Sentencing
� Post-conviction stage, in which a defendant is brought before a court for formal judgment by a judge
� Judge influenced by: PSI, wishes of prosecutor & defense attorney, victim issues, personal bias
Community Sentence
(Factors Affect Granting a Community Sentence)
� Eligibility for community supervision
� Availability of defendant to meet conditions of probation
PSI Report
(Contents of the Report)
� Primary Information (character of offender)
--Causes of antisocial behavior, potential for change, culpability in offense, whether anyone was injured, use of firearm, extent of loss to victim
� Secondary Information
--Criminal record, education, employment, family, health, drug use
� Should include:
--Identify causes of criminogenic needs
--Assessment of risk
--Plan to address risk & needs
PSI Report
(Who uses it?)
� Prosecutors & defense attorneys (most frequently)
� Reception & diagnostic centers for classification
� Parole board for release decisions
� PO for case plan's
Rights Limited to Offenders
� Parolees granted due process rights (Morrissey v. Brewer, 1972)
� Probationers granted due process rights (Gagnon v. Scarpelli, 1973)
� Right to a hearing & right to attorney
--Not entitled to court-appointed lawyer
� Not entitled to protection against self-incrimination
Revocation for Inability to Pay
� Probationer can be revoked for refusal to pay monthly fees, restitution, fines
� Indigent probationer cannot be revoked if unable to pay, provided they are not somehow responsible for failure to pay (Bearden v. Georgia)
--Probationer has burden to show that inability to pay was not willful
--Must show effort & desire to fulfill financial obligations (State v. Gropper)
� Can revoke, even in cases in which offender is not at fault (no willful violation), if not revoking is risk to public safety
--Treatment for sex offender not offered in community, at risk to community without treatment
Sending State
� Under the interstate compact, the state in which the crime & sentence occurred
� Determines actual sentence & length of time served
� Retains ultimate authority to modify conditions of probation, revoke, or terminate
� Expected to pick up & transport offender back to original jurisdiction to face court/parole board
Presentence Investigation (PSI) Report
� Report submitted to a court before sentencing (but post adjudication) describing:
--Nature of an offense
--Offender characteristics
--Criminal history
--Loss to victim
--Sentencing recommendations
� Aids judges in felony sentencing decisions & probation violators facing incarceration
� Importance has declined due to sentencing guidelines
Community Corrections
� Nonincarcerative sanction in which offenders serve all or a portion of their sentence in the community
� 5 million combined on probation/parole
Pre-Adjudication
� State in which defendant has not yet pleaded guilty or been found guilty, so supervision occurs in community
� Ex (community corrections):
--Pretrial release
--Pretrial supervision/house arrest
--Victim offender mediation
--Diversion/deferred adjudication
� Ex (institutional corrections)
--Jail
--Jail-based work release
Post-Adjudication
� State in which defendant has been sentenced by a court after having either pleaded guilty or been found guilty by a judge or jury
� Ex (community corrections):
--Probation supervision
--Circle sentencing
--Mandatory release or discretionary parole
� Ex (institutional corrections):
--Jail
--Prison
Indeterminate Sentence
� Specifies a minimum and maximum length of time to be served
--Permits early release after the offender has served a minimum portion
� Release is determined by parole board based on rehabilitation
--Offender's remorse, insight into his mistakes, involvement in rehab, readiness to return to society
� Purpose: rehabilitation
Indeterminate Sentence
(Issues/Concerns)
� Effectiveness of rehabilitation in prison (Martinson)
� Sentences with no max date
� Issues of fairness
Determinate Sentence
� aka: presumptive, fixed, or mandatory sentence
� Imposes a sentence for a fixed term, minimum and maximum set in law by legislature
--Determined by criminal behavior, not rehabilitation progress
� Limits discretion of judge & parole board
� Ex: mandatory minimums, three strikes laws, truth-in-sentencing laws, sentencing guidelines
� Purpose: retribution, punishment
Corrections
(Price/Cost)
� Community supervision significantly cheaper than prison
--Communist corrections subsidized by offenders who pay for services as clients
--Programs in prison are 100% taxpayer funded
� Correctional budgets have been cut due to recession
Decreasing Prison Populations
(Methods)
� Decriminalize lower-level nonviolent and/or drug felony offenses
� Repealing mandatory minimums
� Using more graduated sanctions in community
� Increasing parole rates
� Changing probation/parole policies for responding to violations
� Closing housing units or prisons altogether
Intermediate Sanctions
� Graduated spectrum of community supervision strategies that vary in supervision level and treatment capacity
Intermediate Sanctions
(Examples)
� Fines/Day Fines
� Fees
� Forfeiture/Impoundment
� Outpatient Treatment
� Ignition Interlock
� Supervised Probation
� Community Service
� Victim/Offender Reconciliation/Mediation
Intermediate Sanctions
(Examples)
� Home Confinement
� Home Confinement w/ Electronic Monitoring
� Day Reporting Center
� Intensive Probation
� RCCF or Halfway House
� Work Release
� Therapeutic Community or Drug Treatment
� Boot Camp
Transitional Housing Units
� Within walk of prison
� Prepares offenders for reentry, resume building, other activities
Prisoner Reentry
� Any activity or program conducted to prepare prisoners to return safely to a community and to live as law-abiding citizens
Prerelease Program
� Minimum-security institutional setting for imprisoned offenders who have spent time in prison and are nearing release
� Purpose: save money and prion space, providing specialized treatment
� Focus: transitioning, securing a job, reestablishing family connections
� Examples: hallway house, boot camp, therapeutic community
Parole
� Early/conditional release of an offender, under conditions established by the paroling authority, before the expiration of the offender's sentence
� Serve remained of sentence in community, under continual custody of state
� Revoked/granted by parole board
Specific Deterrence Theory
� Offender on community supervision will refrain from committing technical violations and/or new crimes if, after considering the costs/benefits, the consequences for misbehavior are certain and severe enough that the sanctions outweigh the benefits
� Individual offender will decide against repeating an offense after experiencing the painfulness of punishment for that offense
� Unannounced visits, notifying offender of what consequences will be
Rehabilitation
� Changing an offender's character, attitudes, or behavior so as to diminish his/her criminal propensities
� Offenders should have opportunity to change & must have desire to change
� Problems
--Drug/alcohol addiction
--Lack of emotional control
--Inadequate educational/vocational training
--Lack of parenting skills
--Mental illness or developmental disability
Risk/Need/Responsivity
(RNR)
� Focus on treating high-risk offenders, matching correctional interventions with criminogenic needs, and implementing treatment according to offenders' learning styles & personal characteristics
Criminogenic Needs
� Problems, habits, or deficits that are directly related to an individual's involvement in criminal behavior
Criminogenic Needs
(Most Frequent Problems)
� Anti-social attitude
� Anti-social associates & family
� Anti-social behavior (static)
� Anti-social cognitions
� Lack of pro-social activities/leisure activities
� Drug/alcohol addiction
� Employment/school
� Family marital
Restorative Justice
� Focus is on welfare of victims in aftermath of crimes (not the law)
--Victim healing, offender reintegration, community restoration
� Includes: victim-offender mediation, reparation panels, circle sentencing, restitution/monetary sanctions
� Roots in the concept of reparation
� Most effective for: nonviolent crimes, juveniles
Participation Process Model
� Suggests that offender compliance and active participation are integral to offender success
Participation Process Model
(3 Goals of Community Supervision)
� Offender accountability
� Offender risk/need reduction
� Public safety
Participation Process Model
(Probation/Parole Officer Strategies)
� Communication
--Ex: listening, clarifying expectations, giving praise for desirable behavior, confronting for undesirable behavior
� Casework
--Ex: assessing problems, establishing long-range goals, assisting offender insteps to meet goals
� Leverage
Leverage
� Aversive sanctions, either applied or threatened, that are imposed by the courts and probation officers as a consequence for rule-violating behavior
Participation Process Model
(Change process is mediated by?)
� Amount of motivation
� Support from parental/significant other
� Quality of officer-client relationship
Evidence-Based Practices
(EBP)
� Correctional programs and techniques shown through systematically evaluated research studies to be most effective with offenders
� Only use most successful programs that are grounded in empirical data
� Assessment must show practices meet intended outcomes and are open to measurement/evaluation
Evidence-Based Practices
(Effectiveness)
� Information must be conveyed in way that makes sense for citizens to view community corrections as preferred sentencing option
� Research must identify which type of offenders and under what conditions the treatment works
--Not based on speculation, intuition, anecdotal evidence, tradition
Net Widening
� Using stiffer punishment or excessive control for offenders who would ordinarily be sentenced to a lesser sanction
� Causes: sentencing guidelines, mandatory minimums, truth-in-sentencing laws, three strikes laws
Recidivism
� A return to criminal behavior, variously defined in 1 of 3 ways: rearrest, reconviction, reincarceration
� Most commonly used measure of program/treatment effectiveness
Precursors to Probation
� Amercement
� Security for Good Behavior
� Filing
� Motion to Quash
Amercement
� Monetary penalty imposed arbitrarily at the discretion of a court for an offense
� Offender paid this to the king
Security for Good Behavior
� Fee paid to the State as collateral for a promise of good behavior
� Allowed the accused to go free in certain cases before or after conviction
Filing
� Indictment is laid on file or held in abeyance with neither dismissal nor final judgment, in cases in which justice has not required an immediate sentence
Motion to Quash
� Oral or written request that a court repeal, nullify, or overturn a decision, usually made during or after a trial
� Used any minor technicality/error to free the defendant
Recognizance
� Originally a device of preventative justice that obliged people suspected of future misbehavior to give full assurance to the public via stipulation to a court that an apprehended offense would not recur
� Used to ensure a defendant's presence at court
� Procedure closely related to modern probation
Suspended Sentence
� The delayed imposition/execution of a sentence on a verdict, finding, or guilty plea until the sentenced offender has successfully completed a period of good behavior (probation term)
� Closest precursor to modern probation
--Used in U.S. in 1916, became official sentence in 1984 (Federal Sentencing Reform Act)
John Augustus
� Founder of probation in the U.S.
� Bailed out defendants he thought were most likely to change & return to court (brought them to his home)
Federal Probation
� President Coolidge passed the National Probation Act (1925) despite resistance from prohibitionists
� Few officers (1 per 400 offenders), utilized volunteers
Parens Patriae
� The power of the state to act on behalf of the child and provide care/protection equivalent to that of a parent
� 4 principles:
--State appoint guardian to care for child
--Parents held responsible for child's wrongdoing
--No matter what offense, jail not suitable penalty
--Avoid removing child from parents, sending to industrial school
Probation
� Community supervision of a convicted offender instead of incarceration under conditions imposed by a court for a specified period, during which it retains authority to modify those conditions or to resentence the offender if he or she violates those conditions
Probation
(Core Services)
� Pre-sentence investigations
� Help develop appropriate court dispositions for offenders
� Supervise people placed on probation
Probation
(2 ways it is used)
� Sentence in itself
� Form of pretrial supervision
Probation Agencies
(Structural Differences)
� Branch of govt: may be executive/state or judicial/local
--30/50 executive/state (adults)
� Autonomy: combined with parole or stand-alone
--30/50 states combined
� Age Factors: combined or separate adult & juveniles
--10/50 states combined
Community Corrections Acts
� Formal written agreement between state government and local entities that funds counties to implement and operate community corrections programs on a local level
� Decentralize correctional sanctions to more closely reflect community values
Casework Model
(1900-1970)
� Philosophy that PO's create therapeutic relationships with clients through counseling and behavior modification, to assist them in living productively in the community
� PO's viewed as caseworkers/social workers, considered "agents of change
Brokerage of Services Model
(1971-1980)
� Supervision that involves identifying the needs of probationers or parolees and referring them to an appropriate community agency
� Service broker officers did not consider themselves "agents of change"
� Ex: mental health, employment, housing, education, private welfare
Community Resource Management Team Model
� Model in which PO's develop skills and linkages with community agencies in 1 or 2 areas only
--Supervision is team effort, each officer utilizing his skills/linkages to assist an offender
� Recognized this diverse needs if caseload couldn't be met by one individual
� Ex: one officer designated drug abuse specialist, another employment specialist, another female offenders
Justice Model
(1981-2000)
� Based on concept of just desserts and even-handed punishment
� Fairness in criminal sentencing so that all people convicted of a similar offense receive a like sentence
� Relies on determinate sentencing and/or abolition of parole
� Probation as sanction in itself, not alternative to prison
Neighborhood-Based Supervision
(NBS)
[2001-Present]
� aka: community justice, broken windows probation
� Emphasizes public safety, accountability, partnerships with other community agencies, and beat supervision
� In community more than office, engaging community groups as partners
--Makes probation more visible, transform into more respected punishment in community
--In turn, improve overall quality of live in community, contribute to decreased crime
� Hold PO's accountable for achieving specific outcomes/public safety
Who Is On Probation
(Gender)
� 75% male
� 25% female
Who Is On Probation
(Race/Origin)
� 54% white
� 31% black
� 13% hispanic
Who Is On Probation
(How Probation Was Imposed by Courts)
� 54% direct sentence
� 35% suspended sentence
� 9% split sentence
Who Is On Probation
(Type/Severity of Offense)
� 53% felony
� 45% misdemeanor
Who Is On Probation
(Most Serious Offense)
� 27% property
� 25% drug violation
� 18% violent
� 17% DWI/public order
Who Is On Probation
(Adults Leaving Probation)
� 65% successful completions
� 17% return to incarceration
� 10% technical violators
� 3% absconder
Pretrial
� Pretrial Services
� Pretrial Assessment
� Pretrial Release or Pretrial Detention
--Bond, if any
� Pretrial Supervision
Pretrial Services
� Agency that assists the court in deciding whom to release and whom to detain based on: validated assessment instruments & pretrial interview of defendant
� 4 options: dismissal, diversion, conviction as result of plea agreement, defendant pleads not guilty and requests trial
Pretrial Release
� Defendant's release from jail while awaiting his/her next court appearance
� First decision made following an arrest
� Allow defendant's to live/work as productive citizens
--Low/medium-risk defendant's more likely to recidivate if detained in jail
� Federal (60% remain in pretrial detention, 40% released), state (60% released)
Pretrial Release
(History)
� Manhattan Bail Project
--First opportunity for Release on Recognizance (ROR)
� Federal Bail Reform Act (1966): established guidelines on appropriate bail amounts & alternatives to detention for those unable to make bail
--Reminder that law favors release, unless risk defendant won't appear
� Bail Reform Act (1984): included safety of the public as in important criterion in a decision to detain a pretrial defendant
--Detention not for punishment, but for high-risk defendants who posed risk to themselves/community
Pretrial Assessment
� Tool used to predict defendant's likelihood of reappearance in court, taking into consideration community safety
--Pretrial services recommends the least restrictive option
� Considers
--Age at first arrest, # of FTA warrants, # of jail incarcerations, employment, residential stability, drug use
Failure to Appear
(FTA)
� Defendant does not attend a scheduled court hearing
Delegated Release Authority
� Statutory authority that allows pretrial services officers to release a defendant before an initial court appearance in front of a judge
Bail
� Monetary payment deposited with a court to ensure a defendant's return for the next court date, in exchange for said defendant's release
Pretrial Release
(Types of Bonds)
� Release on Recognizance: defendant signs agreement to appear, no money paid/owed if FTA
� Unsecured Bond: pays no money up front, liable for full amount if FTA
� Deposit/Collateral: pays full amount in cash/property, money returned after court date (unless FTA)
� Surety Bond: bail bond company liable if defendant FTA, company charges 10-15% fee for risk
Pretrial Supervision
� Court-ordered correctional supervision of a defendant not yet convicted
� Defendant may participate in: reporting, house arrest, electronic monitoring
--Call in weekly, comply with curfew, drug testing, maintain employment, not contact victim/witness
� 89% give warning for first violation
--Absconding/rearrest more serious (warrant issued)
� Services do not increase likelihood of court appearance, or decrease new offenses
Pretrial Supervision
(4 Functions)
� Accounts for a defendant's whereabouts to keep community safe
� Allows defendant to prepare for upcoming court appearances
� Allows defendant to continue working and supporting dependents
� Keeps bed space in jail available for defendant's who may not be eligible for release
Surety
� Third party (pretrial services officer), designated by the court, who assumes supervision of defendant until case is resolved, should said defendant fail to attend the next court appearance
--80% (federal); 20% (state)
Diversion
� aka: deferred adjudication
� Alternative program offered to 1st time offenders in which charges are dismissed (no criminal record) if defendant completes terms of supervision & stays out of trouble for 2-5 years
� Defendant's situation & offense affect qualification for this alternative
--Probation/parole history, mental health, substance abuse, community ties
� Allow offenders to avoid criminal label/stigma
Sentencing
� Post-conviction stage, in which a defendant is brought before a court for formal judgment by a judge
� Judge influenced by: PSI, wishes of prosecutor & defense attorney
Reflective Justice
� Each defendant's case in considered by a judge, parole board, or a decision-making authority according to its subjectivities, harms, wrongs, and contexts, then measured against concepts such as oppression, freedom, dignity, and equality
� Judges utilize PSI's in decision making
Presumptive Sentencing Grids
� Statutorily determined sentence that judges are obligated to use
� Any deviations by judge (mitigating or aggravating circumstances) must be provided in writing and may be subject to appellate court review
� Federal Sentencing Table: y-axis (offense level); x-axis (criminal history)
Sentencing Commission
� Governing body that monitors the use of sentencing guidelines and departures from recommended sentences
� May also be subject to appellate court review
Presentence Investigation Report
(PSI)
� Report submitted to a court before sentencing (after guilty conviction) describing:
--Nature of an offense
--Offender characteristics
--Criminal history
--Loss to victim
--Sentencing recommendations
� Aids judges in felony sentencing decisions & probation violators facing incarceration
� Importance has declined due to sentencing guidelines
Post-Sentence Report
� Report written by probation officer after defendant has pleaded guilty and waived a presentence report
--Court proceeds directly to sentencing
� Aid probation/parole officers in supervision, classification, & programs plans
� Also assists prison system in classification, programming, & release planning
PSI Report
(Contents of the Report)
� Primary Information (character of offender)
--Causes of antisocial behavior, potential for change, culpability in offense, whether anyone was injured, use of firearm, extent of loss to victim
� Secondary Information
--Criminal record, education, employment, family, health, drug use
PSI Report
(Preparing the Report)
� PO's responsibility to: gather facts about offense & offender, verify information received, present in organize/objective format
--Interviewing, investigating, writing
� Conducted after guilty conviction but before sentencing
--Material of PSI is inadmissible at trial
Pre-Plea Report
� Completed when a defendant's attorney consents to preparation of a report before conviction and plea
� Attorneys generally do not consent to this
Victim Impact Statement
� Written or oral information from victims, about how a crime has affected them
� Describes
--Identifies relationship between victim/offender
--Physical, emotional, financial losses of victim or their family
� Used at/during: sentencing, parole-board hearings
PSI Report
(Interview & Verification)
� Interview offender (take place in PO office, jail, offender's home)
--Also interview collateral contacts
� Verifies this information through: CJ agencies, employers, credit reporting agencies, medical doctors, schools
--Report should only contain information that is known to be accurate
--Information that cannot be verified must state "unverified
Collateral Contacts
� Verification of a probationer/parolee's whereabouts be means of an officer's speaking with a third party who knows the offender personally
� Ex: family, friends, arresting police officer, victim & victim's family, defendant's present employer/school officials
PSI Report
(Sentencing Recommendation)
� PO recommends a sentence type, but not sentence length
� Sentencing guidelines limit the sentencing options
� Legal factors (criminal history), more important than extralegal factors (social support system)
Disclosure
� The right of the defendant (or defense attorney) to read & refute information in a presentence investigation report prior to sentencing
PSI Report
(Legal Issues)
� Does defendant have right to disclosure of PSI
--Supreme Court: not a denial of due process to not disclose
----Have 35 days to view, 14 days to refute
--Depends on state law
� Differences in rights compared to trial proceedings
--Hearsay, obtained illegally by police are admissible
--Not guaranteed right to attorney during PSI interview
----Rationale: guilt has already been determined
PSI Report
(When Info can be Withheld to Defendant)
� Disclosure might disrupt rehabilitation
� Info obtained on promise of confidentiality
� Harm might result to defendant or anyone else
Harmless Error
� One or more types of error made in the pretrial and/or trial process that does not change the outcome of a case
� Errors in PSI not automatic grounds for revocation of sentence, unless the error would have affected sentencing outcome
Hearsay
� Information offered as truthful assertion that does not come from personal knowledge but rather a third party
Standard Conditions
� aka: mandatory conditions
� Probation or parole conditions on all offenders regardless of the offense
Standard Conditions
(Examples)
� Laws
� Travel
� Residency
� Employment
� Association
� Drugs
� Weapons
� Reporting/Directives
� Supervision Strategy
� Intervention Fees
Laws
(Standard Condition of Probation)
� Obey all federal/state laws, municipal/county ordinances
Travel
(Standard Condition of Probation)
� Obtain permission from PO before traveling out of state in which offender is living
Residency
(Standard Condition of Probation)
� Obtain permission from PO before making change in residency
Employment
(Standard Condition of Probation)
� Maintain employment unless engaged in specific program approved by PO
� Obtain advance permission from PO before quitting job
� If terminated, must notify PO within 48 hours
Association
(Standard Condition of Probation)
� Obtain advance permission from PO before associating with person convicted of felony/misdemeanor, or currently under supervision of Division of P&P
� Responsibility of probationer to know who they are associating with
Drugs
(Standard Condition of Probation)
� Must not have possession of any controlled substance, except as prescribed by licensed medical practitioner
Weapons
(Standard Condition of Probation)
� Not own, possess, purchase, receive, sell, or transport any firearms, ammunition, explosive device, or dangerous weapon if on probation for felony or misdemeanor involving firearms/explosives
Reporting/Directives
(Standard Condition of Probation)
� Report as directed to PO
� Abide by any directives given by PO
Supervision Strategy
(Standard Condition of Probation)
� Enter & successfully complete any supervision strategy & abide by all rules/program requirements, as directed by Court, Board, or PO
Intervention Fees
(Standard Condition of Probation)
� Pay monthly intervention fee in amount set by DOC
Special Conditions
� aka: discretionary conditions
� Probation or parole conditions tailored to fit the offense and/or needs of an offender
� Imposed by judge/court, consistent with crime committed and rehabilitation
� Must be "clearly stated" & "reasonable"
� Cannot prohibit alcohol if crime not alcohol related
Special Conditions
(Examples)
� Literacy classes
� Parenting classes
� Drug/alcohol treatment/prohibition
� Mental health treatment
� Obtain GED
� Pay victim restitution
� Refrain from entering designated areas
Scarlet Letter Conditions
� Attempts to invoke shame in an offender by requiring him/her to publically proclaim guilt
� Does not violate federal law, state laws in disagreement
Classification
� Objective scale assessing: risks posed by an offender, identifying offender needs requiring intervention, & selecting appropriate supervision strategy
� Objective actuarial prediction model (if used by trained officer), more effective than subjective method
Risk Assessment
� Quantitative instrument measuring an offender's to commit further criminal activity & indicates level of officer intervention required
� Assigns numerical value to many of the same factors as PSI
� Can be used at: pretrial, during community supervision, reentry
Static Factors
� Variables that have already occurred in the past and will not change
� Ex: # of arrests & convictions
Dynamic Factors
� Variables that do change and are most valuable in measuring both negative & positive offender change over time
� Ex: family relations, friendships, emotional health, housing situation, leisure activities, financial situation
Needs Assessment
� Quantitative instrument to identify those characteristics, conditions, or behavioral problems that limit an offender's motivation or might lead to a return to criminal behavior
� Treatment needs: drug/alcohol abuse, mental illness, anger management issues, education/vocational skills
� Should never mix low-risk & high-risk offenders during treatment
� Past behavior is best predictor of future behavior
Needs Assessment
(Other Sources of Information)
� PSI, prison disciplinary records, prerelease plan, physical/mental health evaluations, financial history, residential history
Treatment Activities
� Actions taken by supervising officer intended to bring about change in offender's conduct or condition for the purpose of rehabilitation & reintegration into law-abiding community
Supervision
� Oversight that a probation/parole officer exercises over those in his/her custody
� PO conducts interview (50 questions)
--Uses interview & risk/needs assessment to devise case plan
Supervision Issue
� Identified problem, offender characteristic, or pattern of conduct that requires intervention to overcome/change
Case Plan
� Individualized written document that clarifies how each court-ordered condition is to be fulfilled by offender & PO in the context of risk/needs posed
� Negotiated & signed by both parties
� Progress on case plan reviewed during each appointment, modified as circumstances change
Surveillance
� Ascertains whether probationers/parolees are continuing to meet conditions imposed by court or parole board
� Methods: face-to-face visits, phone verification, EM, UA, curfew
� Make collateral contact on quarterly basis
� Can conduct warrantless searches on "reasonable suspicion"
� Never meet some low-risk probationers, check in through pagers/kiosks
Field Contact
� Officer visits offender's home or place of employment to monitor progress
� Most valuable type of contact, but also most time consuming
--More time now spent in field than in office
Caseload
� Number of individuals/cases for which one PO is responsible
� Regular POs (127-240), intensive (20-30)
� Some states placed statutory limits on caseload per officer
Caseload
(Levels)
� Level 1: 10%
� Level 2: 45%
� Level 3: 36%
� Administrative (IAP): 9%
--Lots of contact in first 90 days
Principles of Effective Intervention
� Eight treatment standards that, if practiced, have been shown to reduce recidivism below that of other methods and that constitute the theory behind evidence-based correctional practices
Principles of Effective Intervention
(8 Principles)
1. Be intensive; occupying 40%-70% of each day for 3-9 months
2. Contain cognitive-behavioral components to prepare mind for behavioral change
3. Match program level with client aptitudes or propensities according to gender, age, cultural background, & risk level, so that higher-risk clients make greater strides
4. Offer positive reinforcements that exceed punishments by 4:1
5. Require minimum education/experience for staff
6. Teach clients to replace criminal networks with prosocial ones
7. Provide relapse prevention & aftercare
8. Evaluate programs & assess compliance to previous 7 principles
Cognitive-Behavioral Therapy
(CBT)
� Therapeutic intervention change that is blend of:
--Cognitive therapy (focus on self-defeating thought patterns)
--Behavioral change (focus on inappropriate acting out)
Motivational Interviewing
� Communication style in which a PO creates positive climate of sincerity & understanding that assists offender in changing
� Key: get offender to recognize the cognitive-behavioral problem, rather than argue why they haven't made change
� Methods: ask open-ended questions, demonstrate empathy, take genuine interest by way of follow up statements & positive recognition
Employment Assistance
� Employment is single most important element in preventing recidivism
� Offenders are last to be hire & first to be terminated
� 2 reasons why it's important
--Provides financial support
--Establishes/maintains self-esteem & personal dignity
Chronos
� Chronological account of detailed notes written by a PO and organized by date, about any client contact and/or case information that becomes a permanent part of the offender's case file
Staffing
� Bi-monthly meeting of key staff members to discuss the progress and/or outcomes of probationers/parolees on a particular caseload or who are enrolled in a specific community corrections program
Working with Female Offenders
� Typically: offended alongside male partner, not completed HS, lack employment skills, have dependent children, abused as children
� More open to sharing thoughts/feelings with PO
� Female POs work better with female offenders
--Unique issues: pregnancy, parenting/childcare, domestic violence, sexual abuse, mental health
Interstate Compact
� Agreement signed by all states and U.S. territories that allows for supervision of probationers/parolees across state lines
� Can be transferred at beginning, or middle of sentence
--As long as 90 days remain
Sending State
� Under the interstate compact, the state in which the crime & sentence occurred
� Determines actual sentence & length of time served
� Retains ultimate authority to modify conditions of probation, revoke, or terminate
Receiving State
� Under the interstate compact, the state that undertakes a supervision
� Determines all standard & special conditions while under supervision
--Must be similar to other offenders within receiving state
Interstate Compact
(Requirements)
� Offender is already resident of receiving state
� Offender desires to live with relatives who are residents of receiving state & agree to have offender live with them
� Offender, or member of offender's immediate family, received employment transfer
� Offender, or member of offender's immediate family, is transferred/relocated cuz of military service
Early Termination
� Termination of probation at any time during a probation period or after some time has been served
� PO recommends, authority to terminate rests with judge (probationers) & parole board (parole)
� Rewards for good behavior: reducing # of times offender must see PO, later curfew time
Revocation
� Process of hearings that results when a probationer is noncompliant with a current level of probation
� Results in either:
--Modifying probation conditions to a more intense supervision level
--Complete elimination of probation (sentenced to: residential community facility, jail, or prison)
� Time from violation detection, to decision by court/parole board = 6-8 weeks
� Some revocation decisions discretionary, some mandated
� Most likely to happen in first 3 months
� PO or judge issues warrant
Revocation
(Evidence Required to Revoke)
� To revoke, evidence doesn't have to be "beyond a reasonable doubt", only "preponderance of the evidence"
� Testimony of PO alone can be sufficient (depending on state)
� Hearsay may be admissible (depending on state)
� If probation revoked & offender set to prison, & new evidence surfaces, not double jeopardy & offender can be charged
--Revocation is only administrative punishment, not criminal punishment
Preponderance of Evidence
� Level of proof used in probation revocation administrative hearing by which judge decides guilt, based on which side presents evidence and its probable truth or accuracy, & not necessarily on amount of evidence
� Factual proposition is more likely than not to be true (essentially probable cause)
� Standard of proof for revocation
Revocation
(Factors the Court Looks at When Deciding)
� Risk offender poses to community
� Whether change will increase compliance
� Whether change will better serve needs of offender
Mandatory Revocation in Federal System
(Instances)
� Commission of violent crime or sexual contact against child under 16
� Possession of firearm
� Possession of controlled substance or failed UA
� Refusal to comply with UA
Successful Completion of Probation/Parole
� Probation (state): 60% - 70%
� Parole (state): 50% - 57%
� Probation (federal): 80% (with no violations)
--11% fail due to technical violations
--5% fail due to committing new crime
Law Violations
� Offender commits a new misdemeanor/felony crime
� If violation is misdemeanor or drug use/possession: probation revoked but not prosecuted for new crime
� If violation is felony: probation revoked, incarcerated, prosecuted for new crime
� Parolees more likely to be revoked for law violation than probationers
Technical Violations
� Multiple violations that breach one or more noncriminal conditions of probation
� More PO discretion, officers with higher caseload more likely to revoke
� Parole (federal): 57% of parole revocations are technical violations
Probation Revocation
(Reasons for Revocation�State Level)
� Law Violation: 16%
� Failed UA: 27%
� Failed to complete drug/alcohol treatment: 20%
� Absconders: 19%
� Failed to report for UA: 10%
Parole Revocation
(Reasons for Revocation�State Level)
� Law Violation: 70% (federal: 43%)
--More likely to commit new offense than probation
� Absconders: 22%
� Other technical violation: 18%
� Failed UA: 7%
Absconder
� Offender escapes/flees the jurisdiction he is required to stay within
--Most never leave their state & are located
� Not where they are supposed to be living, not reporting
� Violations that trigger escape are usually less serious than absconder itself
� 18% of probationers, 12% of parolees
� PO visits last known residence, reviews local county jail bookings, searches state/national crime info centers, calls hospital & morgue
Fuginet
� Secure database that provides way for LE officers to identify/apprehend parole violator of warrant is issued
� Information: address, family information, vehicle information, photo, tattoos/scars, employment info, names of individuals who visited while incarcerated
Progressive Sanctions
� In-house approaches used when: offender shows initial signs of resistance or technical violations occur
� CSOs encouraged to use in-house options before filing formal revocation
� Options: warnings/admonishments, increased control, increased monitoring/programming, modifying special conditions
� Offender signs waiver that agrees to modified sanctions in lieu of going to court (waives right to court hearing)
Warnings/Admonishments
� Compliance counseling, written reprimands, case conferences
--Compliance Counseling: providing guidance to offender to follow rules of supervision
--Case Conference: meeting occurs between parolee, PO, & unit supervisor to discuss violations
Revocation
(Procedures)
� Violation reports prepared by PO, information in chronological notes documenting pattern of: technical violations or new crime
� Issue warrant for arrest or summons to appear in court
� Held in local jail or stays at home until next hearing
� Preliminary Hearing (offender can waive right to appeal)
--Must wait in jail if contesting accusations or retaining right to appeal
� Final Revocation Hearing
� No charges or revoke (modify community supervision, remain in jail for 1-12 months, or transfer to prison for new sentence)
Preliminary Hearing
� aka: show cause
� Recorded hearing to determine whether preponderance of evidence exists to believe violation occurred
� If standard of proof is met, final revocation hearing is scheduled & held separately
� If standard of proof not met, charges are dismissed
Expedited Revocation
� Offenders waive right to preliminary hearing to speed up process (admit wrongdoing)
� Accounts for half of all revocations
Final Revocation Hearing
� Due-process hearing that must be conducted before probation/parole can be provoked
Due Process
� Recognition that laws must be applied in a fair & equal manner
Rights Limited to Offenders
� Right to a hearing & right to attorney
--Not entitled to court-appointed lawyer
� Not entitled to protection against self-incrimination
Revocation for Inability to Pay
� Probationer must show that inability to pay was not willful
--Defendant must show effort & desire to fulfill financial obligations
� Can revoke, even in cases in which offender is not at fault (no willful violation), if not revoking is risk to public safety
--Treatment for sex offender not offered in community, at risk to community without treatment
Probation
(Successful Completion/Termination)
� Most successful: male, older, college graduate
Revocation
(Why It Has Increased)
� Shift from treatment approach, to control approach (lower tolerance)
� Increase in officer caseload & less face-to-face contact with PO
� Increased number of conditions
� Advances in drug testing technology
� With EM, more hardened offenders placed in community
Revocation
(Solutions to Decrease Revocation)
� Using more in-house progressive sanctions
� Decreasing number of conditions offender must follow
� Imposing conditions according to risk level & type of crime
� Rewarding treatment completion & providing incentives for completing financial obligations