Assessing the Effectiveness of Correctional Sanctions

Objectives

Despite the dramatic expansion of the US correctional system in recent decades, little is known about the relative effectiveness of commonly used sanctions on recidivism. The goal of this paper is to address this research gap, and systematically examine the relative impacts on recidivism of four main types of sanctions: probation, intensive probation, jail, and prison.

Methods

Data on convicted felons in Florida were analyzed and propensity score matching analyses were used to estimate relative effects of each sanction type on 3-year reconviction rates.

Results

Estimated effects suggest that less severe sanctions are more likely to reduce recidivism.

Conclusions

The findings raise questions about the effectiveness of tougher sanctioning policies for reducing future criminal behavior. Implications for future research, theory, and policy are also discussed.     

The judicial response to crime and the criminal: A utilitarian perspective

This paper examines the hypothesis that the sentencing decision of the criminal court is consistent with utilitarian principles and that the judiciary uses the length of incarceration as an instrument for the maximization of societal well-being. A theoretical model is developed, whose principal arguments are offender and offense attributes, resource costs, the availability of alternative sanctions, and the general crime rate. Four questions are considered: (i) How does a utilitarian court respond to a general increase in crime? (ii) How does the availability of alternative sanctions affect the length of incarceration ? (iii) How does a utilitarian court respond to offenders who are more likely to recidivate? (iv) How does the court respond to offenders who commit more serious offenses? The model is empirically evaluated, using cross-sectional data for the state of Georgia for individuals sentenced to prison in 1978 for a UCR index offense. The theoretical model provides few specific behavioral rules for the court to follow. Answers to the foregoing four questions are shown to depend upon both the efficacy of sanctions and the cost of the administration of those sanctions. It is not possible to predict, for example, how a utilitarian court should respond to a rise in crime or how it should respond to offenders who are likely to commit more serious offenses. The empirical analysis shows that, in fact, the sentence length varied inversely with the general offense rate, with the likelihood of imprisonment, and with the length of postprison probation. The evidence also indicates that sentences vary with the individual's original record but not with the offender's age or race. With the exception of possible gender bias, the court's sentencing behavior was consistent with utilitarian principles.     

Costs of Alternative Sanctions in Hungary

ABSTRACT. The author calculated the specific costs of executing probation and community service orders. In addition, she attempted to design indicators that help determine the amount of effort probation officers make to perform their duties. In Hungary, the probation service is under the supervision of the judicial system; therefore, it does not have a separate budget. The author calculated the costs of alternative sanctions in multiple steps. The study found that in 1997 the costs of performing probation orders amounted to HUF 10,645 (± 47 Euro) per case per year whereas those of performing community service totalled HUF 13,395 (± 60 Euro). The analysis established that fines imposed are collected and utilised by the courts themselves. This implies a risk, namely, that judicial sanctioning practice may be determined not only by penal law but also by financial considerations. The author claims that this casts a different light on the recent punishment practice under which imprisonment (and its non-suspended form, in particular) has been increasingly replaced by fines rather than community sanctions.     

THE POWER OF DIVERSION: INTERMEDIATE SANCTIONS AND SENTENCING DISPARITY UNDER PRESUMPTIVE GUIDELINES*

Fiscal constraints and shifting political climates in corrections have recently led to a renewed interest in intermediate punishments. Despite their growing prevalence, though, relatively little empirical research has examined the judicial use of alternative sanctions as a sentencing option. By using 3 years of data from the Pennsylvania Commission on Sentencing (PCS), this study investigates little‐researched questions regarding the use of sentencing alternatives among offenders and across contexts. Results indicate that male and minority offenders are the least likely to receive intermediate sanctions, both as a diversionary jail or prison sentence and as a substitute for probation. The probability of receiving an intermediate sanction also varies significantly across judges and court contexts and is related to county‐level funding for these programs, among other factors. Findings are discussed as they relate to contemporary theoretical perspectives on the perceived suitability of intermediate punishments and on the unique role that offender agency plays in the sentencing of these cases. Directions for future research are discussed.     

A comparison of punishment exchange rates between offenders under supervision and their supervising officers

Previous research revealed gender and racial differences in offender preferences for prison compared to alternative sanctions, in the amount of an alternative sanction offenders would serve to avoid prison, and in the severity ranking of criminal sanctions. Nevertheless, opinions of officers who supervised those clients have all but been ignored. In this study, this literature was extended by comparing perceptions of Kentucky probation and parole officers regarding the amount of alternative sanctions that offenders would serve to avoid one year of imprisonment to perceptions of the offenders whom they supervised regarding the same topic. Based on analysis of data from an electronic survey of approximately 230 probation and parole officers and approximately 600 probationers and parolees, results suggested that there were significant differences in “exchange rates” of officers when compared to those of offenders. Justifications for these findings and their implications for correctional policy and practice are discussed.     

A Comparison of Female and Male Probationers

Abstract

A majority of women convicted of crimes are sentenced to probation. Although proportionately more women than men receive probation, little is known about female probationers. The current study is one of the few to compare the backgrounds and case outcomes of women probationers with those of men. Statewide probation discharge data were used to examine differences between male and female probationers on their individual characteristics, offense and sentencing variables, and case outcomes and to explore the effect of gender on case outcomes. A number of gender differences were identified across the probationer, sentencing and case outcome variables examined. In addition, gender had a statistically significant influence on both new arrests and technical violations, after controlling for other variables such as age, race, income, prior involvement in the criminal justice system, conviction offense and sentence length.     

Convicting and incarcerating felony offenders of intimate assault and the odds of new assault charges

The effectiveness of harsher sanctions for domestic violence offenders is an important topic given legislative trends in “getting tough” with these offenders. This article takes a rare look at felony domestic violence, specifically felony assaults on female intimates, with an analysis of whether conviction, jail, and imprisonment are related to the odds of subsequent charges among 353 male defendants from twenty-four Ohio trial courts of general jurisdiction. Each defendant was followed up for two years after his original case was closed and his sentence (if any) was served. Conviction and jail sentences were both related to significantly lower likelihoods of recharging for intimate assault, but prison sentences were not related to these odds. These findings are discussed in relation to the potential importance of reducing short-term opportunities for violence in order to prevent future harm.     

Dissecting White-Collar Crime: Offense Type and Punitiveness

It is commonly asserted that the public is indifferent toward white-collar crime and hence is reluctant to “get tough” with more “respectable” criminals. However, such a contention fails to consider that there are many varieties of upperworld criminality and that the punitiveness of the public may differ markedly according to the type of offense involved. Based on a 1981 survey conducted in Galesburg, Illinois, we have attempted to investigate whether the criminal sanctions prescribed by citizens will vary when the broad category of white-collar crime is “dissected” into its component types. The data suggest that (1) there is considerable variation in punitiveness by type of offense; (2) while street crimes are generally given the harshest sentences, violent forms of white-collar illegality are accorded severe sanctions that exceed those meted out for some F.B.I, crimes; and (3) there is little support for the notion that the public responds leniently to upperworld crime.     

Successful Restitution as a Predictor of Juvenile Recidivism

Abstract This is an evaluative study of a juvenile probationary project in which youth are ordered to pay restitution as a term of probation and, to assure them means of compliance, the juvenile court arranges for and supplies their employment. Demographic variables (age and sex) and court-related variables (plea, length of probation, amount of restitution ordered, and amount and proportion actually paid) are examined in relation to one another and, most important, in relation to recidivism as measured by subsequent law violations for which the offender was investigated, and subsequent law violations that resulted in formal charges against the youth. The data demonstrate that recidivism is related to severity of the initial offense, but more important, it is related to the youth's success in achieving the restitution goal. Successful compliance with the restitution order, when success is measured by amount of restitution paid relative to the amount ordered by the court, is significantly related to revocation of probation, time given to pay, amount ordered to be paid, and subsequent offenses charged. Indeed, the proportion of restitution paid is the most important predictor of recidivism. The data reinforce the dominant legislative position that an offender's ability to pay must be taken into account in ordering restitution.     

CRIMINAL CHARGE OR PROBATION VIOLATION? PROSECUTORIAL DISCRETION AND IMPLICATIONS FOR RESEARCH IN CRIMINAL COURT PROCESSING*

Feeney et al. (1983) observe that arrests not resulting in convictions may nonetheless receive substantial punishment through reliance on alternative, less formal, means of imposing sanctions. Utilizing a sample of 1427 domestic violence cases supplemented by interviews with prosecutors, we analyze this phenomenon. We conclude that the majority of cases disposed by such means originate as new criminal charges, which are then rejected or dismissed in favor of resolution through use of the prosecutor's power to initiate probation violation hearings. In almost all instances, these cases result in a jail or prison sentence, underlining that outcomes such as “rejection” and “dismissal” are not synonymous with case termination. Failure to appreciate this distinction can lead to serious measurement error.     

Prescriptions for punishment: Official ideologies and jall overcrowding

This study assesses key actors’ “worlds of fact” regarding jail overcrowding in California through an examination of their perceptions of causes and effects, support for different solutions, and adherence to major punishment ideologies. How policymakers define and structure a specific problem Gail overcrowding), can influence how policy options are differentially weighed as well as how existing policy processes can be improved. A mail survey was sent to two key decision making groups who largely regulate the intake and outflow of local jails: sheriffs and chief probation officers of the 58 California counties. Group differences in responses were predicted from the perspectives of blame avoidance, domain dissensus, and punishment theory. Relationships were examined among perceived causes, effects, solutions, and punishment ideologies. While both sheriffs and probation chiefs advocated highly similar “control-oriented” punishment ideologies, probation chiefs advocated more “progressive” solutions to jail overcrowding. Perceived causes and effects of jail overcrowding, along with support for deterrence ideology, were strongly related to elite support for three potential solutions: building more institutions, passing tougher laws to deter potential offenders, and using shorter sentences for low-risk offenders. Implications of these results for understanding jail overcrowding and policy processes are discussed.     

Probation Philosophies and Workload Considerations

Researchers have devoted a great deal of attention to understanding the punishment attitudes of different groups. Much of this research has focused on punishment attitudes of members of the public, while a few studies have considered how criminal justice officials perceive different sanctions. This study explores the justifications of probation rated by a sample of probation and parole officers. Attention is given to whether justifications are tied to the way officers rated the importance of different tasks as well as how much time officers reported their agencies devoting to different types of probation and parole activities. The results show some inconsistencies between justifications and work preferences/work activities. Implications are provided.     

RESPONSES OF THE CRIMINAL JUSTICE SYSTEM TO LEGISLATION PROVIDING MORE SEVERE THREATENED SANCTIONS

In 1971, the Tennessee legislature enacted legislation providing for mandatory jail sentences and driver's license revocations for anyone convicted of driving while intoxicated. This new law had no demonstrable impact on the highway traffic fatalities rate-the intended objective. This paper explores the reasons for this apparent lack of impact. Data suggest that, while there was some increase in the severity of sanctions imposed on drunken drivers, there was still a consistent tendency to suspend the jail sentences and grant drivers restricted driving privileges. Nor is there any reason to believe that the police intensified their efforts to apprehend larger numbers of drunken drivers. Thus, the more severe sanctions threatened in the new law were generally mitigated in practice. Some possible interpretations for this are offered.     

The effectiveness of interactive journaling in reducing recidivism among substance-dependent jail inmates

The present study sought to evaluate the influence of interactive journaling on criminal recidivism and identify significant predictors of recidivism among a sample of 183 male inmates incarcerated in a local jail facility randomly assigned to either an interactive journaling condition or a control group. All participants met DSM-IV-TR criteria for substance dependence, had their current offense indicate substance involvement, and had a minimum of one previous arrest in the prior 12 months. The recidivism rate (51%), in terms of subsequent bookings within a 12-month period, for the journaling group was significantly lower than the recidivism rate (66%) for the control group, χ(2)(1, 183) = 4.13, p < .05. The three most significant independent predictors of subsequent bookings were severity of posttraumatic stress disorder, group assignment (journaling vs. placebo), and employment status. Interactive journaling appears to show promise as a brief treatment intervention strategy for substance dependence in local jail settings and may have the potential for reducing recidivism.     

Influences on Detention Decisions in the Juvenile Justice System

This paper examines the pretrial detention of juveniles in County X located in a northeastern state. The sample (N=642) included Black, White, and Hispanic males and females adjudicated delinquent in the summer of 2000. The following independent variables were analyzed with respect to the dependent variable of pretrial detention: age, sex, address, race, current offense (misdemeanors, violent misdemeanors, felonies, violent felonies, and probation violations), prior offense (misdemeanors, violent misdemeanors, felonies, and violent felonies), and previous dispositions (community or placement). Several variables were found to be significant in increasing the odds of pretrial detention: probation violations, prior misdemeanors, prior residential placements, prior community interventions, age, sex, urban address, felonies, prior violent misdemeanors, and prior violent felonies. It was expected that minority youths would be more likely to be detained, but race was only significant in the absence of the variable of address. Urban youths were more likely to be detained resulting in an over‐representation of minorities in detention, since most of the minority population resides in the urban area. Also included is supplemental material based on interviews with defense lawyers, judges, masters, and juvenile probation officers.     

From Bail to Jail: The Effect of Jail Capacity on Bail Decisions

One of the more important decisions made by judges in the criminal justice system is the bail decision. Factors that judges take into consideration when making a bail decision, such as seriousness of the offense, flight risk, and public safety, are typically seen by researchers as the primary determinants of such a decision. However, one aspect that researchers have not studied extensively—rated jail capacity – could play an important role in a judge’s decision. Overcrowding in jails leads to numerous problems, both for the offender and the system itself, so judges may be more willing to release offenders into the community during the pretrial period if the local jails are overcrowded. The current study examines the effect of rated jail capacity on decisions regarding bail amounts, release on recognizance (ROR), financial release, and conditional release in eight Florida counties. Results indicate that rated jail capacity plays a role in judges’ bail decisions, suggesting that judges are concerned about housing more pretrial offenders in crowded jails.     

美国社区矫正体制的中间制裁制度

美国社区矫正体制的中间制裁制度始兴于20世纪80年代,是一种惩罚程度介于监狱监禁和传统的缓刑、假释之间的社区化行刑方式。作为社区矫正罪犯数量增加和社区公共安全保障的妥协产物,具有一定惩罚性的中间制裁主要包括严密的缓刑和假释监督、住宅禁闭与电子监控、军训式矫正中心、日报告中心、返回社区训练所、日罚金和社区服务等类型,以分层控制体系实现保障社区安全和改造罪犯的双重目的。各种制裁措施的适用依据是罪犯的罪行严重程度、矫治和服务需要。中间制裁的应用取得了一定成效,但也引发了一些问题。     

论缓刑的性质

代表着宽容和节俭的缓刑制度,符合刑罚谦抑化的发展趋势和人类文明进步的潮流。本文从探讨缓刑性质的方法论入手,对缓刑的性质进行深层次剖析,拓展缓刑理论的深度和广度,推进司法实践中扩大缓刑适用率、强化社区矫正的步伐,来拓宽解决中国监狱膨胀,实现刑罚成本最大效率的途径。     

Modeling the longitudinal impact of legal sanctions on narcotics use and property crime

Structural equation models are used to confirm the suppressive effects of legal sanctions, e.g., probation and parole, on narcotics use and property crime. Both concurrent and longitudinal effects of legal sanctions are tested within two different models, which together span the entire addiction career. The findings indicate that (1) the suppressive effects of legal sanctions are evident only when legal sanctions are operationalized as parole or probation officer contact where urine monitoring is utilized; (2) only concurrent suppressive effects are statistically significant, and longitudinal suppressive effects are not; (3) both narcotics use and property crime are suppressed by legal sanctions, although the latter is less responsive than the former to intervention by the criminal justice system; and (4) suppressive effects tend to be more pronounced later in the addiction career. The significance of the findings and the implications for criminological theory related to issues regarding surveillance effects are emphasized.     

Sentencing white-collar criminals: when is shaming viable?

When does shaming work as an alternative to incarceration and fines in sentencing white-collar criminals? In the light of recent economic downturn and highly publicised instances of white-collar crime, public opinion has demanded harsher sentences for white-collar criminals. In order to appease this demand, as well as consider the pressing problem of prison overpopulation, alternative sanctions, such as formal shaming, have been increasingly studied. Through examination of the costs and consequences of incarceration and shaming, this article will explain that since the costs of shaming sanctions are largely fixed, shaming sanctions are most viable when used in conjunction with alternative sanctions so that courts can impose sanction bundles of costs commensurate with the level of offense committed by an offender.