-02329R1

Incarceration History and Ethnic Bias in Hiring Perceptions: An Experimental Test of Intersectional Bias & Psychological Mechanisms

Dear Dr. Beasley:

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Thank you for submitting your work to PLOS ONE and supporting open access.

Kind regards,

PLOS ONE Editorial Office Staff

on behalf of

Dr. Andrea Knittel

Academic Editor

PLOS ONE

Associated Data

    This section collects any data citations, data availability statements, or supplementary materials included in this article.

    Supplementary Materials

    S1 Appendix. Participant instructions.

    (DOCX)

    S2 Appendix. Job ad.

    (DOCX)

    S3 Appendix. Job applicant materials.

    (DOCX)

    S4 Appendix. Measures of morality, sociability/warmth, and competence.

    (DOCX)

    S5 Appendix. Measure of perceived hireability and hiring decision.

    (DOCX)

    S6 Appendix. Manipulation check questions.

    (DOCX)

    S7 Appendix. Demographic survey.

    (DOCX)

    Attachment

    Submitted filename: PLOS ONE Review.docx

    Attachment

    Submitted filename: R1 Rebuttal Letter.pdf

    Data Availability Statement

    All research design, materials, hypotheses, and planned analyses will be pre-registered prior to data collection. In accordance with open science practices, all measures, experimental conditions, data exclusions, and methods of determining sample size are reported below. Anonymized data will be made available at the time of publication in on online public repository (e.g., https://osf.io/).


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