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Corrections in the 21st Century
eighth edition
Frank Schmalleger, PhD Distinguished Professor Emeritus
University of North Carolina at Pembroke
John Ortiz Smykla, PhD Director and Professor
Florida Atlantic University
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CORRECTIONS IN THE 21ST CENTURY, EIGHTH EDITION
Published by McGraw-Hill Education, 2 Penn Plaza, New York, NY 10121. Copyright © 2017 by McGraw-Hill Education. All rights reserved. Printed in the United States of America. Previous editions © 2015, 2013, and 2011. No part of this publication may be reproduced or distributed in any form or by any means, or stored in a database or retrieval system, without the prior written consent of McGraw-Hill Education, including, but not limited to, in any network or other electronic storage or transmission, or broadcast for distance learning.
Some ancillaries, including electronic and print components, may not be available to customers outside the United States.
This book is printed on acid-free paper.
1 2 3 4 5 6 7 8 9 LWI 21 20 19 18 17
ISBN 978-1-259-82401-2 MHID 1-259-82401-2
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All credits appearing on page or at the end of the book are considered to be an extension of the copyright page.
Library of Congress Cataloging-in-Publication Data
Names: Schmalleger, Frank, author. | Smykla, John Ortiz, author. Title: Corrections in the 21st century / Frank Schmalleger, PhD, Distinguished Professor Emeritus, University of North Carolina at Pembroke, John Ortiz Smykla, PhD, Distinguished University Professor, University of West Florida. Description: Eighth edition. | New York, NY : McGraw-Hill Education, [2016] Identifiers: LCCN 2016025410 | ISBN 9781259824012 (alk. paper) Subjects: LCSH: Corrections--United States. | Corrections--Vocational guidance--United States. Classification: LCC HV9471 .S36 2016 | DDC 364.6023/73--dc23 LC record available at https://lccn.loc.gov/2016025410
The Internet addresses listed in the text were accurate at the time of publication. The inclusion of a website does not indicate an endorsement by the authors or McGraw-Hill Education, and McGraw-Hill Education does not guarantee the accuracy of the information presented at these sites.
mheducation.com/highered
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{
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dedication For my granddaughters, Ava and Malia —Frank Schmalleger
For my wife, Evelyn, my granddaughter, Harper Grace, and my grandson, Holden Fate —John Smykla
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Frank Schmalleger, PhD, is Distinguished Professor Emeritus at the University of North Carolina at Pembroke.
Dr. Schmalleger holds a bach- elor’s degree from the University of Notre Dame and both a master’s and a doctorate in sociology from
The Ohio State University with a special emphasis in crimi- nology. From 1976 to 1994, he taught criminal justice courses at the University of North Carolina at Pembroke, serving for many years as a tenured full professor. For the last 16 of those years, he chaired the Department of Sociology, Social Work, and Criminal Justice. As an adjunct professor with Webster University in St. Louis, Missouri, Dr. Schmalleger helped develop a graduate program in security management and loss prevention that is currently offered on U.S. military bases around the world. He taught courses in that curricu- lum for more than a decade, focusing primarily on computer and information security. Dr. Schmalleger also has taught in the New School for Social Research online graduate program, helping build the world’s first electronic classrooms for crimi- nal justice distance learning.
Dr. Schmalleger is the author of numerous articles and many books, including Criminal Justice Today (Prentice Hall, 2017), Criminal Justice: A Brief Introduction (Prentice Hall, 2018), Criminology Today (Prentice Hall, 2017), and Criminal Law Today (Prentice Hall, 2016). He is founding editor of the journal Criminal Justice Studies (formerly The Justice Profes- sional) and has served as imprint advisor for Greenwood Pub- lishing Group’s criminal justice reference series.
Dr. Schmalleger is also the creator of a number of award- winning websites (including the former cybrary.info and crimenews.info). He is a member of the Academy of Criminal Justice Sciences, the American Society of Criminology, and the Society of Police Futurists International (where he is a found- ing member). Schmalleger’s author website on Amazon.com can be viewed at www.amazon.com/Frank-Schmalleger/e/ B001IGFLVI. Follow him on Twitter @schmalleger.
John Ortiz Smykla, PhD, is Director and Professor of the School of Criminology and Crimi- nal Justice at Florida Atlantic Uni- versity. He has held appointments at the University of Alabama, the University of South Alabama, and the University of West Florida. He
earned the interdisciplinary social science PhD in criminal justice, sociology, and anthropology from Michigan State University. He holds bachelor’s and master’s degrees in soci- ology from California State University at Northridge.
Dr. Smykla has authored or edited five corrections books, including Probation, Parole, and Community Based Corrections (2013) and Offender Reentry: Rethinking Criminology and Crim- inal Justice (2014). His coauthored data set Executions in the United States, 1608–2003: The Espy File, funded by a grant from the National Science Foundation, is one of the most fre- quently requested criminal justice data files from the Univer- sity of Michigan’s Inter-University Consortium for Political and Social Research.
Dr. Smykla has published more than 50 research articles on corrections and policing issues. He is currently engaged in a five-year study of federal reentry court for the U.S. District Court, Northern District of Florida, and a multi-year investi- gation of police and community perceptions of police-work body cameras. Dr. Smykla has delivered more than 60 confer- ence papers in the United States and abroad. In 1986, he was a Senior Fulbright Scholar in Argentina and Uruguay.
Dr. Smykla is a member of the Academy of Criminal Jus- tice Sciences and the Southern Criminal Justice Association. In 1996, the Southern Criminal Justice Association named him Educator of the Year. In 1997, he served as program chair for the annual meeting of the Academy of Criminal Justice Sciences. In 2000, he served as president of the Southern Criminal Justice Association. In 2010, the University of West Florida named him a Distinguished University Professor.
About the Authors
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PART 1 INTRODUCTION TO CORRECTIONS 1 1 Corrections: An Overview 2
2 Corrections Today: Evidence-Based Corrections and Professionalism 19
3 Sentencing: To Punish or to Reform? 34
PART 2 COMMUNITY CORRECTIONS 69 4 Probation: How Most Offenders Are Punished 70
5 Intermediate Sanctions: Between Probation and Incarceration 95
PART 3 INSTITUTIONAL CORRECTIONS 125 6 Jails: Way Stations Along the Justice Highway 126
7 Prisons Today: Change Stations or Warehouses? 163
8 Parole: Early Release and Reentry 201
PART 4 THE PRISON WORLD 237 9 The Staff World: Managing the Prison Population 238
10 The Inmate World: Living Behind Bars 267
11 The Legal World: Prisoners’ Rights 293
12 Special Prison Populations: Prisoners Who Are Substance Abusers, Who Have HIV/AIDS, Who Are Mentally Challenged, and Who Are Elderly 325
Endnotes EN-1
Glossary G-1
Case Index CI-1
Subject Index SI-1
Brief Contents
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CHAPTER 1
CORRECTIONS An Overview 2
The Corrections Explosion: Where Do We Go Now? 3 Historical Roots of the Corrections Explosion 6 Turning the Corner 6
Correctional Employment 7
Crime and Corrections 8 Measuring Crime 8 The Crime Funnel 10
Corrections and the Criminal Justice System 10 Entering the Correctional System 11 Prosecution and Pretrial Procedure 12 Judicial Procedures 12 Sentencing and Sanctions 13 The Correctional Subsystem 14
Review and Applications 16 Summary 16 Key Terms 16 Questions for Review 17 Thinking Critically About Corrections 17 On-the-Job Decision Making 17
CHAPTER 2
CORRECTIONS TODAY Evidence-Based Corrections and Professionalism 19
Evidence-Based Corrections (EBC) 20 The History of EBC 21
What Is Evidence? 22 How EBP Is Utilized in Corrections 22 The Reach of Evidence-Based Studies in Corrections 24
Professionalism in Corrections 24 Standards and Training 26 Basic Skills and Knowledge 26 Standard-Setting Organizations 28 Education 29
Social Diversity in Corrections 30 Review and Applications 32
Summary 32 Key Terms 32 Questions for Review 32 Thinking Critically About Corrections 32 On-the-Job Decision Making 33
PART 1 INTRODUCTION TO CORRECTIONS 1
Expanded Contents Preface xv
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PART 2 COMMUNITY CORRECTIONS 69
CONTENTS ix
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CHAPTER 3
SENTENCING To Punish or to Reform? 34
Sentencing: Philosophy and Goals 35 Philosophy of Criminal Sentencing 35 The Goals of Sentencing 36
Sentencing Options and Types of Sentences 41 Probation 43 Intermediate Sanctions 43 Jail and Prison 43 Parole 44 Capital Punishment 45
Sentencing Trends and Reforms 58 Reducing Prison Populations and Costs 61
Expand and Strengthen Community Corrections 61 Implement Risk and Needs Assessment 62 Support Prisoner Reentry 62 Make Better Informed Criminal Justice Policy Using Evidence-Based Practices 62
Issues in Sentencing 64 Proportionality 64 Equity 65 Individualization 65 Parsimony 65
Review and Applications 65 Summary 65 Key Terms 66 Questions for Review 67 Thinking Critically About Corrections 67 On-the-Job Decision Making 67
CHAPTER 4
PROBATION How Most Offenders Are Punished 70
Probation 71 Reasons for and Goals of Probation 71 History of Probation 75
Characteristics of Adults on Probation 76 Who Administers Probation? 77 Does Probation Work? 79
What Probation Officers Do 82 Case Investigation 82 Supervision 85 Revocation of Probation 90
Review and Applications 93 Summary 93 Key Terms 94 Questions for Review 94 Thinking Critically About Corrections 94 On-the-Job Decision Making 94
CHAPTER 5
INTERMEDIATE SANCTIONS Between Probation and Incarceration 95
Intermediate Sanctions 96 Value of Intermediate Sanctions 97 Varieties of Intermediate Sanctions 99
Community Corrections 118 Community Corrections Acts 118
Review and Applications 122 Summary 122 Key Terms 123 Questions for Review 123 Thinking Critically About Corrections 123 On-the-Job Decision Making 123
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PART 3 INSTITUTIONAL CORRECTIONS 125
x CONTENTS
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CHAPTER 6
JAILS Way Stations Along the Justice Highway 126
Bail and Pretrial Release in the United States 127 Concerns over Money for Bail 128
Effective Alternatives to Monetary Bail 129
Purpose of Jails 130 Jails in History 132
First Jail in the United States 133 Architecture and Inmate Management 133
Characteristics of Jail Inmates and Facilities 137
Jail Inmates 137 Suicide, Homicide, Sexual Victimization, and Jail Populations 145 Jail Facilities 148
Jail Issues 152 Privatization 152 Jail Reentry (Begins at Entry) 153 Jail Standards, Inspection, and Accreditation 156 Evidence-Based Practices 158
Prisoners Confined in Jail and California’s Realignment 159 Review and Applications 160
Summary 160 Key Terms 161 Questions for Review 161 Thinking Critically About Corrections 162 On-the-Job Decision Making 162
CHAPTER 7
PRISONS TODAY Change Stations or Warehouses? 163
History of Prisons in America 164 Who Is in Prison Today? 168
Privately Operated Prisons 169 Gender 170 Race 172 Age 173 Most Serious Offense 174
Inmate Work and Education 174 Work Assignments 174 Education Programs 177
Prison Organization and Administration 180 State Prison Systems 181 Federal Bureau of Prisons 183 Prison Security Levels 184
Overcrowding 188 Reasons for Prison Overcrowding 188
Supermax Housing 189 Technocorrections 193
Communication 193 Offender and Officer Tracking and Recognition 195 Detection 197 Implementation 197
Review and Applications 198 Summary 198 Key Terms 199 Questions for Review 199 Thinking Critically About Corrections 199 On-the-Job Decision Making 200
CHAPTER 8
PAROLE Early Release and Reentry 201
Parole as Part of the Criminal Justice System 202
Historical Overview 203 Reentry 207
Characteristics of Parolees 222 Parole Supervision: What Works? 223
Issues in Parole 224 Can Parolees Vote? 225 Reentry Courts 226 Reintegration Involving Victims 227 Abolition of Discretionary Parole Board Release 229 Prisoner Reentry and Community Policing 230 Community-Focused Parole 231
Review and Applications 234 Summary 234 Key Terms 234 Questions for Review 235 Thinking Critically About Corrections 235 On-the-Job Decision Making 235
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PART 4 THE PRISON WORLD 237
CHAPTER 9
THE STAFF WORLD Managing the Prison Population 238
The Staff Hierarchy 239 The Correctional Officer— The Crucial Professional 241
Bases of Power 241 The Staff Subculture 242 Correctional Officers’ Characteristics and Pay 244 Correctional Officer Personalities 245
Correctional Officer Job Assignments 247 Correctional Staff Issues 248
Gender and Staffing 248 Stress 251 Staff Safety 254 Job Satisfaction 254 Professionalism 256 Officer Corruption 258 Fraternization with Inmates 260
The Impact of Terrorism on Corrections 260 Anti-Terrorism Planning 262
Review and Applications 264 Summary 264 Key Terms 264 Questions for Review 265 Thinking Critically About Corrections 265 On-the-Job Decision Making 266
CHAPTER 10
THE INMATE WORLD Living Behind Bars 267
Men in Prison 268 What Is the Inmate Subculture? 269 How Does an Inmate Subculture Form? 270 Norms and Values of Prison Society 271
Prison Argot—The Language of Confinement 272 Social Structure in Men’s Prisons 272 Adapting to Prison Life 276 Sexuality in Men’s Prisons 276
Women in Prison 279 Characteristics of Women Inmates 281 Offenses of Incarcerated Women 282 Social Structure in Women’s Prisons 283 Pseudofamilies and Sexual Liaisons 285 Special Needs of Female Inmates 286 Mothers in Prison 287 Cocorrectional Facilities 290
Review and Applications 291 Summary 291 Key Terms 291 Questions for Review 291 Thinking Critically About Corrections 292 On-the-Job Decision Making 292
CHAPTER 11
THE LEGAL WORLD Prisoners’ Rights 293
The Hands-Off Doctrine 294 Decline of the Hands-Off Doctrine 295
Prisoners’ Rights 297 Legal Foundations 297
Mechanisms for Securing Prisoners’ Rights 298 Inmate Grievance Procedures 301
The Prisoners’ Rights Era (1970–1991) 302 First Amendment 302 Fourth Amendment 308 Eighth Amendment 310 Fourteenth Amendment 312 End of the Prisoners’ Rights Era 315
Female Inmates and the Courts 319 The Cases 319
Correctional Officer Civil Liability and Inmate Lawsuits 321 Review and Applications 322
Summary 322 Key Terms 322 Questions for Review 323 Thinking Critically About Corrections 323 On-the-Job Decision Making 323
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xii CONTENTS
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CHAPTER 12
SPECIAL PRISON POPULATIONS Prisoners Who Are Substance Abusers, Who Have HIV/ AIDS, Who Are Mentally Challenged, and Who Are Elderly 325
Inmates with Special Needs 326 Substance-Abusing Inmates 327 HIV-Positive and AIDS Inmates 331 Inmates with Mental Illness 334 Older Inmates 338
Sexually Transmitted Diseases in Jail 343
Legal Issues 343 Inmates with Disabilities 344 Inmates with HIV/AIDS 344 Inmates with Mental Illness 344
Review and Applications 345 Summary 345 Key Terms 346 Questions for Review 346 Thinking Critically About Corrections 346 On-the-Job Decision Making 346
Endnotes EN-1 Glossary G-1 Case Index CI-1 Subject Index SI-1
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CAREER PROFILES
Boxed Features
CHAPTER 2
Rhianna Johnson Education Director, Larch Corrections Center, Yacolt, Washington 30
CHAPTER 4
Clarissa Grissette U.S. Probation Officer, U.S. District Court, Middle District of Florida, Tampa, Florida 81
CHAPTER 5
Corey Fleetion Manager of the Escambia County Work Release Program, Pensacola, Florida 109
CHAPTER 6
Jill M. Fuller Case Manager, Post-Release Services—The GEO Group Inc., Boca Raton, Florida 153
CHAPTER 9
First Lieutenant Gary F. Cornelius Programs Director, Fairfax County Adult Detention Center, Fairfax County Office of the Sheriff, Fairfax, Virginia 246
CHAPTER 12
Jose M. Ortiz-Cruz Correctional Deputy First Class, Charlotte County Sheriff’s Office, Punta Gorda, Florida 337
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xiv BOXED FEATURES
CHAPTER 2
American Correctional Association Code of Ethics 27
CHAPTER 4
United States Probation and Pretrial Services 84
CHAPTER 5
International Community Corrections Association Code of Ethics 121
CHAPTER 6
Code of Ethics for Jail Officers 157
CHAPTER 8
American Probation and Parole Association Code of Ethics 224
CHAPTER 9
International Association of Correctional Officers: The Correctional Officer’s Creed 257
ETHICS AND PROFESSIONALISM
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xv
PREFACE Corrections, when seen as the control and punishment of convicted offenders, has been an important part of organized society from the earliest days of civilization. It has not always had a proud past, however. In pre- modern times, atrocious physical punishment, exile, and unspeakable torture were the tools used all too often by those called upon to enforce society’s correc- tional philosophies—especially the strongly felt need for vengeance.
Important changes in correctional practice began around the time of the American Revolution when the purposes of criminal punishments were closely exam- ined by influential reformers. More recently, correc- tions has become an important field of study in which scientific techniques are valued and reasoned debate is encouraged.
The best, however, is yet to come. Only within the past 30 years have conscientious corrections practi- tioners begun to embrace the notion of professionalism— wherein ethics, a sense of high purpose, a personal long- term career commitment, a respect for the fundamental humanity of those supervised, and widely agreed-upon principles and standards guide the daily work of correc- tional personnel. Corrections professionalism, although not yet as well known as police professionalism, has gar- nered support from policymakers and is winning respect among the public. It serves as this textbook’s organizing principle.
Corrections in the 21st Century:
• provides an in-depth look at the past, present, and future of corrections;
• identifies the many subcomponents of modern-day corrections;
• highlights the process of modern-day corrections; • focuses on the issues facing the correctional
enterprise today;
• provides an appreciation for contemporary real- world correctional practice;
• examines the opportunities represented by new and developing corrections technologies; and
• points students in the direction of the still- emerging ideal of corrections professionalism.
It is our belief that a new age of corrections is upon us. It is an age in which the lofty goals of corrections professionalism will take their place alongside the more traditional components of a still-developing field. It is our hope that this textbook will play at least some small
part in helping bring about a new and bet-ter correc- tional enterprise—one that is reasonable and equitable to all involved in the justice process.
THE EIGHTH EDITION The following changes have been made in the Eighth Edition of Corrections in the 21st Century to better focus reader attention on the key learning materials in each chapter:
• Web-based instructional videos featuring the authors, and emphasizing key learning points are now available.
• Text shortened from 16 to 12 chapters to coincide with academic schedules. Now available in a concise and focused paperback version (among other formats).
• Enhancement of the photo program to better grab student interest and draw readers into the text.
• Integration of additional evidence-based information throughout the book and frequent citation of the literature relating to such practices.
• A number of new stories, many focusing on what’s happening internationally in corrections, now open the chapters.
• Incorporation of reviews of the most recent data and literature throughout.
• Updates to statistics and data throughout the book. Significant chapter-specific content changes include
the following:
Chapter 1 • New chapter-opening story. • New web-based videos featuring the authors have
been added to the chapter. They are entitled Introduction to Corrections and The Corrections Explosion.
• Exploration of reasons for the rapid growth of incarceration in the United States.
• “Mass incarceration” added to the chapter as a key term.
• Discussion of some of the findings of the Charles Colson Task Force on Federal Corrections.
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xvi PREFACE
• Updated data on correctional employment. • Shortened, more focused chapter.
Chapter 2 • New title, Corrections Today, with a focus on
professionalism and evidence-based corrections.
• Discussion of social diversity and issues of race, gender, and ethnicity.
• New web-based videos featuring the authors have been added to the chapter. They are entitled Evidence-based Corrections and Corrections Professionalism.
• A new careers box featuring Rhianna Johnson, the education director at a minimum security male prison in Washington state.
Chapter 3 • New chapter incorporating the continuum of
sentencing, including death (formerly Chapter 15).
• New chapter-opening story. • New web-based videos featuring the authors have
been added to the chapter. They are entitled Sentencing Goals and Capital Punishment.
• New graphics to improve the chapter’s visual appeal.
• New Career Profile of a federal prison warden. Incorporation of updated data and statistics throughout the chapter and inclusion of line art.
• New materials on sentencing options and types of sentences.
• New QR codes that direct students to videos and podcasts to extend the ideas discussed in the chapter.
• Latest data on the characteristics of persons on death row.
• Updated material on states with and without the death penalty, victim race, public opinion, and methods of execution.
• Updated material on fairness in sentencing. • Updated end-of-chapter exercises.
Chapter 4 • A new web-based video featuring the authors
has been added to the chapter. It is entitled Probation.
• Revised chapter title and new chapter-opening story.
• Significantly shortened chapter. • Latest data on the characteristics of adults on
probation.
• Information on the movement to privatize probation and charging offenders supervision fees.
• Career profile of a federal probation officer. • New QR codes that direct students to videos and
pod casts to extend the ideas discussed in the chapter.
Chapter 5 • New chapter-opening story. • Significantly shortened chapter. • Evidence-based findings on intermediate
sanctions updated and new exhibit on notable fines and penalties charged to corporations.
• New web-based videos featuring the authors have been added to the chapter. They are entitled Intermediate Sanctions and Day Fines.
• New QR codes that direct students to videos and podcasts to extend the ideas discussed in the chapter.
• Expanded coverage on the new types of drug courts: veterans treatment court, DWI court, family drug court, reentry court, juvenile drug court, reentry drug court, tribal healing to wellness court, and the Back to TRAC clinical justice model.
• New coverage on how the fiscal crisis is influencing governors’ and legislators’ interest in intermediate sanctions.
Chapter 6 • New web-based videos featuring the authors have
been added to the chapter. They are entitled Jails and Jail Privatization.
• New chapter-opening story. • Significantly shortened chapter. • Expanded coverage of bail release options. • New research from the Justice Policy Institute
that discusses the unintended negative consequences of building newer and bigger jails.
• Latest data on the characteristics of jail inmates and facilities.
• New exhibit of 10 facts about women in jails. • New exhibit on the benefits of CIT. • New exhibit on arguments favoring and opposing
pay-to-stay jail programs.
• Revised discussion of the most recent data on the decline in the jail suicide rate.
• U.S. Department of Justice updated research on the prevalence of sexual victimization in the nation’s jails.
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PREFACE xvii
• New QR codes that direct students to videos and podcasts to extend the ideas discussed in the chapter.
• Data revision on jails: occupancy, number of public versus private, and size, location, and budgets.
• Updated material on California’s Realignment. • Updated discussion of promising approaches to
reentry well suited to the jail setting.
• Revised research on jail industry programs making headlines around the country.
Chapter 7 • New web-based videos featuring the authors have
been added to the chapter. They are entitled Prison Industries and Prison Overcrowding.
• New and significantly shortened chapter merging Chapters 7 and 13.
• New chapter-opening story. • Updated coverage of the effect of cuts in
corrections budgets on personnel, salaries, benefits, overtime, programs, facilities, and services and how states are turning to evidence-based practices, the federal Second Chance Act, drug courts, veterans courts, reentry courts, technology, and assistance from professional associations and advocacy groups for guidance on the effective use of the funds they have.
• Latest data on characteristics of adults under jurisdiction of state and federal prisons.
• Revised discussion of how the movement in EBC and the economic downturn have caused a decline in state prison populations.
• New QR codes that direct students to videos and podcasts to extend the ideas discussed in the chapter.
• New research on states with the most expensive prisoners.
• Updated data on the cost of state and federal incarceration.
• Updated discussion of states’ use of Justice Reinvestment.
• Expanded coverage of inmates’ use of cell phones in prison, including new policies to curb their use and new federal legislation making it a felony for inmates to possess them or a wireless device.
• Expanded coverage of the use of security technology to recognize, track, and detect prison offenders and officers and added discussion of the overuse of “virtual visiting.”
• Introduction of the Solitary Confinement Study and Reform Act of 2015 to reform the practice of solitary confinement in the U.S. federal prison system.
• New end-of-chapter review material.
Chapter 8 • New web-based videos featuring the authors have
been added to the chapter. They are entitled Parole and Reentry and Parole: The Good and the Bad.
• New chapter-opening story. • Chapter significantly shortened. • Updated material in response to the
economic crisis on how states are handling technical violations of the formerly incarcerated.
• New exhibit summarizing Second Chance Act offender reentry demonstration projects.
• New coverage of the principles and programs for successful reentry from corrections scholars Jeremy Travis, Ed Latessa, and Elizabeth Gaynes.
• Expanded coverage on the needs of prisoners returning to their communities, “ban the box,” and the Second Chance Act.
• New coverage of the National Institute of Corrections tool for structured decision making to serve as an aid in determining parole prognosis (potential risk of parole violation).
• New research on reentry problems for black women.
• New QR codes that direct students to videos and podcasts to extend the ideas discussed in the chapter.
• New exhibit and discussion of the signs that as mandatory minimum sentences and three- strikes laws are rolled back, parole boards might reemerge with more power.
• Revised and expanded analysis of the important topic of what works for parole supervision.
• Latest data on characteristics of adults on parole are included.
• Updated and expanded coverage on the question, “Can parolees vote?”
• New material on reentry court evaluations noting the randomized study being conducted for the U.S. District Court for the Northern District of Florida, the only one of its kind in the United States.
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xviii PREFACE
Chapter 9 • New web-based videos featuring the authors have
been added to the chapter. They are entitled Staff Subculture and Prisoner Radicalization.
• New chapter-opening story on the Pew Charitable Trusts reporting on the shortage of qualified correctional officers across the country.
• New exhibit detailing correctional officer pay in various jurisdictions and showing that many COs can earn substantially more than their base pay through overtime work.
• Revised and expanded section on correctional officer stress to include discussion of the Desert Waters Correctional Outreach organization.
• New section on “Fraternization with Inmates,” using the case of Joyce Mitchell (from New York) as an illustration.
Chapter 10 • Revised chapter-opening story. • Updated data reported under the federal
Survey of Sexual Victimization in correctional facilities.
• New web-based videos featuring the authors have been added to the chapter. They are entitled Inmate Subculture and Inmate Roles.
• Updated data on imprisoned women and the growth of women’s imprisonment.
• New figure showing the increase in women’s incarceration.
• “Gender-responsiveness” added and defined as a key term.
Chapter 11 • Discussion of a new U.S. Supreme Court case,
Holt v. Hobbs (2015), involving an inmate’s claims for permitted religious practice.
• A new web-based video featuring the authors has been added to the chapter. It is entitled Prisoner Rights.
• Discussion of an older case, that of Sostre v. McGinnis (1964), to illustrate the historical “hands-off” approach characteristic of federal courts prior to the 1970s.
• New photos added to enhance the visual appeal of the chapter.
Chapter 12 • New chapter-opening story. • Significantly shortened chapter. • Updated coverage on how states are addressing
the health care needs of special-needs inmates.
• Latest data on the prevalence of HIV in prison.
• New career profile of Jose Ortiz-Cruz, Programs Coordinator for the Charlotte County Sheriff’s Office, Punta Gorda, Florida.
• Key findings from the American Correctional Association’s survey of inmate mental health care.
• Latest data on the characteristics of older inmates (the “silver tsunami” of aging prisoners) and new discussion of why states are not using their compassionate, medical, or geriatric prisoner release laws.
• New QR codes that direct students to videos and podcasts to extend the ideas discussed in the chapter.
ORGANIZATION The Eighth Edition of Corrections in the 21st Century has been shortened to better reflect aspects of the correc- tional process. Chapters are grouped into four parts, each of which is described in detail in the following paragraphs.
Part One, “Introduction to Corrections,” provides an understanding of corrections by explaining the prob- lem of mass incarceration and the goals underlying the correctional enterprise and by describing the how and why of criminal punishments. Part One identifies professionalism as the key to managing correctional personnel, facilities, and populations successfully. Standard-setting organizations such as the American Correctional Association, the American Jail Associa- tion, the American Probation and Parole Association, and the National Commission on Correctional Health Care are identified, and the importance of professional ethics for correctional occupations and correctional administrators is emphasized.
Part Two, “Community Corrections,” explains what happens to most convicted offenders, including diver- sion (the suspension of formal criminal proceedings before conviction in exchange for the defendant’s par- ticipation in treatment), probation, and intermediate sanctions.
Part Three, “Institutional Corrections,” provides a detailed description of jails, prisons, and parole. The reentry challenges facing inmates released from prisons are explained. Education, vocational preparation, and drug treatment programs that are intended to prevent reoffending also are explored.
Part Four, “The Prison World” provides an over- view of life inside prison from the points of view of both inmates and staff. Part Four also describes the responsibilities and challenges surrounding the staff role. Chapter 12 focuses attention on special correc- tional populations, including inmates who are elderly, have HIV/AIDS, are substance abusers, and are mentally and physically challenged. We have chosen
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PREFACE xix
to integrate our coverage of women in corrections— including information about the important NIC report titled “Gender Responsive Strategies: Research, Prac- tice, and Guiding Principles for Women Offenders”— throughout the body of the text rather than isolating it in Chapter 12.
PEDAGOGICAL AIDS Working together, the authors and editor have devel- oped a learning system designed to help students excel in the corrections course. In addition to the many changes already mentioned, we have included a wealth of new photographs to make the book even more invit- ing and relevant.
To this same end, our real-world chapter-opening vignettes give the material a fresh flavor intended to motivate students to read on; our photo captions, which raise thought-provoking questions, actively engage stu- dents in the learning process. Carefully updated tables and figures highlight and amplify the text coverage. And chapter outlines, objectives, and reviews, plus marginal definitions and an end-of-book glossary, all help students master the material.
The Schmalleger/Smykla learning system goes well beyond these essential tools, however. As mentioned, Corrections in the 21st Century offers a unique emphasis on corrections professionalism, an emphasis that has prompted us to create a number of innovative learning tools that focus on the real world of corrections:
• A concentration on Evidence-Based Corrections— What actually works in correctional settings? that is, what correctional programs are effective in reducing recidivism and in preventing future crimes? Evidence-based corrections is an exciting new development in the corrections field, and a number of agencies, institutions, and organizations now emphasize the use of scientific evidence. Evidence-based policy, which builds on evidence-based corrections, is an approach that helps people make well-informed decisions about policies and programs by putting the best available evidence from research at the heart of policy development and implementation.
• Career Profiles—enlightening minibiographies of corrections professionals, such as a parole officer, a victims’ advocate, a corrections officer, a youth counselor, and a substance abuse manager.
• Economic Realities and Corrections–boxes throughout the text to recognize budgetary constraints affecting correctional agencies nationwide, highlighting innovative evidence- based practices demonstrating “what works.”
• Ethics and Professionalism—boxes that highlight ethical codes and critical concerns
from America’s premier corrections-related professional associations. Included are features from the American Correctional Association, the American Jail Association, the American Probation and Parole Association, International Association of Community Corrections, the International Association of Correctional Training Personnel, National Association of Pretrial Services Agencies, and others. Included in each Ethics and Professionalism box are author-created Ethical Dilemmas, which present students with ethical questions from the corrections field and guide them to an insightful resolution. Ethical Dilemmas are supplemented with web-based resources maintained by the authors and specifically selected to help students navigate particular ethics-related issues.
• CrimeSolutions.Gov - boxes that use the National Institute of Justice’s research to rate the effectiveness of programs and practices in achieving criminal justice related outcomes in order to inform practitioners and policy makers about what works, what doesn’t, and what’s promising in criminal justice.
In addition to the features we have developed to further our goal of creating a uniquely practical, pro- fessionally oriented text, we also have included end- of-chapter review material to help students master the concepts and principles developed in the chapter:
• Chapter Summary—a valuable learning tool organized into sections that mirror the chapter- opening objectives exactly; the summary restates all of the chapter’s most critical points.
• Key Terms—a comprehensive list of the terms defined in the margins of the chapter, complete with page references to make it easy for students to go back and review further.
• Questions for Review—objective study questions (exactly mirroring the chapter-opening objectives and summary) that allow students to test their knowledge and prepare for exams.
• Thinking Critically About Corrections—broad- based questions that challenge students to think critically about chapter concepts and issues.
• On-the-Job Decision Making—unique experiential exercises that enable students to apply what they have learned in the chapter to the daily work of correctional personnel.
• QR Codes—unique machine-readable codes in every chapter directing students to videos and podcasts that extend the ideas discussed in the chapter, providing a truly interactive learning experience.
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McGraw-Hill Connect® Learn Without Limits Connect is a teaching and learning platform that is proven to deliver better results for students and instructors.
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Connect Insight® Connect Insight is Connect’s new one- of-a-kind visual analytics dashboard that provides at-a-glance information regarding student performance, which is immediately actionable. By presenting assignment, assessment, and topical performance results together with a time metric that is easily visible for aggregate or individual results, Connect Insight gives the user the ability to take a just-in-time approach to teaching and learning, which was never before available. Connect Insight presents data that helps instructors improve class performance in a way that is efficient and effective.
73% of instructors who use Connect require it; instructor
satisfaction increases by 28% when Connect is required.
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Using Connect improves retention rates by 19.8%, passing rates by 12.7%, and exam scores by 9.1%.
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SmartBook® Proven to help students improve grades and study more efficiently, SmartBook contains the same content within the print book, but actively tailors that content to the needs of the individual. SmartBook’s adaptive technology provides precise, personalized instruction on what the student should do next, guiding the student to master and remember key concepts, targeting gaps in knowledge and offering customized feedback, and driving the student toward comprehension and retention of the subject matter. Available on tablets, SmartBook puts learning at the student’s fingertips—anywhere, anytime.
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xxii PREFACE
The Eighth Edition of Corrections in the 21th Century is now available online with Connect, McGraw-Hill Education’s integrated assignment and assessment platform. Connect also offers SmartBook for the new edition, which is the first adaptive reading experience proven to improve grades and help students study more effectively. All of the title’s website and ancillary content is also available through Connect, including:
• A full Test Bank of multiple choice questions that test students on central concepts and ideas in each chapter.
• An Instructor’s Manual for each chapter with full chapter outlines, sample test questions, and discussion topics.
• Lecture Slides for instructor use in class. • Web-based instructional videos featuring the
authors, and emphasizing key concepts.
IN APPRECIATION Writing a textbook requires a great deal of help and sup- port. We gratefully acknowledge the contributions of the following individuals who helped in the develop- ment of this textbook.
Steve Abrams, Ret. California Department of Corrections and
Rehabilitation Santa Rosa, California
Stanley E. Adelman University of Arkansas School of Law Little Rock, Arkansas University of Tulsa College of Law Tulsa, Oklahoma
Colleen Andrews Ozarks Technical Community College Springfield, Missouri
Cassandra Atkin-Plunk Florida Atlantic University Boca Raton, Florida
John Augustine Triton College River Grove, Illinois
Tom Austin, Ret. Shippensburg University Shippensburg, Pennsylvania
Ken Barnes Arizona Western College Yuma, Arizona
Jeri Barnett Virginia Western Community College Roanoke, Virginia
Rose Johnson Bigler Curry College Milton, Massachusetts
Kathy J. Black-Dennis University of Louisville Louisville, Kentucky
Robert Bohm, Ret. University of Central Florida Orlando, Florida
Paul Bowdre SUNY Canton Canton, New York
David A. Bowers Jr. University of South Alabama Mobile, Alabama
Greg Brown Westwood College of Technology Denver, Colorado
David C. Cannon Henry Ford College Dearborn, Michigan
David E. Carter Southern Oregon University Ashland, Oregon
Jason Clark-Miller Tarrant County College Fort Worth, Texas
Lonnie DePriest Albany Technical College Albany, Georgia
Kenneth L. Done Coahoma Community College Clarksdale, Mississippi
Vicky Dorworth Montgomery College Rockville, Maryland
Carrie L. Dunson Central Missouri State University Warrensburg, Missouri
Michael Earll Western Technical College La Crosse, Wisconsin
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PREFACE xxiii
Hilary Estes Southern Illinois University, Carbondale Carbondale, Illinois
Robert Figlestahler Eastern Kentucky University Richmond, Kentucky
Lynn Fortney, Ret. EBSCO Subscription Services Birmingham, Alabama
Harold A. Frossard Moraine Valley Community College Palos Hills, Illinois
Michelle Furlow Moraine Valley Community College Palos Hills, Illinois
Don Drennon Gala Federal Bureau of Prisons Atlanta, Georgia
Donna Hale Ret. Shippensburg University Shippensburg, Pennsylvania
Homer C. Hawkins Michigan State University East Lansing, Michigan
Nancy L. Hogan Ferris State University Big Rapids, Michigan
Ronald G. Iacovetta Wichita State University Wichita, Kansas
Connie Ireland California State University, Long Beach Long Beach, California
James L. Jengeleski. Ret. Shippensburg University Shippensburg, Pennyslvania
Brad Johnson Atlanta, Georgia
Kathrine Johnson University of West Florida Ft. Walton Beach, Florida
John Calvin Jones North Carolina A&T State University Greensboro, North Carolina
Kay King Johnson County Community College Overland Park, Kansas
Mike Klemp-North Ferris State University Big Rapids, Michigan
Julius Koefoed Kirkwood Community College Cedar Rapids, Iowa
Michael Kwan Salt Lake Community College Taylorsville, Utah
James Lasley California State University, Fullerton Fullerton, California
Walter B. Lewis St. Louis Community College at Meramec Kirkwood, Missouri
Shelley Listwan Kent State University Kent, Ohio
Jess Maghan Forum for Comparative Correction Chester, Connecticut
Preston S. Marks Keiser University
Laurie A. Michelman Cayuga Community College Auburn, New York
Rosie Miller Coahoma Community College Clarksdale, Mississippi
Alvin Mitchell Delgado Community College New Orleans, Louisiana
Etta Morgan Pennsylvania State University Capital College, Pennsylvania
Kathleen Nicolaides University of North Carolina, Charlotte Charlotte, North Carolina
Sarah Nordin Solano Community College Suisun City, California
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xxiv PREFACE
Michael F. Perna Broome Community College Binghamton, New York
Terry L. Pippin College of Southern Nevada Henderson, Nevada
Lisa Pitts Washburn University Topeka, Kansas
Scott Plutchak University of Alabama at Birmingham Birmingham, Alabama
Bobby B. Polk Metropolitan Community College Omaha, Nebraska
Wayne D. Posner East Los Angeles College Monterey Park, California
Melissa L. Ricketts Shippensburg University Shippensburg, Pennsylvania
Barbara R. Russo Wayne Community College Goldsboro, North Carolina
John Sloan University of Alabama at Birmingham Birmingham, Alabama
Larry E. Spencer Alabama State University Montgomery, Alabama
Anthony C. Trevelino Camden County College Blackwood, New Jersey
Sheryl Van Horne Radford University Radford, Virginia
Shela R. Van Ness University of Tennessee at Chattanooga Chattanooga, Tennessee
Gennaro F. Vito University of Louisville Louisville, Kentucky
Brenda Vos University of North Florida Jacksonville, Florida
Kiesha Warren-Gordon Ball State University Muncie, Indiana
Anthony White Illinois Central College East Peoria, Illinois
Earl White Illinois Central College Peoria, Illinois
Ed Whittle Florida Metropolitan University at
Tampa College Tampa, Florida
Beth Wiersma University of Nebraska at Kearney Kearney, Nebraska
Robert R. Wiggins Cedarville College Cedarville, Ohio
Jeffrey Zack Fayetteville Technical Community College Fayetteville, North Carolina
Kristen M. Zgoba Rutgers University Piscataway, New Jersey
Dawn Zobel Federal Bureau of Prisons Alderson, West Virginia
Finally, we want to acknowledge the special debt that we owe to the McGraw-Hill team, including brand manager Penina Braffman for keeping the project on track; marketing manager Meredith Leo for seeing value in this textbook; the developmental editing team at ansrsource for their attention to the many day-to- day details that a project like this entails; project man- ager Heather Ervolino; buyer Susan K. Culbertson; full- service project manager Suresh Rajamoni; con- tent licensing specialist Lori Slattery; photo researcher LouAnn Wilson; copy editor Sue Nodine; and indexer Judy Lyon Davis. The professional vision, guidance, and support of these dedicated professionals helped bring this project to fruition. A hearty “thank you” to all.
Frank Schmalleger
John Smykla
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PART
[1]
Part One develops an understanding of corrections by examining the purposes of corrections and by describing the forces molding contemporary corrections.
Today, crime rates are falling but the number of people under correctional supervision (on probation or parole or in jail or prison) has only started to decline from historical highs. Get-tough-on-crime attitudes, the War on Drugs, and the reduc- tion in the use of discretionary parole releases explain what some have seen as
the overuse of imprisonment in the past two decades. The current period of mass incarceration is the result.
Professionalism is the key to effectively managing correctional populations—and that is especially true today in today’s mass incarceration era. Standard-setting organi- zations such as the American Correctional Association, the American Jail Association, the American Probation and Parole Asso- ciation, and the National Commission on Correctional Health Care offer detailed sets
of written principles for correctional occu- pations and correc- tional administrators.
Nevertheless, pro- fessional credential- ing in corrections is relatively new.
The professional nature of corrections is also seen in the way sanctions are
developed. From a time when theory and practice advocated indeterminate sen- tences to the legislatively mandated deter- minate sentences of today, correctional decision makers have had to use their knowledge of human behavior, philoso- phy, and law to construct sanctions that are fair and just. The correctional goals of retribution, just deserts, deterrence, inca- pacitation, rehabilitation, and restoration have produced the sanctions of probation, intermediate sanctions, jail, prison, parole, and capital punishment.
Part One also discusses evidence-based corrections (EBC) or the use of social sci- entific techniques to determine the most workable and cost-effective programs and initiatives. Choosing the best programs means understanding the political, social, economic, human, and moral consequences of crime control. For that reason, correc- tions is a field in which complex decision making requires the skills of trained profes- sional staff and administrators.
Introduction to Corrections
© Photo by Scott Olson/Getty Images
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CHAPTER OBJECTIVES After completing this chapter
you should be able to do the following:
1 Describe the corrections explosion of the past 40 years, including the recent leveling off of correctional populations.
2 Describe how crime is measured in the United States, and list the kinds of crimes that cause people to enter correctional programs and institutions.
3 List and describe the various components of the criminal justice system, including the major components of the corrections subsystem.
CORRECTIONS An Overview
© Michael Macor/San Francisco Chronicle/Corbis
“The growth in incarceration rates in the United States over the past 40 years is historically unprecedented and internationally unique. —National Research Council, 2014“
[1]
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3
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In 2015, a drone dropped a package of heroin, marijuana, and tobacco into the prison yard at Ohio’s Mansfield Correctional Institution,
leading to a fight between as many as 75 inmates who struggled over the drugs.
The drone, which was captured on security cameras, flew off and disappeared—
leaving investigators few clues about where it originated.1
Drone-delivered contraband is just one of the many
issues facing correctional administrators today. In a typical
year, for example, inmates across the country file around
175,000 fraudulent income tax returns, claiming refunds
totaling more than $2.5 billion.2
Similarly, prisoners’ use of outlawed cell phones to
make calls from inside of correctional institutions has grown
exponentially as the number of phones in general circulation
has expanded. Recently, for example, California correctional
officers seized nearly 6,000 banned cell phones from the state’s prisoners, while
officials with Maryland’s Department of Public Safety and Correctional Services
confiscated over 3,600 cell phones in the past three years.3
Drug-dropping drones, illicit cell phone usage, fraudulent tax return filing, and
similar other outlawed4 activities that occur behind prison bars illustrate the close
connection that inmates retain to the outside society, and raise the question, “Do
prisons really make us safe?”5 What about other corrections programs, such as
probation, parole, jails, alternative sentencing programs, and institutions for
juvenile offenders? If they make our society a safer place in which to live, then
the recent and rapid growth in correctional populations that took place over the
past 30 years—and which is discussed in the next section of this chapter—is
understandable. If they don’t contribute much to safety and security, however,
then we must look elsewhere to understand why such rapid growth occurred.
THE CORRECTIONS EXPLOSION: WHERE DO WE GO NOW? One amazing fact stands out from all the contemporary information about corrections: While serious crime in the United States consistently declined throughout much of the 1990s, and while such declines contin- ued into the first decades of the 21st century, the number of people under correctional supervision in this country—not just the number of convicted offenders sent to prison—continued to climb, and only started to level off after 2010. Crime rates are approximately 20 percent lower today than they were in 1980. In fact, they are near their lowest level in 25 years.
CO1-1
A remote-controlled drone. How do drones illustrate some of the problems that prison administrators face today? © Doxieone Photography/Getty Images RF
Please read the National Research Council’s 2014 report, The Growth of Incarceration in the United States: Exploring Causes and Conse- quences, at http://www.nap.edu/read/18613/ chapter/1#ii, or scan this code with the QR app on your smartphone or digital device to view it.
The Guardian, “Drone’s Heroin Delivery to Ohio Prison Yard Prompts Fights Among Inmates” http://www.theguardian.com/us-news/2015/aug/04/drone-drug-delivery-ohio-prison-fight- heroin-marijuana-tobacco
Introduction to Corrections
The Corrections Explosion
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4 PART 1 Introduction to Corrections
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But the number of people on probation is up almost 300 percent since 1980, the nation’s prison population has increased by more than 400 percent, and the number of persons on parole more than doubled. Between 1980 and 2014, the federal imprisonment rate increased 500 percent, from 11 inmates for every 100,000 U.S. residents to 68. During the same period, annual spending on the federal prison system rose 600 percent, from $970 million to more than $6.7 billion in inflation-adjusted dollars. Prison expenditures grew from 14 percent of the Justice Department’s total outlays to 23 percent.6 States, like the federal government, recorded sharp increases in incarcera- tion and corrections costs over the past three decades. However, between 2007 and 2015, some states made research-driven policy changes to con- trol prison growth, reduce recidivism, and contain costs. While the fed- eral imprisonment rate continued to rise during that period, the state rate declined slightly. Numbers like these show that we live in an era of mass incarceration, and the provision of correctional services of all kinds has become a major strain on governments at all levels. Exhibit 1–1 illustrates trends in national prison populations.
The question is, Why? Why did the correctional population increase so dramatically in the face of declining crime rates? And why is the United States now in the midst of an era of mass incarceration? The answer to these questions, like the answers to most societal enigmas, is far from simple, and it has a number of dimensions.
First, it is important to recognize that get-tough-on-crime laws, such as the three-strikes (and two-strikes) laws that were enacted in many states in the mid-1990s, fueled rapid increases in prison populations. The conser- vative attitudes that gave birth to those laws are still with us, and most of the increase in state prison populations has come from imprisoning more people for violent crimes for longer periods of time.7 At the federal level, the Violent Crime Control and Law Enforcement Act of 1994 encouraged
mass incarceration The overuse of correctional facilities, par- ticularly prisons, in the United States—as determined by historical and cross-cultural standards. We live in an era of mass incarceration.
crime A violation of a criminal law.
prison A state or federal confinement facility that has custodial authority over adults sentenced to confinement.
EXHIBIT 1–1 The Growth of Imprisonment in the United States
1925 0
300,000
600,000
900,000
1,200,000
1,500,000
1,800,000
P ri
so ne
rs
1931 1937 1943
1940–1944 Peak draft years
World War II
1964–1973 Peak draft years
Vietnam War
2010 was the first year to show a decline in the number of prisoners held in state facilities
1980 305,000 prisoners
1997 1.13 million prisoners
1949 1955 1961 1967 1973 1979 1985 1991 1997 2003 2009 2015
Source: Bureau of Justice Statistics, Crime and Justice Atlas 2000 (Washington, DC: Bureau of Justice Statistics, 2001), pp. 42–43; and Danielle Kaeble, Lauren Glaze, Anastasios Tsoutis in Correctional Populations in the United States, 2014 (Washington, DC: Bureau of Justice Statistics, 2015).
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CHAPTER 1 Corrections 5
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longer prison sentences for more crimes and led to the adoption of harsher sentencing regimes throughout the nation.8
A second reason correctional populations have rapidly increased can be found in the nation’s War on Drugs. The War on Drugs led to the arrest and conviction of many offenders, resulting in larger correctional popula- tions in nearly every jurisdiction (especially within the federal correctional system). A 2015 report by the congressional Colson Task Force on Fed- eral Corrections, for example, found that “The biggest driver of growth” in the federal prison population was “federally sentenced drug offend- ers, almost all of whom were convicted of drug trafficking.” Many drug offenders— especially traffickers—are sentenced to lengthy prison terms, further increasing the number of people behind bars, and many such offenders have multiple convictions, including use (or possession) of a fire- arm during a drug transaction.9 In Exhibit 1–2, compare the total number of individuals incarcerated for drug offenses with, for example, the total incar- cerated for property offenses. Although they account for a large portion of the nation’s correctional population, drug arrests do not figure into the FBI’s calculations of the nation’s rate of serious crimes. Hence, the War on Drugs goes a long way toward explaining the growth in correctional popu- lations even while the rate of “serious crime” in the United States appeared to be declining.
Third, parole authorities, fearing civil liability and public outcry, became increasingly reluctant to release inmates. This contributed to a further expansion of prison populations.
Fourth, as some observers have noted, the corrections boom created its own growth dynamic.10 As ever increasing numbers of people are placed on probation, the likelihood of probation violations increases. Prison sentences for more violators result in larger prison populations. When inmates are released from prison, they swell the numbers of those on parole, leading to a larger number of parole violations, which in turn fuels further prison growth. Statistics show that the number of criminals being sent to prison for at least the second time has increased steadily, accounting for approxi- mately 35 percent of the total number of admissions.11
One 2015 analysis of the dramatic increase in imprisonment, found that it “was not driven by a centralized national-level strategy for dealing with crime and was not based on a coherent body of empirical knowledge dem- onstrating that prisons improved public safety.”12 Instead, said the report, “it was the product of layers of legislative decisions, primarily enacted at the state level, to charge and imprison more offenders, increase sentences, limit prison releases, and expand” prison capacity. These decisions led to a new era in which prisons became primary weapons in the nation’s war on crime.
E X H I B I T 1–2 Number of State Prisoners by Offense, 2014
Type of Offense All Male Female
Violent offenses 704,800 670,900 34,000
Property offenses 255,600 229,500 26,000
Drug offenses 208,000 186,000 22,000
Public-order offenses 146,300 137,900 8,400
Source: Adapted from E. Ann Carson, Prisoners in 2014 (Washington, DC: Bureau of Justice Statistics, 2015).
Note: Detail may not sum to total due to rounding.
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Historical Roots of the Corrections Explosion Seen historically, the growth of correctional populations may be merely the continuation of a long-term trend. A look at historical data shows that cor- rectional populations continued to increase through widely divergent politi- cal eras and economic conditions. Census reports show an almost relentless increase in the rate of imprisonment over the past 160 years. In 1850, for example, only 29 people were imprisoned in this country for every 100,000 persons in the population.13 By 1890, the rate had risen to 131 per 100,000. The rate grew slowly until 1980, when the rate of imprisonment in the United States stood at 153 per 100,000. At that point, a major shift toward imprison- ment began. While crime rates rose sharply in the middle to late 1980s, the rate of imprisonment rose far more dramatically. Today, the rate of imprison- ment in this country is around 612 per 100,000 persons—close to an all-time high.14 Exhibit 1–3 illustrates changes in the rate of imprisonment over the past 160 years. Probation statistics—first available in 1935—show an even more amazing rate of growth. Although only 59,530 offenders were placed on pro- bation throughout the United States in 1935, around 3.9 million people are on probation today.15 Finally, it is worth noting that although prison populations finally started to decrease a few years ago, much of that decrease was due to initiatives such as California’s realignment strategy (discussed elsewhere in this text), which repositioned sentenced inmates from state facilities to those at the county level—thus lowering the “official” rate of imprisonment, but not necessarily resulting in a decline in the number of people held behind bars.
Turning the Corner While get-tough-on-crime attitudes continue to persist in American society today, they have largely been trumped by the economic realities brought on by the Great Recession of the early 21st century. State budgets have been hard pressed to continue funding prison expansion, and the number of
U.S. correctional populations have grown dramatically over the past 30 years, as this image of inmates living in a modified gymnasium at the Mule Creek State Prison in Ione, California, illustrates. What factors led to a substantial increase in the use of imprisonment in this country beginning in the 1980s? © Justin Sullivan/Getty Images
EXHIBIT 1–3 Rate of Imprisonment in the United States, 1850–2015
Sources: Margaret Werner Cahalan, Historical Corrections Statistics in the United States, 1850–1984 (Washington, DC: U.S. Department of Justice, 1986); and E. Ann Carson, Prisoners in 2014 (Washington, DC: Bureau of Justice Statistics, 2015), p. 1.
R at
e pe
r 10
0 ,0
0 0
r es
id en
ts
700
600
500
400
300
200
100
0 1850
29
1890
131
1950
90
1980 2015
612
153
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CHAPTER 1 Corrections 7
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people behind bars began to show a slow decline beginning around 2010. Alternatives to imprisonment, most of which will be discussed in coming chapters, are many and include probation, fines, and community service— to which convicted offenders are being sentenced in increasing numbers. In order to reduce correctional expenditures even further, some states are using forms of early release from prison, shortening time served, reducing the period of probation or parole supervision, and shifting the responsibility of supervising convicted offenders to county-level governments (and away from state responsibility). We will examine these innovations at various places throughout this text, especially in a number of Economic Realities and Corrections boxes that are found in different chapters.
As states grappled with the economic realities of reduced revenues and constrained budgets, it became increasingly important to get the most “bang for the buck,” so to speak, out of correctional programs. Moreover, responsible legislators and other policymakers are beginning to realize that spending policies of the past will not work in the future. Recently, in her presidential address to the Academy of Criminal Justice Sciences, Melissa Hickman Barlow outlined a plan for the implementation of sustainable justice. Barlow defined sustainable justice as “criminal laws and criminal justice institutions, policies, and practices that achieve justice in the present without compromising the ability of future generations to have the benefits of a just society.”16 Barlow’s call for affordable justice, based on principles and operating practices that can be carried into the future without bankrupting generations yet to come, represents an impor- tant turning point in our nation’s approach to corrections and other jus- tice institutions.
As we will see in the next chapter, the evidence-based movement in correc- tions, which seeks to evaluate programs and services to see which are the most effective relative to their costs, plays a widening role in correctional adminis- tration today—and should contribute much to the call for sustainable justice.
Correctional Employment Growing correctional populations and increasing budgets have led to a dramatically expanding correctional workforce and enhanced employment opportunities within the field. In 2015, for example, the Texas Department of Criminal Justice offered a $4,000 recruiting bonus for new correctional officers. It required a one-year commitment to work in a state corrections facility after hiring.17
sustainable justice Criminal laws and criminal justice institutions, policies, and practices that achieve justice in the present without compromising the ability of future generations to have the benefits of a just society.
Scan this code with the QR app to hear Sentencing Project Director, Marc Mauer, discuss reducing prison populations in Texas in the face of budget constraints. The transcript of the interview can be read here: http://www.texastribune.org/texas- legislature/82nd-legislative-session/ marc-mauer-the-tt-interview/
Academic teacher Activity therapy administrator Business manager Case manager Chaplain Chemical dependency manager Children’s services counselor Classification officer Clinical social worker Correctional officer Dietary officer Drug court coordinator
Field administrator Fugitive apprehension officer Human services counselor Job placement officer Mental health clinician Parole caseworker Parole officer Presentence investigator Probation officer Program officer Program specialist Programmer/analyst
E X H I B I T 1–4 Careers in Corrections
Psychologist Recreation coordinator Social worker Statistician Substance abuse counselor Unit leader Victim advocate Vocational instructor Warden/superintendent Youth services coordinator Youth supervisor
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8 PART 1 Introduction to Corrections
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According to historical reports, persons employed in the corrections field totaled approximately 27,000 in 1950.18 By 1975, the number had risen to about 75,000. Estimates published by the National Institute of Correc- tions (NIC) in 2014 show that a total of 761,355 government employees throughout the United States worked in corrections, with a total monthly payroll exceeding $3 billion.19 NIC also found that the average hourly and annual wage for correctional officers and jailers was $20.94 and $43,550, respectively; for correctional first-line supervisors wages were $29.31 and $60,970, respectively; and for probation officers, it was $25.18 and $52,380, respectively.20 Exhibit 1–4 shows some of the employment possibilities in corrections.
New prisons mean jobs and can contribute greatly to the health of local economies. Some economically disadvantaged towns—from Tupper Lake, in the Adirondack Mountains of upstate New York, to Edgefield, South Carolina—cashed in on the prison boom, having successfully competed to become sites for new prisons. Until recently, the competition for new prison facilities was reminiscent of the efforts states made years ago to attract new automobile factories and other industries.
CRIME AND CORRECTIONS The crimes that bring people into the American correctional system include felonies, misdemeanors, and minor law violations that are sometimes called infractions.
Felonies are serious crimes. Murder, rape, aggravated assault, robbery, burglary, and arson are felonies in all jurisdictions within the United States, although the names for these crimes may differ from state to state. A gen- eral way to think about felonies is to remember that a felony is a serious crime whose commission can result in confinement in a state or federal cor- rectional institution for more than a year.
In some states, a felony conviction can result in the loss of certain civil privileges. A few states make conviction of a felony and the resulting incar- ceration grounds for uncontested divorce. Others prohibit convicted felony offenders from running for public office or owning a firearm, and some exclude them from professions such as medicine, law, and police work.
Huge differences in the treatment of specific crimes exist among states. Some crimes classified as felonies in one part of the country may be mis- demeanors in another. In still other states, they may not even be crimes at all! Such is the case with some drug law violations and with social order offenses such as homosexual acts, prostitution, and gambling.
Misdemeanors, which compose the second major crime category, are relatively minor violations of the criminal law. They include crimes such as petty theft (the theft of items of little worth), simple assault (in which the victim suffers no serious injury and in which none was intended), breaking and entering, the possession of burglary tools, disorderly conduct, disturb- ing the peace, filing a false crime report, and writing bad checks (although the amount for which the check is written may determine the classification of this offense). In general, misdemeanors can be thought of as any crime punishable by a year or less in confinement.
Within felony and misdemeanor categories, most states distinguish among degrees, or levels, of seriousness. Texas law, for example, establishes five felony classes and three classes of misdemeanor—intended to guide judges in assessing the seriousness of particular criminal acts. The Texas penal code then specifies categories into which given offenses fall.
felony A serious criminal offense; specifically, one punishable by death or by incarceration in a prison facility for more than a year.
misdemeanor A relatively minor violation of the criminal law, such as petty theft or simple assault, punish- able by confinement for one year or less.
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A third category of crime is the infraction. The term, which is not used in all jurisdictions, refers to minor violations of the law that are less serious than misdemeanors. Infractions may include such violations of the law as jaywalking, spitting on the sidewalk, littering, and certain traffic violations, including the failure to wear a seat belt. People committing infractions are typically ticketed—that is, given citations—and released, usually upon a promise to appear later in court. Court appearances may be waived upon payment of a fine, which is often mailed in.
Measuring Crime Two important sources of information on crime for correctional profession- als are the FBI’s Uniform Crime Reporting Program (UCR) and the Bureau of Justice Statistics’ National Crime Victimization Survey (NCVS). Correc- tions professionals closely analyze these data to forecast the numbers and
infraction A minor violation of state statute or local ordi- nance punishable by a fine or other penalty, or by a specified, usually very short term of incarceration.
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EXHIBIT 1–5 The Crime Funnel
500 Unreported crimes
100 Felony defendants
58 Released
42 Detained
8 Diversion or other outcome
23 Dismissed
69 Prosecuted
4 Trials
65 Guilty pleas
68 Convicted 56 Felony 11 Misdemeanor
1 Acquittal
3 Convictions
24 Prison
24 Jail
17 Probation
3 Other
400 Unsolved crimes
1,000 Serious crimes
500 Crimes reported
to police
Arraignment Prosecution
Conviction and sentencing
Pretrial release
Source: Derived from Thomas H. Cohen and Tracey Kyckelhahn, Felony Defendants in Large Urban Counties, 2006 (Washington, DC: Bureau of Justice Statistics, 2010).
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types of correctional clients to expect in the future. The forecasts can be used to project the need for different types of detention and rehabilitation services and facilities.
The Crime Funnel Not all crimes are reported, and not everyone who commits a reported crime is arrested, so relatively few offenders enter the criminal justice system. Of those who do, some are not prosecuted (perhaps because the evidence against them is insufficient), others plead guilty to lesser crimes, and others are found not guilty. Some who are convicted are diverted from further processing by the system or may be fined or ordered to counseling. Hence, the proportion of criminal offenders who eventually enter the cor- rectional system is small, as Exhibit 1–5 shows.21
CORRECTIONS AND THE CRIMINAL JUSTICE SYSTEM Corrections is generally considered the final stage in the criminal justice process. Some aspects of corrections, however, come into play early in the process. Keep in mind that although the term criminal justice can be used to refer to the justice process, it can also be used to describe our system of
correctional clients Prison inmates, probationers, parolees, offenders assigned to alternative sentencing programs, and those held in jails.
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criminal justice The process of achieving justice through the application of the criminal law and through the workings of the criminal justice system. Also, the study of the field of criminal justice.
EXHIBIT 1–6 The Adult Criminal Justice System
Entry into the system Prosecution and pretrial procedures
Felonies Information
Information
Grand jury
Refusal to indict
Out of system
Crime reported
to or discovered by police
Unsolved or not
arrested
Released without
prosecution
Arrest
Released without
prosecution
Booking
Charge dropped
or dismissed
Initial appearance
Charge dropped
or dismissed
Preliminary hearing
Bail or detention
Out of system
Out of system
Out of system
Out of system
Misdemeanors
Petty o�enses
Investigation
Procedures vary among jurisdictions
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justice. Criminal justice agencies, taken as a whole, are said to compose the criminal justice system.
The components of the criminal justice system are (1) police, (2) courts, and (3) corrections. Each component, because it contains a variety of organizations and agencies, can be termed a subsystem. The subsystem of corrections, for example, includes prisons, agencies of probation and parole, jails, and a vari- ety of alternative programs.
The process of criminal justice involves the activities of the agencies that make up the criminal justice system. The process of criminal justice begins when a crime is discovered or reported.
Court decisions based on the due process guarantees of the U.S. Constitu- tion require that specific steps be taken in the justice process. Although the exact nature of those steps varies among jurisdictions, the description that follows portrays the most common sequence of events in response to seri- ous criminal behavior. Exhibit 1–6, which diagrams the American criminal justice system, indicates the relationship among the stages in the criminal justice processing of adult offenders.
Entering the Correctional System The criminal justice system does not respond to all crime because most crimes are not discovered or reported to the police.22 Law enforcement
criminal justice system The collection of all the agencies that perform criminal justice functions, whether these are operations or administration or technical sup- port. The basic divisions of the criminal justice system are police, courts, and corrections.
EXHIBIT 1–6 The Adult Criminal Justice System (Continued)
Sentencing and corrections
Charge dismissed
Charge dismissed
Reduction of charge
Acquitted
Trial Sentencing
Probation
Revocation Pardon
and clemency
Capital punishment
Revocation
Probation
Nonpayment
Fine Jail
Revocation Sentencing
Prison
Appeal Habeascorpus Parole
Arraignment
Arraignment
Acquitted
Trial
Guilty plea
Guilty plea
Out of system
Out of system
Out of system
Out of system
Out of system
Judicial procedures
Out of system
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agencies learn about crimes from the reports of citizens, through discov- ery by a police officer in the field, or through investigative and intelligence work. Once a law enforcement agency knows of a crime, the agency must identify and arrest a suspect before the case can proceed. Sometimes a suspect is found at the scene; other times, however, identifying a suspect requires an extensive investigation. Often no one is identified or appre- hended—the crime goes unsolved. If an offender is arrested, booked, and jailed to await an initial court appearance, the intake, custody, confinement, and supervision aspects of corrections first come into play at this stage of the criminal justice process.
Prosecution and Pretrial Procedure After an arrest, law enforcement agencies present information about the case and about the accused to the prosecutor, who decides whether to file formal charges with the court. If no charges are filed, the accused must be released. The prosecutor can also drop charges after filing them. Such a choice is called nolle prosequi; and when it happens, a case is said to be “nolled” or “nollied.”
A suspect charged with a crime must be taken before a judge or mag- istrate without unnecessary delay. At the initial appearance, the judge or magistrate informs the accused of the charges and decides whether there is probable cause to detain him or her. Often, defense counsel is also assigned then. If the offense charged is not very serious, the determination of guilt and the assessment of a penalty may also occur at this stage.
In some jurisdictions, a pretrial-release decision is made at the initial appearance, but this decision may occur at other hearings or at another time during the process. Pretrial release on bail was traditionally intended to ensure appearance at trial. However, many jurisdictions today permit pretrial detention of defendants accused of serious offenses and deemed dangerous, to prevent them from committing crimes in the pretrial period. The court may decide to release the accused on his or her own recogni- zance, into the custody of a third party, on the promise of satisfying certain conditions, or after posting a financial bond. Conditions of release may be reviewed at any later time while charges are still pending.
In many jurisdictions, the initial appearance may be followed by a pre- liminary hearing. The main function of this hearing is to determine whether there is probable cause to believe that the accused committed a crime within the jurisdiction of the court. If the judge or magistrate does not find prob- able cause, the case is dismissed. However, if the judge finds probable cause for such a belief, or if the accused waives the right to a preliminary hearing, the case may be bound over to a grand jury.
A grand jury hears evidence against the accused, presented by the prose- cutor, and decides whether there is sufficient evidence to cause the accused to be brought to trial. If the grand jury finds sufficient evidence, it submits an indictment to the court.
Not all jurisdictions use grand juries. Some require, instead, that the prosecutor submit an information (a formal written accusation) to the court. In most jurisdictions, misdemeanor cases and some felony cases proceed by the issuance of an information. Some jurisdictions require indictments in felony cases. However, the accused may choose to waive a grand jury indict- ment and, instead, accept service of an information for the crime.
Judicial Procedures Adjudication is the process by which a court arrives at a decision in a case. The adjudication process involves a number of steps. The first is
adjudication The process by which a court arrives at a final decision in a case.
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arraignment. Once an indictment or information is filed with the trial court, the accused is scheduled for arraignment. If the accused has been detained without bail, corrections personnel take him or her to the arraignment. At the arraignment, the accused is informed of the charges, advised of the rights of criminal defendants, and asked to enter a plea to the charges.
If the accused pleads guilty or pleads nolo contendere (accepts a penalty without admitting guilt), the judge may accept or reject the plea. If the plea is accepted, no trial is held and the offender is sentenced at this proceed- ing or at a later date. The plea may be rejected if, for example, the judge believes that the accused has been coerced. If this occurs, the case may proceed to trial. Sometimes, as the result of negotiations between the pros- ecutor and the defendant, the defendant enters a guilty plea in expecta- tion of reduced charges or a light sentence. Nolo contendere pleas are often entered by those who fear a later civil action and who therefore do not want to admit guilt.
If the accused pleads not guilty or not guilty by reason of insanity, a date is set for trial. A person accused of a serious crime is guaranteed a trial by jury. However, the accused may ask for a bench trial, in which the judge, rather than a jury, serves as the finder of fact. In both instances, the pros- ecution and defense present evidence by questioning witnesses, and the judge decides issues of law. The trial results in acquittal or conviction of the original charges or of lesser included offenses. A defendant may be con- victed at trial only if the government’s evidence proves beyond a reasonable doubt that the defendant is guilty, or if the defendant knowingly and volun- tarily pleads guilty to the charges.
Sentencing and Sanctions After a guilty verdict or guilty plea, sentence is imposed. In most cases, the judge decides on the sentence, but in some states, the sentence is decided by the jury, particularly for capital offenses, such as murder.
To arrive at an appropriate sentence, a court may hold a sentencing hear- ing to consider evidence of aggravating or mitigating circumstances. In assessing the circumstances surrounding a criminal act, courts often rely on presentence investigations by probation agencies or other designated authorities. Courts may also consider victim impact statements.
The sentencing choices available to judges and juries frequently include one or more of the following:
• the death penalty; • incarceration in a prison, a jail, or another confinement facility; • community service; • probation, in which the convicted person is not confined but is
subject to certain conditions and restrictions;
• fines, primarily as penalties for minor offenses; and • restitution, which requires the offender to provide financial
compensation to the victim.
In many states, mandatory minimum sentencing laws require that persons convicted of certain offenses serve a minimum prison term, which the judge must impose and which may not be reduced by a parole board or by “good- time” deductions.
After the trial, a defendant may request appellate review of the con- viction to see whether there was some serious error that affected the
arraignment An appearance in court prior to trial in a crimi- nal proceeding.
nolo contendere A plea of “no contest.” A no-contest plea may be used by a defendant who does not wish to contest conviction. Because the plea does not admit guilt, however, it cannot provide the basis for later civil suits.
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defendant’s right to a fair trial. In some states, the defendant may also appeal the sentence.
At least one appeal of a conviction is a matter of right. Any further appeal (to a state supreme court or in the case of federal court convictions, to the U.S. Supreme Court) is discretionary, which means that the higher court may or may not choose to hear the further appeal. After losing all their available direct appeals (also known as exhaustion of state remedies), state prisoners may also seek to have their convictions reviewed collaterally in the federal courts via a writ of habeas corpus. In states that have the death penalty, appeals of death sentences are usually automatic, and extensive federal habeas corpus review often takes place before the sentence of death is actually carried out.
The Correctional Subsystem After conviction and sentencing, most offenders enter the correctional sub- system. Before we proceed with our discussion, it is best to define the term corrections. As with most words, a variety of definitions can be found.
In 1967, for example, the President’s Commission on Law Enforcement and Administration of Justice wrote that corrections means “America’s pris- ons, jails, juvenile training schools, and probation and parole machinery.” It is “that part of the criminal justice system,” said the commission, “that the public sees least of and knows least about.”23
Years later, in 1975, the National Advisory Commission on Criminal Jus- tice Standards and Goals said in its lengthy volume on corrections, “Correc- tions is defined here as the community’s official reactions to the convicted offender, whether adult or juvenile.”24 The commission noted that “this is a broad definition and it suffers . . . from several shortcomings.”
We can distinguish between institutional corrections and noninstitutional corrections. A report by the Bureau of Justice Statistics (BJS) says that insti- tutional corrections “involves the confinement and rehabilitation of adults and juveniles convicted of offenses against the law and the confinement of persons suspected of a crime awaiting trial and adjudication.”25 BJS goes on to say that
Jodi Arias on the witness stand in 2013. She was convicted of killing her lover, Travis Alexander. He had been shot in the face, stabbed 29 times, and had his throat slashed. Arias was sentenced to spend the rest of her life in prison, and is currently housed in the Arizona State Prison Complex– Perryville. What happens to defendants after they enter the correctional system? © AP Photo/Ross D. Franklin, Pool
institutional corrections That aspect of the correctional enterprise that involves the incarceration and rehabilitation of adults and juveniles convicted of offenses against the law, and the confinement of persons suspected of a crime awaiting trial and adjudication.
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correctional institutions are prisons, reformatories, jails, houses of correction, penitentiaries, correctional farms, workhouses, reception centers, diagnostic cen- ters, industrial schools, training schools, detention centers, and a variety of other types of institutions for the confinement and correction of convicted adults or juveniles who are adjudicated delinquent or in need of supervision. [The term] also includes facilities for the detention of adults and juveniles accused of a crime and awaiting trial or hearing.
According to BJS, noninstitutional corrections, which is sometimes called community corrections, includes “pardon, probation, and parole activities, correctional administration not directly connectable to institutions, and miscellaneous [activities] not directly related to institutional care.”
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