The Unintended Consequences of Penal Reform: A Case Study of Penal Transportation in Eighteenth‐Century London

What were the consequences of penal transportation to the New World for eighteenth‐century British criminal justice? Transportation has been described by scholars as either a replacement of the death penalty responsible for its decline, or a penal innovation responsible for punishing a multitude of people more severely than they would have been punished before. Using data from the Old Bailey Sessions Papers and the Parliamentary Papers, this study examines sentencing and execution trends in eighteenth‐century London. It takes advantage of the natural experiment provided by the passage of the 1718 Transportation Act that made transportation available as a penal sentence, thus enabling one to assess the “effect” of transportation on penal trends. This study finds that the primary consequence of the adoption of transportation was to make the criminal justice net more dense by subjecting people to a more intense punishment. While it was also associated with a small decline in capital sentences for some types of offenders, the adoption of transportation was also associated with an increase in the rate at which condemned inmates were executed. The study closes with a discussion of the conditions that may lead to law's unintended consequences, including the mesh‐thinning consequences observed here.     

A rejoinder to Vaughn and Smith's “Practicing penal harm medicine in the United States: Prisoners' voices from jail”

Correctional health care has improved tremendously over the past 25 years. This rejoinder is a response to an article published in Justice Quarterly by Michael Vaughn and Linda Smith, in which they assert that the quality of correctional health care is suspect in correctional settings, and that an examination of one jail's problems with health care delivery revealed a “penal harm medicine” movement. We call into question such an assertion, claim that the penal harm medicine hypothesis cannot be proven by the data presented by Vaughn and Smith, and state that many of their conclusions are tenuous and harmful to correctional health professionals. We offer an analysis of their claims and suggest a more balanced view of correctional health care.     

汉初的刑罚体系

汉初的刑罚体系是文景刑制改革的基础,由“笞”、“罚”和作为正“刑”的各种肉刑、死刑组成。肉刑一般不单独运用,往往“刑尽”后,又罚使劳役。这样形成一个从轻到重,从生到死,相互衔接,有等次的刑罚统一体。过误、特殊的犯罪主体以及轻罪,适用“罚金”、“赎刑”。故意、重罪适用劳役、肉刑,直到死刑。文景改革以后,笞刑取代肉刑,劳役由无期变为有期。此外,汉初刑罚体系明显受先秦刑罚思想的影响,刑罚被视为对犯罪者的“报复”,有强烈的特殊预防和一般预防的色彩。     

Punishment's Legal Templates: A Theory of Formal Penal Change

The well‐known gap between law on the books and law in action often casts doubt on the significance of changes to law on the books. For example, the rise and fall of penal technologies have long been considered significant indicators of penal change in socio‐historical analyses of punishment. Recent research, however, has challenged the significance of apparently large‐scale penal change of this kind. This article clarifies the significance of penal technologies' rise and fall by offering an alternative account of formal penal change, introducing the analytical concept of “legal templates,” structural models of legal activity (e.g., punishment) available for authorization and replication across multiple jurisdictions. Analyzing punishment's templates explains how new penal technologies can be important harbingers of change, even when they fail to revolutionize penal practice and are not caused by a widespread ideological shift. This article locates the significance of punishment's legal templates in their constitutive power—their ability, over the long term, to shape cognitive‐cultural expectations about what punishment is or should be. This power appears only when the template is widely adopted by a plurality of jurisdictions, thereby becoming institutionalized. Ultimately, these institutionalized templates define the scope of future punishment.     

当代中国刑罚制度改革论纲

当今中国的刑罚制度需要在近年来已有进步的基础上进行系统改革和完善。在刑种和刑罚体系方面,需要通过立法和司法进一步严格限制死刑,完善或充实自由刑、财产刑、资格刑,并对刑罚体系和结构作整体调整;在刑罚裁量制度方面,应当将量刑原则明确化,量刑标准具体化,某些重要的酌定量刑情节法定化;在行刑制度方面,应当确立开放性行刑的理念,并建立、健全社区矫正制度;在刑罚消灭制度方面,应当考虑增补行刑时效和单位犯罪的时效制度,激活赦免制度;在特殊人群的刑罚适用方面,应对未成年犯罪人的刑罚适用予以全面的宽缓和有针对性的改革,并对老年犯罪人贯彻刑罚适用的宽恤。     

刑罚、行刑法新解

行刑法蕴含了刑罚所没有涵盖的目标与内容。行刑法以刑罚为基础 ,立足于以恶制恶。但刑罚中却推导不出感化和扶助性矫治。矫治注入行刑法是基于刑罚先在的事实 ,它绝不是要制造强制与教育的矛盾 ,而是利用刑罚之外的力量 ,把刑罚负效应降低 ;此外当惩罚、教育立足于保护普通公民的权利时 ,行刑法用受刑人的权利标准把这些法律措施适用控制在合理范围。     

Bureaucracy, “domesticated” elites, and the abolition of capital punishment. Processes of state-formation and the number of executions in England and Habsburg Austria between 1700 and 1914

The paper argues that the introduction of bureaucracy civilized death penalty and brutal punishment. The study bases on a quantitative analysis of the numbers of death sentences and executions in England and Habsburg Austria from 1700 to 1914 and on a qualitative analysis of historical literature about the death penalty in both countries. The paper shows that professional law enforcement specialists, bureaucrats, civil servants, and detached juridical stuff formed a new class of “domesticated middlemen elites”. In strong states, this new class becomes the dominating group. In weak states, however, old elites that combine economic and political power preserve their privileged positions. For them capital punishment is the most proper mean to deter criminals because old elites fear the alternative: the introduction of strong-state institutions. Beside obvious power struggles between central and local elites—which effects penal policy pro and con capital punishment—there is a civilizing process going beneath the surface of rationality and political interests. In strong states, the formation of a “habitus” averse to brutal punishment is initiated amongst “domesticated middlemen elites” who are acting in peaceful living- and working conditions.     

“Mom,They are Going to Kill My Dad!” A Personal Narrative on Capital Punishment From a Convict Criminology Perspective

Capital punishment, although opposed by numerous scholars and banned in several countries, continues to be practiced in many locations under a popular rationale associated with retributive justice. While there has been extensive debate on this issue for decades among scholars, policymakers, correctional professionals, and the media; other important voices, specifically the voices of family members of executed convicts, have been ignored or discounted. Situated within a convict criminology perspective, this paper focuses on a personal narrative of how the issue of capital punishment was experienced by the partner (second author of this paper) of an executed convict. This narrative powerfully illustrates complexities and unintended social injustices toward family members that can occur from capital punishment.     

Who’s afraid of penal populism? Technocracy and ‘the people’ in the sociology of punishment

Contemporary sociologists of punishment have criticized the rising incidence of incarceration and punitiveness across the Western world in recent decades. The concepts of populist punitiveness and penal populism have played a central role in their critiques of the burgeoning penal state. These concepts are frequently sustained by a doctrine of penal elitism, which delegates a limited right to politicians and ‘the people’ to shape institutions of punishment, favoring in their place the dominance of bureaucratic and professional elites. I argue that the technocratic inclinations of penal elitism are misguided on empirical, theoretical, and normative grounds. A commitment to democratic politics should make us wary of sidelining the public and their elected representatives in the politics of punishment. A brief discussion of Norway’s legal proceedings against Nazi collaborators in the mid-1940s and the introduction sentencing guidelines commissions in Minnesota in the 1980s shows – pace penal elitism – that professional elites may variously raise the banner of rehabilitationism or retributivism. While penal elitism may yield a few victorious battles against punitiveness, it will not win the war.     

Forging the agenda: the 1819 select committee on the criminal laws revisited

This article revisits a crucial episode in the early nineteenth century criminal law reform debate: the appointment and report of the 1819 House of Commons select committee on capital punishment. This committee, which helped shape the reforms of the 1820s and 1830s, has traditionally been interpreted as the result of the campaign for penal reform in parliament over the preceding decade. This article argues that its origins and significance can only be understood by reference to the political circumstances of 1819 and the scandal surrounding the crime of forgery. This contextualized reading suggests new ways of approaching and understanding the early nineteenth century penal reform discourse.     

An inmate’s right to die: legal and ethical considerations in death row volunteering

There is a considerable body of literature about the death penalty across a variety of disciplines. However, a newer body of literature has emerged examining the phenomenon of elected executions, also known as death row volunteering. To date, 138 (nearly 11%) of the 1300 death row executions have come from volunteers. This issue has been particularly controversial due to a number of legal and ethical considerations that have been raised by the scholarly, legal, and public communities. Such issues include a capital defendant’s competency to volunteer; ethical and moral dilemmas for capital defense attorneys, the states, and medical and mental health professionals; whether death row volunteering equates to ‘state-assisted suicide’; and finally, how these considerations impact the public’s support for capital punishment. This paper reviews the existing literature pertaining to death row volunteering through the lenses of these various considerations. Recommendations for future research in this area are also offered.     

Transportation versus Imprisonment in Eighteenth- and Nineteenth-Century Britain: Penal Power, Liberty, and the State

Existing explanations for historical changes in punishment in Britain have tended to examine the replacement of disorderly prisons and public executions with national penitentiaries from the late eighteenth to the mid‐nineteenth century. Despite their significant contributions to our understanding of how punishments operate in a broader social, political, and economic context, these scholarly accounts have narrowed debate on the mechanisms of penal change to the intentions of penal reformers. This analysis extends this time frame and uses historical data to compare the development of the penitentiary in Britain to its primary, yet less studied, penal substitute, the transportation of felons to America and Australia. In doing so, it provides an alternative explanation for the ascendancy of national penitentiaries. I argue that the development of these penal institutions in Britain was historically made possible by two interdependent sets of changes: (1) changes in the structure and administration of the state's penal apparatus (from decentralized to centralized and patrimonial to bureaucratic); and (2) transformations in popular understandings of the state's power to punish in correspondence with the expansion of a broader and more equal definition of citizenship (democratization). In conclusion, I argue for the value of perspectives on punishment that identify the explicit relationships between state organization and social relations in order to clarify how culture inheres in material conditions to influence specific penal outcomes.     

刑罚轻缓、人权保障与《刑法修正案(八)》——以相关国际公约为蓝本的分析

对照《公民权利与政治权利公约》分析,《刑法修正案(八)》在死刑改革方面的进步值得肯定,但与公约要求的、逐步限制死刑适用以最终废除死刑的目标仍有距离;参照《北京规则》、《美洲人权公约》等分析,新修正案对未成年人、老年人犯罪适用刑罚增加了从宽处理的规定,实现了对弱者的人权保障,但该修正案在建立未成年人及成年人前科消灭制度等方面仍有不足;比照《东京规则》等国际公约分析,其以社区矫正入刑化为代表的非监禁刑之完善,体现了我国对国际公约相关要求的积极回应。     

Dilemmas in administering the death penalty

This article critiques ethical arguments against conducting forensic evaluations of capital defendants or condemned prisoners and against treating prisoners found incompetent for execution, and considers the impact of widespread professional abstention on the legal system. It concludes that arguments for abstention by forensic evaluators are grounded mainly in personal moral scruples against capital punishment, rather than in tenets of professional ethics, but that abstention would be ethically required if the evaluator's scruples preclude objectivity. It also concludes that treatment of incompetent prisoners known to want treatment is ethically permissible but that treatment for the sole purpose of readying the prisoner for execution is not.Editor's note: Adversary Forum is edited by Gary B. Melton. Stan Brodsky was asked to respond to Professor Bonnie's article, and Professor Bonnie was given an opportunity to reply.This article is based on a paper presented as the Keynote Address to the Annual Meeting of the     

Beyond Punishment: The Penal State's Interventionist,Covert, and Negligent Modalities of Control

This article investigates the involvement of the penal state in the lives of criminalized people as a controlling force that takes multiple forms. We offer the concept of modalities of penal control and identify three such modalities in addition to expressive punishment: interventionist penal control is accomplished in extralegal ways; covert penal control is hidden from public view; and negligent penal control is characterized by the absence of action by state actors. This article illustrates empirical cases of each modality, using data from three distinct projects based in Chicago, southern Wisconsin, and nationwide. The data include observations of post‐prison groups and homes, interviews with criminalized people and nongovernmental organizational (NGO) staff, statutes, and regulations. This expanded understanding of penal state involvement extends beyond the understanding that characterizes discussions of mass incarceration and highlights the need for comprehensive reform.     

Penal ideology, sentencing and the legitimacy of trial justice

The paper explores the link between penal ideology and international trial justice from the perspective of sentencing. The argument is based on the premise that the perceived legitimacy of punishment is directly related to effective governance in criminal justice. As such, loss of faith, or lack of moral empathy by individuals and communities with the ideologies, processes and outcomes of punishment compromises the ability of criminal trials to function effectively in maintaining the ‘rule of law’. The paper argues that more emphasis should be given explaining the moral foundations that underpin perceptions of ‘justice’ in sociological accounts of the ‘reality’ of sentencing, and proposes an analytical framework for conceptualising this. Adopting this approach, the paper draws on examples from national and international criminal justice to illustrate how the hegemony of penal ideology and its implementation compromises the ability of sentencing outcomes to resonate with the trial‘s ‘relevant audience’. The paper then focuses on how penal ideology influences the construction of the factual basis for sentencing in international criminal trials, and considers the consequences of this for the perceived ‘legitimacy’ of international trial justice.     

What Executioners Can—and Cannot—Teach Us About the Death Penalty

Those who work with the condemned often come to reject the death penalty not only in individual cases, and not only on the ground that it is poorly implemented. They tend to conclude that the punishment is wrong. I argue that the perspective of the executioner helps illuminate the debate about whether to abolish capital punishment, and that indeed the perspective of those who work with the condemned raises the troubling possibility that support for the death penalty can survive only at a great remove. Jeffrie Murphy has also argued that the executioner’s perspective can be useful, but I contend that Murphy asks the wrong question. His essay considers whether an executioner may, under some circumstances, take pride in his work. The better question is whether anyone ought to be asked to do such work. On this latter question, the perspective of the executioner sheds important light. Like Murphy, I draw on works by and about Albert Pierrepoint, the “last hangman” of Britain. I also draw on the perspectives of numerous executioners, wardens, chaplains, and other death row personnel. I argue that their perspectives offer a powerful argument against the main rationale for the death penalty: retribution. If retribution is keyed to the offender’s character as well as his wrongful act, then post-conviction character ought to matter. The executioners’ accounts share a common theme: that death row inmates change over time and hold the potential for redemption.     

罔密而奸不塞,刑蕃而民愈嫚——中国古代法外权思想考证

中国古代刑罚制度,在禅让制时代"终不以天下之病而利一人"的思想指导下,体现出"好生之德,恰于民心,兹用不犯于有司"的人性关怀。而世袭制家天下"明德慎刑"的目的在于"其宁惟永"的统治秩序的维护。通过对儒家思想产生重大影响的《吕刑》与代表法家思想的《商君法》对比分析,可以看出,具有完全不同的指导思想制订出内容迥异的刑罚制度,却产生了共同的社会效果,即对法外权的发展与维护和对民众权利的限制,最终合二为一。从宽到严,从简到繁的刑罚体制的构建和刑罚思想的形成,成为导致历代封建王朝兴亡更迭的重要原因。     

American Capital Punishment in Comparative Perspective

It is often said that American capital punishment fulfills no purposes, serves no functions, and possesses no coherent rationale. In Peculiar Institution: America's Death Penalty in an Age of Abolition (2010), David Garland argues that American capital punishment is functional, meaningful, and effective, especially in the cultural realm of death penalty discourse. He also demonstrates that America's radically local version of democracy helps explain why the death penalty has persisted in the United States long after it disappeared in other Western democracies and that many of the peculiar forms through which American capital punishment is now administered have been designed to deny association with the lynchings that have occurred in American history. Garland arrives at these conclusions by comparing capital punishment in contemporary America with death penalty systems from the American past and from other Western nations. This essay argues that comparison with Asia further illuminates what is peculiar—and ordinary—in American capital punishment.     

刑法经济分析方法思辨

本文从经济学的角度 ,研究刑法中刑罚、犯罪的成本与效益的关系、探求怎样用有限的刑罚资源 ,发挥最优的刑罚威慑效果 ,从而达到以最少的刑罚资源达到最优的社会效益。