If you have issues viewing or accessing this file contact us at NCJRS.gov.

The American Prison: The End of an Era ...... Benjamin Frank

Writing Standards for Correctional Acermiitation ...... Ernest G. Reimer t c Dale K. Sechrest

Strengthening Families as Natural Support Systems

for Offenders ...... , ~n Hoffman Fishman Albert S. Alissi The Fine 0pti0n Program: An Alternative to Prison for Fine Defaulters ...... Margery Heath

The Case for Creative Restitution in Corrections , . , • James 1t. Bridges John T. Gandy James D. Jorgensen

An Evaluation of Federal Community Treatment Centers .... • James L. Beck Education and Training of Probation Olfleers: A Critical Asses,mue~t ...... , . . . ~ Chris W. Eskridge ~ersion of Juveaile Offemlers: An Amblffuoms 8tato Art ...... ~qtanley Vanagunas Probation: A Skills Course wing Techniques in Probation and Parole: ,ial Interview (Part 1) ...... Henry L. Hartman rg SEPTEMBER 1979 8

ADMINISTRATION

Administrative Office of the Department of Justice United States Courts WILr.IAM E. FOLEY BENJAMIN R. CIVILETTI Director Attorney General JOSEPH F. SPANIOL, JR. CHARLES RUFF Deputy Director Aeti~g Dep~ty Attorney General WAYNE P. JACKSON NORMAN A. CARLSON Chief of Probation Director, B~reau of Prisons

EDITORIAL STAFF

DONALD I,. CHAMLEE Assi.~tant Chief of Probation Editor

WILLIAM A. MAIO, JR. MILLIE A. RABY Managing Editor Editorial Secretary

ADVISORY COMMITTEE

RICHARD A. CHAPPELL, Former Chairman, U.S. Board of LLOYD E. OHLIN, PH.D., Professor of Criminology, Har- Parole, and Former Chief, Federal Probation System vard University Law School ALVIN W. ColiN, D.CI~IM., President, Administration of MILTON G. RECTOR, Director, National Co~tncil on Crime Justice Services, Inc., Rockville, Md. and Delinqite~ley, Haekensack, N.J. T. C. ESSELSTYN, PH.D., Emeritus Professor of Sociology, San Jose State University GEORGE J. REED, Commissioner (Retired), U.S. Parole VICTOE H. EVZEN, Assistant Chief of Probation (Retired), Corn mission Administrative O.~ee o.f the U.S. CoT~rts TtIORSTEN SELLIN, PH.D., Emeritus Professor of Sociology, BENJAMIN FRANK, PH.D., Chief of Research and Statis- University of Pennsylvania tics (Retired), Federal B~lreau of Prisons, and former E. PRESTON SHARP, PH.D., Execrative Director, American Professor, Southern Illinois University and The Ameri- Correctional Association, Retired. can University CttARLES E. SMITH, M.D., Professor of Psychiatry, The D~=~EL GLASER, PH.D., Professor of Sociology, UTdversity School of Medicine, University of North Carolina, of Southern Cahfornia Chapel Hill AUSTIN H. MACCORMICK, Executive Director, The Osborne Association, Inc., New York City MERRILL A. SMITH, Chief of Probation (Retired), Admin- RICHARD A. McGEE, Chairman of the Board, American istrative Office of the U.S. Courts Justice Institute, Sacramento ROBERTS J. WRIGHT, Commissioner of Corrections (Re- BEN S. MEEKER, Chief Probation Officer (Retired), U.S. tired), Westchester County, N.Y., and former l~ditor, District Court for the Northern District of Illinois American Join'hal of Correction

Federal Probation, which is published by the Administrative Office of the United States Courts, is edited by the Probation Division of the Administrative Office and printed by Federal Prison Industries, Inc., of the U.S. Depart- ment of Justice. All phases of preventive and correctional activities in delinquency and crime come within the fields of interest of FEDERAL I~ORATION. The Quarterly wishes to share with its readers all constructively worthwhile points of view and welcomes the contributions of those engaged in the study of juvenile and adult offenders. Federal, state, and local organizations, institutions, and agencies--both public and private---are invited to submit any significant experience and findings related to the prevention and control of delinquency and crime. Manuscripts (in duplicate), editorial matters, books, and communications should be addressed to FEDERAL PRORATION, Administrative Office of the United States Courts, Washington, D.C. 20544. Permission to quote is granted on condition that appropriate credit is given to the author and the Quarterly. Information regarding the reprinting of articles may be obtained by writing to the Editors.

FEDERAL PROBATION QUARTERLY

Administrative Office of the United States Courts, Washington, D.C. 20544 NCJRS

SEP 2 1 1980 Federal Proba t -on I~ A JOURNAL OF CORRECTIONAL PHILOSOPHY AND PRACTICE

Published by the Administrative Office of the United States Courts and Printed by Federal Prison Industries, Inc., of the U.S. Department of Justice

VOLUME XXXXIII SEPTEMBER 1979 "'" ~O~'~ NUMBER 3 lrU This Issue in Brief

The American Prison: The End of an Era.- which has implications for new directions in the That the century-old prison reform movement field of criminal justice. This program was origi- aimed at shaping the prison into an effective nally initiated in response to an article which rehabilitative agency has come to an end is not appeared in FEDERAL PROBATION in December debatable, asserts Dr. Benjamin Frank. The idea 1974. Mrs. Margaret Worthington, a retired social that the prison, even under the best conditions, worker and the founder of Woman in Crisis, was does not and cannot cure criminals is now deeply moved by the observations brought forth in "The imbedded in commonplace wisdom. The purpose Prisoner's Wife: A Study in Crisis," by Mary of this article is to review the rise and decline Schwartz and Judith Weintraub (Vol. 38, No. 4) of the "rehabilitative ideal" and to assess the impact of this change on the organizing principle and began mobilizing other interested individuals of the prison. in the Hartford community to establish support for offenders' families. Writing Standards for Correctional Accredita. tion.--In order to fulfill its mission of accrediting The Fine Option Program: An Alternative to correctional agencies on a nationwide basis, the Commission on Accreditation for Corrections re- quired a complete and measurable set of standards 1:4 e American Prison: The EndN of an for use by field audit teams. Ernest G. Reimer Era ...... Benjamin Frank ~ 3 riting Standards for Correctional "-7~c:~O /:~ and Dale K. Sechrest describe the process of ccreditation ...... Ernest /G. Reimer standards development used by the Commission, ~'engthening Dale K. Seehrest 10 Families as Natural Support Systems ..f~.~ ~, including use of existing standards, use of con- for Offenders .... Susan Hoffman rishma,!/ ff 0 sultants to draft standards, drafting techniques, Albert S. Alissz 16 / field testing of standards, and the approval Che Fine Option Program: An Alternative to Prison'T¢~ ~O~ ;~ ~for Fine Defaulters ..... Margery Heath t22 process. The resulting manuals of standards were ~.Tlm Case for Creative Restitution in ---7c:~ ~)£)t~ carefully compiled by persons with experience and Corrections ...... James H. Bridgcg | John T. Gandy expertise in all aspects of the correctional opera- ~n James D. Jorgensen 28 tions, and with careful consideration of the wide Evaluation of Federal Community Treatment 7~,~ t~/~:~ range of correction practices. enters ...... James L. Beck 36 ~ucation and Training of Probation Officers: -7~ ~]/ Strengthening Families as Natural Support ~,~,A Critical Assessment . . . Chris W. Eskrid.tfe 41 ., ~olice Diversion of Juvenile Offenders: An Amblgmus" 7 t~ t:~] Systems for offenders.~This case illustration, ~/ State of the Art ..... Stanley Vanagu~tas/48 by Susan Hoffman Fishman and Dr. Albert S. |Traetieal Probation: A Skills Course--Interviewing - - ~ "7 9 ¢" Techniques in Probation and Parole: The Initial A/c$~ ~,,~-*" Alissi, demonstrates the importance of meeting Interview (Part 1) .... Henry L. Hart,man 52 the needs of family members at times of crisis Departments : in order to strengthen the family as a stable Looking at the Law ...... 59 source of help to the offender. Women in Crisis, News of the Future ...... 61 Letter to the Editor ...... 64 an innovative volunteer service agency, offers a Reviews of Professional Periodicals ...... 65 Your Bookshelf on Review ...... 71 model which has been found to be effective and It Has Come to Our Attention ...... 79 2 FEDERAL PROBATION

Prison for Fine Defaulters.--After 4 years the risk" offenders (e.g., offenders with extensive Fine Option Program in Saskatchewan is fully prior records). operational and available to anyone who has been Education and Training of Probation Officers: fined and given time to pay, reports Margery A Critical Assessment.--This article, by Dr. Heath. As a short-term solution to the problem Chris W. Eskridge, deals with a number of critical of fine default it has been fairly successful. The issues involving the education and training of total days of care are substantially reduced, al- probation officers. It describes the types of back- though the number of admissions still remains grounds which probation officers bring with them in the range of approximately 1,500 per year. to their jobs and examines the issue of whether The Case for Creative Restitution in Correc- college or graduate level study is necessarily de- tions.--Although restitution is a centuries-old sirable for all probation officers. The article also concept, it provides exciting new alternatives and reviews the merits and demerits of both pre- directions for the criminal justice system, write service and inservice training and education. Dr. James H. Bridges, Dr. John T. Gandy, and Police Diversion of Juvenile Offenders: An James D. Jorgensen. Various dimensions of cre- Ambiguous State of the Art.--The author, ative restitution are considered in their article, Stanley Vanagunas, makes an analysis, based on including its historical significance, a discussion a mailed survey response, of juvenile diversion of the restitutional process, and examples of practices of 34 municipal police agencies. The creative restitution and points of application in study's interest was to determine to what extent criminal justice. has juvenile diversion been formally integrated An Evaluation of Federal Community Treat- in contemporary police operations. Results sug- ment Centers.--The Community Treatment Cen- gest that juvenile diversion has been 0nly par- ter Field Study was initiated in 1976 as a compre- tially "institutionalized" within contemporary hensive evaluation of Federal halfway house police practice. Some police agencies do not as operations. To test the impact of halfway house yet have or accept formal juvenile diversion re- placement on postrelease adjustment, a sample sponsibility; there is a conspicuous lack of pro- of Federal inmates released through a CTC fessional case diagnostic staff; and there is, (N~364) who successfully completed the pro- generally, an absence of systematic police admin- gram were compared to a group of offenders istrative policy guidance pertaining to juvenile (N:-337) who were released directly to the com- diversion. munity (not referred to a CTC). Statistical con- Interviewing Techniques in Probation and Pa- trols were utilized to adjust for differences in role, III: The Initial Interview (Part /).--The the groups. According to Dr. James L. Beck, the last two articles in Dr. Henry L. Hartman's four- results showed that, compared to a control group, article series on interviewing deal with the initial offenders referred through a CTC had signifi- interview. In the first of the two articles he cantly better employment records after release to focuses attention on the techniques of commencing the community and there was evidence that CTC the interview, keeping the flow of communication referral may reduce criminal behavior for "high alive, and organizing the interview.

All the articles appearing in this magazine are regarded as appropriate expressions of ideas worthy of thought but their publication is not to be taken as an endorsement by the editors or the federal probation office of the views set forth. The editors may or may not agree with the articles appearing in the magazine, but believe them in any case to be deserving of consideration. The American Prison: The End of an Era

By BENJAMIN FRANK, PH.D.*

HE PRISON is periodically rediscovered in enhancement of individual civil rights and the the United States. It is rediscovered with realignment of political power. The purpose of T some regularity when prisoners rebel against this essay is to review the rise and decline of the their captivity. In these instances, investigative concept of rehabilitation in the rhetoric of the committees are established to uncover the causes prison reform movement and to assess the impact of the rebellion and to recommend ameliorative of this change of opinion on the organizing prin- action. The results are usually predictable: the ciple of the prison. instigators of the rebellion are identified and im- provements in the amenities of prison life are The Prison as Ideology recommended. Such recurring events have been There are several ways to read the history of the source of the constant banalities of the prison the prison. Since the 1820's when the Quakers of reform movement ever since the burghers of Phil- Pe,msylvania established the first prison dedi- adelphia in 1790 organized the "Philadelphia So- cated to the moral regeneration of its prisoners, ciety for Alleviatin.g the Miseries of Public the history of the prison has been read as the Prisons." history of the mischief that men of good inten- The prison is also rediscovered when its prac- tions can do. Perhaps, the first to express his tices and programs are in conflict with the de- skepticism about the Quaker prison was de Toc- mands of the society which it serves. This oc- queville who wrote soon after its inauguration: curred in 1870, when the post civil war economy The theories of the reform of prisoners are vague of the United States could no longer tolerate and uncertain. It is not yet known to what degree the the competition of the prison factory in an ex- wicked may be regenerated, and by what means this panding-'industrial market. The prison reformers regeneration may be obtained; but if the efficiency of of that day joined with the nascent labor unions the prison in correcting prisoners is yet doubtful, its power of depraving them still more is known because ex- and the manufacturing industries to abolish the perience proves it: exploitation of prison labor. The result was the In recent years, historians of the prison have invention of the "reformatory prison" in which substa.ntially revised the benign explanations of the principle of "reform" replaced the principle its origin. These historians have exposed the of the "prison factory." The principle of reform reformer's utopian beliefs and have shown how required a radical chartge in organizational struc- their programs intended to rehabilitate the pris- ture and management, different kinds of personnel oner, encouraged abuse and corruption. They staffing, and a different allocation of resources try to explain the disparity between the ideals and institutional facilities. The later shift from of the reformers and the cruelties they created. reform to rehabilitation in the 1930's was more They make the point that while prisoner reha- a change of style and sophistication than a change bilitation and prison reform have been stereo- of principle. typed for more than half a century as a liberal- In the 1970's, a similar rediscovery of the progressive movement, the prison has persistently prison is occurring; but this time the concept of failed to conform to the "liberal" expectations of rehabilitation as the organizing principle of the its founders.'-' prison is bein~ challenged. At issue now is the va- A second way to read the history of the prison lidity of the assumptions underlying the theory is to relate the origin and transformation of the of the rehabilitation principle in a rapidly chang- penal system in general and the prison in partic- ing society dominated by the demand for the i Beaumont. Gustave dc and Tocqueville, Alexis de.. "On the Peni- tentiary System in the U.S. and its Apldiratlou I,~ l"l'an~.~.." Carlmudale. *Dr. Frank: Chief of Research and Statistics (Retired) lllitmis: Southern Illinois Iln.:versity. Ibf;l. t,..~I. Federal Bureau of Prisons and former Professor and Asst. n Lewis, David L.. "Fr,~m Newgat,- t~, D:~onenl.~:.:~" llhaca. New York: Cornell University, Ittl;5: l'latt. Anthony. ""|'ile Chthl ~';avers: Director, Center for Study of Crime, Delinquency, and The Invention f~f Dclinquem.y." Chicag~J. Illin~is: |ttdve~..~itv ,ff Chicago Corrections, Southern Illinois University; Professorial Press. 1969: R,~thnmn. David. "The l)iscl,very ud th,~ A..,yhmt. I:oston. Lecturer, University of Maryland; and Adjunct Professor, Ma~s.: Little. I|rtpwa C,~.. 1971: Sehb~smun. Sh~vt.n I,. "'l.f)ve ~n*l the American Dclimlt~cnt." Chicago. Illinuis: The ilf,i~c-rsity ,,f Citieago School of Justice, The American University. Press. ID77. 4 FEDERAL PROBATION ular to the stages of economic development. 3 in prison management; and Professor Allen in This reading suggests that the emergence of his classic essay on criminal justice points out the prison, and the forms it has taken over the that : years, have been determined more significantly by Lawyers and social workers may well be reminded the changing demands of the labor market than that the distinction between penal treatment and the by the philosophical justification of punishment administration of welfare selwices is one that has some- times been far from clear, even in theory. This is which seemed to dominate the concerns of the especially likely to be true in a culture that tends to liberal philosophers of the early 19th century. conceive of poverty, unemployment, and even physical Ori.ginally, the term corrections had little, if handicaps as evidence of a lack of moral fiber in those any, connection with crime or criminals. Correc- who suffer such misfortunes. 5 tions was for centuries more intimately associated A third way to read the history of the prison with welfare and the economics of labor than is to locate its place in the hierarchy of other with the administration of criminal justice. Cor- societal inventions. This approach to the history rections became a key word in the poor-relief of the prison rejects the commonplace perception laws enacted in England and many other Euro- that the prison is somehow a marginal institution, pean countries during the latter half of the 16th performing a unique function, and only distantly century. Confinement, in what soon became a related to the great variety of institutions de- network of work-houses and houses of correction, signed to do society's work. On the contrary, the was in part to learn the skills of industry for apparent idiosyncratic features of the prison the deserving poor and in part punishment for are in reality shared by all other societal insti- the beggars, shiftless tramps, and prostitutes. tutions, especially institutions such as schools, Thieves and robbers were executed or transported hospitals, and factories; and the features they to the colonies. What was once the church's possess in common originated with the establish- concern for the poor, the sick, and the insane, was ment of the prison. transformed into a state policy of enforced segre- Bentham shared with virtually all the social gation. Because subsistence relief and confinement philosophers of his day, the vision of a controlled were considered as the alternative to possible and orderly society free from the upheavals of revolt, the rich were willing to tax themselves revolution. This vision was best exemplified in for the maintenance of these institutions. As one his design of the Panopticon prison and his pro- historian put it: gram for its operation. But it was to be more than As late as the 1590's the rich still feared that the a prison; it was intended as a model not only for rogues and vagabonds would embolden the poor to say prisons but "for houses of industry, workhouses, 'they will not starve' and proceed to direct action . . . poorhouses, manufactories, mad-houses, lazaret- but the prolonged depression of the 1620's and 30's toes, hospitals, and schools," and suitable for any left a cowed and dispirited populace. The poor laws, flogging, and the houses of correction had broken the establishment : spirit of the poor. 4 no matter how different or even opposite in purpose; The passing years, however, have not dissolved whether it be that of punishing the incorrigible, the links between the prison and the economics guarding the insane, reforming the vicious, confining the suspected, employing the idle, maintaining the help- of labor and between corrections and the con- less, curing the sick, instructing the willing in any temporary "poor laws" of public welfare. The branch of industry, or training the rising race in the effective and economical use of prison labor has path of education. (; always been a persistent and intractable problem To Bentham, and the libertarian philosophers

a Rtmche, George and Kircheimer, Otto, "'Punishment and Social of the early 19th century, the power to punish Structure," New York, N.Y.: Columbia University Press, 1939: Sellin, Thorsten, "Slavery and the Penal System," New York, N.Y.: Elsevier was no different from the power to cure or to Scientific Publishing Co., 1977; Ignatieff, Michael, "A Just Measure of Pain: The Penitentiary in the Industrial Revolution," New York, educate; a l~rinciple of political power that has N.Y.: Pantheon Books, 1978. 4 Hall, Christopher, "Reformation to the Industrial Revolution: The considerable relevancy in modern society. Making of Modern English Society)' New York, N.Y.: Pantheon Books. 1967, p. 93. Contemporary historians and social analysts s Allen, Francis, "The Borderland of Criminal Justice," Chicago, Illinois: The University of Chicago Press, 1964, p. 2. have tried to describe the existence of an under- Quoted in Himmelfarb, Gertrude, "Victorian Minds." New York, N.Y.: A.A. Knopf, 1968. Chapter II, "The Haunted House of Jeremy lying unity between all institutions in modern Bentharn," p. 34. 7 Goffman, Erving, "Asylums." Garden City, N.Y.: Anchor Books, society, including institutions that deal with edu- 1961; Foucault, Michel, "Discipline and Punishment: The Birth of the Prison;" New York, N.Y.: Pantheon Books 1977; Lasch, Christopher, cation, social welfare, mental and physical health, "Haven in a Heartless World: The Family Besieged," New York, N.Y.: Basic Books, 1977; Dahl, Tore Stang, "State Intervention and Social and jails, prisons, and juvenile detention facil- Control in Nineteenth Century Europe," Conteanporary Crises, April 1977, p. 163-187. ities. 7 The similarities these institutions share THE AMERICAN PRISON: THE END OF AN ERA 5 are more significant than the purposes that sep- the new Federal prison bureau was to develop a arate them. They share both the common vocab- system of institutions that would assure the ularly and the characteristic features of a control proper classification and segregation of Federal system that were first adopted by the prison. Indi- prisoners and provide an individualized system viduals who come under the care of institutions of discipline, care, and treatment of persons com- such as education, welfare, health, and corrections mitted to such institutions. To this mandate was undergo a change in civil status subject to legal added the rationale that "society is not protected sanctions and informal restrictions. They are la- unless prisoners are returned more efficient, more belled, observed, classified, fixed in time and space, honest, and less criminal than when they went and subject to a centralized registration and re- in."lo cordin'g system. The ever growing demand for This policy accurately reflected the climate of more and more information about these individ- intellectual opinion of the times. Social work had uals stimulates the continuous expansion of the divorced itself from its attachment to "charity so-called "helping professions" which in turn and corrections" and was moving rapidly towards legitimizes the alliance of knowledge and social the formation of a professional career-oriented control. The technologies of surveillance and con- service, stimulated by Abraham Flexner who so trol which originated with the prison are now the successfully revolutionized the medical profession, basic tools of bureaucracy. and Mary Richmond, who designed the frame- There is much in this panoptic model of con- work of the new profession of social work. Psy- temporary society that seems pertinent and recog- chology came out of the first world war with a nizable. The popularity of novels and plays, such new technology of mental measurements and as Clockwork Orange, One Flew Over the Cuckoo's personality assessment. Psychiatry, surcharged Nest, Cancer Ward, and Kafka's Penal Colony, by the dynamics of Freudian analysis, offered speaks to a general sense of confinement in a special dispensations to the criminal and juvenile world of concentric prisons. Aldous Huxley in one delinquents. The sociologist was busily staking of his essays observes that "today every efficient out his claim to criminology, which, along with office, every up-to-date factory is a panoptican other phenomena, such as suicide, divorce, and prison."s urbanization, were classified under the general In this context, the question of whether the rubric of social pathology. This new generation prison should be reformed or abolished becomes of problem solvers-offered a promise that social irrelevant. What is being challenged, however, policymakers, looking for some solution to the are the more oppressive aspects of incarceration crime problem, could not refuse. In effect, what and control. In a marked reversal of their tradi- the Pennsylvania Quakers of the 1830's set out tional hands-off policy, the courts have opened to do--to achieve the redemption of its convicts their doors to petitions of prisoners, mental hos- through enforced isolation and meditation--the pital patients, public welfare recipients, students, practitioners of the social and behavioral sciences and individuals subjected to enforced behavioral of the 1930's promised to do through an enforced science research and therapy, for redress of therapy. grievances, and for protection a.gainst the abuse With the entrance of these practitioners on the of power by their custodians and caretakers. correctional scene, the lib~.ral prison reform move- ment .gathered increasing momentum. Given the Rehabilitation Becomes Public Policy promise of an expertness capable of diagnosing, Rehabilitation of the prisoner as the primary classifying, and developing individualized pro- purpose of incarceration became national public grams of treatment, as well as predicting what policy in 1929 when the U.S. Cortgress authorized kind of criminal would be resistant to the treat- the creation of a Federal Bureau of Prisons. Fol- ment program and thus more likely to become a lowing the lead of New Jersey which had already recidivist, the idea of correctional rehabilitation pioneered a system of classification and segrega- soon captured the heights of the policy-making tion of its prison population," the mandate for system. Punishment and retribution were dis- missed as vestigial remnants of man's inhu- Huxley, Aldous. "Themes and Variation," New York,: Har0er and Bros. in "Variations on a Prison." 1950, p. 203-206. manity to man ; instead, rehabilitation was offered o Leiby. James, "Charity and Corrections in New Jersey: A History of State Welfare Institutions," New Brunswick, N.J.: Rutgcl~3 Uni- versity Press, 1967. Chapter 1. as a moral and scientific advance over deterrence. is Bates, Sanford, "Prisons and Beyond." New York, I~.Y. : Macmillian Co., 1936, p. 73. Ultimately all states and the Federal Govern- 6 FEDERAL PROBATION

ment adopted some form of the indeterminate to the indeterminate sentence; community correc- sentence and parole which permitted judges to tions is opposed to incarceration; graduated set the parameters for the prisoner's term and release is opposed to parole ; and the idea of reinte- allowed prison and parole authorities to exercise gration is opposed to rehabilitation. The assump- broad discretion in deciding who was to be pa- tions underlying the rehabilitative ideal are being roled and when. The Federal prison system and rejected as having been disastrously wrong. California soon took the lead and brought the Selected for particular criticism are: the belief indeterminate-sentence-treatment model to an ex- that future behavior of prisoners could be pre- treme level of sophistication. Both were hailed dicted; the practice of relating forced participa- worldwide as the finest examples of the correc- tion in treatment and training programs to the tional rehabilitation model and of progressive condition of paroled release; and the involuntary, prison administration. coercive aspects of correctional rehabilitation Over the years, most of the more affluent and which enabled the over-zealous practitioner and the more politically liberal states developed prison administrator to disregard the civil liberties of systems which incorporated the basic features of the prisoners. the progressive prison plan. First, it was neces- Even the term "corrections" has been char- sary to maintain persistent pressure on the pris- acterized recently as more misleading than useful. oner to participate in the treatment and training In their Letter to the President on Crime Control, programs and to accumulate detailed records of Morris and Hawkins write: the prisoner's response and progress. Second, the There has been a tendency to obscure the nature of custodial personnel was to b~ upgraded educa- punishment by the use of such terms like corrections tional!y so that the position of prison guard could and treatment and training to refer to penal methods or procedures .... It is an extraordinary feature of be replaced by a corps of correctional counselors. the history of the institution of punishment .that a con- Third, the number of professional staff and the tingent, incidental concomitant should in this century, number and variety of treatment and training have been elevated to the sta.tus of prime or essential function.1 programs need to be increased to keep the case- load within professional treatment standards. Penal policy has now come full circle. The re- And, fourth, every correctional system should newed interest in redefining the purpose of the have a division of classification and treatment to prison has revived the dialogue about "first prin- assure the professional staff and their programs ciples" that long antedated the notions of rehabil- status and coordination. itation. The dialogue among the philosophers of While this model is still advocated as the stand- the late 17th and early 18th centuries dealt with ard pattern of the contemporary American prison, the formulation of principles that would establish we are, at the same time, witnessing a sharp re- the necessity and legitimacy of society's right to versal in public policy. The "liberal" innovations punish the criminal. On one side was the utili- that sustained the idea of correctional rehabili- tarian argument that punishment was a practical tation are being subjected to severe tests of sur- necessity to deter other citizens from similar vival. The indeterminate sentence and parole, the ventures into crime and to protect the peace and juvenile court as a parental surrogate for the welfare of the community by isolating the crim- delinquent youth, and the substitution of the vo- inal. On the other side, was the retributive argu- cabulary of therapy for that of deterrence and ment that punishing the criminal was a moral punishment are today all under attack. obligation of the state to preserve its moral in- tegrity and to satisfy the community's sense of The Return to Orthodoxy justice. The issue then was largely one of prior- ities: to what extent should the claims of justice The growing consensus among policymakers take precedence over the utilitarian principles? concerned with the administration of criminal The reform of the criminal law, that affirmed justice seems to be that sending criminals to the necessity and legitimacy of punishment, also prison to be rehabilitated has failed as an anti- encouraged the belief that the criminal could be crime policy. A new rhetoric is in the making. changed by incarceration as well as deterred by The fixed or presumptive sentence is opposed the punishment. To those who designed the early

11 Morris, Norval and Hawkins, George, "Letter to the President prison and to those who managed it, the prison on Crime Control," Chicago, Illinois: University of Chicago Press, 1977, p. 63-64. had a seemin.g practicality. Imprisonment per- THE AMERICAN PRISON : THE END OF AN ERA

mitted the rigid calculation for equating the s~- training programs. They argue that what is verity of the punishment with the enormity of needed for the rehabilitative ideal to be achieved the crime; it was at the same time a humani- is a greater and more consistent public commit- tarian substitute for the gallows and the branding merit. 13 iron; it offered a rational and efficient system of Another group, while not opposed to some custodial control; it made possible the combina- remedial changes in the correctional system, pre- tion of the moral regeneration of the prisoner fer to assume the agnostic posture of the scientist with the profitable use of his labor. and caution against radical change for two rea- To the tough-minded Calvinist of the 1830's sons: one, that wisdom in guiding social pol- the "penitentiary prison" seemed like the fac- icy comes only from learning sound principles simile of a utopian community in which the sinner through the application and testing of relevant would learn habits of industry and regularity and theory; and two, that the theories that support then be returned to society as an obedient citizen, the rehabilitative ideal may yet be found relevant, which was all that society could reasonably expect. given better scientifically designed tests of the Today, however, when the rehabilitative theory varieties of programs which the virtuosity of the of punishment is being rejected as unjust and professionals is qapable of creating. TM unworkable, the neo-orthodox reformers have A thir d group, however, find more compelling gone back to their classical sources and adopted the evidence that the inherent defect of the re- the rationale that punishment for crime must rely habilitation theory has made it vulnerable to a primarily on the principles of deterrence and changing reality. The present disarray ill penal "just deserts." The quest is on for a more precise policy may be ascribed largely to the rejection of and evenhanded definition of punishment. The the "cause-effect" theories of criminal behavior, emerging "justice model of corrections," proposed and to the growing awareness that crime, and as the alternative to the "rehabilitative model," most other social problems, have political his- contains two elements: first, the concept of equal tories and must be defined in political terms punishment determined by fiat and disseminated rather than in terms of social disorganization or rapidly and equitably; and second, a reconceptu- individual defect. 1~' alized role for the prison in the criminal justice system.' ~ The New Dialogue The revival of an orthodox ideology in the re- The 10ng history of the prison reform move- shaping of penal policy has divided the corrections ment in the U.S. aimed at shaping the prison into establishment around one question: Is the dis- a more effective rehabilitative agency is over. The avowal of the rehabilitative ideal in corrections a idea that prisons do not and cannot cure criminals mere temporary response to the public clamor in is now deeply imbedded ill common-place wisdom. the face of a rising crime rate, or is it a long term More than 100 years of experience have demon- reaction to an ideology that has outgrown its strated that no institution in American society time? has been more ambiguously centered and none The response to this question comes in three has been guilty of greater pretense. forms. There are those who insist on the essential What reasons then remain to justify its re- "goodness" of the rehabilitative-treatment model tention? In response to this question, two diver- of corrections and call for ameliorative action gent views have emerged. One view is that the by an infusion of more money, new designs for ultimate goal in the prison reform movement has jails and prisons, and an expansion of treatment- always been to keep people out of prison alto- gether, and now the abolishment of the prison t~ Fogel, David. Wc Arc the Living Proof: The Justice Model of Corrections. Cincinnati, Ohio: Anderson Publishing Co., 1975: Haag. is on the horizon. The use of the prison can be Ernest van den, I'unishing CrimiTmla. New York, N.Y.: Basic,Books. 1975; Himch, Andrew yon, Doing Justice: The Choice of PuniMiments. justified only to sequester the violent and danger- New York. N.Y.: Hill and Wang, 1976: Friends Service Committee, Stmtggle ]or Justice, Now York, N.Y.: Hill anti Wang, 1971. ous offender to protect the public. The other z:, Clark, Ramsey, "Crime in Americn." New York, N.Y.: Simon and Schuster Co., 1970. view is that imprisonment is a form of punish- 14 Glaser, Daniel. "The Counterproductivity of Consetwativc Thinking about Crime," Criminology, Vol. 16, August 1978, p. 209-224: Halleck, ment that most dramatically satisfies the principle Seymour, "Is Rehabilitation Dead?" Crime and Delinquency, Vol. 23. October 1977, p. :{65-382. of retributive justice demancled by law and the l.~ Phillipson, Michael, Understanding Crime aml Delinquency. Chicago, Illinois: Aldine Publishing Co., 1971: Hartjen, Clayton A., Crime and victim. Therefore, it is necessary to concentrate Criminalization. New York, N.Y.: Prneger Publishers, 1975: Taylor, Ion, The New Criminolo.qy. New York. N.Y.: Harper & Row, 1974: on making the prison conform more strictly to Wilson, James Q., Thinking About Crime. New York, N.Y.: Basic Books, inc., 1975. the basic principles of fairness and equity. FEDERAL PROBATION

For those who advocate the abolition of the providers, the idea of community corrections finds prison, the National Commission on Criminal both professional acceptance and ideological sup- Justice Standards and Goals offers a rationale and port. a strategy. TM The rationale is that, despite its Antithetical to the abolitionist view of the failure as an instrument of rehabilitation, the prison is the view that the prison is a necessary prison persisted because a civilized nation could component of the criminal justice system. The not turn back to older barbaric punishments and prison serves the categorical imperatives of the until now no alternative could be found. Correc- law, a function that assures its existence for a tions has been caught in an inescapable dilemma. very long time. The true aim of prison reform On the one hand, the major obstacle to effective is not to cure minds or change character but to correctional programs is due largely to inherited eliminate the destructive irrationalities of prison notions that equate crimes to moral and psycho- confinement. The problem for prison management logical illness which demanded institutional con- is. to protect prisoners against abuse by other finement; on the other hand, the variation and prisoners and prison personnel, and to pro- rates of crime are due more to conditions that pro- vide a nonoppressive, humanitarian environment duce crime : high unemployment, irrelevant educa- within the inevitable conditions of imprisonment. tion, racism, poor housing, family disintegration, The use of imprisonment, says Morris, is the and government corruption. The way out of this largest power that the state exercises on a regular dilemma lies in the repudiation of the prison as basis over its citizens. "Perhaps if we can bring useless for any purpose other than lockin.g away principle and justice to the exercise of imprison- persons who are too dangerous. For this purpose, ment, much else will improve in the uneasy ten- the U.S. already has more prison space than it sion between freedom and authority in post- needs or will need in the foreseeable future. industrial society. ''1; The strategy is that each state should adopt a On this premise Morris constructs the intrigu- policy of not building new major institutions for ing concept of a "noncoercive prison" in which juveniles under any circumstances, and not build- "facilitated change" is substituted for "coersive in.g new institutions for adults unless an analysis cure," and "graduated testing of fitness for free- of the total criminal justice and adult corrections dom" replaces "parole prediction of suitability systems produce a clear finding that no altern- for release." In propounding this new organizing ative is possible. The financial and personnel re- principle of imprisonment, Morris restores the sources used to construct and maintain custodial prison to its initial moral purpose and returns the institutions would be allocated instead to the de- question of "why imprisonment" to ethics and velopment of diversified network of alternatives jurisprudence where it belongs. to imprisonment: expanded probation, work-re- The divorce of the rehabilitative goal from the lease, halfway houses, and a variety of com- criminal sanction and the consequent loss of the munity-based services. The assumption is that the indeterminate sentence impos~s on prison man- process of turning criminals away from crime agement the necessity for restructuring the re- can best be accomplished in a community setting lationship between the prisoner population and where all resources and supportive services can the prison authority. In the "noncoercive prison," be brought to bear on the individual problems. prisoners are freed from the discretionary author- The aim is to "deprisonize" the correctional ity of the prison and parole administrators that system by removing the prison from the center formerly tied their freedom to program partici- of penal policy and substituting for the older pation. Opportunities for self-improvement would be offered but participation would no longer be prison reform movement a community corrections made a condition of release. While treatment is movement. In a period when deinstitutionalization not to be coerced, change would be facilitated. or alternatives to institutional care for the aged Furthermore, the polarization that existed be- and the infirm, the mentally ill and retarded, and tween treaters and keepers is converted to an the physically handicapped, is the new rallying alliance that salvages the array of rehabilitative cry of the helping professions and social service programs to serve a dual purpose: first, programs originally designed to provide the benefits of re- lc. National Advisory Commission on Criminal Justice Standards and Goals, Corrections. Washington, D.C.: U.S. Government Printing Office, habilitative treatment would now be used to di- 1973. p. 341-356. 17 Morris, Norval, The Future of Imprisonment. Chicago, Illinois: University of Chicago Press, 1974, p. 2. minish the pains of imprisonment; and second, THE AMERICAN PRISON : THE END OF AN ERA 9

noncoercive rehabilitative intervention would as- Community corrections movement. Fueled by gen- sume a more reasonable and defensible posture. erous grants of public funds, the community cor- According to its proponents, the attraction of rections movement supports an intensive search the noncoercive principle of prison management for a variety of programs designed to serve as lies in the modesty of its aims: to make the pun- alternatives to imprisonment. ishment of imprisonment as fair and equitable, New procedures such as work-release, half- and as least harmful as possible. Any other goal way houses, nonresidential community corrections is beyond the competency of the correctional centers, educational furloughs are eroding the system. dichotomy between imprisonment and liberty. Pretrial diversionary programs keep certain al- Summary and Conclusions leged offenders away from the criminal justice The two competing ideologies that have shaped process and other alternative sentences divert prison policies continue to endure a precarious convicted offenders from institutional confine- coexistence: one rooted in the ideology of retrib- ment. The boundary lines of probation-institution- utive justice and the other derived from the parole that defined the conventional corrections liberal-utilitarian ideology of deterrence and cor- system are now becoming blurred. rection. A prison policy founded on the concept The community corrections movement is justi- .of a "just punishment," must .give greater weight fled on the ground that community-based pro- to fairness and equity considerations than to de- grams will be more effective in reducing recid- terrent or correctional considerations. The power ivism, that they are more humane, and they will of this policy, according to its proponents, lies in be less costly. The rhetoric of the community cor- its preoccupation with the process and proce- rections movement is also the familial language dures that insure fairness rather than in an in- of rehabilitation and individual assessment and terest in practical outcomes, such as reduced crime treatment. rates or increased cost effectiveness. In fact, his- Its critics call the community corrections move- tory breeds a profound skepticism concerning the ment vulnerable on two counts. ~,~ First, the move- practical outcomes of any change in corrections ment is haunted by the specter of the dangerous policy or programs; and contemporary experience (violent) criminal; for without the (unlikely,) strengthens the expectation that the prison in discovery of a technology capable of identifying, some form will be needed for many years to come, isolating, and treating this type of offender, the and that it will continue to receive an unvarying claims of the movement to control crime more flow of offenders. effectively and economically will be less than Nevertheless, despite the failure of the prison credible. Second, the variety of diversion pro- policy founded on the concept of rehabilitation, grams and alternative social services offering the rehabilitative ideal remains an ideology in therapy and helpful intervention which are sanc- good standing. By shifting attention from the tioned by the community corrections movement "big-house" in the country to the "little-house" may in effect be creating a new set of corrections in the neighborhood, the older prison reform decisionmakers and a wider network of increasing movement is being transformed into a vigorous increments of (~ontrol and surveillance with fewer is Vorenberg, Elizabeth W. and Vorenberg, James, "'Early Diversion from the Criminal Justice System: Practice in Search of Theory" in legal protections of individual rights. If these ob- Prisoners in America, Lloyd Ohlin, editor. EDglewoood Cliffs. N.J.: Prentice-Hall, Inc., 1973. p. 151-183: Bynum, Timothy and Massey, servations are accurate, then the community cor- Charles, "Implementing Community Based Corrections: An Exploration of Competing Goals and Efficiency" in Contemporary Corrections: Social rections movement, like its predecessor the prison Control and Conflict, C. Ronald Huff. editor. Beverly Hills, Calif.: Sage Publications, Inc., 1977, p. 140-158: and Bullington, Bruce, "A reform movement, is beingtrapped in its own Critique of Diversionary Juvenile Justice," Crime and Delinquency. Vol. 24, January 1978, p. 59-71. rhetoric.

"~jTEW ideas do not find easy acceptance, especially when they concern treat- • ment of criminals and therefore meet emotional barriers.--THORSTEN SELLIN Writing Standards for Correctional • Accreditation

By ERNEST G. REIMER AND DALE K. SECHREST, D.CRIM.*

n 1974 the Law Enforcement Assistance Ad- itself to develop, promulgate and apply operational standards to correctional services nationwide. Pursuant ministration awarded a .grant to the American to the standards, the achievement of accreditation by I Correctional Association to establish the Com- individual correctional agencies will provide a significant mission on Accreditation for Corrections, which assurance that those agencies accept the obligation of consists of 20 members representing the full accountability to the communities they serve. 3 range of juvenile and adult correctional services, As articulated in a "Statement of Principles," the broader criminal justice system, the business specific Commission goals include the protection community, and the public. Commission members of the public and assistance to other criminal from all areas of the United States are elected by justice agencies, and the provision of just and the membership of the American Correctional As- humane care in the management of adult and sociation, and with the exception of the citizen- juvenile offenders. 4 at-large and education/research representatives, all are currently active in the field of corrections. Existing Correctional Standards The Commission became administratively and fis- The Commission recognized that the future in- cally independent of the ACA in March 1979. tegrity, vitality, and meaningfulness of the ac- Election of members will continue to be done creditation program would depend on the quality through regular ACA elections, and standards will of standards developed for application in the be jointly approved by the ACA and the Commis- field. 5 Several steps were taken to ensure that sion prior to use in the accreditation process. standards used by the Commission would be rep- With the expiration of Federal support at some resentative of past standards development efforts, future date, it is planned that the Commission that they would reflect the best judgment of cor- will become financially self-sustaining through ac- rections professionals regardirLg good corrections creditation fees, publication sales and private practice, that they would be clear, relevant and funding sources. Since 1974, the Commission has comprehensive, and that the standards develop- been developing a comprehensive set of national ment and approval process would involve partic- standards for the field of corrections. To date, ipation by a wide range of concerned individuals seven manuals have been published, and, by 1979, and organizations. a complete set of 10 manuals will be published. ~ Statements of minimal conditions of operation' The Commission is currently applying these for correctional facilities and services have been standards in a process of voluntary correctional articulated by the field for over 100 years." Con- accredition.'-' The purposes of the Commission in sequently when Commission work began, there developing and applying national standards were several key sources of standards already throu.gh accreditation have been stated in num- available, including: the American Correctional erous publications, and can be summarized as Association Manual of Correctio~al Standards follows : (1966 edition), the United Nations Standard Min- Brought about by the American Correctional Asso- ciation and its affiliate organizations and members I Manuals of standards now published are for adult parole authorities, adult community residential services, adult probation and parole field throughout the country, the Commission on Accredi- services, adult correctional institutions, adult local detention facilities, tation for Corrections represents for the first time in juvenile community residential services and juvenile probation and aftercare services; manuals to be published are for juvenile detention the history of the field, a major effort by the field facilities and services, juvenile training schools and the organization and adm:_nistration of correctional services. 2 Accrediteltion Blueprint for Corrections. Commission on Accredi- *Mr. Reimer is assistant director and Dr. Sechrest is tation for Corrections, Rockville, Maryland, October 1978. deputy director, Commission on Accreditation for Correc- :~ A Progress Report. Commission on Accreditation for Corrections, tions, Rockville, Maryland. The authors are indebted to Rockvi]le, Maryland, April 1977: see also "Progress Report 1978." Itobert H. Posen, "Mid-Year Progress Report and Statement of Robert H'. Posen, Jane O'Shaughnessy Ferris and Sharon Principles,'* American .lour~a! o] Correction, May-June 1975. Joynson Winkler~ staff of the Commission on Accreditation :' Robert H. Posen, "'Current Activities Report, Commission on Ac- for Corrections, whose contributions to the process of creditation for Corrections," America~ Journal of Correction, January- February 1976. standards development are reflected through this paper. ~; Dale K." Sechrest, "The Accreditation Movement in Corrections," The opinions expressed, however, are those of the authors. FEDERAL PRORATION, December 1976.

10 4~ WRITING STANDARDS FOR CORRECTIONAL ACCREDITATION 11

imum Rules for Treatment of Prisoners (1955), lent place to begin, the ACA standards had not the Corrections report of the President's Commis- been updated for a decade, particularly with sion on Law Enforcement and the Administration respect to significant court decisions. The avail- of Justice (1967), the Corrections volume of the "ability of more current standards, as cited above, National Advisory Commission on Criminal Jus- and recent case law required the drafting of a tice Standards and Goals (1973), and several complete and uniform set of standards for use in "model acts" developed by the National Council accrediting a wide range of corrections agencies. on Crime and Delinquency. As the work of the Moreover, existing standards frequently used such Commission progressed, the American Bar Asso- words as "appropriate," "as necessary" or "based ciation's Tentative Draft on the Legal Rights of on reasonable evidence," which allow judgment Prisoners became available, as did institution decisions, and consequently, cannot be used in a medical standards developed by the American measurement of standards compliance based on Medical Association3 Also in progress were sev- a single interpretation, which would make the eral sets of standards for juvenile justice, includ- work of auditors (consultant-examiners) very ing those developed by the Institute of Judicial difficult. Also, no single set of standards was Administration/American Bar Association Joint complete, For example, the ACA standards were Commission on Juvenile Justice Standards (IJA/ limited primarily to the Administration and pro- ABA Joint Commission), the Task Force to De- grams of adult, long-term corrections institutions, velop Standards and Goals for Juvenile Justice and they were not current on issues relating to and Delinquency Prevention (Juvenile Justice inmate's rights and the conditions of confinement Task Force), and the Advisory Committee to the as stated by the courts. Existing standards for LEAA Administrator on Standards for the Ad- paroling authorities, probation and parole field ministration of Juvenile Justice (Standards Com- services, and juvenile programs also needed to mittee).,~ In addition to the major sources, over be updated and expanded. 200 other statements of policy, principles, and op- The United Nations Standard Minimum Rules erating procedures from throttghout the country focused primarily on human rights to the exclu- were also examined by commission staff and con- sion of operational concerns. National Advisory sultants who then completed initial drafts of Commission standards were more comprehensive standai-ds from these sources. The purpose of this and were used extensively in the preparation of article is to descri.be the entire process of stand- Commission standards. Their greatest strength ards development, including the use of existin.g was in stating inmate rights as interpreted by standards, use of consultants, techniques of draft- recent court decisions, although they were less ing standards, field testing standards, and the thorough in stating specific operating procedures. approval process. They did not fully address such issues as physical plant, institution security and control, inmate Use of Existing Standards supervision, food service, sanitation, safety and Why didn't the Commission simply apply exist- hygiene, medical services, inmate reception and ing standards in the accreditation program? The orientation, inmate money and property control~ original grant award stated that accreditation release preparation, or temporary release. In: would proceed with the standards contained in order to realize Commission goals, a complete and the American Correctional Association Manual uniform set of standards was required which, of Correctional Standards. These standards were when used by Commission audit teams, would developed over a 30-year period and used in an provide documentation that institutions and com- earlier field test of the accreditation process spo~{- munity a.gencies and services were well-admin- sored by the American Correctional Association istered, provided for the safety and well-being of (ACA) in 1968-1970." While they were an excel- staff and offenders, and were responsive to the needs of the communities they serve. Also institu- : See Compendium of Model Criminal Correctional Lc.qL~hltion and Standardn. Second Edition, U.S. Department of Justice l.aw Enforce- tion standards had to be written to coincide with mont Assistance A lministration, the American Bar Association Com- mission on Correctional Facilities and Services, an(I the Council of and complement standards being developed for State Governments, June 1975: and Tentative Draft on the Legal I¢ilHlla of I'risoncrs. American Bar Association, 1:)77. community services. " Wilfred W. Nuernbergcr ai'ld Richard Van Duizcnd, "Development of Standards for Juvenile Justice: An Overview." ,]uvcnilc Justice, As the Commission al)proached the task of pre- 28 l"cb "t ry 1977. An Accrcdftalio~t Plan for Corrcction.~. Committee on Self-Evalua- paring standards for the entire continu.um of tion and Accreditation, American Correctional Association, College Park, Md., 1970. adult and juvenile corrections services, its mere- 12 FEDERAL PROBATION bers were aware that diversity of purpose, policy local and State governments, and the work of and practice required the development of separate other national organizations cited earlier. sets of standards for individual areas within The Making of a Standard corrections. Therefore, 10 volumes of standards were planned, as mentioned earlier. TM Upon com- In the actual writing of standards, several pletion of nine manuals specific to adult and ground rules were established which proved to juvenile services, a tenth volume is being planned be most helpful as the work progressed. The first which will include standards and guidelines for of these rules was to cover only one concept or the organization and administration of all cor- practice in a standard, and to write that standard rections services within a given jurisdiction. This as clearly and specifically as possible. For example, manual will include standards for central offices a correctional institution must have emergency and will outline several organizational structures power sources that are in working condition in which will lead to the achievement of specific order to use them in case of power failure. How- goals within each system. In developing these ever, a standard written in this manner could standards and guidelines, the same steps will be lead to audit difficulties. An institution could have followed which were used in the development of the necessary emergency equipment, but lack a previous standards. procedure for periodically testing the equipment to determine that it remains in working condition. Use of Consultants Consequently, two standards were developed: To ensure standards of high quality, liberal Standard 4185. The institution has equipment use was made of expert correctional consultants. necessary to maintain essential lights, power and As Commission staff proceeded from manual to communication in an emergency, and Standard manual, knowledgeable persons in specific areas 4186. Emergency equipment is tested at least of corrections were enrolled to draft the initial semiannually for effectiveness and is repaired or set of standards. These consultants were required replaced as necessary. The intent of semiannual tohave extensive knowledge of the criminal jus- testing is to ensure that the testing requirement tice system and the adult or juvenile corrections does not deteriorate into a "once-in-a-w~le com- process, a minimum of 5 years experience in top pliance with a paper regulation." Compliance with administrative positions in their particular area both these standards will provide assurance that of corrections expertise, and a demonstrated abil- the institution has the necessary emergency equip- ity to write, to work well with others, and to ment, and that the equipment will work if needed complete work within specified deadlines. Another in case of a power failure. attribute that proved to be extremely important Another example is in the area of inmate cor- was the ability to conceptualize all aspects of .the respondence. Recent court decisions have greatly component of corrections for which standards extended :the freedom and discretion of inmates were to be prepared, and within that conceptual- to carry on their correspondence.. A standard ization to produce the number and type of stand- could have been prepared that, in essence, called ards that would lead to a complete and high- for written policy providing inmates considerable quality correctional service. ~The best standards leeway in the conduct of their correspondence. writers were those with the distinct ability to see Past efforts at standards formulation frequently the entire continuum of activity within their cast a standard in such broad terminology, speciality and provide standards to cover all the making interpretation, application, and auditing important details within that continuum. extremely difficult, if not impossible. In order to To assist these consultants in their work, the define clearly, what was needed in the area of Commission library which contains over 200 ref- inmate, correspondence, the Commission found it erences relatiag to the development of correc- necessary to issue nine separate standards to tional standards was made available. These ref- ensure compliance with .good practice and recent erences include current State and Federal laws court decisions. Each of the Commission's nine and regulations, model statutes, various court standards cover one and only one aspect of inmate decisions, policy papers prepared by individuals Correspondence. Standards that include more than and organizations, rules and regulations of var- one concept or practice are difficult to audit be- ious correctional agencies, standards prepared by cause compliance must be with the total standard. Specificity in stating the standard is also very lo Op. cit. WRITING STANDARDS FOR CORRECTIONAL ACCREDITATION 13

important. Standards that are broadly worded In preparing standards and their accompanying are difficult or impossible to audit, suchas a explanation or discussions, it became apparent standard calling for a "reasonable" or "liberal" that overwriting a standard was preferable to or "adequate," making a single and consistent underwriting. Very early it was found that too interpretation impossible. Therefore , consultants many words rather than too few usually resulted were required to state specifically what is meant, in a more readily understood standard. One reason even if several standards are required. for overwriting was that thereview and approval In summary, the first ground rule of standard process involved a large number of people with writing is to prepare a standard that covers only varied backgrounds. Overwriting for this range one concept or correctional practice, and to write of reviewers helped to ensure that the intent of that standard as clearly and as specifically as the standard was accurately stated. The reviewers, possible. in turn, helped in editing and identifying the To ensure clarity, it was found that preparation principal elements required to produce more brief, of standards in the present tense using simple concise' final standards. declarative sentences whenever possible, produced Overwriting may also be interpreted as re- the best results. Commission standards are not sulting in too many and too detailed standards. written to prescribe what "should" be happening, Consultants and staff were aware of this danger, rather to specify what is now taking place. For but decided that where doubt existed they should example: Standard 4058, A copy of the personnel err in the direction of preparing another standard, policy manual is available to each employee, or since comprehensiveness was essential and dupli- Standard 4231, Written ,policy precludes the use cate standards could be eliminated or combined of food as a reward ~r disciplinary measure. to create a stronger single standard. The intent This type of standard construction precludes or was to prescribe standards for a sufficient number minimizes opportunities for more than one of elements within' a function or operation to interpretation. ensure that the function or operation was being Not all standards lent themselves to simpl~ implemented completely and in a quality manner. declarative sentences, and it was decided to ac- Similar to operating procedures, however, stand- company each standard with a brief explanatory ards can be written to cover the most mimite paragraph, labeled "Discussion." These discus- details of an operation and may literally leave sions provided clarification of the standard via a nothing to the judgment of the responsible indi- more detailed explanation of the standard, why it vidual. This mistake, as well as that of stating was important, and, frequently, su'ggesting meth- standards in broad and general terms, was to be ods by which the standard could be met. For avoided. example, Standard 4233 states "Written policy Where it was thought improper to specify cer- specifies that meals are served under conditions tain practices, it was decided to require the agency that minimize regimentation." The discussion for to fully document--describe and explain--its this standard explains, "Cafeteria facilities are rationale for implementin.g those practices as it preferable to inmate waiter service. The dining did. An example was caseload size for probation area should provide normal group eating facil- and parole officers and counselors in an institu- ities, and conversation should be permitted during tion. Opinions vary widely about the "ideal" size dining room hours. Where possible, there should for a caseload, and many different standards have be "open" dining room hours, thus eliminating been promoted. There are legitimate reasons why traditional waiting lines and forced seating by caseload size may vary from jurisdiction to juris- housing unit, shop assignment, etc. Full cutlery diction, and to prescribe one size caseload for service, based on a control system, generaUy the entire United States was felt to be presump- should be provided." Here the discussion clarifies tuous. Instead, the Commission adopted the pro- the standard and outlines conditions that would cedure of requiring that the agency demonstrate provide compliance with the standard. There were that it has a plan for determining the size of times durin.g the development of the standards caseloads, taking into consideration factors such when sentences in the discussion exemplified as geography, legislative and administrative re- better the concept sought in the standard, and the quirements, type of offenders to .be supervised, discussion was substituted for the original "draft and so forth. The Commission wanted agencies standard. to examine .their workload and assign staff in a 14 FEDERAL PROBATION systematic manner, taking into account the results the proper standard. The standards would not be desired and other existing factors. The standard compromised because of inadequate funding, an- that emerged from: these deliberations was: tiquated buildings, existing statutes, or similar "There exists a written workload formula which concerns that could be corrected with proper is used in the allocation of work to field sta]." understanding, interest and support. In this sense The discussion of the standard (3113) specifies the standards are a deliberate effort to raise pro- consideration of factors such as legal require- fessional corrections practices nationally. ments, goals, character and needs of offenders to be supervised, geographic area, administrative Field Tests of Standards tasks required of field staff, and types of per- Once a set of standards had been prepared sonnel to be utilized. following the stated criteria, it was necessary to -~ There are other situations where practice legit- give them broad exposure to corrections prac- imately varies among correctional agencies. In titioners. This was accomplished through distri- such cases, the standards require an agency to bution of the standards to professional organiz- have documentation as to why it chose to adopt ations representing the particular area under that particular practice and to demonstrate its consideration, including ACA affiliate organiza- application. For example, rather than mandate tions, by soliciting comments from interested one classification system for all correctional insti- individuals and groups, and by field testing the tutions, standard 4193 calls for "a system for standards. Field testiag consisted of having the classification of inmates which specifies the level staff of an operational agency review the stand- of custodial control required and which requires ards for clarity, relevance and comprehensiveness. a regular review of each classification." The dis- Since these standards were to be used and applied cussion for this standard advocates levels of cus- by practicing corrections professionals, it was todial classification, and adds that inmates should deemed imperative that as many as possible be be assigned the least restrictive custodial level involved in their formulation. In this manner possible. While calling for a documented and sys- the Commission could be assured that the stand- tematic method for classifying inmates, this ards would be clear, relevant and attainable. In standard still provides for variation in classifi- retrospect, the field testing of standards was in- cation systems depending on the physical plant, valuable in developing standards representative of type of inmates, and other considerations specific good professional practice in corrections. to a .given institution. In field testing the standards an effort was The next phenomenon that had to be considered made to test them in a wide range of agencies in the writing of standards was what came to be that represented good administrative and oper- called "avoiding the best fit." The goal was to ational practice. In addition, agencies were se- prescribe the best possible corrections practices lected to insure that a cross section of all such that could be achieved in the United States today, agencies was obtained, that a cross section of beir~g both realistic and practical, but at the same offenders served by such agencies was repre- time not settling for less than the best. Unfortu- sented, and that geographically the sample repre- nately, prevailing practice in many areas of cor- sented appropriate local, State and Federal cor- rections represents second .best, or worse. There rections. The standards for adult prisons were was a tendency on the part of some standards field tested in six different adult institutions, reviewers to try to lower the level of the standards ranging from minimum to maximum custody, to fit current practice, but staff and consultants including male and female institutions, Federal were encouraged by many practitioners partici- and State, large and small. Geographically, two paling in field tests who urged raising or main- were in the West, two in the Midwest, and two in taining the high level of the standards. Another the East. Similarly, standards for local • adult aspect of this phenomenon was what many admin- detention facilities were field tested in jails and istrators cited the lack of funds for their inability lockups in California, Illinois and Maryland that to meet standards, and voiced a preference for ranged from small to large, and included both standards that recognize current budgetary limi- city and county facilities. tations. The Commission quickly decided against • The process •was to mail draft standards to the this, reiterating their earlier position that human- agency sufficiently ahead of •the arrival of Com- itarian goals and high professional service were mission staff and consultants, so that agency staff WRITING STANDARDS FOR CORRECTIONAL ACCREDITATION 15

would have time to read and consider the stand- own operation but also in the context of how ards relevant to their areas of expertise. the standards could help bring about an improved In the larger field test agencies, the review correctional service for all. Many times they ex- process often took up to 3 days. Staff selected pressed the view, of "That's what we should be by the agency, sometimes as many as 30, met doing." This attitude reflects well on the future with Commission staff at scheduled times over of corrections and the many professionals work- the workday to review the standards pertaining ing in the field who are aware of good practices to their specialty. For example, security and and want to do a good job. control standards were reviewed by the person in charge of security; fiscal management stand- Final Approval Process ards by the business manager; recreation stand- Following the field tests for each set of stand- ards by the recreation supervisor. In this way ards, all the comments received regarding the comments were received directly from the people clarity, relevance and comprehensiveness of the who implemented programs, including personnel standards were carefully considered and the from the agency administrator to first line prac- standards rewritten accordingly. The standards titioners. were then carefully reviewed by the Commission After conducting field tests over a wide variety on Accreditation for Corrections. This review of correctional agencies for the past 2 years, was never a perfunctory endorsement of the work several impressions were gained. There was en- of Commission staff, but involved several days thusiasm from operational personnel who wel- of reviews--standard by standard, page bY page. comed the development of standards, frequently Commission members also brought to this task commenting that such were overdue. Moreover, broad experience and knowledge of good correc- they were pleased that they were to have the tional practices. Discussions about the intent opportunity to participate in the process and con- and/or inclusion of a standard were sometimes tribute to what they felt were standards of good long and involved, but invariably resulted in a practice for themselves and for the field. Without better set of standards. Standards were elimi- exception, staff in the field test agencies applied nated, added , or changed. Not until all 20 mem- themselves to the. review wholeheartedly and very bers of the Commission agreed were the set of earnestly attempted to help develop the best pos- standards approved. sible standards. Often these reviewers were re- The standards approved by the Commission on minded that they mi.ght become consultant ex- Accreditation for Corrections were then sub- aminers for the Commission, and, consequently, mitted to the American Correctional Association would be applying the standards in the accredi- Committee on Standards and Accreditation. This tation process. This made it imperative that they Committee represents the American Correctional recommend standards which they could use to Association, and must jointly approve all stand- measure compliance. This also meant that a re- ards with the Commission, as stated in Commis- viewer had to go beyond merely not liking a sion By-Laws. The comments and suggestions standard ; he or she had to give a concrete example of this Committee, which also carefully and of what the standard should be. Staff were often thoughtfully reviewed all standards, were recon- surprised at the degree of clarity achieved in this ciled with those of the Commission members. method and at the number of times higher stand- Then, and only then, was the resulting s~t of ards were recommended. More than once agency standards considered ready for publication. staff indicated that the opportunity to review the • draft standards would help them to achieve and C onchtsion maintain a better quality corrections service in Standards development is the type of effort the future. which can consume months of research and dis- There was an inclination for some staff to think cussion in order to arrive at the optimum set of of the standards only as they applied to their standards. The Commission and the ACA Com- own operation and offer reasons why the stand- mittee understood their respective roles in de- ards could not be met or would not be appropriate. veloping the best possible set of standards that However, this group was in the minority, and would represent the "state of the art" in a par- most of the people who reviewed the standards ticular component of corrections, using all avail- could react to them not only in terms of their able information and the best opinions of correc- 16 FEDERAL PROBATION tions practitioners. Both groups were of the manuals will be jointly approved by the ACA opinion that a better standard might someday be and the Commission on Accreditation for Correc- written. Their goal was to develop a set of stand- tions. This will continue the process of providing ards for use in the accreditation process which standards that are in keeping with new correc- would begin the process of upgrading correctional tions practices and new knowledge. If this pro- services nationwide and provide a framework for cess is used by all individuals and groups who the future development of better standards. All want to participate in the development of stand- standards will be subject to revision and upgrad- ards for corrections it will be possible to continue ing throu,gh the ACA Correctional Standards to focus on important concerns and effectively and Policies Program. Future editions of the communicate them to practitioners in the field.

Strengthening Families as Natural Support Systems for Offenders

BY SUSAN HOFFMAN FISHMAN AND ALBERT S. ALISSI, D.S.W.*

ERVICE programs in the field of corrections strong family ties during imprisonment. The traditionally focus their efforts on rehabili- study suggests that family members, as a natural S tating, controlling or otherwise "treating" support group for offenders, have a tremendous the individual offender, while little systematic potential for assisting in the reintegration of the attention is given to spouses, parents, children, offender to community life. relatives and other significantly related individ- Since family members themselves, however, are uals whose well-being is often placed in jeopardy under new pressures and face new financial and as a result of the offender's incarceration. AI- emotional burdens during the separation process, -though~the -effender-in- prison -is -provided-with --they a~e-usu0.!!y-_n_ot~in a pn,~ition_to:_serve=in_an._j food, clothing, shelter, some opportunity for job effective helping capacity until they stabilize their training and other types of physical and emo- own lives and adapt to the "crisis" situation tional support, the family, and specifically the brought on by their loved one's incarceration.. woman, he has left behind has had to deal with Judith Weintraub and Mary Schwartz, in their all her needs alone. Not only must she establish article entitled, "The Prisoner's Wife:A Study a new life, care for her children and withstand in Crisis" recognized and documented the need the type of social criticism that can occur as a and importance of prompt assistance for families result of the crime committed by her loved one, of offenders. 3 It is these individuals who must but she must also learn to cope with the un- be helped to sustain themselves and to maintain familiar and often frightening court and prison stable relationships during separation so that the systems in order to maintain meaningful contact family unit can offer an offender the support with the offender2 and security he will need upon his release. Al- It has been documented that inmates who do though specialized assistance to prisoners' fam- maintain family ties while in prison have a better ilies Can be essential to the well-being of the chance of remaining out of prison after their family members themselves and their correspond- release. Drawing from a study of 412 prisoners ing ability to assist in the reintegrati0n process of a minimum security facility in California, Holt of the offender, recognition of the unique needs and Miller,2 in 1972, concluded that there was a of these families and appropriate services are strong and consistently positive relationship be- i Mary Schwartz and Judith Weintraub, "The Prisoner's Wife: A tween parole success and the maintenance of Study in Crisis," FEDERAL PROBATION, Vo]. 3•, No. 4 (December 1974). 2 Norman Holt and Donald Miller. Explorations in Inmate Family Relationships. Research Division, California Department of. Corrections, * Ms. Fishman is executive director, Women in Crisis, Report Number 46, Sacramento, California: 1972. :~ Schwartz and Weintraub, pp. cit. See also Judith Weintraub, "'The Hartford, Conn., and Dr. Alissi is professor of social work, Delivery of Services to Families of Prisoners." FEDERAl, PROBATION. University of Connecticut School of Social Work, West Vol. 40. No. 4, (December 1976). These articles were most influential in Hartford. the development of Women in Crisis. STRENGTHENING FAMILIES AS NATURAL SUPPORT SYSTEMS FOR OFFENDERS 17

not available through existing social service agen- their life styles with the help of an informed, cies. And, even though existing literature on sensitive individual (volunteer). families of offenders clearly indicates the specific In September of 1978, a study on the first 8 needs of this special group, it presents little months of the program's operation was completed guidance on concrete, practical service programs under the supervision of the University of Con- which can effectively address such needs. 4 necticut School of Social Work. 7 The researcher The purpose of this article is to describe an drew a total population sample including all innovative pilot program in Connecticut which clients and volunteers engaged in the Women in was designed to meet the special needs of offend- Crisis Program from March 1, 1977, through ers' families and which has been formally eval- October 31, 1977. Interview schedules and ques- uated as being highly successful in accomplishing tionnaires were developed, pretested in the field that task. and administered. Clients and volunteers were Women in Crisis is a private, nonprofit pro- contacted using all available information on rec- gram which utilizes trained volunteers to support ord at the Women in Crisis office. In all, 22 out and assist women from the Greater Hartford of a total possible sample of 40 clients were area whose husbands, boyfriends or sons have administered a personal interview; 16 were un- been sentenced to prison for the first time. Women able to be contacted and 2 refused to be inter- in Crisis was implemented in March of 1977. ~ viewed. In addition, 14 of the 15 volunteers Who During the planning stages of the project, the had provided the services to the clients in the Advisory Board of Women in Crisis developed sample were identified and interviewed. The inter- several basic, underlying concepts and premises view procedure was standardized and systemati- upon which the program itself now operates: cally applied to clients and volunteers alike. The (1) The use of volunteers as service providers, study offered evidence that those volunteers who (2) The relationship as the primary tool of the had been recruited from the community, trained volunteer, and (3) Advocacy as a role of the by the program and assigned to assist families volunteer. of offenders had been highly successful in their I. The Use of Volunteers as Service Providers. roles and offered invaluable services to their --The first decision reached by the planners of clients. In addition, statements made by volun- Women in Crisis was an overwhelming commit- teers, clients and representatives from community ment to the use of trained women volunteers agencies connected with the program stressed as the primary service providers to clients. The several important reasons why volunteers can and Board and staff reached this decision after care- should be major service-givers for the Women fully documenting available research and observ- in Crisis Program. All of these factors have ing the experiences of numerous women whose universal implications : men were sent to prison. They realized that (1) Volunteers as helpers are not seen by women whose men are sentenced to prison ex- potential clients as professional "do-gooders" or perience what is usually termed as a "crisis" as part of any system connected with their recent in their lives, a short term situational disturbance. experiences, but rather as concerned people ad- Except in unusual circumstances, they are not dressing basic human needs. pathologically damaged." Based on this informa- (2) Volunteers as private citizens, taxpayers tion, the Board concluded that most women could and community participants have a vested in- adjust to the abrupt and distressing change in terest in the functioning of the correctional proc- ess. Their involvement in this process not only 4 See for example. Laura Bakker et al.. "Hidden Victims of Crime," Social Work, Vol. 23, No. 2 (March 1978); Donald Schneller. "Some serves as a means of monitoring the system but Social and Psychological Effects on the Families of Negro Prisoners," American Journal of Correction, Vol. 37, No. I (1975) : Eugene Zemans can also serve as a tool for its improvement. One aml Ruth Cavan, "Marital Relationships of Prisoners," The Journal of Criminal Law, Criminology and Police Science, Vol. 47, No. 1 fine example of volunteers as pacemakers for (1958): Harvey Wilmm', e.t al., "Group Treatment of Prisoners and Their Families," Mental Hygiene, Vo]. 50 (1966); Pauline Morris, change has occurred over the past year and a "Fathers in Prison." British Journal of Criminology. Vol. 7 (1967); Sidney Friedman and Conway Esselstyn. "The Adjustment of Children half at Superior Court in Hartford. Volunteers of Jail Inmates," FEnmt^L PaOB^WON, Vol. 29, No. 4 (1965) and Sister Maureen Fenlon. "An Innovative Project For Wives anti from Women in Crisis are present in court each Families of Prisoners," FCI Treatment Notes, Vol. 3, No. 2 (1972). a Much of the early leadership in developing the program came from sentencing day to approach and assist families Margaret Worthington, a retired social worker, who conceived of the program in 1975 and servc~l a~ the first Pre'aident of the Women in immediately after an offender is sentenced and Crisis Board of Directors. " Schwartz and Weintraub, op. cir. taken away. When the program initially began Women in Crisis I'rOllram Evaluation: March 1. 1977--October 31. 1977. Hartford, Connecticut: Women in Crisis, 1978. this service, court officials were suspicious of 18 FEDERAL PROBATION the volunteers and seemed indifferent to the needs nonprofessional relationship between the volun- of families in the court setting. For months, teer and her client as the most important factor however, they have observed the positive effects in the client's adjustment to her new life. At resulting from information and support provided certain times, particularly on sentencing day, on to families in court and, as a result, the sensitivity the first visit to the institution and during the level of these court personnel has changed dra- first few weeks of adjustment, the "woman in matically. Prosecutors, public defenders and sher- crisis" was in crucial need of the human, practi- iffs are now personally escorting families to cal, uncomplicated assistance that was offered by Women in Crisis volunteers for assistance and an objective, informal volunteer. are openly acknowledging an understanding of (1) Sentencing Day.--Regardless of the nature the stress being experienced by the families. of the crime committed by an offender and the (3) As a result of their participation in the likelihood that the offense would necessitate his program, volunteers receive personal satisfactions incarceration, most families are not prepared for and opportunities for education and growth. All the possibility that the man will, in fact, be going volunteers are required to complete the intensive to prison for an indefinite length of time, and, Women in Crisis training program before assign- as a result, display symptoms of shock, panic or ment is made. Training consists of four classroom emotional turmoil in court when sentencing does sessions, each 3 hours in length. Topics include occur. Therefore, Women in Crisis was structured an introduction to the criminal justice system, in such a way that volunteers, under the super- values clarification, interpersonal skills, crisis in- vision of a court liaison staff person, would be tervention, the culture of poverty and a descrip- available in court each sentencing day to provide tion of resources in the community. In addition immediate information on court procedures and to the classroom sessions, volunteers are also prison rules as well as practical guidance and provided with orientations to Correctional Insti- emotional support. The evaluation study sub- tutions and Superior Court. Periodic inservice stantiated the assumption that Women in Crisis training sessions are held throughout the year in clients would need and respond positively to in- order to provide detailed information on special- formed, well meaning volunteers in court regard- ized topics of interest to Women in Crisis volun- less of differences in race or social background. teers. Eighty nine percent of those clients interviewed This growth and increased awareness of volun- felt that it was important for them to have teers, in turn, affects the attitudes of others in had someone in court to assist them on sentencing the community with whom they come in contact. day and the vast majority of clients stated that Women in Crisis volunteers interviewed for the the race of their volunteer made no difference program study highlighted some additional bene- to them. The type of human support that volun- fits gained through their involvement with the teers provide each week can best be understood program. Half of the women interviewed observed by examining the specific experiences of Mrs. S an increase in their own sensitivity to the prob- and her volunteer, Jan. lems and strengths of others; approximately one- Mrs; S., a woman in her fifties, is a widow with five third of the volunteers felt that their communica- sons. Her eldest son was in court to be sentenced for tion skills became more highly developed; and a sexual offense. Mrs. S. spoke in open court to the judge. She told him how she had tried to help her son one-third emphasized the satisfaction they re- and how difficult it had been for her. Jan approached ceived from making new acquaintances and com- Mrs. S. after the judge had sentenced the young man, ing to know women from different social and explained who she was and asked if she could be of any economic backgrounds. assistance to her. Mrs. S. and Jan sat down together in the hallway, whereupon Mrs. S. put her head on (4) The participation of volunteers as the Jan's shoulder and wept. She then expressed her feel- primary service providers to families of offenders ings of frustration and shame in speaking before the is economically feasible for the program itself judge. Jan assured her that her comments had made a great impact on the court. After talking with Jan in a time when costs of services continue to for another 15 minutes, Mrs. S. told Jan that "just as increase. I thought I didn't have anyone to turn to, you were there II. Relationship as the Primary Tool of the to help me." Volunteer.--A second major concept which was (2) First Visit.--The first visit by a woman substantiated by data in the evaluation study of to her loved one in prison is usually a very difficult the program, identified the informal, personal and experience. There are a great many specific reg- STRENGTHENING FAMILIES AS NATURAL SUPPORT SYSTEMS FOR OFFENDERS 19

ulations and a precise visiting procedure outlined When I met Dee for the first time, I was amazed by the institution which can be overwhelming to that she seemed so calm and so much in control of herself. Until we went up to the prison together for a family member who is unaccustomed to express- that first visit, I wasn't sure what I could offer her. ing feelings in such a structured environment. We talked quietly during the drive to Somers but as The location of the prison itself can often present we approached the parking lot of the prison, I noticed an insurmountable problem to a family without that her expression suddenly changed. We walked to- gether to the metal detector and into the first waiting access to private transportation, s area. At this point, Dee completely broke down, refused The ability of a family member to acquire the to go any further and insisted that she would never appropriate information and support necessary come to this awful place again. I sat with her as she cried and quietly encouraged her to go into the visiting to overcome these practical and emotional obsta- room, since her husband was probably just as nervous cles can determine her feelings towards subse- and anxious to see her as she was. After what seemed quent visits. For this reason, the initial Advisory like hours, she did finally go in. Later she told me that Board and staff of Women in Crisis felt that it she would never have done so if it had not been for me. was imperative for a volunteer, as part of her It should be mentioned, at this point, that job responsibilities, to accompany a woman on Women in Crisis volunteers are instructed to her first visit to the prison. The volunteer would, accompany a client only on this first, critical in no way, be part of the actual visit itself but visit. The program does not want the volunteer would be available to guide the woman through to spend her time simply as a chauffeur. Nor does the procedure and discuss her reactions to it it feel that it is helpful for the "woman in crisis" before and after the visit itself. In addition, by to develop a dependency on the volunteer for offering private transportation during weekday transportation over a long period of time. Clients hours, the volunteers would be providing the are, therefore, encouraged to develop their own "woman in crisis" with the opportunity to visit resources. Since many clients mentioned during for the first time under less crowded conditions the evaluation interviews that the institution was and for a longer period of time. frightening for them only until they became The evaluation study of Women in Crisis sup- familiar with the visiting routine, it is apparent ported the program's commitment to the use of that continued volunteer support on additional volunteers as helpers on the first visit. Over half visits is unnecessary. of the clients interviewed experienced fear and (3) The 6- to 8-Week Ad.i~estment Period.--In nervousness before their first visit to the institu- addition to the critical support that a volunteer tion. Two-thirds of the clients interviewed indi- provides to her client at the specific points of cated that they talked with their volunteers about crisis on sentencing day and on the first visit, a their feelings prior to the first visit. Over 85 volunteer is also available as a resource on con- percent of the clients who were accompanied by tinuing, intensive basis for the 6- to 8-week period their vohmteers on their first visit said they relied which usually reflects the average critical adjust- heavily on the volunteer's presence. When asked meat time for a woman whose loved one has whether it was helpful to have had a vohmteer recently been incarcerated. Periodic followup can go with them on the first visit, 93 percent of the continue until the point when the man is released clients responded positively. Only those clients from the institution if the family desires this who were already familiar with the procedure support. Clients interviewed indicated that of all felt that the volunteer's assistance Was not im- the types of assistance provided by the volunteers perative. It would seem, therefore, from this data, during this adjustment period, it was the most that the presence of a caring, objective person helpful to have been able to relate on a human at this critical time in the family's adjustment level to another person, to have "someone to talk process is very helpful. One volunteer described to." The following letter, which one client wrote a client's first visit and her own role as an im- to her vohmteer, describes the impact that their portant helper : relationship had on her life: Somers Correctional Institution in Somers. Connecticut, is the primary intake prison for adult male felons in Connecticut, and like Dear Meg : many pris~ms thr~ughout the country, is located in an area of the I wrote you this letter to know how you field. I wish ::tale that is not on any preestabllshcd, major passenger routes. Until April of 197,q, when Women in Crisis successfully advocated on behalf that when you recive this letter you are in good condi- of its clients for increased public bus service to S~mers. there was only one bus per week which traveled from Hartford. the major urban tion of health. area serviced by the program. This bus traveled only on the weekend Mrs. Meg, I wish you have a good luck in your when visiting hours are shorter and when the visiting room is the most congested. There is, however, no regular public transportation summer vacation, I meet you because you was a wonder- from other areas of Connecticut to Seiners. women, who I was the pleasure to know. I would never 20 FEDERAL PROBATION

forget the day I know you because you bring me your bank together. When the woman acquired sufficient friendly when I was alone. clothing for her children, she and the volunteer went Have a great summer vacation with all of your to the school and registered the children in classes. families. Stay as nice as you are. I will always remember A volunteer whose client was being evicted from her you. apartment spent countless hours with her as the woman Sincerely, searched for suitable living quarters for herself and Your friend, Maria. her small children. III. Advocacy as a Role of the Volunteer.-- A volunteer whose client was lonely and isolated in a suburban town arranged for a scholarship to a class Although the initial Board of Women in Crisis at the local Y.W.C.A. for the woman so that she could considered the emotional support and assistance meet and be with other women during the day. provided to a family member by a volunteer to An offender contacted the agency for help in re- be of critical importance, it also recognized ad- establishing a relationship with his 31/fi-year-old son who was living with his former wife's parents. The ditional concerns of clients which could not be parents had never responded to any of the offender's addressed through emotional support alone. Fam- letters to them. A volunteer wrote a letter to the in-laws ilies in turmoil need accurate information in informing them of the man's desire to see his son upon his release from prison. When the in-laws responded order to make rational decisions about their fu- to the letter, the volunteer was able to reassure them ture. They need to identify and establish contact about the man's intentions and his awareness of the with the appropriate personnel at the institution difficulties such a visit might cause. The in-laws were so that their concerns and fears about their loved appreciative of the support offered by the volunteer and agreed to one initial visit between the child and ones can be expressed and addressed. They may his father. Subsequent visits ensued. need practical, professional services or crisis in- tervention to alleviate on-going or emergency Additional Services situations. Many families facing problems so soon Although Women in Crisis was established to after the offender's incarceration feel helpless address the needs of offenders' families during and overwhelmed. For this reason, the planners the critical period immediately following the of Women in Crisis concluded that it would be man's sentencing and initial incarceration, the important for well trained, informed volunteers, program has begun to develop services at other as part of their job assignment, to assume a role key points in time when family members are of advocacy on behalf of their clients. They, as equally in need of vital assistance. Judith Wein- vocal representatives of an established organiza- traub, in her article, "The Delivery of Services tion, could serve as liasons and investigators to to Families of Offenders, '''~ identifies arrest and gather and interpret necessary information and arraignment and pre and post release as addition- steer clients towards appropriate, existing serv- ally turbulent and bewildering periods of crisis ices. They could also intervene on issues relating for families of offenders. The experiences of to the prison if the client had a justifiable com- Women in Crisis over the past 2 years have plaint and received no satisfactory response to it. substantiated her observations. Since March of 1977 when the program offi- When loved ones cannot raise bail and must cially began operation, volunteers have assumed remain incarcerated for varying lengths of time advocacy roles in specific cases. Various types prior to sentencing, families face practical, emo- of services that volunteers have provided and the tional and financial burdens as a result of the results of their intervention are summarized man's abrupt absence from the home. Vital infor- below : mation on court and jail procedures is as confus- An agitated mother called her volunteer because her ing and difficult to obtain as it is once the man son had been writing to her and complaining that he is sentenced. Family members whose men have was being heavily drugged at the prison. Since the served their time and are preparing to reenter mother was unable to clarify the situation, the volunteer called the institution as a representative of Women in community life have adjusted to new roles and Crisis and established, to the mother's relief, that the taken on new responsibilities during the man's inmate was not being medicated. absence. Their expectations may not be consistent In her conversations with a young family member, one volunteer discovered that, as of mid-October, the with those of the offender whose life in prison woman had not enrolled her children in school. The has been so vastly different from their daily woman was embarrassed that the youngsters did not have proper clothing to wear to school. The volunteer existence on the street. Common goals and realis- suggested to the woman that they visit a local clothing tic plans must be established between the man

9 Weintraub, op. cir. and his family so that the offender may experience STRENGTHENING FAMILIES AS NATURAL SUPPORT SYSTEMS FOR OFFENDERS 21

a smooth transition between prison and com- the opportunity for volunteers, as representatives munity life. of their communities, to serve in a positive way Women in Crisis volunteers have begun to and contribute to the adjustment process of of- provide support services to families of felony fenders' families. Not only do these volunteers offenders who remain incarcerated prior to sen- realize personal rewards and satisfactions, but tencing. These family members (whose loved ones they also offer an effective, straightforward form are classified as "transfers") receive the same of assistance which is viewed as genuine by fam- type of services provided by the agency to fatal- ily members crisis." To the extent that fam- lies of sentenced offenders. Counselors and other "in personnel at the correctional facility, private at- ilies are assisted in dealing with crises, there is torneys, pt)blic defenders and bondsmen refer every reason to believe that they can be strengh- "transfer" families in need to the agency on a ened to become a major source of support in regular basis. furthering the rehabilitation of the offender as Within the "Return to Community" component, well. a family counselor is available to assist an of- BIBLIOGRAPHY fender and his family in establishing realistic Bakker, Laura J., Morris, Barbara A., and Janus, goals and to facilitate effective communication Laura M. "Hidden Victims of Crime," Social Work, Vol. among family members. The family counselor is 23, No. 2 (March 1978). Brodsky, Stanley. Families and Friends of Men in in the process of determining methods for utiliz- Prison. Lexington, Mass.: D.C. Heath & Co., 1975. ing trained volunteers within this new project. Fenlon, Sister Maureen. "An Innovative Project for Wives of Prisoners." FCI T~'eatment Notes, Vol. 3, No. 2 Women in Crisis also runs "personal growth (1972). Friedman, Sidney, and Esselstyn, T. Conway. "The classes" and group activities for family members Adjustment of Children of Jail Inmates," FEDERAL PRORA- of offenders. These sessions not only provide the TION, Vol. 29, No. 4 (1965). opportunity for women to gather socially, but Holt, Norman, and Miller, Donald. Explorations in Inmate Family Relatio~ships. Research Division, Califor- also allow them to discuss common problems and nia Department of Correction Report Number 46. Sacra- mento, California: January 1972. learn new skills which may be valuable to them Morris, Pauline. "Fathers in Prison," British Journal as they adjust to new lives~on their own. Some of CrOninology, Vol. 7 (1967). Morris, Pauline. Prisoners and Their Families. New of the topics which have been addressed in the York: Hart Publishing Company, ].965. past include single person parenting, money man- Schafer, N.E. "Prison Visiting: A Background for Change," FEDERAL PROBATION, Vol. 42, No. 3 (September agement and interpersonal communication. 1978). Schneller, Donald. "Some Social and Psychological Ef- Summary fects on the Families of Negro Prisoners," American Journal of Co~'eetion, Vol. 37, No. 1 (1975). Existing literature is limited in that it hypo- Schwartz, Mary, and Weintraub, Judith. "The Pris- oner's Wife: A Study in Crisis," FEDERAL PROBATION, thesizes on the various means for meeting needs Vol. 38, No. 4 (December 1974). of offenders' families but does not present con- Wilmer, Harvey A., Marks, Irving, and Pogue, Edwin. "Group Treatment of Prisoners and Their Families," crete programs and methods for dealing with Mental Hygiene, Vol. 50 (1966). these specific needs. Women in Crisis authenti- Weintraub, Judith. "The Delivery of Services to Fam- ilies of Prisoners," FEDERAL PROBATION, Vol. 40, No. 4 cates a method of providing services which has (December 1976). major advantages. In the first place, it is practical Women in Crisis Program Evaluation: March 1, 1977- October 31, 1977. Hartford, Connecticut, Women in Crisis, and can be offered with limited financial resources 1978. Unpublished document. because it utilizes trained women volunteers as Zemans, Eugene, and Cavan, Ruth Shonle. "Marital Relationships of Prisoners," Journal of Criminal Law, primary service providers. In addition, it provides Criminology and Police Science, Vol. 47, No. 1 (1958).

T .IS HOPED that the legal and social work systems recognize their long over- I due commitment to provide comprehensive and systematic services to the families of prisoners.--MARY C. SCHWARTZ AND JUDITH F. WEINTRAUB The Fine Option Program: An Alternative to Prison for Fine Defaulters

By MARGERY HEATH Director, Fine Option Program, Saskatchewan Social Services, Regina, Canada

HE SANCTION Of the fine is the most widely An interdepartmental committee, consisting of used of all sentence alternatives; it is con- senior staff of the Department of the Attorney T sidered to be the most cost-effective and can, General and Department of Social Services, was in most cases, be tailored to meet the needs of formed to consider and recommend a workable relating to the seriousness of the offence and the short-term solution. The following alternatives means of the offender. One of the problems with were considered : the extensive use of the fine sentence is that 1) Registering the fine as a civil judgment. some offenders are unable to pay their fines and This was deemed to be too costly--collection of a are then faced with a term in jail for default of $75 fine could involve up to $500 in legal actions. payment. For the court system the incidence of 2) Relax liquor laws; treat those charged as defaulters is negligible---only 1 to 2 percent of having a health problem rather than as criminals. all those fined default on payment. However, that This alternative would deal with about 20 per- 1 to 2 percent translates into as many as 2,000 cent of the defaulters, but the province was lack- admissions (50 percent or more of all admissions) ing in appropriate alcohol treatment facilities to to Saskatchewan correctional facilities in some operationalize this suggestion. years. It was to provide a relief to the frequency 3) Amend the Corrections Act to permit use and inordinately severe result of default that the of a probation order instead of a fine for offences Fine Option Program was developed. under the Liquor Act, Liquor Licensing Act and "The hardship that society imposes on its law- Vehicle Act where it is obvious the convicted breakers is unjustifiable when the sanction is person had no means to pay. This alternative more severly suffered by its poorer members. This was rejected as it was feared that a substantial financial fact of the differential effect of similar increase in probation officers would be necessary fines on different offenders distinguishes the fine to meet the new demands. from other sanctions and calls for a .different 4) Work programs--whereby those unable to scheme for achieving desired uniformity.''1 pay fines would voluntarily work at worthwhile municipal and community projects. Historical Background It was agreed to recommend the development As early as 1965-66 the Corrections Branch of an experimental work program, called the Fine identified that 60 percent of males admitted to Option Program, as an alternative to jail for the provincial correctional centres could buy their default of fines; in the meantime, both depart- release by paying their fines. Somewhat later, in ments were to explore longer term solutions in- 1971, the Premier and the Attorney General be- cluding those that involved legislative changes to came aware of the problem and directed that steps the fine system. be taken by the Department of Social Services (of which Corrections is a Branch) and the At- Fine Option Program torney General's Department to eliminate "prison Objectives for debt" in this province. A detailed study in (1) To provide a reasonable alternative to im- 1972-73 further identified the group of defaulters prisonment, through community work service, as of native ancestry (75 percent of men, 98 per- for offenders who are unable or unwilling to pay cent of women), whose offences were in the main a fine. related to liquor consumption and minor driving (2) To reduce the Cost of the administration infractions. The majority spent less than 15 days of justice by reducing the costs in such areas in jail indicating their fines were not large. as transporting offenders to prison and by re-

1 Law Reform Commission of Canada Working Paper No. 6--Fines. ducing demands on prison facilities.

22 THE FINE OPTION PROGRAM 23

Development be of a meaningful nature to the offender and Funding for the Program was approved in the useful to the community. spring of 1974. Advertising for the director was (9) All work performed shall be credited at placed in June and an appointment announced the rate of minimum wage regardless of the skills in September. A secretary and two field personnel or tools provided by the offender. were in place by November, and January 1975 (10) All work placements should be with mu- saw the opening of the first two Fine Option nicipalities, Indian band administrators and non- agencies in the province. profit organizations. It is essential to remember that in 1974 this (11) Work placements provided to Fine Option Program did not have a known precedent; every- participants should not take employment away one involved in its development felt a sense of from present or potential employees. pioneering. From the outset the director of the Very early in the development of the Program Program established lines of communication with negotiations were initiated with the Unemploy- the judiciary, the court clerks, the police, the com- ment Insurance Commission and the Saskatche- munities and the offenders so that as problems wan Social Assistance Program to ensure contin- and issues developed they could be dealt with uance of benefits to the offender while partici- quickly and effectively. pating in the Fine Option Program. These nego- Geographic development was priorized from the tiations were successful with the qualification that data collected for the 1972-73 fiscal year; com- the offender must be available for job interviews munities that were sending high numbers of de- and job offers. faulters to jail designated for early development. Worker's Compensation coverage is available to It was a coincidence that the two high-count com- participants who incur injury while working in munities were also the home communities of the the Program. In the :first 4 years there has been field officers, thus allowing them to begin the only one report of injury and that was of such development of the Program where they were a minor nature that no claim was paid. familiar with the needs and resources of the Structure of the Program community. The structure reflects the principles of decen- Several principles were agreed to and estab- tralization and community participation. lished at the outset of development. After 4 years In each community the Fine Option field worker of operation these principles still apply and are works with the elected people (municipal and as follows : town councils, and band councillors) to determine (1) Procedures should be simple and easy to what organizations would be most appropriate administer to encourage involvement of lay people to assume the duties of operating a Fine Option in the day to day operation. agency. These include receiving and registering (2) There will be no money involved, but an offender in the Program, placing the offender rather the use of a voucher that converts hours in a suitable work placement and completing and of work to a dollar credit using the current min- remitting the required documentation to the court imum wage rate. for each offender. The organization chosen to pro- (3) Program should be flexible enough to adapt vide the Fine Option services enters into a con- the available community resources to the needs tract with the government and receives a fee- of most offenders. for-service of $10 for each work placement made (4) The Program should be designed to serve under the Program. native offenders who are over represented in the Work placements are developed by the staff prisons for nonpayment of fines. of the local Fine Option agency with assistance (5) Participation in the Program must be vol- from the Fine Option field workers; all place- untary and the responsibility of the offender: ments must be described in detail and approved (6) The Program should not be used as a ve- by the director of the Fine Option Program. This hicle to impose treatment (such as for alcohol) approval consists of ensuring that (1) the place- on an offender. ment is with a suitable nonprofit organization, (7) Standards for work options should reflect (2) the work will be useful and meaningful, and the norm of the local community and be adaptable (3) supervision will be provided. to local needs. It is most important that a .good relationship (8) As far as possible, work placements should be established between the various work place- 24 FEDERAL PROBATION ment agencies and the local Fine Option agency between date of default and the issuance of the staff. The involvement of the agency staff in work warrant. placement development initiates a process of local A form letter was developed which, in effect, cooperation in operating the Program that allows advised the offender that his fine was in default the Fine Option field worker's role to be sup- and that he was now eligible to use the Fine portive rather than directive. A successful com- Option Program to avoid being sent to jail. This munity Fine Option agency will require only oc- process, although reasonably effective, was cum- casional attention from the field worker to ensure bersome. It placed the responsibility on the courts a smooth operation. (who referred names of defaulters to Fine Option This community based structure has resulted agencies) and the Fine Option agencies (who in a large number of lay people having a direct • mailed the form letter to the defaulter) to con- involvement in the criminal justice system. There tact the offender. After much discussion and ne: are presently 160 Fine Option agencies in the gotiation with the Attorney General's Depart- province and another 150 agencies who provide ment and the Chief Judge a procedure was de- the work placements for the offenders. Some com- veloped that advised the offender, at the time of munities have organized formal justice councils, sentence of his available options. others have used existin.g channels such as their The Notice of Fine local policemen and judges to brin.g forward their The new procedure, introduced in March 1977, concerns and ideas for dealing with crime. Those involved the development and use of a Written people working in the criminal justice system notification to be given to the offender at the have responded by accepting invitations to speak time of sentence. This notification, called the to community groups about local crime problems Notice of Fine, complemented the verbal instruc- as well as many of the broader criminal justice tions of the judge and includes details about the issues. charge, the amount of the fine, days in lieu, de- More importantly, the offender and his com- fault date, instructions for payment and a brief munity are enabled to continue or reestablish description of the Fine Option Program and how their relationship through the Fine Option Pro- to participate in it. The judges are required to gram. The offender has a good feeling from being provide the Notice of Fine to everyone who is able to help his community; the community bene- allowed time to pay. In effect, it is now the of- fits from this work and, as a result of seeing the fenders' responsibility to choose whatever method offender doing something worthwhile, is more appropriate for him to settle his fine. prepared to help the offender. There are many If the offender chooses to use the Fine Option documented cases of offenders receiving job Program he must present the Notice of Fine offers, personal references and the encourage- to a Fine Option agent by date of default. The ment and support to return to school or attend agent registers the offender and advises the court treatment services such as alcohol rehabilitation. of the registration and the expected date of com- As Judge Muir of Moose Jaw recently commented, pletion of the community service work. The court "The Fine Option Program brings together the records this completion date as a new default agencies who are seen as part of the 'establish- date. ment' and the people who live on the fringe of The Notice of Fine system has been in place for over a year and has vastly improved and stream- society and both groups are benefitting from the lined the procedures for both Fine Option partici- experience." pation as well as payment of fines. The provision Procedures of information on the Fine Option Program to Due to the experimental nature of the Fine all persons who are given time to pay their fines. Option Program the initial process for reaching has not changed the overall profile of participants. the defaulter was designed to least disrupt the Only a very small number of Fine Option Pro- established court procedures. Because of a concern gram users are persons who could easily afford that fine revenue could be affected, it was decided to pay their fines. These persons may well be the

that the only persons who should be offered the type who would serve a jail term if thereI is a alternative of community service work were those principle involved in their refusal to p~iy. who had, in. fact, defaulted. This limited the Following registration in the Fine Option Pro- period of contact with the offender to that time gram, the offender is interviewed briefly to de- THE FINE OPTION PROGRAM 25

termine his skills, his availability and any handi- beyond the avoidance of a jail term for default. caps so that an appropriate work placement can Many have received job offers, references, as- be arranged. The Fine Option agency contacts sistance to enable a return to school, upgrading the work placement agency to arrange starting or job training and the community support that dates for the offender's work. The work place- has encouraged many offenders to start the pro- ment agency provides supervision and keeps time cess of dealing with their alcohol, social or finan- sheets on each offender. When the required num- cial problems. Often it was these problems that ber of hours have been completed (or the offender landed them in trouble with the law. The disrup- terminates) the agency returns documentation to tion of family ties and responsibilities and the the Fine Option agency. The final check and vali- indignity of incarceration can now be avoided by dation of the documentation is done by the Fine the offender thus making the fine sentence fairer. Option agency who sends one copy to the court On Communities as settlement of the fine and one copy to the A major impact has be~n the opportunity for offender as a receipt. community people to become involved in "a little The amount of work required to settle a fine bit of the action" in the criminal justice system. is computed by dividing the amount of the fine Some rural communities receive only sporadic by the current provincial minimum wage rate. benefits from their local Fine Option Program No cash changes hands. The court accepts docu- except in Indian reserve communities where the mentation from the Fine Option agencies showing Program is used well and the benefits are highly hours of work performed as settlement of these visible. New or renovated band halls and offices, fines. roadway maintenance projects and housing pro- Throughout the actual process of registration, grams are a few of the activities assigned to Fine placement, supervision, documentation and re- Option participants. Reserve communities are porting of results, it is the community that is more cognizant of the destructive effects that responsible for the successful functioning of the removal of a family member, especially a parent, Program. The highly successful performance of has on the family and the community. Chief Tony these nonprofessionals in administering the Fine Cote, of the Cote Indian Reserve, commented that Option Program reinforces the comment of the the most important contribution the Fine Option Canadian Criminology and Corrections Associa- Program is making is that it prevents breakdown tion in its brief to the Task Force on the Role of of families due to the incarceration of the male the Private A.gencies : "Only a community interest member of the family~ Youn.g offenders, in par- and involvement will bring about major reforms ticular, are avoiding contact with "the criminal to improve the manner in which crime is handled education" process that can happen in jails. In- in Canada. It is time for the community to be carceration only holds fear for those who have brought into the decisionmaking and implemen- not been subjected to it; it is vital that this sanc- tation process." tion be retained for more serious criminal acts than nonpayment of fines. In the larger urban IMPA CT centres, such as Saskatoon and Regina, many On Correctional Institutions nonprofit agencies are developizlg an increased The objective of the Fine Option Program was appreciation of the benefits of Fine Option as to reduce the problem of incarceration for de- their budgets for staff are reduced and the de- faulted fines by providin.g the alternative of com- mand for services continues to expand. munity service work. We believe the first 3 years On the Criminal Justice System of operation have resulted in a steady decline in The Fine Option Program has impacted dra- the days of incarceration as well as reducing matically on the courts administrative system. the number of admissions to the provincial cor- During the first couple of years the referral pro- rectional centres. During these same years the cess to the Fine Option Program created a serious rate of incarceration for direct sentences has work overload for the understaffed system. Coin- continued to increase. The provincial jails are cidental with the introduction of the Notice of presently experiencing an all time high inmate Fine was a staff increase in the court ofTices; count. the combination has resulted in the elimination of On Offenders a 2 to 3 year backlog of fine default cases. Most Several benefits have accrued to the offender court jurisdictions are able to now issue warrants 26 FEDERAL PROBATION within several days of default resulting in quicker commodation would be prohibitive to performance execution and closure of fine cases. The Program of community service work in locale of infraction. has considerably reduced the number of warrants (2) Although some fine revenue from paid fines issued for default thereby lessening the work- accrues to the local municipality the cost of in- load of both the court offices and the R.C.M.P. carceration for defaulted fines is not charged detachments. back as a direct cost to the offender's local mu- In summary, the improved administration of nicipality. fines has substantially reduced the incidence of Credibility of the quality and quantity of work avoidin.g the sanction thus improving the credi- performed by offenders in the Fine Option Pro- bility of the justice system. It is commonly ac- gram continues to be of concern. Some incidents cepted that the best crime prevention is quick of both poor performance and poor choice of apprehension and sure justice. work placement have occurred. There is a diver- sity of opinion on what constitutes credible work. Policy Issues For example, a work placement that caused a Introduction of the Fine Option Program to great deal of discussion required the offender the criminal justice system and the implemention to assist in setting up and supervising an evening of community service work as an alternative to of bin.go to raise funds for charitable purposes. cash settlement of a fine produced ssveral policy This was perceived by some persons as a recre- issues. ational activity and a decision was made to de- One of the more contentious issues was the lete this work placement as being inappropriate. question of legality--(1) does the province have Meaningful work for offenders is a problem the authority to substitute the sanction of a mone- in some communities--often it is related to sea- tary penalty or jail with another kind of settle- sonal demands. The creative capacities of local ment (i.e.) community service work?, (2) can Fine Option agent and the community can often the province extend this substitution to fines alleviate this concern. Knowledge and awareness that are payable to the Federal Government? The of the community needs and available resources statutory base for the Fine Option Program lies leads to development of work placements with in an Order-in-Council which establishes regu- the local library, senior citizens services and pro- lations under the Department of Social Services grams for specific groups such as youth and Act. Recently the Federal Government, in Bill handicapped. C51, has proposed amendments to the Criminal To assist communities in establishing mean- Code which when passed will legitimize com- ingful and credible work placements standards munity service work settlement. Until legislation and procedures have been developed. Some are: is passed the position of the province is that, as (1) Use of time records signed by supervisor the province is responsible for provision of in- of work placement. carceration services for defaulters of fines payable (2) Guidelines regarding absenteeism, late ar- to the Federal Government, the province has the rival, that are the same as an employment situ- prerogative to establish programs that are a ation. reasonable alternative to incarceration. (3) Work placements that are (a) seen by the There has been the occasional complaint from community as worthwhile (b) meaningful to the communities regarding loss of fine revenue. These offender. are communities who have extra policing costs, It is important to recognize that perceptions of who depend on fine revenue to pay some of these what is meaningful, beneficial and credible vary expenses and who perceive the Fine Option Pro- from community to community. The assignment gram as reducing that revenue and not replacing to dig toilet pits (fairly common on Indian re- the dollar value with community service work. serves) would be considered punitive and harsh The offender usually chooses to work his fine in in a large urban centre. The work credibility his home community, while the infraction may issue does not have an easy solution, but is amen- have occurred in another community and the fine, able to monitoring by field staff and serious vio- if paid, would accrue that community. The policy lations are dealt with by way of fraud charges. respecting place of work vis-a-vis place of in- fraction will continue to be the offender's choice Summary for several reasons. (1) Cost of travel and ac- After 4 years the Fine Option Program is THE FINE OPTION PROGRAM 27 fully operational and available to anyone who dollars in fine revenues was generated in Sas- has been fined and given time to pay. As a short katchewan in 1977-1978. In the same fiscal year term solution to the problem of fine default it $400,000 (3.5 percent) in fines were settled by has been fairly successful. The total days of care Fine Option and a further $24,000 written off are substantially reduced, although the number as uncollectable. of admissions still remains in the range of ap- Fines levied for Vehicle Act and Liquor Act proximately 1,500 per year. offences continue to form the majority of de- A recent study done by summer law students faulted fines but there is a steady increase in of all the defaulters incarcerated during a 10- driving while impaired fines. Another group has week period indicates that a high percentage are fines for a variety of offences for which no time not suitable candidates for the voluntary, low- to pay was .given by the court. The following control loosely structured Fine Option Program. changes would result in a decrease in use of the Most have severe alcohol problems which have Fine Option Program as well as a decrease in destroyed their initiative, self-worth and ability the number of incarcerated defaulters: to perform even a very simple form of work. (1) Decriminalization of liquor offences and This group has a record of short jail terms, use of detoxification centres for nuisance-type mostly for default, and to some extent their health alcohol abusers. may depend on this drying out period with warm, (2) Attachment of unpaid fines to operators dry accommodation and good food. This study licences or vehicle registration fees for offences recommends that sentences to alcohol detoxifica- under the Vehicle Act. tion centres would be a more humane way to (3) Substantial decrease in the use by judges handle this group than fines and jail. of "no time to pay" would affect 35 percent of The expectation that the Fine Option Program the present group of defaulters in jails. would provide opportunities and experience in Even with substantive reforms to the fine defining the fine problem has more than been ful- system there will still be some need for the Fine filled. Through operational experience, data col- Option Program. It is a considerably more cost lection and studies the following facts about fines effective program than elaborate screeni~lg mech- have emerged : anisms to determine means to pay, recall of of- (1) In 1976, 44 percent of incarcerated fine fenders to arrange installment payments, etc. defaulters were not given time to pay; in 1978 this was still at 34 percent. These people are also However, it is incumbent for reform to be under- ineligible to participate in Fine Option Program. taken that will reduce the present high numbers (2) Default time has no realistic relationship of people who are fined and are unable to pay to the value of the fine--average $5 per day. some or all of their fine. The Fine Option Pro- (3) Fine defaulters continue to be predom- gram should eventually be the program of second inantly native, older than other inmates, with last resort in the fine system--with the last re- a history of previous incarcerations. sort being jail for those who are willful de- (4) It is estimated that in excess of 11 million faulters.

UR OFFENDER population frequently has a plethora of problems. Keep in O mind that these problems, in general, did not develop overnight; and, they cannot be resolved in like fashion. It is most important for the probation officer to listen to the offender's assessment of the problems which are getting in the way of realizing stability. While we cannot help the offender change the past, we can help him with the present and ultimately the future. --HAROLD B. WOOTEN The Case for Creative Restitution in Corrections

BY JAMES H. BRIDGES, PH.D., JOHN T. GANDY, D.S.W., AND JAMES D. JORGENSEN*

S CHILDREN, most of us were taught the In seeking to account for this we cited three general causes: the invalid attribution of exclusive expertise, lesson, "Crime does not pay." Years later, the exclusion of the ordinary citizens' indispensable A as adults, we realize that this homily, like contribution and the exclusion of the offenders' mean- many others, was, and is not true. Crime pays. ingful participation in his own rehabilitation. The end It pays very well assuming the criminal practi- result has been that those most dependent on one an- other for the success of each have been isolated or tioner is willing to assume the risks; risks which alienated from each other. The same causes which pre- are not as high as we might think. The vast ma- vent corrections from achieving its mission prevent it jority of crimes go unreported. Only a small from reforming itself. 1 portion of those that are reported are finally Correctional programs and institutions are in cleared by arrest. Even if arrested and charged, disarray. They are caught between two schools the likelihood of conviction is slight and the of thought: one Which makes the case for fixed chances of serving a sentence upon conviction mandatory sentences and charges that rehabili- is also somewhat remote. Further, if that sentence tation doesn't work, and those at the other end happens to be a prison sentence, the probability of the spectrum, who make the plea that rehabili- of such an intervention preventing ~urther crim- tation really hasn't been tried and until it has inal acts is also questionable. With such odds, it shouldn't be abandoned. Others ask for more crime should flourish and, indeed, it does. concern for the victim. Meanwhile, the ordinary Paralleling the flourishing crime industry is citizen who pays the bill, ventures out less at the ever growing criminal justice industry. Years night, and by marking personal property and in- after the passage of a "safe streets" act, streets stalling dead-bolts attempts to "harden the tar- are still relatively unsafe. The tenure of the Law get" called home. In desperation he moves to Enforcement Assistance Administration, reluc- suburbia only to find that the intruder has re- tantly extended by Congress, will temporarily cently moved there as well. maintain a bureaucracy whose efforts have not "Nothing works." That is the chief complaint provided the hoped for control in crime. In the to be heard among correctional administrators absence of any other approach it continues how- and staff. One has only to visit the correctional ever, until some other strategy emerges. If the workers a short time to understand their dismay. criminal justice industry follows the "more is Be it counseling or coercion, punishment or psy- better" philosophy which has framed many of chiatry, the old technology simply doesn't work. the policies of the past decade, we will undoubt- If the resulting payoff for crime is ever to be edly even have larger police departments, more reduced, it would appear that communities must and better hardware, enlarged prisons, a more develop a different societal stance toward offend- sophisticated computer technology and finally, ers by redefining their social obligation toward more offenders. "More" is apparently not the society. This would of necessity inconvenience answer. the offender for the practice of crime. The present While the crime and criminal justice industries correctional interventions are not necessarily have flourished, the state of the art of corrections viewed as inconveniences. Probation is often seen has not. Korn's comment states the dilemma simply as "reporting" to a probation officer. In- graphically: carceration, for many, is actually less harsh than Why is fundamental innovation so difficult to achieve hustling the unsafe streets of the inner city. Our in corrections? Why is an establishment committed to present policy is generally one of locking up of- the reforma.tion of others unable to reform itself? fenders and making them pay their "debt" to * James H. Bridges is professor of social work, Uni- society once their records become serious and versity of Denver, John T. Gandy is associate professor 1 Richard R. Korn, "Correctional Innovation and the Dilemma of of social work, University of South Carolina, and James Change from Within," Behavioral Science and Moder~t Penology, ed. D. Jorgensen is professor of social work, University of William H. Lyle, Jr., Springfield, Illinois: Charles C. Thomas, 1972, Denver. p. 311.

28 THE CASE FOR CREATIVE RESTITUTION IN CORRECTIONS 29

are viewed as "habitual." Until then they are conceptualized and properly applied restitution processed on "caseloads" in the community. can provide a low cost, middle ground approach In a capitalistic or "free enterprise" society, the for corrections which can satisfy society's de- economics of crime could be made less attractive. mands for punishment as well as the offender's If this were so, the basic question that would needs for rehabilitation. This approach would also face the offender at any stage in the correctional recognize and serve the badly neglected victims process would be, "How do you intend to make of crime, as well. amends for the injury you have caused your vic- tim and/or society at large?" This posture would Historical Importance of Restitution be quite different from our present orientation Restitution has been a significant concept over in that the offender would be faced with the ne- the centuries and has had a vital place in a variety cessity of taking the initiative in making resti- of cultures. Although restitution has played a tution before being re-integrated into society. prominent role historically, the concept has, for Favorable consideration by the correctional sys- the most part, been ignored in contemporary tern would be based upon the extent to which the criminal justice. 3 According to Cohen, "In the for- offender "made right" the "wrongs" embodied in turous history of man's punishment of man, res- his criminal activities. The burden of respon- titution has had an established position. It is an sibility would rest with the offender to initiate a ancient institution. ''4 plan for making satisfactory restitution. Consis- Historically, the relationship between restitu- tent with this orientation would be that of the tion and punishment has been of primary impor- correctional system assistin.g and encouraging tance. Schafer states that restitution "... has the offender toward total reintegration once res- had an established position in the history of titutional obligations were satisfied.-" Probation penology, and for a long period was almost in- and parole field services would need to be restruc- separably attached to the institution of punish- tured in felons of advocacy and brokerage in order ment. ''5 Schafer continued to establish the link to assist the offender in securing the goods and between restitution and punishment, "... for in- services which make for adequate quality of life juries both to person and property, restitution standards. Once this stance were achieved, the or reparation in some form was the chief and risks inherent in criminal activity would be in- often the only element of punishment."" creased in that the act would no lo2~ger be "paid" The transition over the centuries with regard for only through serving time on probation or to the concept of restitution has been noted by in prison, but through money payments and other Barnes and Teeters: concrete restitutional acts as well. Achieving this Our barbarian ancestors were wiser and more just kind of climate calls for abandoning the philos- than we are today, for they adopted the theory of restitution to the injured, whereas we have abandoned ophy of "lock them up and throw away the key," this practice, to the detriment of all concerned. Even as well as the extremely sentimental and simple where fines are imposed today, the state retains the approach which holds that offenders are merely proceeds, and the victim gets no compensation. 7 the victims of social injustice. A primary foundational support for the concept This article will propose a framework for in- of restitution is its concern for the motivations corporating the concept of "creati.ve restitution" and psychological dynamics on the part of the into the correctional process. It is the contention offender. Evidence for this concern in "primitive" of the authors that in the proper climate, well criminal law can be found in Germanic law, Ro- man law, Babylonian and ancient Persian law, and 2 Frank Dell'Apa, W. Tom Adams, James D. Jorgensen and Herbert R. Sigurdson, "Advocacy, Brokerage, Community: The ABC's of Pro- contemporary primitive laws2 The restitutional bation and Parole." FEDERAL PROBATION, XXXX, No. 4 (December 1976), I)p. 37-45. component of punishment in Roman law can be 3 Hurt Galaway and Joe Hudson, "Issues in the Correctional Imple- mentation of Restitution to Victims of Crime," (paper presented to witnessed in the Law of the Twelve Tables: the annual meeting of the American Society of Criminology, New York, November 1973), p. 1. Indeed, according to the Law of the Twelve Tables, Irving E. Cohen, "The Integration of Restitution in the Probation Services." Journal of Criminal Law and Criminology, XXXIV in the case of theft, the thief who was not caught in (January-February 1944), p. 3, 5. the act of committing the theft was obliged to pay ~' Stephen Schafer, Restitution to Victims of Crime, Chicago: Quadrangle Books, Inc., 1960, p. 3. double the value of the stolen object. In cases where " Ibid. the stolen object was found in the course of a house Harry E. Barnes and Ncglcy K. Teeters, Non, Horizons in Crimi- nolofly. Englewood Cliffs, New Jersey: Prentice-Hall. Inc., 1959, p. 288. search, he was to pay three times the value, or four Gerhard O.W.. Mueller, "Tort Crime and the Primitive," Joarnal times the value if he resisted the execu.tion of the house of Criminal Law, Criminology. and Police Science, XXXXVI, No. 3 (September-October 1955), pp. 323-332. search. Again he was to pay four times the value of Schafer, op. cir., p. 4. the stolen object if he had taken it by robbery2 30 FEDERAL PROBATION

The Code of Hammurabi, as it relates to Baby- The amount of compensation varied according to the nature of the crime and the age, rank, sex, or lonian and Ancient Persian Law is concerned prestige of the injured party. "A free-born man is with men's reasons or the motivations of the worth more _than a slave; a grown-up more than a offender by the explicit provision that in a quarrel child, a man more than a woman, and person of rank more than a freeman," were the usual principles gov- if one individual is wounded the other will swear erning compensations. Moreover, a crime that might that it was not intentional and will pay the phy- be settled by compensation if it were committed against sician for treating the wounded. TM It can be stated, an average man, would call for blood revenge, if com- "... the penal law of ancient communities was mitted against a nobleman. From these differences in the amount of damages and the value of the victim, not a law of crimes; it was a law of torts. '''' there grew up such a complicated system of regulations A primary element in early criminal law was that the earliest codified law of many peoples, partic- the fact that private wrongs were generally set- ularly tha.t of the Anglo-Saxons, was in considerable part devoted to this subject of man-money, or wergild, is tled on a personal basis. The "blood feud" was a widely used means for handling criminal acts. In Anglo-Saxon law, the monetary payment or The settlement of the criminal act was between bot in which the offender made amends for his the offender and the victim's family. According acts was prevalent, although there were very, to Hudson and Galaway, "... underpinning and serious offenses for which the bot did not apply largely regulating this process in many cultures and they were described as being botless. TM The was Lex talionis or the eye-for-an-eye principle. ''1: Germanic tribes utilized a system of fines for Satisfaction for the victim or the victim's family injuries which were known as faida or feud com- was a significant factor in the "blood feud" and mitted for money. 17 Lex talionis, the retaliatory nature of this process, These systems of restitution or personal repar- as well as the vendetta which was inherent, grad- ation to the victim or the victim's family by the ually contributed to alternative means of dealing offender, provided the foundation for early crim- with the concept of satisfaction on the part of inal law. In fact the integral supports for law in the victim or the victim's family. various societies embraced the concept of per- The idea of retaliating in a way other than with the sonal restitution. These various systems of res- blood feud was emphasized after a time because the titution or reparation, which were fundamental vendetta generated by an injury was likely to be per- aspects of early law, survived for centuries. This petual, and there was the consequent risk of living early concept of law incorporated the central for generations in this type of situation. In short, the blood feud often became less hostile because compen- notion, that an offense was to be settled between sation or the payment of damages would help neutralize the victim and the offender. This conception of vindictive feelings generated by an offense. 13 the process of law demonstrated significant Revenge which was present on the part of the awareness of the victim as well as the one who offender or the offender's family, began to be offended. However, this restitutional process be- dealt with in a much different fashion than it had gan to be diluted and subsequently experienced previously. The restitutional factor in punishment a period of transition in Anglo-Saxon law. began to exert a rather pervasive influence in Composition or compensation, as was previ- ously discussed, involved a rather complicated early law. system of tariffs; and, because of its complex Composition or compensation which was mani- nature, the state authority over this process grad- rested as a system of monetary payments or fines ually increased. Associated with this development for personal injury developed as a dominant ele- in Anglo-Saxon law was the prominent influence ment in early law. A complex system of tariffs and changing role of the king. According to evolved which was concerned with the extent as Barnes and Teeters: well as the nature of the injuries. TM Important With the growth of this conception of Crime as an consideration was also given to the social standin.g offense against the public welfare, as exemplified in of the victim. the majesty of the king, there was a corresponding decline in the principle of compensation, which ulti- 1o Mueller, op. cit., p. 328. mately became obsolete, is 11 Cohen, loc. cit. 12 Joe Hudson and Burr Galaway, "Undoing the Wrong," Social Work, XIX, No. 3 (May 1974), p. 314. Instead of the victim receiving the entire com- la Ibid. x4 Ibid. pensation, the king began receiving a part of the as Barnes and Teeters, op. eit., pp. 287-288. 1, Hudson and Galaway, loe. cit. iv "The Minnesota Restitution Center," (unpublished project report payment as his role developed into that of an of the Minnesota Department of Corrections, 1974), p. 2: 18 Barnes and Teeters, op. eit., p. 288. intermediary in criminal.law matters. Gradually THE CASE FOR CREATIVE RESTITUTION IN CORRECTIONS 31

the king's or state's share increased and eventu- The Process of Restitution ally the entire compensation or payment went to The concept of restitution as discussed in this the king. Crime was viewed as an offense against article is in relation to the criminal justice sys- the state and, corresponding to this change, the tem. However, its general use and application victim's importance and role declined. As resti- will also be noted. Its importance as a process tution declined in significance, the state increas- in itself has been described in the literature, as ingly utilized punishment in dealing with the well as its utilization with various populations. offender. The unlawful act came to be concep- The dynamic of restitution is incorporated into tualized differently than it had been previously. the behavior patterns of most people and when With regard to the deteriorating role of resti- misbehavior does occur, subsequent restitution or tution and the increased significance of punish- some act of amending is likely to take place. 2~ ment and state authority, Laster states: Restitution is a natural process which occurs in Once the state replaced the victim as the recipient of the criminal's compensative payment, it was a logical all of our lives, begins at an early age and can next step for the state to replace the victim as the take a variety of forms. The countless ways that prosecuting party. This move further de-emphasized individuals "make-up" to someone they have hurt harm to the victim and necessarily reinforced the con- is but one example of this natural process. As an cept of harm to society, the state's philosophical just- ification for punishing the criminal. Tying all of these effective disciplinary or educative technique "rec- arguments together, one can see that as the system of tification" or "making good" is an important pro- fines narrowed the scope of community composition cess with children. "-'~ This "rectification" or "mak- and squeezed the victim out of certain proceedings deemed criminal, the focus of those proceedings shifted ing good" is, in fact, restitution. It is not 0nly to the criminal and his act and away from harm to a natural process, but may be an integral element the individual. This shift in focus may have resulted in in treatment; and, according to Eglash: monetary benefits for the king, but it reduced the eco- nomic lot of the victim, shifted the aim of the law Restitution may appropriately be part of a clinical away from any constructive policy of restitution, and treatment program, and replace the distorted resti- reinforced the concept of harm to society to justify tution which occurs spontaneously in ego disorders.":* the criminalization of certain "harmful" acts to indi- viduals. 19 Two important developments which have Thus punishment evolved as the primary philo- emerged in human services are volunteerism and sophical orientation in the state's approach to the self-help group movement. The concept o'f the criminal offender, while the victim became restitution is primary to both of them. According to Eglash : the forgotten party. The concept of restitution has not been the A form of restitution always available, whether one focal point of thought and writing, for the most has committed an offense, or has inflicted accidental damage, or has himself suffered a wrong either from part, in modern day criminal justice. Since its others or from fate, is to seek out and to help others in early use in criminal law matters, there has been the same boat.24 some sporadic although limited interest in the con- The act of volunteering in an infinite variety of cept. While there is some interest at present in situations: ex-drug user and ex-offender pro- restitutional ideas, the criminal justice system grams, Alcoholics Anonymous, as well as many embraces other philosophical orientation with re- other related programs, all embrace the concept gard to the offender. According to Hudson and of restitution. Galaway : The general significance of restitution only fur- Historically, the emphasis in dealing with criminal ther supports the concept and its potential incor- offenders has tended to shift toward the use of fines, various means of corporal punishment, and in more poration in criminal justice. The term "creative recent time to imprisonment and enforced therapy."q* restitution" referred to in this article is geared to depicting restitution in its broadest applica- ~0 Richard E. Laster, "Criminal Restitution: A Survey of Its Past History and an Analysis of Its Present Usefulness," University o/ tion and is defined as: Richmond Law Review. Vol. 71. 1970, pp. 79-80. so, Hudson and Galaway, Ioc. cit. '-'1 p. Docker-Drysdale, "Some Aspects of Damage and Restitution," A process in which an offender, under appropriate British Journal of Delinqucney, (July 1953), pp. 4-13. supervision, is helped to find some way to make amends s~ Stephen Schafer, "'Restitution to Victims of Crime---An Old Cor- rectional Aim Modernized," Minnesota Law Review, 50, No. 2 (Decem- to those he has hurt by his offense.'-'n ber 1965), p. 250. 2a Albert Eglash, "Creative Restitution: A Broader Meaning for an Old Term." Journal o.f Criminal Law. Criminology and Police Science, It refers to "... payments in either goods, ser- 48, (March-April 1958), p. 620. uL Ibid., p. 621. vices, or money made by offenders to the victims ~a Albert Eglash, "Creative Restitution: Some Suggestions for Prison Rehabilitation Programs." American Journal o/ Corrections, XX of their crimes.""" Creative restitution, as it is (November-Deecmbcr 1958). p. 20. '-'" Hudson and Galaway, op. clt., pp. 313-314. conceptualized here, also refers to services pro- 32 FEDERAL PROBATION vided by the offender to the community and to with respect to attaining goals• He can experience ongoing successes as he moves toward his goals• Again, the general "community good." Thus, it may take this is not the case when offenders are in the prison three forms : settings, with goals of treatment that are often vague (1) monetary payments to the victim; and misleading• (2) service to the victim; (3) Restitution requires the offender's active partici- pation. He is not the passive recipient of either treat- (3) service to the general community. ment or punishment that is provided to change his While it is not mandatory that the offender make behavior. His active involvement in undoing the wrong restitution directly to the victim, where this is should increase his self-esteem and self-image as a responsible and worthWhile member of society• possible it is preferred. Creative restitution (4) Restitution offers a concrete way in which the should not be confused with victim compensation, offender can atone and make anlends for his wrong- which is concerned with the state's responsibility doing• It thus provides a constructive and socially use- ful means for the offender to deal with any sense of to the victim for the criminal act. '-'~ guilt that his wrongdoing may have generated. The characteristics of the creative restitutional (5) Members of the community tend to respond more act have been described as follows: positively toward offenders making restitution than to (1) It is an active effortful role on the part those who are in prison• Thus it is assumed that they will perceive offenders making restitution as persons of the offender. who have committed illegal acts, are attempting to (2) This activity has socially constructive con- undo the wrong and are in the process of becoming sequences. reconciled with society. Thus, they will not see these offenders as persons who are either "sick," "sinful," or (3) These consequences are related to the "irretrievably immoral. '''-':* offense. Examples of Restitution (4) The relationship between offense and res- titution is reparative and restorative. An indication of the extremely limited utiliz- (5) The reparation may leave the situation ation of creative restitution-is manifested by the better than before the offense was com- number of programs in operation. Although a mitted. ~s number of states authorize what they term com- Critical elements in creative restitution are that pensational or restitutional payment, significant the restitution be related, when possible, to the elements of creative restitution are lacking.:"' The offense and that the restitution not be imposed following are program examples of how creative on the offender, but developed through a con- restitution can be implemented at various stages tractual relationship between the offender and in the criminal justice process.. victim. The offender cannot be forced to become Arrest involved in the process by criminal justice per- According to Sutherland and Cressey: sonnel and insofar as it is possible for any aspect • . . there are thousands of cases of shoplifting, em- of the criminal justice system to be voluntary, bezzlement, and automobile theft annually which are the restitutional contract should be entered into not reported to the public by the victim because resti= tution or reparation is made. 31 on a voluntary basis. The point to be made here is that the offender has the choice of satisfying There is little reason why more of this kind of or not satisfying a societal expectation that he approach couldn't be applied formally as a means make amends. of diverting people out of the formal criminal The following points are necessary considera- justice system. tions in considering the process of restitutional Plea Bargaining contracting, according to Hudson and Galaway: Despite the fact that plea bargaining is recog- nized as one of the least desirable features of the (1) The agreement for restitution is rationally and logically related to the damages done, which is not the criminal justice process, it prevails• The incor- case when the correctional system cages offenders for poration of creative restitution as a means of a specific period of time and largely ignores the victims• reducing the formal charge would provide both (2) The contract for restitution is clear and ex!slicit, and the offender knows at all times where he stands the prosecuting attorney and defense attorney a more constructive element to bargain with than -"= Stephen Schafer, Thc Victim and Hi~ Criminal, New York: Random House, 1968, p. 112. that which is presently being negotiated. :s Eglash, "Creative Restitution: Some Suggestions for Prison Rehabilitation Programs," p. 20. Deferred Prosecution gl, Hudson and Galaway, op. cit., p. 317. :" See, e.g.. James Polish, "Rehabilitation of the Victims of Crime: The present use of creative restitution as a An Overview," U.C.L.A. Law Rcvicw, XXL, No. 1 (October 1973), pp. 325-330. a, Edwin H. Sutherland and Donald R. Cressey, Principles of tool to defer prosecution can often be incorporated Criminolo.qy, Seventh Edition, Philadelphia and New York: J•B. Lippincott Co., 1966, p. 332.! into "nolo contendere" pleas. In such an instance THE CASE FOR CREATIVE RESTITUTION IN CORRECTIONS 33 the defendant would voluntarily submit to the "Restitution like" programs, although not for- supervision of probation personnel in carrying mally conceptualized as restitution, have histor- out restitutional contracts. It could be utilized in ically been a part of correctional programming. a deferred sentencing strategy as well. Offender involvement in service programs such Work Release as March of Dimes drives, toy repair projects, The concept of work release is based on placing fighting forest fires and other national disasters, a relatively "safe" population into the community as well as volunteer participation in medical ex- to work while remaining under the limited cus- periments relating to cancer, malaria, etc., are todial care of a jail or residential center. Such well documented2=' Although these activities are a population could fulfill the standards of resti- not necessarily structured or organized, they man- tution and in many cases complete a restitutional ifest the same dynamics and motivational pro- contract as well. Economic restitution can be cesses as do more structured and formalized pro- made from the earnings of work release and com- grams. The possibilities for implementing cre- munity service can be rendered out of work re- ative restitution are infinite. lease programs when such action is deemed ap- Parole propriate. Paroling authorities have basically the same Probation enforcement power as probation departments. In view of the fact that probation contains a They are logically the organizations which could . sanction for failure to comply, it works as a assist the offender in developing restitutional powerful force to induce the offender to success- plans while in prison; plans to be completed fully complete a restitutional contract. The super- as a condition of parole. Economic restitution, visory staff has the capability to perform the mon- through payment of a victim's medical or hospital itoring function. bill would be appropriate. Volunteer work in a Examples of creative restitution for proba- rape crisis center could conceivably become a tioners might be: public service program for selected rapists who (1) Volunteering a specified number of hours are released on parole. per week to a drug crisis center for an extended In view of the relatively limited application period of time. This might be a suitable disposi- of creative restitution in our society, we have tion for a drug related offense such as dealing only a partial picture of the possibilities inherent in narcotics. in this type of intervention. Undoubtedly offenders (2) A convicted burglar might, as an altern- could help correctional staff expand the concept. ative to incarceration, work with the police in Like everyone else, they have self-concepts, be such "target hardening" projects as community they good or bad. Self-concept must be considered education, property identification, in addition to in the development of criminal or delinquent be- making financial restitution to identified victims. havior as well as in the termination of such be- Institutions havior. A self-concept which tends to reinforce It is somewhat more difficult to think of resti- and support social values should be a goal in the tutional contracts which incarcerated offenders criminal justice system. The authors support the can fulfill, in that society, throu.gh incarceration, contention that a pro-active self-concept is de- has deemed them as being too unsafe to remain veloped by involving the offender in processes in the community. It is possible, however, to use which support positive social values. Creative res- restitution as a means of testing inmate readiness titution is such a process. to "own" responsibility for their previous be- havior. Theoretical Considerations in For example, incarcerated offenders could be- Creative Restitution come involved in such projects as "do as I say Creative restitution can be supported through not as I do" type of youth education programs various theoretical formulations. They will be which have met with some success. They could discussed here briefly: also become blood donors for emergency rooms in hospitals where stabbing and shooting victims Symbolic Interaction Theory are treated. According to Blumer: Symbolic interactionism rests in the last analysis a2 Gordon Fullcr. "Valuc to Prisoners of Participation in Public Service Projects," FEDERAL PROBATION, iX, No. 4 (Deccmbcr 1956). on three simple premises. The first premise is that p. 53. human beings act toward things on the basis of the 34 FEDERAL PROBATION

meanings that the things have for them . . . The second (7) Differential associations may vary in fre- premise is that the meaning of such things is derived quency, duration, priority and intensity. from, or arise out of, the social interaction that one has with his fellows. The third premise is that these (8) The process of learning criminal behavior meanings are handled in, and modified through, an in- by association with criminal and anti- terpretive process used by the person in dealing with criminal patterns involves all of the mech- the things he encounters. 33 anisms that are involved in any other According to symbolic interaction theory, be- learning. havior rests upon definition and interpretation (9) While criminal behavior is an expression of acts among associations. Thus criminal be- of general needs and values, it is not ex- havior is learned from one's associations through plained by those general needs and values, verbalization as well as interpretation and defi- since noncriminal behavior is an expres- nitions. Continued criminal behavior, according sion of the same needs and values. :~4 to symbolic interaction theory rests on these con- In essence, differential association theory tinuing associations. It would appear that, con- teaches us that criminal behavior "makes sense" versely, if these criminal behavior patterns are given the circumstances around which it is to cease, criminal associations should be severed. learned. The implication as it relates to creative This has direct implication for creative restitution restitution is that pro-social behavior is also , in that it places the offender in contact with non- learned and reinforced and makes sense as well. criminal or socially accepted behaviors through It follows that creative restitution provides a field contact with the victim as well as the general of forces more likely to interrupt and combat community. Through the creative restitution pro- criminal responses while producing socializing cess, an offender's verbalizations, definitions, and behaviors. Pure punishment or retribution does interpretations are more likely to be noncriminal not have this capability. in nature ; that is they will consist of values which Delinquency and Opportunity Theory are socially acceptable. Differential Association Theory Related to differential association theory in The explanation of criminal behavior through terms of creative restitution and punishment is differential association theory spells out nine Cloward and 0hlin's delinquency and opportunity basic phases : theory. According to Cloward and Ohlin: (1) Criminal behavior is learned. Our use of the term "opportunities" legitimate or (2) Criminal bzhavior is learned in interaction illegitimate, implies access to both learning and per- with other persons in a process of com- formance structures. That is, the individual must have access to appropriate environments for the acquisition munication. of the values and Skills associated with the performance (3) The principal part of the learning of crim- of a particular role, and he must be supported in the inal behavior occurs within intimate per- performance of the role once he has learned it. :~n sonal groups. At present, offenders generally do not have (4) When criminal behavior is learned, the the same access to legitimate opportunity struc- learning includes (a) techniques of com- tures as the rest of the population. Our present mitting the crime, /vhich are sometimes penal system, more often than not, tends to pro- very complicated, sometimes very simple; vide access to illegitimate opportunity structures (b) the specific direction of motives, via the broad and general concept of punishment. drives, rationalizations and attitudes. Creative restitution on the other hand presents (5) The specific direction of motives and drives considerable potential for openin'g up legitimate is learned from definitions of the legal opportunity structures as well as providing for codes as favorable or unfavorable. active participation in a rehabilitative process. (6) A person becomes delinquent because of an This is vital in the acquisition of societal values excess of definitions favorable to violation and noncriminal behavior patterns. of law over definitions unfavorable to vio- lations of law. Public Support for Creative Restitulion ~'~ Herbert Blumer, Symbolic Interactioni~m: Perspective and Method, In 1975, Gandy conducted a study which ex- Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1969, p. 2. a4 Suthevland and Cressey. op. cir., lap. 81-82. a5 Richard A. Cloward and Lloyd E. Ohlin, Delinquency and Op- amined public opinion toward the concept of portunity: A Theory of Delinquent Gangs, Illinois: The Free Press of Glencoe, 1960, la. 148. creative resti'tution, as well as ppinions toward THE CASE FOR CREATIVE RESTITUTION IN CORRECTIONS 35 the more traditional concepts of punishment, z" ation of elements is really inherent in the concept These concepts, or dimensions of punishment have of restitution. traditionally been termed: (1) Retribution Summary and Conclusions (2) Social defense Creative restitution stands as an alternative (3) Rehabilitation and a supplement to many of the more traditional (4) Deterrence correctional practices. Within the broad param- Gandy surveyed the opinions of a number of eters of this concept, programs can be designed different groups which included: which can bring about realistic and logical con- (1) Probation officers sequences for criminal acts. It incorporates the (2) Parole officers central idea of reciprocity, and in so doing sat- (3) Social work graduate students isfies society's need for punishment while pro- (4) Methodist Church members viding the offender an opportunity to become pro- (5) Suburban police officers actively engaged in making amends to victims (6) Members of a large community women's of crime and society at large. By fulfilling self- organization initiated restitutional contracts, the offender In his findings, Gandy observed a broad range "pays his debt" by voluntarily rendering positive of opinions among these groups relative to the social acts rather than simply "doing time." traditional approaches to punishment. However, The principles inherent in creative restitution among these same community groups there tended are deeply rooted in the history of civilization. to be a high degree of support for the concept The concept has sound theoretical constructs and of creative restitution, with much less variability can be applied at virtually every stage in the in responses than was true for the traditional criminal justice system with apparent broad com- approaches. Gandy observed, on the basis of these munity support. findings, that perhaps creative restitution con- The challenge that exists for correctional prac- tains elements of all the more traditional ap- titioners today is that of collaboratin.g with of- proaches in a different way. Further research is fenders to design creative restitution programs necessary to determine just what specific combin- that are compatible with complex urban society.

a0 John T. Gandy, Community Attitudes Toward Creative Restitution If this is done we may well have taken an impor- and Punishment, unpublished Doctoral dissertation. University of Denver. Graduate School of Social Work, August 1975. tant step to assure that "crime do~s not pay."

OUNTING evidence discrediting the effectiveness of coerced therapy in the M criminal justice system, increasing costs of imposing traditional criminal justice sanctions, and the tendency of criminal justice officials to ignore the victim of crimes have all contributed during the past few years to a renewed interest in the ancient concept of restitution.--BuRw GALAWAY An Evaluation of Federal Community Treatment Centers"

BY JAMES L. BECK, PH.D. Research Analyst, Federal Bureau of Prisons

OMMUNITY Treatment Centers (CTCs) have number of Federal releasees, and are well es- in recent years been called on to accomplish tablished programs. 4 C a number of divergent goals. Among these The CTC subjects were compared to a control are the reduction in prison populations, a reduc- group consisting of a sample of releasees from tion in the cost of imprisonment, and a reduction Federal institutions between June 1976 and De- in the pain of incarceration by limiting the degree cember 1976 who were not referred to a CTC. of separation between the offender and his family Again, only those released on parole or probation and community ties. The present evaluation, how- supervision (N----337) were studied. A subject ever, is a study of the effectiveness of community was excluded from the control group if he was treatment centers in meeting their primary pur- ineligible for CTC placement because of notoriety, pose---aiding the transition of the offender into a potential for violence, or the presence of a the community and ultimately reducing recidi- detainer, or if the subject was not referred to vism. a CTC because of old age, medical or psychiatric problemsl With some exceptions, the subject also Study Design had to be residing in the same metropolitan area The Community Treatment Center Field Study after release as the CTC group. Was initiated in 1976 by the Federal Prison Sys- To control for differences between the CTC and tem as a comprehensive evaluation of Federal control groups, an analysis of covariance design halfway house operations (see Seiter, 1977). The was used. A number of background variables were methodology compared a sample of releasees from controlled for statistically, including Salient Fac- Federal and Federally contracted CTCs with a tor Score, race, sex, and level of need (rated by sample of inmates released directly to the com- institution staff) in a number of areas such as munity without the benefit of a CTC. The sample need to upgrade job skills. The Salient Factor for the CTC group consisted of referrals from Score (See Appendix A) is a device used by the Federal institutions to selected CTCs between United States Parole Commission to assess risk May 1, 1976, and September 15, 1976.1 The sub- of recidivism. ~ In general, the CTC group can be characterized as more likely than the control jects included only those released on parole or group to be arrested after release on the basis probation supervision who successfully completed of a lower Salient Factor Score (significant at the CTC program (N~364). Subjects who were the .001 level) and as having greater need levels arrested for a new crime while at the CTC, in such areas as employment. returned to prison because of disciplinary infrac- tions, or who escaped from the CTC are excluded.-" Outcome Criteria The halfway houses included in the study were Two outcome criteria were used: Positive ad- 10 Federally operated and four Federally con- i A previous report (Beck and Seiter, 1978) also examined direct tracted CTCs. 3 The 10 Federal centers were commitments to a CTC including split sentence eases sentenced directly to a halfway house and public law cases. chosen to cover all geographic regions and range 2 Also excluded were a small number (about 3%) who transferred out of the CTC for the benefit of the resident (i.e., for reasons other of programs within the Federal CTC system. The than discipline, a new arrest or escape) or who died during the followup period. a The Federal CTCs participating in the study were located in four contract facilities, while not representative Atlanta, Chicago, Dallas, Detroit, Houston, Kansas City, Long Beach, Los Angeles, New York, and Phoenix. The four participating contract of all contract facilities, were selected because CTCs were the Bureau of Rehabilitation (Washington, D.C.), Magdala Foundation (St. Louis), Gateways Residential Center (Los Angeles), they are regionally important, receive a large and Pioneer Cooperative Affiliation (Seattle). 4 As of December 1978 there were 11 Federally operated and 396 Federally contracted CTCs. * The opinions expressed in this report are those of A lower score indicates a greater risk of committing a new crime after release. The version of the Salient Factor Score used was that the author and do not represent the official position or adopted by the' United States Parole Commission in April 1977 (see policy of the Federal Prison System. Hoffman et al., 1978).

36 37 AN EVALUATION OF FEDERAL COMMUNITY TREATMENT CENTERS that referral through a CTC resulted in a better justment in the community and criminal behavior. employment record as measured by both number Positive adjustment was measured in two ways: of days employed and amount of money earned (1) number of days employed, and (2) amount (see table I). Differences are statistically signifi- of money earned. Number of days employed was cant. For example, after excluding those legiti- based on an 8-hour day. For example, 16 hours mately unemployed, offenders released through part-time employment would count as 2 full time a CTC worked an adjusted average of 94 days days. Both money earned and days employed were during the first 6 months after release and earned calculated from the date of release to the end of an adjusted average of $3,159. Offenders released the followup period, and included only "legiti- directly from an institution, however, worked mate" employment. only 78 days and earned $2,588. Criminal behavior was also measured in two ways: (1) a severity score based on the relative TABLE I.--Positive adjustment at 6 months after release seriousness of any new arrests, (2) a dichotomous adjusted for sample differences (success/failure) recidivism measure. The sever- Measure CTC Control Significance Number of days 90 days 68 days .001 ity score was calculated by adding up the scores employed (N= 320) (N----300) for all arrests that occurred during the followup Days employed excluding 94 days 78 days .001 period. For example, theft was given a score of legitimate unemployment (N=294) (N=253) Amount of money earned $2,954 $2,220 .001 four, armed robbery a six, and homicide a nine. (N=310) (N=299) For the more traditional dichotomous recidivism Money earned excluding $3,159 $2,588 .01 measure, failure was defined as an arrest for a legitimate unemployment (N=285) (N=252) new offense or a warrant issued for a technical The results at 12 months after release indicate violation during the followup period. With this that releasees through a CTC (see table II) still measure a subject was either classified as a suc- showed generally better employment, but the cess (no arrest/no warrant) or as a failure differences were not significant when excluding (arrest/warrant). For both measures of criminal those legitimately unemployed. With exclusions behavi'or,arrests for minor offenses such as traffic CTC referrals worked an adjusted average of violations, intoxication, or disorderly conduct 171 days compared to 157 days for the control were excluded. group (not significant) and earned an adjusted Uniform followup periods of 6 and 12 months average of $6,658 compared with $5,932 for the were utilized. Both followup periods were cal- culated from either the date of release from the control group (not sign!ficant). CTC (CTC group) or from a Federal institution TABLE II.--Positive adjustment at 12 months after release (control group). Outcome data were collected by ad,justed for sample dilTerences interviewing the supervising probation officer.6 Measure CTC Control Significance Information on criminal behavior was better than Number of days 165 days 142 days .01 employed (N ----309 ) (N----290) 95 percent complete while positive adjustment 157 days N.S. data ranged from 85 percent to 90 percent com- Days employed excluding 171 days legitimate unemployment (N_--285) (N=259) plete. Amount of money earned $6,388 $5,321 .05 (N=304) (N=287) Results Money earned excluding $6,658 $5,932 N.S. legitimate unemployment (N=281) (N--256) (a) Positive Ad.iustment.~Thedata for "days employed" and "money earned" are reported for There is good evidence, then, that subjects two categories of subjects: (1) all cases on whom referred through a CTC are both earning more data were available, and (2) all cases with com- money and working more days during the first plete data excluding those with a legitimate rea- critical months after release. To that degree, son for being unemployed. Those legitimately un- CTCs are effective tools in aiding the transition employed included students, retired persons, of the offender into the community. The impact, housewives, or the physically disabled. All results however, tends to dissipate the longer the subject \ reported are statistically adjusted for sample is free in the community. In examining the type of individuals most likely- differences. The results at 6 months after release show to profit from referral to a CTC, the data showed that all groups of offenders examined (e.g., of- " If the subleet was not under supervision for the entire followup period, arrest ,into was available from FI|I records. Information on fenders grouped by race, extensiveness of prior positive adjustment was not available. 38 F~E~L PROBATION record, or difficulty in finding employment) tended to benefit economically from CTC place- fined as a failure in terms of postrelease outcome ment. For example, among those that staff felt if he was arrested for a new crime while residing had "no need to find employment," the CTC at the CTC (N~7) or if he received a new group worked an average of 99 days at 6 months sentence for escape from the CTC (N~---7). The compared to 76 days for the control group. remaining cases were defined as a failure if the Among those rated as having a "maximum need subject was rearrested for a new crime or had to find employment," the CTC group worked 78 a warrant issued for a technical violation within days compared to 46 days for the control group. the followup period after his eventual release (b) Criminal Behavior.--Results for criminal to the community2 Information on the severity behavior (see table III) Show no difference be- of any new arrests was also collected. After tween the CTC and control groups after adjusting adjusting for sample difference, (see table IV) for sample differences.7 Both in terms of the there was no difference in criminal activity rela- cumulative severity of any new arrests and in tive to a control group when all CTC referrals the percent rearrested, the evidence does not (program failures as well as program successes) show that referral through a CTC resulted in were examined.~0 This was true for both the a lower incidence of criminal behavior. This re- severity of any new arrests and in the percent rearrested. sult is the same for both the 6 and i2 month followup periods. TABLE IV--Criminal behavior (including CTC program failures) adjusted for sample differences TABLE III.--Criminal behavior after release adjusted for sample differences Measure CTC Control Significance Percent rearrested or Measure CTC Control Significance warrant issued at six 19.7% 16.3% N.S. Percent rearrested or months ...... (N--~401) (N-:335) warrant issued at six 16.7% 15.5% N.S. Percent rearrested or months ...... (N:361) (N:335) warrant issued at twelve 28.9% 24.7% N.S. Percent rearrested or months ...... (N:397) (N:333) warrant issued at twelve 25.8% 23.9% N.S. Offense severity at six 1.22 .99 N.S. months ...... (N--~359) (N--~333) m°nthsl ...... (N:394) (N~--335) Offense severity at six 1.06 .92 N.S. Offense severity at twelve 1.94 1.82 N.S. m°nthsl ...... (N~360) (N--335) m°nthsl ...... (N:389) (N-----331) Offense severity at twelve 1.80 1.74 N.S. 1 Higher score indicates greater arrest severity. m°nthsl ...... (N-----357) (N----331) x Higher score indicates greater arrest severity. (c) Criminal Behavior by Risk of Recidivism.-- While the results are that referrals to CTCs Although as a group, referrals to a CTC did show the same rearrest rate as those not referred, not engage in less criminal activity, the previous the data for the CTC group is based only on analysis did not identify subgroups for whom those who successfully completed a stay in a CTC placement might be most effective. Place- CTC. It is arguable that if all referrals were ment in a CTC might be useful to some and not examined (including those who fail in the CTC) to others. To explore this, subsequent analysis the results might be different. To examine this, identified separate risk groups measured by the criminal behavior data were collected on cases Salient Factor Score (see table V). it The results who failed in the CTC (N~47) and who would were for 12 months after release and included have been released on parole or probation super- CTC program failures. Overall, there were no vision had they successfully completed the CTC significant differences between the CTC and con-\. program, s Somewhat arbitrarily, a case was de- trol groups. However, there was evidence that "\\ the CTC referral resulted in a lower severity ) 7 Actual rearrest rate at six mouths (before adjusting for sample differences) was 20er~ for the CTC group and 13% for the control score and percent rearrested for the "poor risk" /t group. Actual rearrest rate at twelve mouths was 30% for the CTC group and 20% for the coutrol group. offenders compared to the control group, but / s Data on positive adjustment were generally not available for CTC program failures. Therefore, it was not possible to examine postrelease more crinlinal activity {or less risky, individuals.// employment for these cases. D Cases with no information On postrelcase butcome were excluded This finding, termed an interaction, was signifi- complete.from the analysis. However, the data were still more than 95% cant at the .01 level. This indicates that'referral lo Actual rearrest rates (before adjusting for sample differences) for the CTC group including program failures were 23% at 6 months and 34% at 12 months. to a CTC resulted in less criminal activity for i~ The Salient Factor Score (see Appendix A) was revised to the those most likely to commit a new crime after extent of replacing the parole violation item (offender receives one point if he has never had his parole revoked or been convicted of a release. This is balanced by the fact that less new offense while on parole) with an item measuring time free in the community (offender receives one point if he has had more than 18 risky offenders show more criminal behavior if months free in the community or if he has no previous incarcerations). referred to a CTC. AN EVALUATION OF FEDERAL COMMUNITY TREATMEI~T CENTERS 39

TABLE V.--Criminal activity at 12 months less often or that their criminal activity was after release 1 Very relatively less serious. There was data, however, Poor Fair Good Good which showed that offenders most likely to com- Risk Risk Risk Risk mit a new crime may engage in less criminal Percent rearrested or warrant issued activity if referred to a CTC...... CTC~- 55% 45% 32% 13% Apart from the fact that there may be economic (N=65) (N----86) (N----152) (N=94) and humanitarian reasons for utilization of half- CONTROL 71% 23% 20% 7% (N=28) (N=43) (N=124) (N----138) way houses, CTCs are useful in aiding the transi- Interaction : p<.01 tion of the offender into the community. While Offense severity 3 4.11 3.05 2.07 1.04 the study has shown that CTC placement has ...... CTC2(N=62) (N=84) (N=I51) (N=92) only a limited effect on recidivism, it does appear CONTROL 6.07 1.86 1.27 .43 that CTCs provide a worthwhile service to offend- (N=28) (N=43) (N=122) (N----138) ers in terms of employment. Community Treat- Interaction: p<.01 ment Centers are effective in finding employment ' Risk is measured by a revision of the Salient Factor Score. '-' Includes CTC program failures. for offenders in the first critical months after a Higher score indicates greater severity. release which benefits not only the offender, but Discussion his family as well. There is good evidence that offenders referred REFERENCES to a CTC have better employment records during Beck, J. and Seiter, R. (1978). "Evaluating the Effec- the first months after release as shown by the tiveness of Federal Community Treatment Centers." Office of Research, Federal Prison System. number of days employed and the amount of Hoffman, P., Meierhoefer, B., and Beck, J. (1978). money earned. In addition, both high and low "Salient Factor Score and Releasee Behavior: Three Validation Samples." Law and Human Behavior, Vol. 2, need offenders benefited from CTC referral. There pp. 47-62. was 11o evidence indicating that overall, offenders Seiter, R. (1977). "Evaluating Federal Community Treatment Centers: A Project Overview," Office of Re- referred to a CTC engaged in criminal activity search, Federal Prison System.

(Appendix A follows on page 40.) 40 FEDERAL PROBATION

APPENDIX A SALIENT FACTOR SCORE

ITEM A

No prior convictions (adult or juvenile) ~--- 3 One prior conviction ~ 2 Two or three prior convictions ~ 1 Four or more prior convictions ~ 0 ITEM B

No prior incarcerations (adult or juvenile) ~ 2 One or two prior incarcerations ~ 1 Three or more prior incarcerations ~___ 0 ITEM C I I Age at first commitment (adult or juvenile) : 26 or older ~ 2 18- 25 ~ 1 17 or younger ---~ 0 *ITEM D

Commitment offense did not involve auto theft or checks (s) (forgery/larceny) ~ 1 Commitment offense involved auto theft [X], or check(s) [Y], or both [Z] ---~ 0 *ITEM E

Never had parole revoked or been committed for a new offense while on parole, and not a probation violator this time ~--- 1 Has had parole revoked or been committed for a new offense while on parole [X], or is a probation violator this time [Y], or both [Z] ~ 0 ITEM F

No history of heroin or opiate dependence ~_ 1 Otherwise --_~ 0 ITEM G

Verified employment (or full-time school attendance) for a total of at least 6 months during the last 2 years in the community ~--_ 1 Otherwise ~ 0 TOTAL SCORE o o II

Education and Training of Probation Officers: A Critical Assessment"

BY CHRIS W. ESKRIDGE, PH.D. Criminal Justice Department, University of Nebraska, Lincoln

N THE 1950'S, the National Probation and Pa- position, reducing loss of organizational efficiency role Association (NPPA) recommended that through errors of recruitment and slowness in I all probation officers hold a bachelor's degree assuming a full workload; supplemented by at least 1 year of graduate study (3) It reduces the scope of training for which or full-time field experience, 1 on the assumption the organization and field must take responsibility, that an educated officer is a more competent and permitting focus on advanced work and innova- mature individual and thus is in a better position tion, instead of directing effort to elementary to efficiently perform the varied functions of the knowledge ; probation officer. (4) A common base of knowledge is assured, However, it was not until the educational em- enhancing internal communication and cooper- phasis reflected in the 1967 President's Commis- ation, and facilitating interchange and influence sion on Law Enforcement and the Administration with other fields and organizations; of Justice Task Force Report and the Federal (5) The professional perspective, i.e., the pro- funds were available that the demand for a col- fession's social accountability and the learning lege education for probation officers began to of contemporary concepts at the graduate level rise. In 1970, the American Bar Asso'ciation protect against organizational introversions and (ABA) reaffirmed the old NPPA standard and intellectual isolation, a suggested that attainment of a master's degree Unfortunately, Comanor offered no empirical be the preferred norm.'-' It was noted by the ABA data to support these points. Secondly, he made that, while few departments have held to this no attempt to ascertain the nature and extent of standard, many are encouraging their personnel the education that will lead to the greatest bene- to become involved in higher education. fit for the probation system. The literature is What evidence is there that the formal, post replete with often contradictory educational cur- high school education suggested by this standard riculum proposals. Each of these seems to have should be required of probation officers? Comanor raised operational issues as various departments has suggested that acceptance of the philosophy have sou.ght to adhere to one form or another of of professional education as a necessary prepa- these preservice educational and/or inservice ration for entry into a position, has several prac- training programs and standards. However, the tical advantages for employing organizations: critical, overriding issues of the past 25 years (1) Responsibility for basic preparation for have focused on whether there is a need for ad- the field is assumed by educational institutions vanced preservice education and, second, what and by the student. This represents a large scale type of inservice training will provide the greatest investment of time, money and educational skill benefit to the probation officer, the department, which will not be required of the employing the clientele, and the system. organization ; (2) The graduate degree is a positive indicator Preservice Educational Standards of the suitability of the new employee for the The premise that a university graduate is more capable and competent a probation officer seems to * This research effort was supported, in part, by grant #77NI-99-0001 from the National Institute of Law Enforce- i National Probation and Parole Association, "Standards for Selec- ment and Criminal Justice of the Law Enforcement As- tion of Probation and Parole Personnel." in Dressier, Practice and Theory o] Probation and Parola. (Ncw York. New York: Columbia sistance Administration, United States Department of University Press, 1959), p. 224. Justice. Such support does not necessarily indicate con- s American Bar Association, Standards Relating to Probation. (New currence with the contents of this aricle. The author York, New York: American Bar Association, Project or Standards for Criminal Justice. 1970). P. 92. wishes to express appreciation to Eric W. Carlson and a Albert Comanor, I'ropo~als for a Staff Training Program for N~w Evalyn C. Parks for their assistance in preparing this Jersey Probation, (New Brunswick. New Jersey: Rutgcrs Univcrslty, document. School of Social Work. 1964), p. 44.

41 42 FEDERAL PROBATION have been generally accepted by criminal justice 'gorized into basic elements (skills) and then planners, administrators and educators, ~ although some determination made as to the weighted there seems to be little hard evidence to support significance of each element upon overall proba- this idea. This lack of hard data can be attributed tion competency. Once having performed these in large part to the lack of a consensus as to the previous steps and on the assumption that an objectives of the preservice educational pro- accurate, obtainable indicator of competency grams. 5 Schnur has pointed out that, in order could be developed, we would finally be able to to assess the impact of preservice education we empirically measure the impact of education upon must first agree upon the proper purpose and competency. practice for probation officers. 6 To date, there has Preservice education is defined here as being been no consensus as to their proper function, 7 college education received prior to employment nor can we reasonably expect there to be, given as a probation officer. A few researchers such as our decentralized system of justice, where the Cohn, ~I Miles, ~'' and Newman, TM have addressed "proper function" varies from judisdiction to jur- themselves to this subject by examining various isdiction and from situation to situation. Newman probation work elements they perceived as fun- is credited with a similar conclusion which holds damental, and evaluating the impact of education that before arriving at a decision as to the func- upon those elements. Up to this time however, tion of education, we must decide what it is the there seem to have been no empirical attempts correctional system is to accomplish. Newman has to evaluate and categorize competency into basic su'ggested that training must be training for elements and to quantitatively ascertain the something and as long as we do not know what weighted significance of each element upon pro- that something is, we cannot say what proper bation officer competency. This need has been training should be. s Schnur has pointed out that recognized by such authors as Sternbach, TM Taylor the establishment of educational standards seems and McEachern, ~ the California Youth Au- quite premature when corrections has yet to come thority, ~" and the State of Oklahoma Probation to a consensus regarding its own objectives. .~ Department, ~7 for without such an empirical an- Edwards has stated that the main task of design- alysis, we will remain uncertain about the true ing an effective program is to bring into focus worth and impact of education upon probation officer performance. clearly what the program is to achieve. TM This focus has not been made in the area of probation While an analysis of probation work elements as described above seems unattainable at this nor corrections as a whole. If it is assumed that time, perhaps a cost/benefit review would be help- a proper function can be defined for probation, ful. Taylor and McEachern have pointed out that several logical steps must be followed to deter- there is a traditional acceptance of the fact that mine what comprises a competent performance of a little time lost in training is made up later in that function. First, competency must be care- increased efficiency.TM However, they present no 4 Clearence M. Leeds, "Probation Work Requires Special Training," foundation for such a claim, possibly because, FEDERAL PROBATION, Vol. 16 (ASI), p. 25. Alfred C. Schnur, "Pre-Service Training," Journal of Criminal a.gain, there does not appear to have been any Law, Criminology, and Police Science, Vol. 50 (1959), p. 27. o Ibid., p. 27. research done in this area. 7 Alvin W. Cohn, Decieion-Making in the Administration of Probation Services: A Descriptive Study oy the Probation Manager, (Berkeley, Cost/benefit analyses would help determine the California: University of California. Ph.D. Dissertation), Chapter V. s Charles L. Newman, Sourecbook on Probation, Parole and Pardons, nature, frequency, and quantity of educational (Springfield, Illinois: Charles C. Thomas, 1970), p. 84. D Schnur, ibid., p. 28. lo H. Franklin Edwards, Intergroup Workshop for Maricopa County investment that Would bring the optimum rate of Probation Officers, (Phoenix, Arizona: Maricopa County Probation Department. 1973). return (in this case optimum competency) at tl Cohn, ibid. :s Arthur P. Miles, "The Reality of the Probation Officer's Dilemma," the minimum cost. Such an undertaking is meth- FEDERAL PROBATION, Col. 29, NO. 1 (1965). 13 Newman, ibid. odologically hazardous, for to undertake this type 14 Jack C. Sternbach, Ezecutive Summary of Evaluation Report: In-Service and Graduate Training Project, (Philadelphia, Pennsylvania: of study also requires clear-cut, predetermined Philadelphia Probation Department, 1975). in Edward Taylor and Alexander McEachern, "Needs and Directions proper probation officer functions, as well as a in Probation Training," FEDERAL PRORATION, Voi. 30, No. 3 (March 1966). io California Youth Authority, Education, Training and Deployment consensus as to what comprises a competent per- of Staff: A S~rvey oy Probation Departments and the California Youth Authority. (Sacramento, California: California Youth Authority, formance of each function. Such determinations 1972). 77 Oklahoma Department of Corrections, Improved and Expanded are extremely difficult, as has been suggested pre- Probation and Parole Services: Research Report No. 5, (Oklahoma City, Oklahoma: Oklahoma Department of Corrections. April 1973), viously. While extensive difficulties may be pres- p. 30. Js Taylor and McEaehern, ibid., p. 19. ent in any attempt to measure output and effi- EDUCATION AND TRAINING OF PROBATION OFFICERS 43 ciency of probation agencies, Ostrom 1'~ has subsequent performance, thus no attempt was pointed out that such efforts must be undertaken made to assess the actual impact of training on to evaluate the success of reforms and to predict the officers' level of performance or competency. success or failure with a higher degree of ac- However, the existing data do not support any curacy. Without serious attempts to evaluate the necessary connection between education and com- consequences of reform, future changes may pro- petency in the human services field. '-'4 While New- duce more harm than good. man has suggested that, in general, pre-entry As mentioned, there have been only a few at- education should develop general skills and bring tempts to handle these issues. In 1970, Cohn con- an aura of maturity and professionalism to the ducted a study involving some 270 probation of- probation officer, he has concluded that neither ricers and administrators.'-'" He found that the education nor lack of it assures us of a stable higher the level of education, regardless of the and emotionally mature individual. '-'~ Schnur area of study, the more lenient the probation would seem to agree with Newman that education administrator tended to be, and conversely the is not a substitute for personal maturity, and, lower the educational achievement, the more in calling for a moratorium on the establishment severe he tended to be. He further reported find- of educational standards for probation officers, ing no significant difference between preservice stated that what is important is not how the ap- education subject area studied and case judgment. plicant secured his knowledge and ability, but However, he did observe a tendency for under- whether he has what it takes to be a good officer.'-'" graduate social work majors to be slightly more A 15-year study by Heath independently concurs severe in their judgments than undergraduates with Newman's observations, suggesting that with other majors. This has been an issue of great good grades and other usual measures of academic debate in the past few years. While there are success do not correlate with personal maturity many who concur with Cohn that the area of and competency ill later life. "-'7 study does not make a difference upon attitude or Leeds has asked if the necessary interpersonal performance, there are those who feel quite skills can be developed in a college setting. In his strongly to the contrary. Schnur has stated that opinion they can, although he further states that "training for corrections should be training in the practice of overwhelming the educated pro- corrections. '''-'~ Others, such as Newman espouse bation officer with a caseload of 100-150 proba- a more liberal educational preparation but with tioners negates the value of that education. Leeds, emphasis on correctional topics. '-'~ however, provides no indication as to how this From 1974 to 1975, the city of Philadelphia conclusion was derivedY s conducted an evaluation of their probation officer In 1961, the State of Wisconsin examined the inservice training program. "'~ A major component function of probation and parole as interpreted of the program was a series of mandatory under- by 116 officers. The results of this study are graduate and graduate level course work for of- quite provocative. Miles' report of the study sug- fleers. The major aspects of the evaluation in- gested that preservice education had somewhat cluded at least a weekly face-to-face conference of a negative association with the probation and between probation officer trainees and the train- parole officers' personal opinionsY :) This negative ing unit, along with classroom instructor feed- association was manifested in feelings of inse- back to the probation department staff. A ques- curity and inability to reconcile the principles of tionnaire mailed to past training participants casework as presented in schools of social work was also analyzed. Unfortunately, the researchers with the elements of surveillance and law enforce- did not utilize a uniform method of evaluating ment required by the officers' day-to-day tasks. Miles also noted that the officer who enters pro- lo l'.~linor Ostrom. "On the Meaning and Measurement of'Output and Efficiency in the Provision of Urban Police Services," Jouranl of Crimi~ml Justice, Vol. 1, No. 2 (1973), pp. 93-111. bation service without a graduate level education s, Coha. ibid. .~l Schnur, ibid., p. 30. experiences less of this trauma, and, after several 2~ Newman, ibid., pp. 88-90. 2a Stcrnbach, ibid. years of experience, there is very little difference "-~ Ibid.. p. 6. n,~ Newman. ibid., p. 85. between the philosophy and the practice of the '-'" Schnnr. ib:d., p. 28. -~: Douglas H. Hcath. :'Prescription for Colieglate Survival: Rcturn educated and less educated officers,a° This would to Liberally Educatc toda~"s Youth," l.ibcral Education, (May 1977), I)p. 3:L~-:].5 0. lead one to believe that the value of preserviee -~ I,eeds. ibid., p. 25. ."e Miles. ibid., p. 21. :to Ibid.. p. 21. education is predominantly short-run in impact 44 FEDERAL PROBATION

and its immense cost may not be worth such a instruct him in the basic mechanics of probation minimal, perhaps even negative, benefit. service. Developmental training is provided to polish skills and attend to the individual probation lnservice Training Standards officer needs in increasing his own job perform- Inservice training is defined here as training ance efficiency. Departments vary widely in the received subsequent to acceptance as a probation amount of education and training which they department employee. The establishment of stand- require and offer. While there does not appear ards in the area of inserviee training meets with to be any comprehensive nationwide review of many of the methodological hazards previously developmental and orientation programs being detailed above. In the absence of any hard data offered, a number of studies were revised. These as to the most beneficial training curriculum, studies demonstrated a lack of consistency in both probation has seen a myriad of su.ggested cur- the nature and degree of training provided. For ricula, which are often contradictory even within example, the Oklahoma. Department of Correc- a single program. The Philadelphia project noted tions requires a 120-classroom hour orientation considerable ambivalence, difference and clash of training period and an additional 120-classroom opinion as to proper training functions, structure hour developmental training to be certified as and activity. 31 In 1975, the National Council on a probation officer? 4 Massachusetts .general law Crime and Delinquency report on the Florida states that all incoming probation officers are to Parole and Probation Commission stated: receive formal orientation training within 6 There is indication that expectations of what training months of their appointments and a 45-hour de- should do arc different among some key people, all of velopmental training session at least once every whom are located higher up in the organization than 3 years thereafter? ~ The State of Florida recom- the training manager. Depending on who is talking to or making demands on training, the expectation is mends 40 hours of orientation during the first subtly different.3"' year and 60 additional hours during the first year. a" Operationalization of these standards is This situation again points to the need of de- another matter. For example, most officers in termining the elements of a competent probation Florida reported that they were on the job from officer performance and quantitatively ascertain- 1 to 2 months and had a full caseload before re- ing the nature and extent of the training needed ceiving any formal orientation training, and by to produce the greatest benefit for that perform- then it was quite irrelevant and redundant. In ance at the least cost. Until this is done, we will addition, a great deal of anxiety was experienced be unable to determine the true impact of training since the training required a 2-week absence from upon the system. the field.37 Despite some of the conceptual problems out- On the other hand, some programs have found lined here, we should consider several operational wide probation officer acceptance of their opera- issues. Inservice training has generally been di- tions. The Cleveland State University Training vided into two time-frames, each with its own Institute was evaluated as good to very good by broad objectives, namely orientation training and 88 percent of the participants. 3s Seventy percent developmental training. 33 Orientation training of the probation officers who participated in a is, as its name suggests, provided to acquaint the 1974 training program in Kentucky felt that the probation officer with the community and with training had improved some aspect of their serv- the probation department as an organization and ice delivery technique. One hundred percent of these probation officers' clients noted that, since 31 Leeds, ibid., p. 2. a2 National Council on Crime and Delinquency, Management Plan the training, the officers had improved their serv- Prepared For Florida Parole and Probation Commission. (Austin, Texas: National Council on Crime and Delinquency, 1975), p. 166. ices in some way?:' '~ Newman, ibid., and National Council on Crime and Delinquency, Massachusetts Probation Training Needs, (Austin. Texas: National A survey of probation personnel in 52 probation Council on Crime and Delinquency, 1975). ~4 Oklahoma Department of Corrections. ibid. departments in the State of California found 25 National Council on Crime and Delinquency, Massachusetts Pro- bation Training Needx, ibid. that probation officers preferred workshops and '~ National Council on Crime and Delinquency, Management Plan Prepared for Florida, ibid. group sessions to any other form of developmental •~7 Ibid.. p. 169. •~s Charles M. Unkovic and Gloria D. Battisti, Study oy Ohio Adult training. The following table represents tech- Correctional Personnel and Training Program, (Cleveland, Ohio: Cleveland State University Correctional Training Center, 1968). niques, skills, and knowledge~:covered in these 30 Kentucky Mental Health Manpower Commission. Community Re- source Management Training for Kentucky Probation and Parole workshops and the percent of the staff judged Officers, (Frankfort, Kentucky: Kentucky Mental Health Manpower Commission, 1974). to be knowledgeable in the area as viewed by EDUCATION AND TRAINING OF PROBATION OFFICERS 45 the probation department staff and administra- toward getting promoted. 4a The report went on tors. 4'' Interestingly, administrators consistently to recognize a clear need for more extensive estimate the knowledge level of the staff higher training embracing a much larger number of than the staff itself. client-serving staff than have been involved thus far. 44 The report does not .give any indication as TABLE 1.--Knowledgeability of probation staff to how it arrived at this conclusion of a "clear and administrators need," other than the fact that 70 percent of the Areas of Job Skills Percent of Staff J~utged and Knowledge to be Knowledgeable staff, who desire to receive additional training in in the area order to receive a promotion, do not feel that Administrators Staff adequate training is being provided. Sternbach's General area of social sciences 96% 88% review of the Philadelphia project found training General casework techniques 90% 78% to have the greatest impact upon new officers Social investigation techniques 94% 75% Human relations 87% 67% who lack previous relevant education. 45 The value Orientation to the of that initial training and all subsequent train- correctional field 87% 69% ing, however, decreases as time on the job in- Law as it affects the offender and staff 85% 69% creases. This observation by Sternbach concerning Utilization of community inservice training parallels the finding of Lesds resources 83% 58% regarding preservice education2" The evidence Specialized diagnostic and indicates that the value of inservice training is treatment methods 72% 48% predominantly short-run in impact, and thus its Law enforcement techniques 74% 55% Custody control and cost may not be worth such a minimal long-run emergency techniques 77% 45% benefit. The State of Connecticut, however, does Development of community feel that the benefit is worth the cost. Connecticut resources 77% 47% has recognized that with a new emphasis upon Management and administrative techniques 73% 44% hiring younger, relatively highly educated persons The State of Florida provides training such as as probation officers there is a likelihood of alcohol rehabilitation, drug and drug abuse train- greater turnover in the adult probation officer ing, MMPI (Minnesota Multi-Phasic Inventory) ranks. They feel however that this turnover can training, FCIC (Florida Communications Infor- be reduced by offering explicit training and" edu- mation Center teletype system) terminal oper- cational assistance to the probation officer and ations, reality therapy, transactional analysis and rewarding those who involve themselves in those •general management training. However, the 1975 pursuits. 47 Leeds would agree in part, for he NCCD report found this training to be conducted has advocated the view that educational and train- by poorly prepared instructors who presented in- ing opportunities must be made available to pro- adequate materials. 4~ Senna has reported that bation officers and valid rewards be .given them some states have reported the termination of their for their efforts, not so much to increase the professional staff development programs; the quality of the officer, but to spare the frustration reasons: loss of financial support and some gen- which will inevitably develop among educated eral dissatisfaction2" probation officers when an undereducated super- Studies that have examined different aspects visor is given responsibility for their direction. 4s of inservice training operations have uncovered Schnur also concurs with this concept in part. some interesting observations. For example, a He has identified the practice of seniority advance- 1973 California Youth Authority study of some ment as a threat to the entire concept of trained 52 probation departments in California states that probation officers. A seniority system and a lack staff interest in formal training is influenced by of a lateral entry system for the well-educated the extent to which they believe it will contribute and trained promotes negative selection of per- 40 California Youth Authority, ibid., p. 40. sonnel. The best man for the job should be se- ~ National Council on Crime and Delinquency, Managcment Plan Pr~.parcd for Florida, ibid. lected, regardless of his years of experience, since ~a Joseph J. Senna, "The Need for Professional Education in Probation and Parole," Crime and Delinqucncy, (January 1976), p. 72. mere experience is no guarantee that a particular 4a California Youth Authority, ibid., p. 40. 4~ Ibid., p. 44. individual can do a job better than someone else. 4~ 4:. Stcrnbach. ibid., p. 9. 4. Leeds, ibid. .T Connecticut Department of Adult Probation, Job Task Analysis By the same token, a well-educated and trained and I'crsoancl Organization Study Final lie.port, ( Hartford, Con- necticut: Department of Adult Probation. 1974). man offers no guarantee that he can do a job 4N Leeds, ibid. 4a Schnur, ibid., p. 28. better that someone else. The education and train- 46 FEDERAL PROBATION

ing may have given him the tools, but he must enced some degree of frustration as the central know how to use them in the field, and he must be office training unit staff stood in the way of their willing to continue to use them. attempts to provide meaningful and innovative As with preservice education, a variety of opin- training, n5 The best organizational location for ion exists as to the nature of the inservice training the training function is an unresolved issue. Large program that would best meet the probation of- states such as California, New York, and Texas ficer's needs. As previously noted, Schnur has have long struggled with the problems of how stated that training and education for corrections to organize a probation training plan which would should be trainin.g and education in corrections, n'' meet the needs of officers from small, rural de- He might well concur with the State of Connec- partments as well as those from larger, urban ticut which supports the following topic areas departments. for staff development training: ~ Two basic ideas have emerged in the past few (1) understanding criminal behavior years and both have experienced some degree of (2) socio/legal environment operational success. The first broad approach, (3) state laws/legal structure which seems to be the most popular at the mo- (4) department of adult probation orientation ment, advocates.a centralized approach. Propo- (5) "how to" regarding probation officers nents of this concept, such as the states of Cal- duties ifornia, Connecticut and Florida opt for a central- (6) basic personal skills needed by probation ized trainiag unit located in the state department officers of corrections with mandatory trainirLg require- (7) community resources ments for all officers. In Florida, some problems (8) community relations developed because local officers with local train- (9) managerial skills ing responsibilities felt overburdened with work Edwards has strongly advocated training pro- and reacted negatively to divided supervision (i.e., bation officers in the use of sensitivity trainin.g their Chief Probation Officer and the central techniques. To be more effective, Edwards has office training unit staff). If these problems are suggested, probation officers must comprehend to be eliminated the responsibilities for personnel sociological and psychological problems exper- training in this centralized approach must be ienced by their clients. .~'' Sensitivity training can handled at all levels by personnel whose sole help the probation officer to be more aware of responsibility is training. Taylor and McEachern those needs, Edwards asserts. The entire Sep- have advocated a national training program de- tember-October 1967 edition of the American veloped by the Federal Government for distri- Behavioral Scientist was devoted to this group bution to the line personnel through training therapy training concept and presented a sug- units in the state department of corrections. ~'" gested technique for disseminating the informa- Taylor and McEachern realize that some degree tion to probation officers and other social workers. Of state and local objection to such a proposal will The authors stated that a course which trains pro- arise, but nevertheless back their proposal with bation officers and other social workers to use the following points: (1) It has become increas- group therapy training with their clients can be ingly important that a means be found to intro- taught in a relatively brief 50 hour sessions23 duce social and behavioral science research di- Beyond the issue of content a major problem rectly.into the working operations and training that tends to confound the training issue is the operations of the departments; (2) When the organizational structure of the department. The smaller department does invest its time and 1975 Philadelphia project report referred to an money training its officers, it is often only to lose isolation of the training ufiit from the department them a year or so later to a larger department communication network, ~4 while a Florida report with the advantages of better pay, more facilities, stated that area trainers and supervisors experi- and greater opportunities for advancement; (A

~o Ibid., p. 30. 1956 study of California Probation officers found ~ Connecticut Department of Advlt Probation, ibid., pp. 86-91. 5~ Edwards, ibid., p. 1. a very stron.g positive correlation (rs~-~-.94) be- s:~ American Behavioral Scientist, Vol. 11, No. 1 (September-October 1967). tween county size and mean level of education 54 Sternbacb, ibid., p. 2. ~ National Council on Crime and Delinquency, Management Plan among probation officers. This is, the larger the Prepared for Florida, ibid. 5e Taylor and McEachern, ibid. county, the more educated the probation officer EDUCATION AND TRAINING OF PROBATION OFFICERS 47 population tends to be.) ;57 (3) It is doubtful that arise when inservice training is presented as an local probation departments will be capable of important requirement for advancement, but then keeping pace with the magitude and complexity of ignored when promotions are made. the problems they face by utilizing their own re- Inservice training can also create problems for sources alone. Taylor and McEachern's plan calls the established organization. A 1965 North Caro- for home study on the part of the probation of- lina study observed a definite resistance to train- ricer, utilizing supplies such as tape cassettes, ing among probation officers, especially when the movies, slides and reading materials prepared training was viewed as a threat to their estab- for him by the Federal Government. lished roles and work patterns. To combat such On the other hand a decentralized training difficulties, the study called for wide flexibility approach is advocated by Bertinot and Taylor ~s in the nature and timing of the course work and for the State of Texas, and by the NCCD for the stressed the need for the development of per- State of Massachusetts: 9 In this plan, training sonal relationships between the trainees and the is strictly voluntary, although special incentives trainers2 ° such as tuition reimbursement, salary increases, Summary and promotional opportunities are employed. Out- The fact that probation as a profession has side trainers are not used. Rather the officers failed to define its goals has and will continue to determine their training problems. This concept hamper any solid evaluation of the value of pre- operates on the theory that adequate training service education and inservice training upon resources are available on the local level. There probation work. is no training unit in the central office. The The need for graduate level education and fre- training function responsibility is vested in the quent inservice training has been advocated for local chief and assistant chief probation officer many years. There has come to be a philosophical who are responsible by way of the usual chain of acceptance of formal education as a prerequisite command to the head of the state department of of quality probation service, and of inservice corrections. training as a means of maintaining and improv- Inservice training programs, regardless of their ing that service. This need has been "documented" organizational location, raise a number of issues, by several national commissions and organiza- few of which have been adequately explored. For tions, "1 along with a score of individual writers and researchers."'-' However, our review of these the individual officer mandatory training pro- works has found no empirical documentation that grams can be extremely l:ime-consuming. They education can improve overall performance. Fur- can detract from available client time and they thermore, our review has found no empirical evi- may compete with family and leisure time. Vol- dence to the effect that the cost involved to the untary training programs on the other hand can individual, the department, the clientele, and the create a dilemma for the officer who does not system is worth the benefit derived. In reality, wish to participate, but feels pressured by those the evidence available offers no support for the who do. The most difficult situation, however, may traditional theory. In summary: ~'~ National Probation and Parole Association,. Probation in Call- fornia, (Sacramento, California: National Probation and Parole As- (1) There is no support for any connection sociation, 1957). ,',s Libby Bertinot anti Jack E. Taylor, "A Basic Plan for Statewide between education and competency in the Probation Training," FEDERAL PROBATION, Vol. 38, No. 2 (June 1974), pp. 29-31. human service field. r,~ National Council on Crime and Delinquency, Massachusetts Pro- bation Tr~rini~fl Needs, ib(d. (2) There is no indication that a graduate ao North Carolina University Training Center on Delinquency and Youth Crime, Probation Training: Content and Method, (Washington, level education in social work is of any D.C.: U.S. Department of Health, Education and Welfare,.Offiee of Juvenile Delinquency and Youth Development, 1956). .i For examl,le, see: President's Commission on Law Enforcement greater value to probation officer compe- and the Administration of Justice, Task Force Report: Corrections. (Washington, D.C.: U.S. Government Printing Office. 1967), p. 100. tency than a nongraduate level education American Bar Association, Standards Relatiny to Probation, (Wash- ington, D.C.: American Bat' Association, Standards for Criminal Justice in any field of study. Standards and Coals, A Natio,lal Str~ltegy to Rednce Crime, (Wash- ington, D.C.: U.S. Government Printing Office, 1973), p. 192. (3) There are indications that a graduate de- ~*" For" example, see: Joseph J. Senna, "The Need for Professional Education in Probation anti Parole." Crime and Deli~rqueney. (January gree negatively affects probation officer 1976), pp. 67-74; Edward M. Taylor" anti Alexander W. MeEachcrn, "Needs and Dil'ection in Probation Training." FEDERAl, PROBATION. opinions for the first few years on th~ job. Vol. 30, No. 3 March 1966). pp. 18-24: Charles L. Newman. Source- book on I'robatlou. I'trrole. and l'~rrdons, (Sprlngfiehl. Illinois. Charles C. Thomas. 1970), anti Don Lougbery. "College Education. A Must (4) There are indications that after a few for Probation Offlcera?" Crime and Corrections, Vol. 3. No. 1, (Spring 1975), pp. 1-7. years on the job probation officer philos- 48 FEDERAL PROBATION

ophy and performance levels for the grad- a profession should proceed cautiously before uate and nongraduate are generally the adopting any firm educational standards or in- same. service training programs, at least until more (5) There are indications that the effects of is known concerning the aggregate impact of inservice training decreases as time on such plans and until probation can determine if the job increases. it is getting what it wants in terms of education From this evidence, it appears that probation as and training, and probation officer performance.

Police Diversion of Juvenile Offenders: An Ambiguous State of the Art

BY STANLEY VANAGUNAS Department of Public Administration, University of Arizona, Tucson

HIS STUDY analyzes the policy and practice simply because a disproportionate amount of of 34 municipal police agencies as they per- such offenses are perpetrated by the young. More- T tain to the disposition of juvenile offenders. over, police must investigate all crimes, irrespec- Particular emphasis is placed on determining to tive of the age of the offender. what extent has the police community formally Police role differentiation in juvenile as op- adopted the "diversion ideal" inherent in juve- posed to adult justice occurs in two circumstances. nile justice. For most nations delinquent children are those who violate the criminal code.' However, Ameri- Diversion as the Core of Police Role can delinquency laws have tended to include an in Juvenile Justice "omnibus" clause which gives jurisdiction to To the degree that the police cope with crim- the courts over children who have behaved in a inality, they are very much coping with the un- manner which, although undesirable, is not pro- sophisticated, ad hoc, yet at times brutal offenses hibited by the criminal code. This type of delin- of the young. This proposition is encapsulated by quency is commonly referred to as "status of- the fact that, on the average, 75 percent of police fenses"; that is, acts which would not be offenses arrests for Part I of the Index offenses are those if performed by adults. of people under age 25. The ratio applicable to Police have authority to take into custody those under 18 years of age approximates 50 per- status offenders and refer them to the juvenile cent. The latter category of offenders are, in court. While this aspect of police work is clearly most jurisdictions, defined as delinquent children. juvenile justice specific, it should be noted that Arrests, of course, are but a partial indicator there is currently a trend to eliminate many status of the incidence of crime. Much crime goes un- offenses from delinquency laws. This portends a reported or unsolved. Nevertheless, such data correspondingly decreasing need for police inter- underline the importance that police agencies vention in the case of status offenders. should attach to youth crime and to the handling The second circumstance where police role of young offenders. can be sharply differentiated as being exclusive to For the most part, the police role vis-a-vis juvenile offenders arises in the area of police crimes of the young is no different from what dispositions of children who commit crimes. they have in conjunction with crimes of adults. The juvenile justice process can be divided into To the extent that police are capable of preventing two stages, adjudication and disposition. Adju- street crime, they prevent youthful criminality dication consists of a legal finding whether a particular child is delinquent or not. The adjudi- I Don C. Gibbons, Delinquent Behavior, (Englewood Cliffs, N.J.: Prentice Hall. 1976). p. 14. catory stage, as a result of such Supreme Court "- In re Gault, 387 U.S. 1 (1967). a In re Winship, 397 U.S. 358 (1970). decisions as In re Gault,'-' and In re Winship, a to- POLICE DIVERSION OF JUVENILE OFFENDERS 49

day amounts to a fact-finding process comparable diversion of juveniles as being clearly within the to the guilt or innocence decision of the criminal scope of its responsibility ? Have the police staffed court. It is an adversary, due process oriented themselves adequately to make the diversion de- method for ascertaining the validity of allega- cision? Is the diversion decision made in the tions against a child. Because the contemporary context of concrete departmental policy? evidentiary standards in juvenile adjudication are comparable to the adult criminal court, police Data and Method role in this aspect of juvenile justice is also com- A survey instrument was mailed in early 1978 parable to its role relative to adult offenders. to 50 municipal police agencies. It was designed It is in the dispositional aspect that there exists to elicit select categories of information which a basic difference between adult and juvenile would permit some assessment of the policies justice. Disposition of children who violate crim- and practices of such agencies pertaining to the inal laws is still approached from the patens diversion of juvenile offenders. The inquiry was patriae perspective which dictates that the rune- directed to a sample of municipal police depart- tion of juvenile justice is not to punish a child ments representative of all the broad areas, but to take such action which would best serve Northeast, North Central, South and West, of the the child's rehabilitative interest. Because of this Nation. Only departments employing more than premise the police have wider discretion for dis- 200 sworn officers were included in the sample. posing of young offenders. They can, with greater Thirty-seven of the 50 mailed inquiries were latitude than in the case of an adult offender, returned, representing a response ratio of 74 divert the child from court. Herein lies the central percent. Three responding departments indicated core to the police role in the juvenile justice that there was no formal "Juvenile Unit" within system. their organizational structures. Since the study It is not the purpose here to argue the case for was designed to utilize information only from or against diversion. There are advocates of both departments havin.g an organizationally distinct views. 4 The important fact is that police have Juvenile Unit ("Bureau," "Division," etc.), the always practiced it although very informally and ensuing analysis is based on the responses of under an attitude of "greater leniency" towards 34 urban police agencies. Some characteristics children's misconduct2 Adequate performance of of these agencies are summarized in table 1.

many police duties requires a degree of infor- TABLE l.--Seleet characteristics of responding municipal agencies mality, it is the lubricant for the often cumber- Employees in the Number of Juvenile Unit some and harsh substance of our criminal laws. Region of the Agencies Sworn O~ccrs % Sworn % Civilian On the other hand, total informality in the per- Country Responding Employed Total Officers "Professionals" Northea.st 4 2.421 62 83% 7% formance of an important police responsibility North Central 9 10,857 225 92% 3% creates opportunity for caprice and arbitrariness South 11 9,285 162 88% ,3% West l0 10,048 275 82% 0% in the administration of justice. The police deci- TOTAL 34 32,611 724 86% 2% sion to feed one child and not another into the Exercise of Police Responsibility juvenile justice machinery is an important one, for Juvenile Diversion at the very least from the child's perspective. It is a decision which perhaps needs a more formal There is an implication in diversion literature framework, a greater publicvisibility. that police authority to divert delinquent juveniles The purpose of this study can now be more nar- from adjudication is unambiguous. Thus, for in- rowly stated. It is to ascertain to what degree stance, both the 1967 President's Commission on police agencies have formally equipped themselves Law Enforcement and Administration of Justice to meet the central core of their responsibility in and the 1973 National Advisory Commission on juvenile justice--the making of the diversion Criminal Justice Standards and Goals strongly decision. Specifically, the study addresses three recommend juvenile diversion by police. While it is true that police have been traditionally inclined questions: Does the police community perceive to channel but a small fraction of young offenders ' E.g.: B. Bullington, J. Sprowls, D. Katkin, and M. Philips. "A into the juvenile justice machinery, this study Critique of Diversionary Juvenile Justice," Crime and Delinquency, 24 (January 1978), pp. 59-71: and L.T. Empey, "Juvenile Justice indicates that responsibility for such police dis- Reform," Prisoners in America, ed. L.T. Ohlin. (Englewood Cliffs, N.J..: Prentice-Hall, 1973). cretionary decisions has either not been formally r, N. Goldman. Thc Differential Seleelion of Juvenile Offenders for Court Appearances. (Hackensack, N.J.: National Council on Crime granted or formally assumed by some police agen- and Delinquency, 1963). 50 FEDERAL PROBATION cies2 Only 24 of the responding departments core of police responsibility in the context of stated that they had the responsibility for di- juvenile justice is diversion. verting an arrested child from adjudication. Ten The 10 departments with Juvenile Units dis- agencies indicated that the diversion decision, claiming diversion authority, presumably utilize either by statute or accepted practice, rested with such Units for other juvenile specific programs. a nonpolice agency; such as, the juvenile court, However, in their case, an argument could be juvenile probation, a youth aid bureau, or the raised to whether such a specialization is war- county attorney's office. ranted in the absence of the diversion respon- sibility. TABLE 2.--Distribution of perceived diversion responsibility for responding municipal police agencies Police Staffing Patterns f'or the Making 1. Total number of agencies responding ...... 37 2. Respondent agencies without a Juvenile Unit .... 3 of the Diversion Decision 3. Respondent agencies with a Juvenile Unit ..... 34 4. Agencies with Juvenile Units that do not have The acclaimed purpose of juvenile diversion diversion responsibility ...... 10 is rehabilitation. The concept envisions justice 5. Agencies with Juvenile Units that have diversion responsibility ...... 24 machinery to be an avenue of last resort reserved 6. Agencies with Juvenile Units that have diversion for "hard-core" delinquent. Children not fitting responsibility but share it with some other agency outside the department ...... 3 the latter categorization are intended to be di- 7 Agencies with Juvenile Units with unilateral verted to a program of community treatment or diversion responsibility ...... 21 8. Estimated mean proportion of workload devoted otherwise disposed of in a manner which will to diversion by Juvenile Units with unilateral best serve their rehabilitative interest. At the diversion responsibility ...... 60% heart of the diversion decision then, lies a diag- Of the 24 departments stating that they make nostic process guiding the selection of an appro- the diversionary decision, 21 indicated that this priate disposition. The criteria for making such responsibility is primarily that of the Juvenile a "diagnosis" can be envisioned as falling into Unit. One, however, which is often exercised in two, but interrelated, sets. consultation with other police divisions, such as The first can be called a "legalistic" criterion. criminal investigation, or other agencies, such Thus the police agency must weigh such factors as the prosecutor's office. as the seriousness of the offense alleged against A Police Foundation analysis shows that police the child, the quality of evidence against him, juvenile units tend to be engaged in three func- his previous criminal record, and the like. The tions: investigation of criminal allegations second criterion can be called "rehabi)itative." against a child; case screening designed to reach Thus the police agency must weigh such factors an appropriate disposition (that is, whether to as the child's psychic and physical makeup, his refer a child to court or divert); and programs family and social environment, his potential dan- to prevent delinquency or to rehabilitate a delin- gerousness to the community, his economic status, quent child. 7 The present study sought to deter- his school performance, and the like. mine what approximate proportion of Juvenile Each set of criteria for making of the diver- Units' workload deals with the diversion respon- sion decision implies the need for differing ap- sibility. Twenty of the 21 departments indicating titudes" on part of police agency staff disposing that the Juvenile Unit is primarily responsible for of children. The "legalistic" diagnosis is most diversion, were willing to estimate the percentage properly within the competency of sworn police of the Unit's time devoted to the "defer or not personnel. On the other hand, the "rehabilitative" to refer to court" decisionmaking. Responses diagnosis suggests staff aptitudes not normally varied widely, from a low of 5 percent to a high possessed by sworn personnel. The assessment of of 100 percent. The mean for the estimates was the psychological and social attributes of a child 60 percent. This implies that police departments in trouble calls for professional expertise in, for which formally admit the diversion responsibility, example, psychometric skills or casework; apti- utilize their Juvenile Units principally for the tudes found in certain "civilian" professions such diversion function. This tendency is compatible as social work, psychology, rehabilitation or with the previously argued proposition that the counseling. 6 Ibid. To the extent that a good diversionary practice 7 R. Rovner-Pieczenik, Police and Juvenile Justice: Individual Trcatment vs. Law Enyorccment Goals. A paper to the National rests on a staff capable of reaching a "most reha- Conference of the American Society for Public Administration, Phoenix, Arizona, Aprril 9-12, 1978. bilitative" disposition, this study indicates that 51 POLICE DIVERSION OF JUVENILE OFFENDERS the police are lacking. Generally, only 2 percent attorney," "juvenile judge," the "department." of personnel working in the Juvenile Units of the The above indicates that, generally, police ju- responding departments (see table 1) are civilian venile diversion practices are not encompassed by professionals. Of the 21 departments indicating systematic articulation of the police administra- that their Juvenile Units tend to have unilateral tive policies. However, at least some departments responsibility for diversion, only one indicated seem to be well on the way to the formalization that diversion is handled by professional civilians, of diversion by means of concrete guidelines. two said that such professionals are partially in- Summary and Conclusions volved, while 18 stated that the diversion decision is made solely by sworn personnel. This study sought to determine to what degree has the police community formalized juvenile Police Administrative Policy Guidance diversion within its mode of operations. Three on Juvenile Diversion specific questions were addressed: Does the police Perhaps one measure of the extent to which a community perceive diversion of juveniles as given police practice has reached a level of formal being clearly within the scope of its responsi- acceptance by the police community is the prev- bility? Have the police staffed themselves ade- alence of written administrative policy covering quately to make the diversion decision? such a practice. This study was consequently Is the diversion decision made in the context of interested in determining to what degree police formally articulated departmental policy? diversionary practices were encompassed by ad- This analysis indicates that the police com- munity response to the "juvenile diversion ideal" ministrative guidelines. In response to the question as to whether the has to date been an ambiguous one. Such a con- department had written guidelines governing the clusion is warranted from the following impli- Juvenile Unit's diversion decision, 22 of the 34 cations inherent in the survey results: respondents replied in the affirmative. The sources (1) Only about two-thirds of the responding of such published .guidelines, however, were found police agencies admit formal diversion responsi- to be highly diverse. Seven agencies said that the bility. One-third of the responding departments guidelines were issued by the chief of police; six disclaim such responsibility apparently because stated that such policy statements were developed of perceived lack of legal authority for diversion by the Juvenile Unit itself; five departments or because of perceived lack of competence to indicated that the guidelines being followed were make the diversion decision. those issued by the juvenilecourt; while the re- It is important to note that most state statutes, maining four agencies identified miscellaneous at least on their face, do not acknowledge selec- other sources for the policy statements. Among tive, discretionary enforcement by police. Juvenile the latter, reference was made to the "district diversion entails precisely that. It may be that di- attorney," the "criminal investigation division," version will not be formally integrated into police in the case of two departments to the "juvenile operations until laws reflect unambiguous author- ity for police to dispose administratively of chil- code." The police organizations surveyed were also dren who violate criminal laws. asked to indicate if the officers' decision whether (2) Police agencies that admit to the diversion to arrest or not to arrest an allegedly delinquent responsibility seem to practice it primarily in the child, a case of "street diversion," was guided by context of "legalistic" rather than "rehabilita- written policy. Of the 34 respondents, 16 replied tive" criteria. This implication is founded in the in the negative, two did not respond to the query, near-total absence of civilian professionals' in- while 16 responded in the affirmative. Of those volvement in the diversion decision. Diversion is departments stating that guidelines existed for handled almost exclusively by sworn officers who aiding a police officer's arrest decision, eight may lack sufficient training for juvenile disposi- agencies said that such policy was issued by the tions based on psychometric, casework method- chief of police, three stated that such guidelines ologies which a "rehabilitative" diversionary were promulgated by the Juvenile Unit, and five practice requires. departments indicated miscellaneous sources for It can be argued, however, that the police role these policy statements. Among them the follow- vis-a-vis juvenile offenders should not extend be- ing were identified ; "patrol commander," "district yond legalistic grounds. Traditional police orien- 52 FEDERAL PROBATION tation perceives the selection of rehabilitative development of formal police policy on diversion. treatment alternatives for young offenders to be These conclusions are generally consistent with beyond its actual, or even desired competencies. the 1976 findings by Klein and Teilmann.S The (3) Overall, police administrators apparently latter analyzed the diversion practices of the Los have not as yet confronted diversion of juveniles An.geles Police Department, the Los Angeles as a priority operational issue. Although about Sheriff's Department and of 35 suburban police half of the responding departments indicated that agencies. Among other findings, this research there exists written policy guidelines on juvenile pointed out that diversion practices among the diversion, analysis of the sources of such guide- subject departments, even in as localized an area lines shows great diversity of promulgators and as the Los Angeles vicinity, varied widely as to a seemingly as yet unsystematic approach to the style and levels of commitment. Moreover, the

s M.W. Klein and K.S. Teilmann, Pivotal Ingredients of Police very initiation of juvenile diversion practices was Suvenile Diversion Programs, (Washington, D.C.: National Institute for Juvenile Justice and Delinquency Prevention, U.S. Department of closely related to the availability of outside Justice, May 1976). funding. q Interviewing Techniques in Probation and Parole

BY HENRY L. HARTMAN, M.D. Psychiatrist III. The Initial Interview (Part 1) ~

T HE PREVIOUS two articles in this series on in- relate to techniques of commencing the interview terviewing techniques were concerned with and keeping the flow of communication alive and, building the sort of relationship between the just as importantly, focusing and structuring it. probation officer and the probationer which made The final article in this series will discuss the tech- communication possible, and with the art of lis- niques to be utilized in continuing and terminat- tening to what is actually being communicated ing the interview. As in the previous two papers, during the interview. This article and the one to an attempt will be made to be as concrete and follow will deal with the techniques employed in specific as possible. In reading these suggestions, carrying on the initial interview. In practice the however, the probation officer must be mindful initial interview may extend over two or three of the fact that in this or any type of interview- sessions with the probationer.1 It has two main ing, two variables are always present. In this goals: (1) developing a relationship and (2) situation these are the personality of the proba- obtaining a picture of the probationer and his tioner and the personality of the probation officer. developmental background from which the proba- Hence, the suggestions made will not always be tion officer can draw some inferences as to the applicable to every probationer, nor will every dynamics of the probationer's antisocial behavior. probation officer find that his personality allows The subjects to be discussed in this article will him to feel comfortable while using all of these techniques. Where it is feasible, an attempt will * This is the third of a series of four articles on inter- be made to differentiate the type of person with viewing in probation and parole'by Dr. Henry L. Hartman, a practicing psychiatrist at Toledo, Ohio, and consultant whom one technique or another should be utilized. to the Child Study Institute of Toledo's Family Court This is, however, not always within the scope of Center. Dr. Hartman's third article is the first of a series of two on the initial interview. The concluding article will an essay of this length. As far as the individual appear in the December issue of Federal Probation. Editor's In many instances the initial interview is that in which the pro- Note: This article is a reprint of Dr. Hartman's September bation officer begins his social (or presentence) investigation. The 1963 article. It is updated at the end with current comments. same principles enuniciated in this article apply to the pro3pective probationer as well as to the probationer.

tl INTERVIEWING TECHNIQUES IN PROBATION AND PAROLE 53 probation officer is concerned it will be up to his should be on the probationer and his reactions own judgment as to which suggestions he feels from the very beginning, regardless of the topic can best be utilized within the framework of his under discussion. Where feasible though, the small own personality. talk should be omitted. Right from the beginning the probationer Beginning tile Interview should be the topic of the conversation. In general The first time the officer sees the probationer it this focus on the probationer should be in as broad is necessary for him to introduce himself and his and nonspecific terms as possible. Once the intro- function. This introduction should always, in one duction is out of the way it seems preferable in way or another, convey the idea of wanting to be this initial interview to start with the current of help. This idea must be conveyed without any situation. The opening gambit should always be air of condescension, and without appearing to be one which allows a multiplicity of answers, rather either superior or punitive. Some such statement than requiring one specific response. Thus, as, "I'm John Jones. I'm going to be your proba- "Would you like to tell me about it?" or, "You tion officer. The court has assigned me to help you seem to be having difficulties, would you like to while you are on probation. We'll be talking to- talk about them?" or, "Would you like to talk gether about you from time to time," will serve about what brought you here?" are all acceptable the purpose. Once this sort of preparatory intro- opening questions. Note that these contrast duction has been made the officer should turn his sharply with "tell me what you did?" or "Why attention immediately to the matters of building a did you do it?" or "How did you ever get mixed relationship and listening to the probationer, tech- up in something like this?" The reason for this niques for which were discussed in the first two insistence on the broad approach is that it gives articles of this series. the individual a chance to talk about what is It might seem that the most important thing really on his mind, even though it may not be at to do immediately is to put the probationer at all what the officer expects, and hence furnishes ease, and it is quite a temptation when interview- a valuable lead to what some of the real factors ing a person for the first time, partmularly if he in the situation may be. seems tense and ill at ease, to start with small talk Two cases will serve to illustrate the sort of or anything that might ease the strain of meeting. answer which may be expected from this type of Talk about the weather, sports, school, work, approach. A 12-year-old boy is seen following his might serve that purpose, but it is extremely diffi- arrest for shoplifting. This, it was learned, was cult for the officer to respond in such a way as to the latest in a series of offenses dating back for convey a feeling of being non judgmental or under- some time, starting with pilfering pennies from standing when he is responding to the probation- his mother's purse, going on to fighting in an un- er's answer to "It's a beautiful day, isn't it?" or provoked manner, stealing from other youngsters for the officer to empathize with the probationer in school, stealing from the teacher's purse, and who has replied to, "I see the Packers won again finally culminating in the shoplifting, in which last Saturday." Possibly this may convey to the there was not too much attempt at concealment probationer that the probation officer is unhurried apparent..When asked to "tell me about it," he and has plenty of time to spend with him, but it replied, "Well, the way I see it is that somebody's does not convey interest or the feeling that the got to say no to me and make it stick." As he officer has plenty of time to spend on his problems. talked on it became apparent that he saw himself This sort of thing then should be avoided if pos- as the prize in a struggle between his parents, as sible. At times it may be an effective technique in to which one could do the most for him, cover up allaying the officer's own anxiety. If the officer most for him from the other and from the author- does feel a need for small talk to bridge the gap, ities. If one said that he could not do something, and many may, then it should be focused on the it was easy to get permission from the other. If probationer. Thus, if talking about the weather, both said no, no punishment would follow anyway, instead of saying "Isn't it a warm day?" it might or if one were imposed it would not be followed be phrased, "Does this hot weather bother you?" through, or if one threatened punishment the Or one might say "Do you get down on grey days other would protect him from it. He was literally like this?" or, if about sports, "Which team do you afraid of what he might be tempted to do if con- like in the series?" In other words the focus trols were not applied, and each offense was a way 54 FEDERAL PROBATION of asking for them. All of this, with the exception longed silence at this time is likely to build too of the last statement about controls which was much tension of an unwanted sort. At a later implied rather than overt, came out spontaneously stage in working with the probationer, at times in response to, "Would you like to tell me about even at a later stage in the initial interview, ten- it?" sion building by means of silence may be a helpful The second example involves a mother being thing. Such tension helps to mobilize anxiety, and interviewed in connection with severely delinquent the probationer may then begin to talk about the behavior on the Part of a 16-year-old son. She is things he is most anxious about. not asked "Would you like to tell me about your At this moment of initiating the first interview, son?" but again the question is phrased, "Would however, such tension is likely to be destructive you like to tell me about it?" Once again the rather than constructive, and so the silence should answer leads almost immediately to the heart of be broken fairly quickly. A remark may be made the difficulty. "I just can't understand that man," such as, "Well, probably you'll want to tell me and it becomes quickly apparent that she is talk- about it when we get to know each other better," ing not about the son, but about the husband. and the conversation shifted to a discussion of Very quickly a picture emerges of him as a se- neutral topics. The use of the term "neutral top- verely paranoid individual, who in his illness has ics" does not imply small talk, but rather topics dominated the family in such an unreasonable which have reference to the probationer, yet are fashion that the son's behavior can be understood probably free from any great emotional overtone. as a method of coping with this irrational tyr- There is, of course, always the possibility that a anny. theoretically neutral topic may have emotional One immediate advantage of this nondirective overtones for any specific individual. "Is your type of approach can be seen from the foregoing father alive?" for example, may be quite emotion- examples. Not infrequently the initial question ally laden to a person who feels he is illegitimate, may lead directly to the root of the problem with but this can rarely be foreseen. Should it be noted which the officer will have to deal. There is an- that there is a marked emotional response to what other more subtle and more far-reaching implica- is expected to be a neutral topic, this information tion of this approach, the benefits of which are is filed away for exploration at a later time. not so immediately apparent, but which may be Frequently the probationer, rather than meet- of even greater significance as the relationship ing .the question with silence, will respond to, between the probationer and his officer continues. "Would you like to tell me about it?" with a ques- Right at the beginning of this relationship it is tion of his own, such as, "About what?" or "What made clear by this approach that this is not a would you like me to tell you about?" This sort of situation in which the officer is going to do some- reply is best responded to again as nonspecifically thing to or for the probationer, but rather that as possible. Some such response as, "Tell me a this is to be a situation in which they do some- • little about yourself," would be an appropriate thing together, and that the role of the proba- rejoinder. If the •response to this is something tioner is equally as important as the role of the like "What do you want to know about me?" it officer for a successful conclusion of their mutual becomes obvious that a contest is going on, and task. this should not be allowed to develop. A tentative If at the beginning of the interview the proba- "Anything that you want to tell me?" should be tioner is able to respond to some such nondirective offered, but at the least sign of hesitation in pro- question as "tell me about it," then the interview ducing an answer this should be followed immedi- is off to a good start. The concluding article will ately with more concrete questions. These may discuss the conduct of the interview from this deal with age, education, Occupation, hobbies, in- point. It would be very fortunate if all initial terests, anything which will furnish the proba- interviews followed this pattern, but unfortu- tioner a stimulus to which he may respond with- nately this is not always true. Not uncommonly out having to reveal too much of himself at this the probationer has some difficulty in responding point when he is still unsure of whether he is to this sort of nondirective question. Where this willing to do so. Where it is at all feasible, even difficulty is manifested by silence it is probably these concrete questions should be phrased in as wiser at this point, early in the relationship, not nonspecific a way as possible, in order to leave the to let the silence be prolonged very long. A pro- door open to an answer to more than just the INTERVIEWING TECHNIQUES IN PROBATION AND PAROLE 55 question asked. For example: "Tell me about your nected material. In such instances the first thing family," rather than "Who's in your family?" which must be determined is: Will this stream of "Tell me about your neighborhood," rather than talk spontaneously answer many of the questions "Where do you live? .... What about school?" in- which would ultimately be posed? If the answer stead of "What school do you go to?" These are to the question is yes, then there is no need to examples of questions about specific topics, posed attempt to focus strenuously in the initial inter- in a quite nonspecific way. As noted, this leaves view. Instead the officer may busy himself with an opening for the probationer to go on and di- sorting and classifying the meaningful material, vulge any amount of significant material in the assessing its significance to the probationer, not- areas under question. It facilitates the flow of ing areas which need elaboration and clarification communication, and yet gives a little more struc- in later interviews, and sorting out the feelings ture than the previously used, "Would you like to which underlie this recital. Indeed, instead of at- tell me about it?" tempting to focus, the officer, with this sort of Quite commonly just this small amount of stim- person, utilizes those techniques previously de- ulus will serve to initiate an exploration of a scribed to express interest and facilitate the flow meaningful and problem-laden area. However, of thought. He nods, smiles, says "mmh-hmmh," there will be left a relatively small number of in- repeats the probationer's last words at a pause, dividuals who are unable to respond to either of empathizes with his feelings, or rephrases a point the two suggested approaches, and who will give to emphasize its meaning. only specific answers to specific questions asked After this initial outpouring it is wise to at- them. This may be so for any one of a number of tempt to focus on only one or two meaningful reasons. These may be introverted or at times trends in any one subsequent interview. For ex- severely inhibited individuals who have a great ample, during the first interview the probationer deal of difficulty in expressing themselves. They may have referred to or touched on his feelings of may be extremely literal minded people, accus- being a failure, his reactions to his criminal of- tomed to thinking only in the most concrete and lense, his dissatisfaction with his wife, his feel- specific terms. Or this may be a purely defensive ings about what he considered the unreasonable reaction, arising out of a fear of revealing too attitudes of his parents when he was growing up, much. Whatever the reason, these people must the undisciplined attitudes of his son, the seem- be dealt with on their own terms and a simple ingly inordinate demands of his employer, his question-and-answer routine followed for some fantasies of being a big shot, the high cost of liv- time until it is possible to build a relationship ing, the success of an older brother, his love for which can be used to facilitate the communication his daughter, etc. of problems and feelings. At the subsequent interview the officer should attempt to focus the probationer's responses on Focusing the Interview one or two topics which seem to be of real signifi- With these last discussed individuals there is cance. Thus if the probationer again makes some no problem in focusing the interview. Each spe- reference to his parents' attitudes, the officer cific question asked serves as the only focus, and might make some such statement as, "You men- the problem is one of stimulating enough sponta- tioned something about that last time. Would you neity to allow the officer to identify the important like to talk a little about what you felt they really trends in the genesis of the probationer's prob- expected of you ?" At appropriate moments in the lems. Focusing also presents no problem in those response the question may then be interpolated, persons who respond to the nonspecific question "And how did that make you feel?" If the pro- asked, exhaust the area, and then wait only for bationer tends to drift from this area of the par- another stimulus to explore a different field as ents' expectations before it is fully explored, the thoroughly. It then becomes only a question of new topic is acknowledged, but then the discussion what fields the officer wishes to explore, or to is brought back to the parents and their attitudes What depth he wishes to go in any field. by means of a pointed question such as, "What Focusing in the initial interview becomes a was their reaction when you brought home your problem only with those probationers who re- report card?" If this elicits a feeling of having spond to the invitation to "Tell me about it" with failed, and an underlying feeling of resentment a seemingly endless stream of apparently discon- tbat it was not really failure, but that the parents' 56 FEDERAL PROBATION demands were too great, it is not then too difficult from the topic this same treatment is repeated, to phrase questions or responses in such a way and so on, until before very long only topics of that the connection between the childhood feel- interest are being discussed. Obviously this is ings and the present feelings of being a failure more time consuming than interrupting and ask- become quite clear, and this area can then be ing questions. explored. What then are the advantages of this method? One important point should be stressed here. First, it keeps the interview from developing into If a probationer is eager to talk about one topic, a question and answer session, in which all the the officer should not try to switch him to another, necessary facts may be obtained but none of the no matter how trivial the former or how signifi- important feelings. cant the latter appear to the officer. Such an Second, this expression of disinterest, this attempt can only hinder the formation of a rela- method of using boredom, silence, etc., serves tionship, lead to a lessened feeling of self-worth as a counterpoint to the show of interest in sig- on the part of the probationer, and increase re- nificant material, so that it underlines this inter- sistance. Most importantly, what appears to be est when it is present, and helps the probationer trivial to the officer may be the preliminary to to learn relatively quickly about the areas in something which is extremely significant, and which the officer is interested. It serves to deline- which may not emerge if the probationer is not ate the areas of significance, keep attention fo- allowed to talk about it at his pace. cused on these areas, and allows the probationer to If, however, in this initial interview, should assume the responsibility for working on them. there seem to be no real pattern of significance Third, it does this in a way which does not to the individual's flow of words, then the officer mobilize his defenses, which does not make him should ask himself the question: Is this apparent feel dominated and pushed around, as direct ques- rambling really representative of this person's tions may. He may not be completely aware of normal thought pattern? If the answer seems what is going on, and yet he realizes that the to be yes, then it becomes obvious that a good probation officer is basically interested in those deal of time will be wasted in letting him ramble. things which are significant and important to A definite attempt will have to be made to focus him. The result is that the officer is able to learn this outpouring. This could be done quite easily, about the probationer in a way which allows the of course, by simply interrupting at any time and latter to retain his self-respect, and without giv- asking a pointed question. When the rambling ing him the feeling of having things dragged begins again there is another interruption and out from him against his wishes. another question, and so on. Although this will At times the answer to "Would you like to tell certainly serve to elicit a larger amount of fac- me about it?" may be not only rambling and tual information within a given period of time, seemingly incessant, but also disconnected and dis- it is generally wiser to avoid this type of focusing. jointed. Under these circumstances there is most Instead, it seems preferable to use a technique probably an underlying mental disorder and med- which might be labled nondirective focusing. In ical help should be requested. There is one other essence this consists in the use of the reverse of possibility which must be considered in attempt- the maneuvers which were previously suggested ing to focus a rambling, interminable, seemingly to convey interest. As the rambling proceeds the inconsequential answer to the introductory ques- officer instead of appearing interested, appears tion. The final question which the probation officer bored. He may yawn, close his eyes, tap with his must consider is: Is this a form 0f defense--a pencil, drum with his fingers on the chair arm. smoke screen of words, thrown up consciously Instead of saying yes or "mmh-hmmh" he re- or unconsciously to avoid talking of anything of mains silent, unnodding, unresponsive. At first significance? If the answer to this question is yes, this may seem to have little effect, but before the method of dealing with it in order to focus very long the meandering torrent of words slows the interview will depend on the officer's judgment to a trickle, and then comes to a dead stop. When as to whether it is conscious or unconscious. If this silence occurs the officer then proffers a cue it is unconscious, then in all probability it stems about a topic which interests him, and as long as from uneasiness in the situation, a fear of the this topic is discussed continues to convey his in- officer as an unknown quantity, and an attempt terest. Once again as the probationer meanders to gain time in order to size up the situation. INTERVIEWING TECHNIQUES IN PROBATION AND PAROLE 57

Under these circumstances the individual's feel- The environment: past and present, sociocultural- ings should be respected and no direct attempt economic, physical, and emotional. The individual's development: birth, physical develop- should be made to circumvent this. Instead, the ment, health, history, emotional development, school and officer, by means of the techniques described in work adjustment and achievement, hobbies and activi- the first article in this series, should direct his ties, goals and standards. efforts toward establishing a relationship, build- The individual's relationships: to parents, siblings, peers, mate, children, authority figures. ing a feeling of confidence in the probationer, and Antisocial behavior: past, present attitudes toward it. conveying the feeling that the officer understands The exact details of the oUtline are not impor- and empathizes with the feelings underlying this tant. What is significant is the use of the outline behavior. With such an individual it may take as a guide to areas to be explored for understand- several interviews before the proper atmosphere ing the probationer and his behavior. Thus, with can be established to make meaningful interview- each topic under discussion the officer should be ing possible. asking himself two questions: "Has this topic On the contrary, when this smoke screen is been completely covered ?" and "What bearing has felt to be consciously motivated, particularly if this had on the problem which this person is it seems to stem from an attitude of "You can't experiencing?" Used in this way the outline serves con me. I'm smarter than you are, Mac," then as a guide to structure the interview and does the officer should intervene directly. In whatever not become some sort of compartmented box, words he chooses to use, most appropriately in meant to be neatly filled with assorted facts, each the probationer's own vocabulary, the message one tucked neatly into place. should be conveyed to "cut out the malarkey and Viewed with this attitude the question of get down to business." Working with such an in- whether to follow the outline in order, step by dividual in any sort of meaningful relationship step, does not arise in the interview. Most com- is impossible unless he realizes that the officer monly the area to be covered first will be deter- is as smart as he, is not going to be fooled, and mined by the probationer's response to the first will not allow himself to be outmaneuvered. nonspecific gambit. The importance of the outline Organizing the Interview in structuring lies in delineating the areas to be explored, and in furnishing a handy mental check The fact that he is using nondirective tech- list for covering each area thoroughly before niques does not absolve the officer from the re- moving on to another one. sponsibility of structuring the interview. The one As was noted in the first article in this series, exception to tnis occurs when the probationer this does not imply that if a probationer starts himself is effectively structuring the interview to stray from the area under ~iscussion one does along constructive lines. While this should occur not let him do so, but as soon as this side excur- with more and more frequency as probation con- sion has come to its logical conclusion, the proba- tinues, it is not too common during early inter- tioner should be led back to that area which was views. Since one purpose of the initial interview under exploration until each item in that area has is to obtain a history, a general picture of the in- been covered. Under no circumstances should dividual and his development, then the structur- zealous desire to satisfy the demands of an outline ing should take place along lines which make this be allowed to hinder the flow of thought of a possible. In order to do this most effectively the probationer who is bursting to talk about a spe- probation officer should have firmly fixed in his cific topic or problem, no matter if nothing in the mind an outline of the material which he wishes outline seems to fit that topic. to explore with the probationer during the initial interview. It is not within the scope of this paper In Summary to furnish a detailed outline for the officer's use. The initial interview, which may in practice In general the following topics are expected to last over several sessions, has two functions which be explored : must be operative simultaneously. These are to The parents and parent substitutes : their relationship obtain the information about the probationer to each other, relationship to the individual, both during necessary to delineate the nature and development his formative years and at present, with particular emphasis on the standards, values, and methods of of his problems, and at the same time to establish discipline, the emotional interactions between them. the type of relationship which will set the pattern 58 FEDERAL PROBATION for future meetings between th e probationer and Current Comments the officer. A nondirective approach seems to It is extremely important before seeing a client offer the best way of filling both of these require- to have read all obtainable material relating to ments at the same time. By focusing on the proba- that client. Review of past arrest and conviction tioner and his problems immediately the officer records is almost mandatory. In a presentence establishes the pattern that these things are im- report the material to be reviewed should include portant to him. By offering the probationer the the police report and the exact nature of the opportunity to discuss his problems in a relatively offense charged. It is helpful to know if the con- unstructured fashion, the attitude is conveyed viction is based on a trial or a plea. (The former that the probationer has an equally important is more apt. to reflect the true offense.) -° After responsibility for working toward a solution as the initial interview leads from stories of hos- does the officer. pitalizations and previous institutionalizations There are several possible ways in which the should be followed. In the case of a parolee it is probationer may respond to a nondirective ap- hoped that all records will have arrived from the proach. If he is able to respond significantly im- penal institution. These records (police reports, mediately there is no problem in managing the pleas, penal records, etc.) can be used to check interview. He may, however, respond to this ap- against the client's statements. This may give an proach with silence. Under these circumstances immediate picture of the truthfulness, evasiveness more concrete questions must be asked, but even or openness of the particular client. these should be phrased in a fashion to permit This does not imply that any discrepancy be- many possible answers. tween the client's statements and the various With either of these responses on the part of reports should lead to immediate confrontation as the probationer no need arises for the officer to to whether or not there is some tampering with focus the interview. When, however, the proba- the truth. It is only natural that an individual tioner responds with a rambling type of soliloquy in this situation is going to try to make the best which contains little of significance, it is then the possible impression on first meeting. Opportuni- responsibility of the officer to provide some focus ties should therefore be presented at various to this flow of words. The way this is done de- points in the interview for the client to make the pends to a large measure on the officer's estimate necessary corrections in the record. This should of the underlying cause. If this seems to be the not be allowed to go on indefinitely, nor should habitual way in which this particular probationer the client be allowed to get into the sort of situa- responds to those in his environment, focusing is tion from which no escape is possible without an carried out in a nondirective fashion. If it seems admission of lying. This entails the kind of loss to be the result of fear in the situation, then the of face which makes the development of a rela- underlying fear is dealt with, and the emphasis is placed on the relationship. If, however, it ap- tionship very difficult. At the same time, not pears to be a definite attempt to obscure and getting the true picture on the table can only outmaneuver, then it must be attacked directly. lead to ongoing deception on both sides of the In addition to focusing the flow of thought it desk. is the responsibility of the officer to structure The answer lies in a face-saving remark such the interview. To do this effectively it is wise for as, "I wonder if you were so upset at the time of the officer to utilize the framework of an outline your arrest that you have forgotten what you which has been thoroughly learned. Care must be said at the time," or, "You know as time passes, taken not to use the outline in a rigid fashion we all begin to change things in our minds to which might tend to constrict the material elic- make ourselves look better. Do you think that ited. Rather it should be used as a guide to a might be happening to you ?" These remarks say, thorough exploration of those areas which are to be covered. How this is done, and the way in "You see, I really know all about it, and I want which the officer can move easily from one area you to know that. But I really don't think that to another as the interview progresses will be you are a confirmed liar." If, however, you feel discussed in the concluding article of this series. that you are dealing with a con artist, then con- frontation should be direct and relatively im- 2 In this era of the "legalization'" of the juvenile court these remarks apply to juvenile defendants as well. mediate. Looking at the Law

BY JUDD D. KUTCHER Assistant General Counsel, Administrative Office of the United States Courts

THE STATUS OF supports viewing concurrent terms of probation as distinct PROBATION OFFICER-PREPARED DOCUMENTS is that certain conditions may apply only to one term It is often important to know whether a report pre- of probation; for example, a condition of restitution. pared by a probation officer is considered a court or an Violation of that technical condition might not support executive agency's document. Generally, the rule to follow revocation of the other terms. is that the report belongs to whomever it was initially Also, the nature or degree of the violation may argue prepared for, regardless of subsequent use or physical for revocation of only one term. That was true in possession. McGaughey. The initial term of probation was apparently For example, a presentence report which a probation revoked in connection with the probationer's alcohol prob- officer prepares for the court is a court document. And, lem; a problem of concern, but not in the nature of a it retains that identity even when it is given to the Parole serious criminal behavior. The subsequent violations which Commission for its consideration. Warth v. Dcpartme~t related to the revocation of the other three terms of of Justice, 595 F.2d 521 (9th Cir. 1979). Since court probation involved possession of a firearm, assault with records are not subject to the Freedom of Information a firearm, as well as further alcohol problems. A court Act (FOIA) or the Privacy Act, see e.g., Cook v. Willing- might reasonably conclude that the first violation requir- ham, a presentence report in the physical custody of the ing both revocation and remedial action; e.g., ordering Parole Commission is not subject to a FOIA request. the defendant to serve time at an institution and partici- Warth, s~pra. pate in an alcohol therapy program. That determination A prisoner's request to review his presentence report would not be mutually inconsistent with continuing his in connection with a parole release termination under probation on the other terms until the probationer demon- section 4208(c)(1)-(3) poses a similar question. Section strated by committing serious offenses that he was entirely 4208 (c) states: unsuited for probation. If any document is deemed by either the Commis- Finally, the fact that McGa~ghey's indictments were sion, . . . or any other age~cy to fall within the consolidated and presided over by one judge should not exclusionary provisions [for confidential records] : . . operate to place him in a different situation than if he had then it shall become the duty of the Commission .... received the concurrent terms of probation by separate or s~ech other agency, as the case may be, to summarize courts. It is unlikely that one judge's decision to revoke the basic contents of the material withheld ..... (Emphasis added.) would necessarily prompt revocation of other probation terms imposed by different courts. Cf. United States ex Thus, when a prisoner seeks a presentence report under tel. Edelson v. Thompson, 175 F.2d 140 (2d Cir. 1949) section 4208(c), the court for whom the report was pre- (overlapping probation terms in two districts revoked at pared is the "agency" which should determine the applica- different times). tion of the confidentiality provisions enumerated in section 4208 (c). PROBATION; LEGAL RESPONSIBILITY Conversely, a postsentence report prepared by a proba- The case law defining the legal responsibility of correc- tion officer for the Parole Commission is that agency's tional officers continues to grow and to establish the document. As a result, both the FOIA and the Privacy existence of that responsibility. It applies most clearly Act would apply to the document and a personal request when the person under supervision represents a physical under section 4208(c) would be properly directed to the risk not readily discoverable by foreseeable victims. In Parole Commission. such circumstances the probation officer has a special duty to warn the foreseeable victims or to take sufficient al- CONCURRENT TERMS OF PROBATION ternative actions to minimize the injury from occurring. Revocation of one term of concurrent terms of probation Tho~psou v. County of Alameda, 24 Crim.L.Rptr. 1089 does not operate to revoke automatically the other terms {Jan. 30, 1979); Johnson v. State, 73 Cal.Rptr. 232, 447 of probation. McGaughey v. United States, 596 F.2d 796 P.2d 352 (Sup.Ct. 1968); Gcorgen v. State, 18 Misc.2d (8th Cir. 1979). 1085, N.Y.S.2d 455 (1956); see Rieser v. District o/ In MeGaughey, the defendant had been given four Coh,mbia, 563 F.2d 462 (D.C. Cir. 1977) (vacated). Cf. concurrent terms of probation. When he was found guilty Gibson v. United Sta~es, 457 F.2d 1391 (3d Cir. 1972). of conduct violating the terms of probation, one of the In Thompsou, California County parole authorities re- four terms was revoked and he then spent time in prison. leased a juvenile who had an established behavioral That revocation did not, however, operate to revoke the record of violence and who told parole authorities that other three probationary periods. As a result, when the he intended to kill a child in his neighborhood. defendant violated the terms of probation after his release Notwithstanding the apparent inappropriateness of re- from prison, the remaining three terms of probation leasing this dangerous person on parole, the parole author- could be revoked and an additional prison term imposed. ities also failed to warn anyone of the risk he posed. No The practice of revoking one tern) of probation while warning was given to the parolee's mother so that she continuing three other terms of probation, as occurred in could properly try to control his conduct. No warning MeGaughey, may be questioned. Nevertheless, the author- was given to the local police authorities so that they ity to revoke one or all the terms of probation should might be alerted to the potential danger that the juvenile lie in the discretion of the court. One situation which represented to his neighborhood, and no warning was

59 60 FEDERAL PROBATION given to any of the neighbors so that they could take in Atcherson posed the issue of whether the absolute steps to protect themselves. immunity enjoyed by judges extended to duties of hiring As a consequence, the juvenile followed through on his and firing. The court held such duties were nonjudicial stated intention and killed a five-year old neighborhood activities and, therefore, the judge's absolute judicial boy. The victim's parents then sued the correctional immunity did not shield him from the civil damage suit authorities, not for the release decision (quasi-judicial arising from the termination. A judge would only have in nature), but for the ministerial omission of failure to a qualified immunity from a civil action. Atcherson, supra, warn. 458 F. Supp. at 537; see Stump v. Sparkman, 435 U.S. Correctional officers are also responsible for foreseeable 349, 359 (1978). financial risks. But liability may be limited to those C. Pretrial Diversion circumstances where the probation officer has taken an While a pretrial diversion program generally suspends affirmative act upon which the injured party relied. See criminal prosecution and places a defendant in a "proba- Myers v. Los A~Tgeles County Probation Departme~zt, 144 tionary status," the individual is not in fact on probation Cal.Rptr. 186 (CaI.Ct.App. 1978). within a court's jurisdiction. A court's probation authority These cases suggest that correctional officers should lies solely in the statutory provisions of section 3651 of evaluate persons under their supervision to determine title 18 which expressly provide for probation only "upon whether an~ problem cases exist. However, in doing so, care must be taken in taking corrective steps. Also, the entering a judgment of conviction." As a consequence, a court can impose no sanctions on focus should not be on every risk that might conceivably a pretrial divertee under the supervision of a probation occur, just risks which have a high degree of probability officer. Also, the separation of powers doctrine precludes of occurring. judicial promulgation of rules covering a pretrial diver- MISCELLANEOUS CASES sion program, and a court has no authority to review the A. Probation Officers; Ethics prosecutorial decisionmaking involved in operating a pre- There is little case law on this subject, but a recent trial diversion program. United States v. Coleman, 24 Pennsylvania Superior Court opinion offers some guidance. Crim.L.Rptr. 1072 (D. N.J., Jan. 5, 1979). The eotart concluded that licensing probation officers as D. Probation Condition; Tax Returns private detectives controvenes public policy in view of A condition of probation that an individual convicted the potential conflict of interest. There is no procedure of tax evasion provide his probation officer with copies used to ascertain whether the record a probation officer of his tax returns for several years is valid against a requests pertains to a probationer who is under his super- Thirteenth Amendment attack. U~zited States v. Kahl, vision. So a probation officer could conceivably examine 583 F.2d 1351 (5th Cir. 1978). the police records of any individual. If a probation officer is also a private detective, the potential for his abusing E. Split Sentet~ces his special record privilege becomes apparent. Common- The purpose of the split sentencing provision of section wealth v. Gregg, 24 Crim.L.Rptr. 2449 (S.Ct. Pa., Jan. 3651 of title 18 is to permit a court to confine a person 19, 1979). for a period not exceeding 6 months in connection with the grant of probation on a one-count, rather than multi- B. Probation O[ficer; Termination count indictment. United States v. Hooper, 564 F.2d 217, Resignation of a probation officer, which is procured 220 (7th Cir. 1977). by duress or fraud, is voidable. And, the officer can sue the judge who fired him for any damages arising from an F. Se~tencing; Permissible Factors improper termination. Atcherson v. Siebe~mawn, 458 F. Evidence or information of other criminal conduct not Supp. 526 (S.D. Iowa 1978). In Atcherson a state judge resulting in conviction may properly be considered by a became displeased with a probation officer employed by court in imposing sentence. Thus, a firearms defendant's him, called her in and gave her the choice "to resign 'or due process rights were not violated by a sentencing let me consider' whether I am going to fire you or not." judge's consideration of the fact that he had previously Atcherson, supra, at 543. Such a choice is not, of course, been acquitted of the possession of LSD. United States v. a choice, so the officer would not be bound by a resignation Morgan,, 25 Crim.L.Rptr. 2089 (9th Cir., March 14, 1979) ; made in response to such an "offer." U~lited States v. Miller, 588 F.2d 1256, 1266 (9th Cir. In asserting her right to proper redress, the officer 1978).

L AW is the embodiment of the moral sentiment of the people.-- BLACKSTONE News of the Future

RESEARCH AND DEVELOPMENT IN CORRECTIONS

By JOHN P. CONRAD American Justice Institute, Sacramento, California

ONTRIBUTIONS to the theory and practice of correctional survival of patented enlightenments in the correctional C rehabilitation are few and far between in these sys- apparatus is at least unlikely. tems-oriented times. As everyone knows, the climate In the light of all the flackery of contemporary treat- changed early in the seventies with a growing consensus ment, the patient work of Samuel Yochelson and Stanton that offenders could be led to the therapist, but they Samenow stands out as an anachronism, a recrudescence couldn't be coerced into changes for the better. Our of a mode of thought and work characteristic of an earlier policy-makers are now advised to try changing systems epoch. Their two volumes on The Criminal Perso~ality instead of changing offenders. We don't know whether were published 2 years ago, 1 and a third is in the writing. system-changing will work any better than people chang- These books have received a warm welcome in some ing. No returns have yet been seen. quarters, and an angry response in others. In this con- If credit is to be apportioned for the deflation of cor- tribution I shall abstain from applause or cat-calls. I rectional treatment, we researchers should get nmst of want to examine this massive study in the context of how it. Try as we would--and some of us were biased, true we identify those characteristics of people that enable us believers,--we have never shown that any treatment to engage in people-changing. program is consistently effective; few have even been I shall give away my conclusion right now. Yochelson occasionally effective. Our disillusion has taken place in and Samenow have produced an enormous amount of a context of disenchantment in the larger world of the unrefined information that leads to conclusions about helping professions. Traditional psychoanalysis, once so criminals and their treatment that are far too sweeping, chic, once the essential prop for the troubled but affluent, though not wholly and demonstrably wrong. The treatment is still alive but certainly not well. Therapeutic anarchy method that emerges is impractical on at least two counts: is rampant. Unhappy members of the comfortable classes, it calls for protracted and intensive contacts with ther- dissatisfied with themselves and with a world from which apists conditioned to perform rightly disciplined tasks, they have received so much, seek a new sense of purpose and it must have the cooperation of offenders at a level in therapeutic experiences that are unsupported by con- of effort and self-abnegation that many of the subjects ventional psychiatry and psychology. Most of these thera- in the study were not willing to give. It will not be easy peutic novelties have the merit of dispatch; none of them to recruit, train, and pay for therapists who are intel- compare with the interminable psychoanalysis of the lectually and emotionally able to manage treatment in fifties. Their prevalence testifies to the meaninglessness a caseload ratio of 2 for every 12 subjects. The future and the sadness of the lives of many of our most materi- of the Yochelson-Samenow method in its strict form must ally fortunate contemporaries. be limited to Dr. Samenow himself, (Dr. Yochelson died These .unconventional, flashy, and atheoretical treat- in 1976), and those disciples whom he can enlist and ments have found their ways into corrections. An en- train. Like most treatments administered by decent and thusiastic purveyor of such wares can easily slide by an caring people, the Yochelson-Samenow method will have administrator who has come to believe that if not much its successes, and the successes will be at least partly good can be expected from therapy, not much harm will attributable to factors extraneous to the method. Like be (lone, either, and prisoners will be kept occupied and all methods of psychotherapy, it is vulnerable to the per- innocently diverted who might otherwise be idle or com- sonal and professional shortcomings of those who ad- mitting mischief. minister it--more so than most. But it is not the inno- Thus it is that the primal scream, est, transcendental vating treatment that has provoked public attention; meditation and other quasi-proprietary schemes of psy- rather it is the profoundly pessimistic message of the chological uplift have crept into corrections. Flourishing underlying theory that Yochelson and Samenow con- along with these exotica are various people-changing structed over the many years of their effort. It is the approaches that look suspiciously like Synanon, that om- theory that requires discussion, not the treatment, which inous archetype of salvation through self-subjugation to a seems to be as impractical as the one-to-one psychoan- new tribalism. Social science research falters before the alysis that used to be the model for all psychotherapy. real and pretended scruples of the promoters of these THE DATA novelties. We are not allowed to collect data or make comparisons with controls. Research design gives way to Yochelson and Samenow began their work at Saint impressions and anecdotes. Conscientious observers of Elizabeth's Hospital in Washington, working with patients corrections must allay their anxieties with the reflection who had been found not guilty of criminal charges by that most of these treatments are administered by people reason of insanity. Both authors were trained in the who must be paid, and the budgets we work within seldom practice of psychoanalysis and began their work with the can be stretched to accommodate any service that is not intention of adapting this discipline to the treatment of a proven necessity. Austere as our circumstances are criminals. They report their disillusioning frustrations, now and are likely to be for the foreseeable future, the their improvisations, and their final arrival at a stand- ardized theory and practice. The propositions on which i Samuel Yochelson, M.D., Ph.D. and Stanton E. Samenow. Ph.D.. The Crimiwal Personality. New York, Jason Aronson. Volume 1, the theory rests were derived from the patients they 1976, Volume II, 1977. worked with over a period of 14 years. Statistics evi-

61 62 FEDERAL PROBATION dently did not interest the authors, and we find only one among noncriminals. Admittedly the comparison of at- table in the entire two volumes, but that table is the titudes and "think patterns" between two disparate groups data base for the study. I reproduce it here: is neither easy nor likely to produce firm conclusions. But the assertions made by the authors rest on data that Distribution of time spent with 240 cases have been compared to nothing except the authors' per- during the period 1961-1975"' sonal perceptions of what a noncriminal is like. 1000 hours or more ...... 17" (2) Smcdl sample.--The 240 persons who compose the 500-1000 hours ...... 7 sample have to represent the hundreds of thousands of 100-500 hours ...... 23 people who commit crimes or who, without actually com- 50-100 hours ...... 28 mitting crimes, engage in criminal thought processes. It 10-50 hours ...... 72 is difficult to say how large a sample would satisfy a less than 10 hours ...... 93 researcher under these circumstances, but throughout my TOTAL ...... 240 reading of these volumes I was uncomfortably aware *"In about a dozen cases, we spent more than 5000 that not only were the authors limited to 240 human hours per pe.rson." This frequency distribution does not beings in arriving at their conclusions but that the bulk lend itself to analysis, but using the interval midpoints of their time was given to that 7 percent who got more as averages I arrived at a total of 84,375 hours, of which than 1,000 hours of their attention. Neither the require- ments of randomness nor of representative selection can at least 60,000 were devoted to 12 patients, and another 7,500 to 5 who had more than 1,000 hours of attention. be satisfied by these distributions. So about 7 percent of the study sample received about (3) No information on outcome.-- The theory and prac- 80 percent of the time. It is difficult to suppress the tice are based on evidence of success demonstrated by "destruction" of criminal thought patterns, and achieve- inference that conclusions tended to be drawn from ob- ment of a noncriminal way of life. But although we are servation of an experience with this exceedingly small assured that there were successes, we do not know how subsample. The text discusses the sample in more detail. We are many there were, how long it took them to succeed, and told that 162 were "hard-core" adult criminals. "Another what the evidence of success was. We do not know how 59 from 13 to 21 years old can be considered hard-core, many dropped out of treatment, although it is asserted in that criminal patterns of thinking (were) present and that all those who did, "without exception" reverted to their criminal way of life. violations have been numerous over a number of years; these 59 subjects were interviewed and evaluated and (4) The special nature of the population.--Most of the worked with briefly in community clinics." Thirteen others sample were Saint Elizabeth's patients. On the face of were interviewed briefly--they were participants as re- it, these were patients who, in someone's opinion, had search subjects and were not in the program for the some kind of severe psychological problems. It is doubt- purpose of change. "Finally, we . . . interviewed six ful that many were psychotic, judging from the numerous children under thirteen, whose parents asked us for an quotations from case notes that are presented, but it evaluation because they were worried about their off- can hardly be said that this group represented the crim- springs' behavior, which pointed the way to more serious inal population of Washington, D.C., let alone the crim- future difficulties. '''~ inals-in the making, active and retired, throughout the There is no way of telling how the hours were spent. whole country. If any conclusions are possible from a The program called for group sessions lasting 3'~ hours, study of this kind, they would have to be limited to 5 days a week, and it must be supposed that a substantial persons who, after some kind of screening, found them- fraction of the total amount of time spent was group selves to be under observation or patients in a hospital time rather than in individual interviews. Much can be for the mentally disturbed criminals. Considering the dif- discovered about a person by his behavior in a group ference between St. Elizabeth's and most state facilities that will not be revealed in a one-to-one contact, but for such persons, one would be cautious in accepting even a casual researcher would like to have a more generalizations of even this limited nature. definitive distribution of the time spent in differing clin- THE THEORY ical situations. The authors simplify their task by rejecting all theo- We are given no distribution--other than as indicated ries that attempt to explain criminal behavior. Such in the foregoing of the sample by age, race, instant offense, theories merely afford criminals an excuse for their criminal history, education, occupation or any of the other conduct and make possible various counter-productive customary variables. We do know that only three of the manipulations. In the authors' view, criminal behavior is 240 were women, but we do not know how much time related to criminal thinking patterns, which include the was spent with them. The authors add that they inter- processes of projection, deception, manipulation, and a viewed many wives and girl-friends, "many of whom number of other patterns that hardly seem to come under showed the same criminal patterns of thinking and action."3 the heading of thought--e.g., energy, fear, anger, and As we shall see, the authors arrive at sweeping con- pride, although these states certainly influence thought. clusions on the basis of their 14 years of contact with The theory holds that a person is a criminal if he thinks these people. Several points are to be made about con- in the way that the authors describe as criminal whether clusions based on this kind of data: he commits a crime or not. His only hope is to engage (1) No eontrol.--The significance of this deficiency can in a treatment process that will destroy his criminal hardly be overestimated. The authors want to distinguish personality and substitute for it a "lawful" alternative. a pattern that differentiates criminals from all others. The origin of the criminal thinking pattern is mysterious This pattern is to consist of personality traits and ways indeed. It cannot have its source in the parental home, of life that are peculiar to criminals and not to be found in the peer relationships of childhood adolescence, in the cultural influences of the community, or even in the genes. .z Ibid: Volume I, p. 118. "~ lbid: p. 118. Yochelson and Samenow specifically dismiss a~y account- NEWS OF THE FUTURE 63

ing for the criminal thought process as irrelevent: the THE IMPLICATIONS process exists and must be treated, and it is unimportant As I have suggested above, there does not seem to be where it came from. Nevertheless, considerable space is much future in store for the Yochelson-Samenow method. given to the implausibility of any of the usual theories ac- Undoubtedly in diluted forms it will be applied, but the counting for criminal behavior. The fixed idea in the difficulties of adhering even partly to its principles are theory is that the criminal thought patterns are irrespon- daunting and not within the capabilities of many cli- sible attitudes toward life and that it is up to the crim- nicians. It is not every young psychologist who will want inal himself to take responsibility for himself without to spend years of his life learning the intricacies of the trying to lay the blame for his predicament on circum- criminal thought process and then learning how to heap stances outside of himself. The difficulty any criminal scorn on those who think that way. faces in nmking this change is stressed again and again, What is troublesome about the Yochelson-Samenow but the authors insist that the change is feasible, and no method is the strong support it gives for the proposition criminal should be excused from making the necessary that criminals are different and worse than the rest of us. effort, There are indeed some important differences between crim- THE PRACTICE inals and noncriminals but we are a lot better off if we The theory is simple, the practice is also simple, but attribute these differences to the conditioning we all get exhausting. It is not easy to deduce what actually goes on from the lives we lead than to ascribe them to thought between Dr. Samenow and his patients. The basic prin- patterns acquired early in life and to be extirpated at the ciple is that the therapist must recognize and rigidly cost of months of humiliating therapy. Evidently some reject all criminal thought processes that manifest them- offenders will subject themselves to this regime and profit selves in a group or individual discourse. To do this, of from it, but it is not likely to enlist much participation course, requires that the therapist must be on to the lies, without considerable coercion. projections, and manipulations of the criminal whenever It is one of the more repellent human traits to justify they come on display. The 14 years of effort that the ill-treatment of others by pointing to the moral inferi- authors put into this study presumably qualified them ority of those we abuse. Thus it was that slave-owners to recognize criminal thoughts when they see them, and could rationalize slavery by claims that blacks were some- judging from the quotations they offer from their case how inferior to them. Similarly the nobility everywhere notes, their rejection is forthright and contemptuous. The has found in the inferiority of the peasants, or the un- fact that they are so perceptive they consider an obvious touchables, or other lesser breeds a reason for denying advantage; criminals are just as impressed by the mind- them the amenities of life. In this country ordinary reader as anyone else. citizens prefer to regard criminals as morally inferior Daily group sessions are part of the prescription, but and therefore eligible for degrading treatment that we could not countenance if we thought they were in any the authors believe that it is far preferable to conduct way like ourselves. these sessions in the community where the natural prob- This book, for all its acute observations, for all the lems of living are to be encountered rather than in the immense amount of work behind it, and for all the pro- artificial circumstances of the prison. Throughout these fessional dedication that must be conceded to the authors, sessions, a focus is kept in the hopelessness of the criminal gives powerful support to the notion that criminals are way of life as compared with the advantages of the lawful indelibly tainted and that the costs of changing them alternatives. We do not get a sense of how the advantages are prohibitive. Welcome news for hard-liners, but not to some forms of lawful life are presented, as for example, in accord with well established facts about the criminal the youthful, unskilled and unemployable urban black. population. We must continue to rely on good will com- The authors concede that usually the criminal must be bined with a wide variety of treatment possibilities. The harm that these authors may have unintentionally done "fed up" with his criminal ways before he is willing to is to persuade influential readers of the futility of any expose himself to the grueling therapy they have to offer. treatment but the hard line.

UNDREDS Of millions of dollars l)er year--billions in the past decade--have H been spent by the Federal Government for criminal justice research, defined broadly as including all development, demonstration, and evaluation of innova- tions, as well as surveys and analyses of offenses and current practices. Despite slim returns on some investments, these expenditures have produced many worth- while additions to our knowledge on the dimensions and causes of crime and delinquency .... However, much work remains, to separate the grain from the chaff in out" harvest, and to learn what modes of cultivation may be still more fruitful.--DANIEL GLASER Letter to the Editor

To THE EDITOR: and would be interested in knowing if back issues are I am one who thoroughly enjoys your publication and available from time to time. find many articles extremely relevant to our situation Another article which we found extremely interesting here in Nova Scotia Correctional Services. The announce- and helpful in our service was the one entitled "Contract ment in your December 1978 issue that you were running Setting in Probation" and would be interested in receiving a series of articles on "Practical Probation" delighted more information on that model of case classification. me greatly. We have attempted to design an on the job We have initiated a project here in Nova Scotia Cor- training program for Probation Officers in Nova Scotia rectional Services and I would be interested in knowing based on selected readings and supervised performance if other jurisdictions are involved in the same type of of tasks. The first year program was divided into 3 project. This is a project in which we are attempting to phases and during the first phase which lasted 4 months develop training programs for Probation Officers with a manual of readings was assigned to the Probation the use of videotape. We have already produced 2 video- Officers, many of which were taken fron] FEDERAL PRORA- tapes, each of one hour duration. The first one is entitled TION. The task of the new officer was to read the articles "Effective Interviewing for Correctional Counsellors" and and critique them. Periodically the manual was reviewed utilizes 3 Probation Officers performing the role plays and articles were changed in response to the criticisms demonstrating each of the teaching points and this writer of the staff in terms of their relevance. I look forward explaining them with the use of a flip chart. The second to the upcoming articles that you list in your December videotape is entitled "Effective Problem-Solving for Cor- issue and am delighted to see that Dr. Henry L. Hartman's rectional Officers" and utilizes Dr. Thomas Gordon's 3 articles are being reprinted. methods of problem solving that he outlines in his Parent Some other articles which are of interest to me are the E~ectiveness Training and Leader Effectiveness Training. articles in a series entitled "Sex Offenders on Probation" The reason we have gone into videotape programs is written by Alex. K. Gigeroff, J.W. Mohr, and R.E. Turner. because we are hoping to provide training which is mobile. I have some poor copies of one on the exhibitionist and The next tape we are trying to produce is one relating I am aware that there is another one on homosexuality to Probation Officer--Secretary Team Concept. The target as well. I would appreciate receiving reprints of the date for this one is December 1979. The article in your articles in these series and obtaining information on FEDERAL PRORATION entitled "Receptionist: A Key Role reprints of other articles which have been published in in the Probation Office" will be one of the references we your Journal. will utilize in developing this program. I am in the role of Coordinator of Staff Training and Development for Nova Scotia Correctional Services which July 25, 1979 HERBERT W. CHAPMAN involves designing and implementing training programs Coordinator for Adult Probation Officers and staff of adult institutions Staff Training and in the Province of Nova Scotia. From time to time I put Development together manuals for various persons such as Superinten- Correctional Services dents of Jails, etc., and I find the FEDERAL PROBATION P.O. Box 3245 South an excellent resource for this purpose. There are times Halifax, Nova Scotia when I find certain issues of the Journal not available B3J 3H5

S A PRORATION OFFICER, I have found that the social work concept of setting A the contract gives clarity and direction to my work. This concept has proved very useful in social work and other forms of counseling for many years. Setting the contract simply means reaching agreement with the client as to what goals he will work toward achieving. I believe that other probation officers working with offenders could use this concept to avoid feeling overwhelmed and dis- couraged by seemingly unmanageable caseloads.--EDIWH ANKERSMIT

64 Reviews of Professional Periodicals

ception of balance between convicted offense and sentence THE JOURNAL OF CRIMINAL LAW imposed. The fact that the researcher virtually ignored the problem of plea bargaining seriously undermines his AND CRIMINOLOGY investigation. Reviewed by EUGENE H. CZAJKOSKI Data used in the study was collected from a sample of adult cases drawn from the U.S. Board of Parole in the years 1970-72 before the Board became a Commission "Parole Board Decisionmaking: A Study of Disparity and before the implementation of the Commission's parole Reduction and the Impact of Institutional Behavior," by guideline system. Among the variables measured were Michael R. Gottfredson (Spring 1979). Regular reviewers seriousness of offense, prior record, maximum length of of social science research often get the impression that sentence, time actually served, and prison rule infractions. many studies are undertaken to merely exploit easily Unfortunately, other measures of prison behavior such accessible data--a situation wherein theoretical or policy as successful pai~ticipation in treatment were not available. issues are contrived to fit data at hand. The ingenuity As might be expected from a study having so many and strained assumptions involved in developing issues limitations, the results are only '.'suggestive." It appears for data (instead of the other way around) may result that for the sample studied, the Federal parole board in overdressed research with threadbare findings. "substantially reduced the time actually served in prison The study reported in this article is a possible example from the maximum judicially set sentence length but of assumptions fetched from afar in order to support overall the relative reduction in variability in sentences working the data along the lines of a reasonably worth- for similarly situated offenders was not large." In other while issue. In this case, the researcher aims at evaluating words, there is not much reduction in sentencing disparity the degree to which parole board decisionmaking reduces as defined by the researcher. The study also suggests disparity in judicial sentencing and the degree to which that the parole board does "modify sentencing" decisions parole board decisions are influenced by behavior while on the basis of institutional behavior but that these modi- imprisoned. fications account for a relatively small proportion of the The researcher makes the argument that reduction of sentence modification variation." sentencing disparity is a latent function of parole, a In any case to the extent that sentencing disparity function substantially considered in the current debates reduction through parole decisions is an important issue over the viability of parole boards. While one might be beyond the contrivance of this particular study, the only somewhat held back by the fact that, historically and conclusion to be drawn is that more research is needed. philosophically, reduction in sentencing disparity is not "Judicial Decisions and Sanction Patterns in Criminal to be found in parole's armamentarium of justifications Justice," by Susette Talarico (Spring 1979). The author (and therefore not much at issue), one could concede the of this article has produced a thoughtful and interesting researcher's argument for the sake of arriving at the piece of research and, as usual with research of its kind, next point having to do with parole decisions affected by it raises more questions than it answers (an outcome prison behavior. This latter point is at least historically not to be disparaged). Inasmuch as the data utilized in in keeping with the mission of parole. It is also, un- the study was collected from a single State (Connecticut), doubtedly, related to sentencing disparity for if there and inasmuch as there has been a significant, albeit is evidence that parole boards are concentrating on prison erratic, trend throughout the country to establish rather behavior for making parole decisions then there would firm sentencing and parole guidelines, the ability to be little room for decisions oriented to reducing sentencing generalize from this study is quite limited. Still, it effec- disparity. Moreover, in recent decades, protection of the tively points to assumptions and policies which require community and rehabilitation potential have been often- re-examination. times stated as primary criteria for the parole decisions The study approaches a fundamental question in our and, more significant perhaps, they have been the key- • criminal justice system having to do with the congruence stones of the rhetoric that for so long supported the of official goals and operational goals. Put another way, parole device. Of course, frequently in a covert way, the question becomes to what extent do operative decision prison adjustment was used as the measure of both re- criteria relate to recognized goal priorities. Using dis- habilitation potential and community protection so that eriminant analysis techniques, the author determined prison behavior emerges as the most critical element to which of some 14 variables seemed to have the greatest be measured in the parole decisionmaking process. effect on sentencing decisions and which of some 21 vari- The problem of trying to determine how the factor of ables seemed to have the greatest effect on parole de- reducing sentencing disparity prevails against the factor cisions. Variables were grouped as to their association of prison behavior in parole decisions is complicated with such general goals as rehabilitation, retribution, enough in itself but it is made awesome by the extreme incapacitation and deterrence. The variables were meas- difficulty of operationally defining sentencing disparity. ured against what the author calls the "two key post The researcher here settled for defining it in terms of conviction decisions in the criminal justice system"- offense and prior record thereby casting off a host of other defining features such as work history, offender sentencing and parole. One could argue that there are attitude, psychiatric condition, plea, drug or alcohol in- three, not two key postconviction decisions by simply volvement, education, confinement status, medical history, referring to clemency decisions, notably pardon, and, in age, sex, race, etc. In addition, the phenomenon of plea the case of death sentences, especially commutation and bargaining draws a mottled veil over the relationship reprieve. One could also quibble with the author's asser- between crime and sentence thereby confusing any per- tion that the sentencing decision involves "a threefold

65 66 FEDERAL PROBATION option: (1) suspension of entire sentence through proba- "excess capacity" the Chicago court "was clearly not due tion; (2) partial suspension of sentence, some incarcera- process oriented" during the period encompassed by the tion and probation; and (3) incarceration." That cate- study. Expeditious handling of cases (at the expense of gorization ignores the long established discreet disposition due process notions) produces benefits which can be shared of a fine and also ignores the vogue in restitution type by judges, prosecutors and defense attorneys and "they sentences. Moreover, probation is not the only vehicle have been able to maintain a resilient coalition which is for suspending a sentence. a viable force within the dispositional process." It appears Among the interesting study findings were: (1) de- that manipulation of caseload magnitudes is not likely fendant's plea and probation officer recommendations to have the desired effect of increasing the due process weigh more heavily in the sentencing decision than legal thrust in the court. The conclusion drawn in the article criteria, i.e., criminal record, severity of offense, etc.; is that an organizational perspective, inasmuch as it (2) bail status has a significant negative discriminating attends to the power and interest structures of the court, impact; and (3) parole decisions seem mainly influenced provides a more effective approach in dealing with the by employment factors and little influenced by offense way the court disposes of its cases. severity and criminal history. (This latter finding relates to the question raised in the above reviewed article by Gottfredson in that it speaks to a parole board's capacity for reducing sentencing disparity based on offense.) PROBATION JOURNAL The several important questions raised by the research (England) relate to: the implications of the finding that "bargain norms carry considerable weight in sentence classifica- Reviewed by HAROLD W. KELTON tion"; the fact that economic status bears heavily on sentencing outcome; the suggestion of organizational "Development of a Court Intake and Assessment Team," maintenance as an important factor in decisionmaking; by Fred Jarvis, Laurence Coates, and Pat ltutchinson and the research complications arising from the fact (June 1978). If a probation office is organized into two that plea bargained convictions do not reflect actual offense specialist teams--one providing court services and one behavior (which strongly suggests that it might be better providing SUl)ervision.treatment services--would probation to deal with offense for which arrested rather than the staff, thereby, be enabled to realize their full potential offense foi" which convicted). in these two areas? The Leicestershire Probation and The author concludes that the decision processes of Aftercare Service determined to find out by experimenting the parole board and the court cannot be said to be with such a system. The staff was reorganized into five directed to particular goal priorities. Neither can it be field supervision teams and one court intake and assess- said that the parole decision process duplicates the sen- ment team (CIAT). Four months were allotted to establish tencing function (again refer to Gottfredson above). It the reorganization. Assignment to the CIAT was ~found is contended by the author "that decision criteria will to be resisted by the Bristol probation officer who views be haphazardly applied unless and until the question of the "treatment" function of probation services as the goal priority is adequately resolved." more fulfilling part of the job. This problem was alleviated "The Caseload Controversy and the Study of Criminal by providing CIAT staff the option of returning to a Courts," by Peter F. Nardulli (Spring 1979). Caseload treatment team after a specified period of service and pressure is pervasively used in the criminal justice system requiring new probation officers to serve with CIAT as. to account for a variety of shortcomings. In corrections, "an important part of (their) professional development." especially in probation and parole, it is given as the Members of the CIAT were also assigned to each treatment explanation for ineffectiveness in regard to recidivism. team for liaison and participated in regularly scheduled In police work, it is offered as an excuse for low clearance staffings. Other problems were that CIAT members had rates. In the courts, where the focus of this article is to become accustomed, to grinding out a never-ending placed, caseload pressure has been used to account for backlog of reports and dealing with minor friction that unduly high dismissal rates, excessive plea bargaining inevitably developed between CIAT and treatment team and weakening of the adversary mode. staff. The article concludes that such a system can be The model followed by traditional research on the effects helpful to offices with a "... large central conurbation." of caseload pressure has been one where caseload pressure There is a research project report on the Leicestershire works against various due process notions in affecting Program that can be obtained from the Leicestershire dispositional strategies which produce criminal court out- Probation and Aftercare Service (2.40 British Pounds). puts. In the research reported here, the model preferred "The Probation Order, Its Decline," by R.H. Robinson is an organizational one which substitutes "interest of (June 1978). Robinson was prompted to prepare this the court organization's governing coalition" for caseload work because he wondered about the steadily decreasing pressure and substitutes prevailing notions or community use of probation orders, the decline of which has been expectations for formal rules of criminal procedure. both absolute and proportionate since 1967. Part of this, Applying a "micro-perspective," the author studied the he thinks, may be a result of the "Community Service effects of variations in monthly caseload levels among Alternative." His main attention, however, is drawn to the judges of the Criminal Division of the Criminal Court the relationship between sentences and probation officers' in Chicago. Involved was a sample of 816 adult felony recommendations as to sentencing and the result for us is cases disposed of during 1972-73. It was found that case- a fine, little presentation of some very intriguing ideas. Of- load pressure had a meager impact on the dispositional fenders before the court, he says, are nminly of the career decisions of the court. Moreover, it' appeared that the type, and so we will be seeing them again and again. trial courts of Chicago had "excess capacity" or a good We have fallen into a pattern of granting probation to deal of idle time. There was indication that a "clubhouse" "first offenders" and prison to repeaters. Robinson's bold atmosphere in the court was more influential in the dis- idea is that first offenders should not be admitted to positional process than caseload pressure. Despite an probation on general grounds that they do not really REVIEWS OF PROFESSIONAL PERIODICALS 67

need it and tend to monopolize limited agency resources. ment specialists must learn "... businesslike approach Something on the order of a simple, suspended sentence to employment..." by frequently meeting with employers, without supervision would do fine. On the other hand, knowing all employment agencies and bureaus in the probation should be seriously considered for the experi- area, keeping indexes and files, and attending all meet- enced offender even though he has previously served a ings and functions of these peoples and organizations. few prison sentences, the general theory here being that Establishment of a workshop will be successful when it full probation services at this point are likely to be more meets commercial needs as well as really meeting needs effective and have more reason to offer success. This of employees. This means it must turn out a good, honest format for granting probation would, Robinson feels, see product while providing to employees a level of income its use increase. Finally, he observes that the development and vocational fulfillment that is worth their while. Work- of some form of sente~cing guidelines would enable pro- shops are often founded with the goal of providing "job bation officers, working in teams, to. fully utilize the training," and we agree with Rudenko that the real extensive data contained in Sentencing Inquiry Reports emphasis should be in simply providing "work." Finally, (presentence reports) and eliminate "idiosyncratic pat- he observes that there are many organizations willing, terns" in sentencing recommendations. not only to advise, but also to assist such projects. "The Court Experience: Prisoners' Views," by Frank "The Persistent Sexual Offender--Control and Rehabil- Holden (June 1978). Do offenders passing through the itation (A Follow-Up)," by Roger Shaw (June 1978). court system on their way to prison feel they are being As a followup to his original article appearing in the put through a "sausage machine"? Holden rather sus- Journal in March 1978 Shaw now provides more details pected that they did, and so he asked 60 of them a series of a program combining use of "libido suppressant" drugs of 12 questions and, in terms of attitudinal consistency, and a counseling group. The drug, Cyproterone Acetate, the results are notable. Prisoners tend to feel that while must, of course, be administered under medical super- Social Inquiry Reports (presentences) are accurate, they vision, and so participation by a doctor is a program do not get adequate opportunity to read them, they are prerequisite. For" Shaw, this service was provided by a cursorily prepared, and the significance of the conter~t volunteer physician interested in the penal system. Ad- and recommendation is not clearly known to them. Fur- vanced preparation included discussion with the nmgis- thermore, prisoners may feel that their legal representa- trates, the drug manufactures, and physicians. The sub- tion w~as inadequate and that the legal process, generally, jects of the program were prisoners who began use of is rather mysterious. Robinson's data is presented, and the drug just prior to their release on parole. Shaw readers can make their own interpretation of it, but a reiterated that his plan was to "... reduced--but not point is made that, of all the court figures, the probation totally remove--sexual drive by. a libido suppressant and officer" is the one person best suited and best situated to to back this up with probation resources notably a group hell) offender's gain comprehension of the process in which of volunteers who met in weekly support sessions with they find themselves enmeshed. the probation officer." This plan of treatment did seem "Young Offenders in USA (Report of a Visit)," by to be helpful to the compulsive sex offender and to courts Brendan Fulton (June 1978). To a visitor from North looking for- workable alternatives to imprisonment. Shaw h'eland, juvenile probation work in the USA seems to further observed that volunteers serving on the counseling be charactei'ized by probation officers who see themselves group operated at a more intense pitch with probation as counselor/case managers with an abundance of special officer's and other authority figures absent and women program private agencies with Whom they nmy contract in attendance with whom offenders had stable relation- for services. Why do private agencies "blossom forth" ships. in the USA? Probably because of big government money, This plan while very interesting and generating a private enterprise spirit, and the enforcement of little considerable response was terminated simply because accountability or maintenance of standards. They are, Shaw was transferred to another district. He, therefore, conse(mently, involved in a "revolving door" activity makes the point that the probation service needs adequate classifying needs and, in "compartmentalized fashion," resources to experiment with such innovative ideas but pushing those with deficiencies in social functioning notes that implementation and continuance of them usually towards "... a programme to rectify with the presump- depemls on the imagination and initiative of one dedicated tion that develol)ment within this area will result in a person. move away from criminal or antisocial behavior'." While this may cut the probation officer" off from the community, it may tend to "bridge the gap" for" offenders. Another interesting observation: Plea bargaining in the USA is CORRECTIONS MAGAZINE "widesl)read" with the judge acting as "honest broker," the district attorney wielding impressive power, and the defendant nmre likely to find satisfaction with the process. Reviewed by OMAn G. Rms "Emph, ying the Unemployable," by Martin L.J. Rudenko (June 1978). It is a tiresome knowledge that the voca- "P'rofile/Mississippi: Has Come a Long Way, But It tionally disadvantaged--prisoners, alcoholics, and the Ilas a Long Way to Come," by Stephen Gettinger (June psychopathic--have little chance of breaking out from a 1979). In this article, Mr. Gettinger describes the Missis- life of menial work, welfare, and institutional existence. sippi State Penitentiary system at Parchman, whose Rudenko's survey of men in various Southhampton Hostels 22,000 acres of isolation provides the security for the once again confirms this situation. Probation officers, for various "camps." Parehman did not pretend to rehabili- their part, couhl probably be more effective in dealing tate anyone and existed for" punishment and for profit. with this if they did more to understand the proble~ and In 1972, the prison system was declared unconstitu- develop necessary skills as "employment specialists." tionally cruel and Mississippi was ordered to come up There are two general courses of action; the employment with a plan to remedy the situation. The system has placement agency and the "workshop." Employment place- changed drastically in the past 5 years. Mississippi's 68 FEDERAL PROBATION

history of imprisonment and some of the events which "The Death Penalty Is Back--And So Is the Debate," led to the 1972 ruling of the leadership and practices by Stephen Gettinger (June 1979). The author presents are reviewed. excerpts from his forthcoming book, Sente~eed To Die, It was not until 1975 that stricter court orders pushed and questions whether the death penalty can ever be the state toward faster reform. Several prison camps applied in a fair and just manner. This article discusses were ordered closed over a 2-year period and that forced (1) The "new" Death Penalty, (2) Does Capital Punish- the State into a crash building program. The interested ment Reduce Murder?, (3) The Moral Debate, and (4) reader can learn of the changes made to alleviate the Race is Still a Factor. overcrowded living conditions, to cover disciplinary mat- In 1972, in Furman v. Georgia, the U.S. Supreme Court ters, to keep inmates busy, to hire and to train personnel. declared unconstitutional the procedures by which death Other changes are also reported. sentences were given. Various state legislatures enacted Changes being discussed for the future are population laws that made death mandatory upon conviction for a • reduction by using diversion pr0grams: by making more specific crime or they attempted to provide standards to use of community programs, by encouraging local com- guide juries in making their decisions. In 1976, the Court munities to reduce the number of people they send to approved sentencing standard guidelines but not manda- Parchman and by initiating laws that bypass the parole tory sentencing schemes. board. Statistics indicate that murder is a once-in-a lifetime Critics say that programs, such as work-release, are crime. Studies are cited that lead to inconclusive evidence not used liberally. Others criticize the state's building about the death penalty acting as a deterrent. The death program by saying that far too many people are sent to penalty deters some murders and it also inspires others prison and that alternatives to imprisonment should be to commit murder. "And the evidence is convincing that examined. any effect capital punishment might have on the murder rate is so subtle that it cannot be measured by today's "The Quality of Mercy," by Kevin Krajick (June 1979). The President and governors in the United States retain most sophisticated researchers." It is presented that fear of the electric chair comes when one is living next door the power of executive clemency. Those in power are to it. "The moral dilemma lies at the heart of the capital often influenced by electoral politics, newspaper publicity punishment issue: Does the death penalty enhance the and by personal quirks. "While it has great potential for abuse, executive clemency is used extremely spar- value of life, or demean it?" The racial aspects of the administration of the death ingly." The differences between commutation of a sentence, penalty have become a relatively new issue in this debate. between a pardon, and between a reprieve are discussed. These three categories are what executive clemency covers Studies cited revealed that the racial factors were the only significant ones to account for the death penalty and most people understand poorly these concepts. in offenses such as rape. In murder cases, while racial Sometimes, who receives clemency has to do with "luck," discrimination is still" evident, nevertheless, it is still public acclaim, heroic acts by an inmate, ritual significance of clemency, and with emotional issues such as the death dramatic. This is a very good reference article that presents penalty. Executive clemency was the forerunner of parole. Now that parole has become the major release process, opposite views on these four topics. clemency has been retained as a safety valve to deal with those extraordinary cases. The conservatism toward grant- ing executive clemency is mentioned. Also discussed is New York State's tough, inflexible CANADIAN JOURNAL OF CRIMINOLOGY drug law and how commutations are usually handed down to correct prior sentencing disparity. Reviewed by VERNON Fox Mississippi has a system of temporary leaves called "executive suspension." The governor may free inmates for 90 days at a time and may renew the suspension "The Juvenile Services Project: An Experiment in De- every 90 days until the term expires. Seasonal commuta- linquency Control," by J.A. Byles and A. Maurice (April tions, which usually occur around Christmas time are 1979). With the Young Offender Act soon intended to reviewed as is the mass commutation that occurred in replace the Juvenile Delinquents Act of Canada, it is time Georgia in October 1976..Other examples of how public to evaluate the effectiveness of delinquency prevention pressure can impede clemency are cited. programs that have previously been disappointing. The Clemency process and procedures are described. One Juvenile Services Project was designed to make service can read this article for further familiarization with readily available to all believed in need of help and pro- this long and complicated process and one can learn of vide close collaboration between police and mental health the reasons for the conservative attitude toward Presi- systems. The target group were children in Hamilton, dential clemency. Ontario, with two or more contacts with the police while Two short companion articles by John Blackmore com- under 14 years of age in order to permit a 2-year followup. ment on the clemency process in the states of Pennsylvania Intervention was directed at the family as a system, and Tennessee. Pennsylvania has, since 1874, had a consti- rather than the individual offender. Of the 305 target tutionally prescribed process by which an independent juveniles who met these criteria, 154 were randomly board reviews clemency petitions before one reaches the assigned to the experimental group and 151 to the control governor's desk. group. Intervention was based on crisis-oriented strategy Tennessee's clemency system is examined and current in that when an occurrence report was received on a reform efforts are presented. The article by John Black- juvenile in the experimental group, the plainclothes Youth more is titled "Tennessee's Clemency--Selling Scheme: Bureau officer called the home to set up an appointment Could Blanton Not Have Known?" and specifically deals with the entire family, then arranged for a therapist with the granting of pardons and sentence commutations to accompany him to the meeting. Nine different thera- under questionable circumstances. pists identified with the Out-Patient Clinic of the general REVIEWS OF PROFESSIONAL PERIODICALS 69

hospital's Department of Psychiatry, including nurses and cial considerations, rather than toward a major con- social workers, participated in the program. The results tribution to knowledge. Consultants cannot ask for small showed "no effect," possibly partially because the experi- grants, since consulting firms cannot do so much work mental group had more police contacts to begin with with as little money as some major research contributions than did the control group. The results of the Juvenile have had. Lastly, the timing of funding by some agencies Services Project are consistent with every carefully eval- frequently involves extensive delays before decisions are uated delinquency control program that has been con- made and then these decisions tend to be made with the ducted. Present evidence suggests that delinquency is not condition that the research be done quickly. Effective primarily a mental health problem, so the only use of criminological research is enhanced more by sustaining these services to reduce the anti-social behavior of children a dynamic process, such as in a university setting, than will likely result in continued frustration and disappoint- by creating politically motivated guidelines for elusive ment. Consequently, every plausible alternative should be and often futile goals.. attempted, rather than ignoring an important problem. "Canadian Victimization Surveys: A Discussion Paper," by John L. Evans and Gerald J. Leger (April 1979). The Research Division of the federal Solicitor General's SOCIAL WORK PERIODICALS Department has undertaken a program of research de- signed to produce previously unavailable data in a cost Reviewed by HARVEY TREGER efficient manner. The first major victimization surveys were conducted in the United States in 1967 as a result of their initiation by the President's Commission on Law "The Personality of the Worker: An Unexplored Di- Enforcement and Administration of Justice. Subsequent • mension in Treatment," by Sonya L. Rhodes. (Social Case- major surveys have been done by the U.S. Bureau of work, May 1979.) This article is about an aspect of the the Census with LEAA support. Victimization surveys treatment process, the worker's personality, which has have been conducted in several other countries. With the been thought to be significant but is rarely written about. exception of a mailed victimization questionnaire in The author states, "The therapeutic relationship is as British Columbia and a study of burglary victims in much characterized by the worker's personal attributes Toronto, no major victimization surveys have been made as it is by technical expertise. It is this combination of in Canada previous to the currently planned survey. The personality and professional competence that characterizes four major objectives are to determine (1) the extent the worker's therapeutic style. An acknowledgement of the and distribution of selected crimes, (2) impact of selected dimension of the worker's personality in teaching and crimes, (3) risk of criminal victimization, and (4) in- supervision has implications for workers' preferences of dicators of criminal justice system functioning. Based setting and fields of practice, fosters benevolent 'matches' on an analysis of previous data, a logical sequence of between workers and clients, and explains the relative studies would be (1) another reverse record check with comfort and success workers have with various modalities a revised questionnaire based on data from the Edmonton of intervention and treatment." The worker must sort study completed in May 1977 in which victims were identi- out what is real and what is not in the relationship. fied by police, rather than randomly selected, (2) a ran- Underlying this approach is that the workers must know dom digit dialing study (RDD) that has produced reliable enough about themselves to recognize the realistic com- results in previous studies, (3) a French language test ponent in clients' reactions. Acknowledgment of worker's of the revised questionnaire, and (4) a major survey in input as part of the impetus to clients' behavior tends Canada. Potential users of the victimization survey data to de-emphasize pathology and normalizes the process by are asked for comments on the development of the Cana- which one takes responsibility for one's reactions and dian Victimization Surveys. behavior. Healthier clients are able to do this while "La conscience du droit Chez les ~dudiants anglo et clients at the borderline and psychotic end of the clinical franco ontariens," by F.X. Ribordy and A.N. Barnett spectrum do not. On the other hand borderline and psy- (April 1979). The image of the law was surveyed among chotic patients whose reality testing is impaired are more 293 primary school students, 370 secondary school stu- sensitized to countertransference reactions. dents, and 103 students in the university, 66.3 percent The author believes it is a good diagnostic index as of whom were English and 38.1 percent of whom were well as good therapeutic technique to be willing to discuss of French background. The study was done in Sudbury, clients' feelings and thoughts about workers' personalities Ontario, which is located near French-speaking Quebec. as perceived by clients, and not solely in terms of trans- The findings were that students identified with the ference implications. Countertransference is discussed in English culture tend to view the law as a normative terms of the therapist learning about his own reactions element with greater belief in the value of the rule, while as well as the behavior of the client that is bringing about students identified with the French culture tend to view these feelings. The need for supervisors to help bring the law as coercive and part of a hierarchal tradition countertransference into awareness and discuss personal in society. As the students progress from primary school qualities, natural abilities and styles of relating should to the university, the distance between the two groups be a basic part of supervision so that it can advance is diminished. the work with the client and further increase professional- "Comment: The Commercialization of Criminological ization. Research in Canada," by Jim Hackler (April 1979). This article suggests to the reviewer an extension of The increasing amounts of money being invested in crim- the concept to an examination of the interrelationship inological research in Canada may yield low dividends between the program developer's personality and the because it rewards commercialization, rather than genuine development of a program. scholarship. Research reports prepared by consulting "Compulsory Persuasion: A Problem For Correctional firms, are read by only a few people. Contract research Social Work," by Peter Raynor. (The British Journal of encourages researcher~ to adjust their strategies to finan- Social Work, Winter, 1978, Vol. 8, No. 4.) The author is a 70 FEDERAL PROBATION

former probation officer now a lecturer in the Department using prescription psychotherapeutic drugs as they grow of Social Policy and Social Work at the University College older; that alcohol, which has pharmacological effects of Swansea where he has a particular interest in proba- similar to those of sedatives, hypnotics, and minor tran- tion training. quilizers, is an alternative means of coping with emotional In a summary paragraph the author states: "Social distress; that there is a moderate, positive relationship Work risks being misused as a technique for controlling between the level of life crisis and the taking of medically undesirable behavior, regardless of clients' expectations prescribed psychotherapeutic substances; that the Ameri- or choices. This approach to social work involves certain can public continues to have strong reservations regarding underlying assumptions about human nature which raise the use of psychotherapeutic drugs, even though they do considerable ethical and practical difficulties." In the use them. article he considers recent trends in the probation and One doing research into drug use must establish a aftercare service together with some research studies of frame of reference that systematically assesses the salient the effectiveness of social work in reducing offending features of life of different cultural and social groups behavior. Raynor's main point is that "social work services in specific areas. Such a comprehensive perspective de- for offenders are more likely to be effective when the mands a detailed focus on three levels: (1) to locate the emphasis is on helping with perceived problems and diffi- demographic and sgcial life conditions of the people re- culties rather than on crime prevention." It is believed, searched; (2) to learn the cultural and social values, Raynor states, that we can help people more effectively health beliefs and behavior that are important to these if we remain aware of distinctions between coercion, persons; and (3) to determine how the first two factors, constraint and influence. The notion of client-worker con- or life style features, relate to the use of substances. The tract and the client's participation in its development authors describe a comprehensive research agenda. are significant points. In all, this is a thoughtful article. "Evidence for Controlled Drinking in Diagnosed Al- which will stimulate the quality and level of discussion coholics: A Critical Analysis of the Goodwin Et A1. that is needed and possibly some further questions for Adoption Study," by David A. Ward (Fall 1978). The research into the social work role with offenders. The most controversial issue in the treatment of alcoholism author makes good use of his background in philosophy surrounds the debate over the possibi!ity of controlled in highlighting and analyzing the issues. His discussion social drinking for recovered alcoholics. Behavioral psy- is well documented. The article can be utilized for in- chologists contend that alcoholism is learned behavior and service staff training in probation offices and for institu- that alcoholics can be trained to regain control over their tional staff as well as for social work students interested drinking. On the other hand, proponents of the disease in social work in the Justice System or the protective conception of alcoholism contend that it is possible for services--child and adult. alcoholics to drink normally because they may have in- herited a susceptibility to alcoholism. The author believes that the Goodwin study cited provides evidence supporting both. the disease conception and the controlled drinking THE JOURNAL OF DRUG ISSUES thesis. I. There have been enough reported cases in the Goodwin Reviewed by GEORGE I. DIFFENBAUCHER study and others to conclude, at least tentatively, that some alcoholics can return to some fashion of nonalcoholic drinking. It may be impractical to impose the goal of "A Research Model for a Comprehensive, Health total abstinence on alcoholics who will not seek treatment Service Oriented Understanding of Drug Use," by Richard because of it. The practical basis for the position that Dembo and Louis E. LaGrand (Pall 1978). Two related the ultimate treatment goal for alcoholics should be ab- trends are reflected in the growing theoretical and method- stinence stems from the fact that present knowledge ological sophistication of research on drug use. First, about controlled drinking does not indicate which alco- there is increasing recognition that drug use must be holics can achieve it. considered in the context of the attitudes, beliefs, and There has been a good deal of energy spent over the social and cultural experiences of the people takin~ them. issue of the possibility of controlled social drinking for Second, addressing attention to the use of one substance recovered alcoholics. It seems practical to put aside the or another has given way to the perspective that a com- debate over whether it is possible. The only meaning- prehensive understanding of drug use requires that the ful debate should be over whether it is therapeutically use of legal (prescription, or the counter drugs, alcohol practical. and tobacco) and illicit drugs be studied. In addition to "Drug Education: Furlher Resulis and Recommenda- the chemical structure of a drug, the pyschological set, tions," by Richard H. Blum, Emily F. Garfield, Judy L. or predisposition of the user, and the social setting in Johnslone, and John G. Magistad (Fall 1978). This is which drug taking occurs are essential features in learn- a report of an experiment in drug education which took ing about the drug experience. Drug use is invested with place over 2 years among entering sixth graders in five numerous values, meanings and status features which suburban California schools. A previous study found that often differ markedly among various social cultural the greatest impact of drug education was in the sixth groups. grade. For example, research done by the Institute for Re- Descriptively, the study found that the trend toward search in Social Behavior of Berkeley, California, and ever earlier nonmedical self-administered drug use among the Social Research Group of the George Washington children is continuing. Two kinds of educational impact University in 1970-71 reveals some interesting probabili- were found, one of which is "destabilizing" (increases ties about Americans above the age of 18, among them: new drug use) and the other of which is "restraining" that the proportion of women using prescription psy- (retards uptake of more extreme unsanctioned substances chotherapeutic drugs is much greater than for men; that such as amphetamines, barbiturates, hallucinogens, cocaine there tends to be an increase in the percent of people and opiates). YOUR BOOKSHELF ON REVIEW 71

Variables significantly contributing to use trends over Resistant, Non-Motivated Drug-Dependent Person," by time or drug use level at the beginning of the sixth Arnold B. Coven and Evan Blackhawk (Fall 1978). The grade and inhaliant use history, only five percent of the concept of polarities in Gestalt's theory sheds light on the variants is accounted by educational experience and school, resistance and nonmotivation of drug-dependent clients. indicating how minor a role education does play in ex- Gestalt principles and methods enable counselors to work plaining drug use trends. The largest number of students with nonmotivation in a more behavioral manner. Persons can be expected not to change their level of use if they working with "nonmotivated" clients, such as in a proba- receive little or no drug education at all. Nonetheless, tion setting, need to understand the Gestalt concept that drug education does have some impact on sixth and resistance is an unavoidable process in every effective seventh graders' nonmedical psychoactive drug use. treatment and that this phenomenon is not specific to The practical citizen, interested in children's restraint drug rehabilitation. in self-administered psychoactive drug use, will include There are many polarizations or paradoxes in substance school-based education in that effort. That citizen will abuse. The paradox of methadone is that the helpfulness not, however, have great expectations for its impact and of the drug treatment contradicts the message of the will necessarily engage other arenas and institutions in negative effects of drugs. Another relates to drugs induc- the effort to prevent that conduct which is either morally ing good feelings and yet causes sickness and dependency. unacceptable, a demonstrable health risk, or an identifiable The author describes "the inadequate impasse," a "state- agent in reducing the adequacy of personal and social ment of opposite life goals," and "role playing opposites" behavior. as three areas for resisting and treating polarities relat- "Gestalt Polarities: Understanding and Counseling the ing to counselee resistance.

Your Bookshelf on Review

EDITED BY BENJAMIN FRANK, PH.D.

A Critical View of Juvenile Justice able lack of significant corz~elation between the vari- ables. In 1974, the 30 reporting states showed large Counter-Deterrence: A Report on Juvenile Sen- institutions confining youth slightly longer than small fencing and E.t)'ects of Prisonization. By Gerald institutions, but the difference was not significant. The

Inc., 1978. Pp. 182. $13.95. of stay in institutions using staff-initiated release sys- tems, as opposed to institutions with parole board- In this brief, compact book, Gerald R. Wheeler brings initiated release. In comparison of classification methods, descriptive statistical analysis to the task of characterizing the Interpersonal Maturity Level (I-Level), the Quay, and evaluating juvenile justice. From an examination or a combination of the two confined youth somewhat of the origins of the welfare state (quoting Kettrie, longer than did a standard APA Test, however, the Morris, Hawkins, and others) Wheeler proceeds to iden- result was not statistically significant. All categories of tify and systematically test the major theories of juvenile institutions released inmates near the ninth month of sentencing, classification, and parole policy. In doing so confinement, belying the theory of differential treatment. he develops a statistically based argument for abandoning Likewise, length of parole, when compared across insti- indeterminate sentencing and offers a 10-point recom- tutions showed institutional assignment to be the inter- mendation for resolving the accompanying ills of coercive vening variable, causing all offender-related variables treatment. "The Child Welfare Effect," he asserts, results to disappear. The author concludes that such a finding in a perversion of justice (counted-deterrence) within suggests an extension of the therapeutic state into the present-day juvenile systems where the younger status community. In other words, juvenile parole poses another offender is likely to serve more time than his older example of counter-deterrence: Youth with the least counterpart committted for a crime of violence. serious offense at commitment were found serving equal The author's analysis begins by examining institu- or longer supervision terms in the community than tional length of stay as a measure of institutional effec- (F.B.I.) Index offenders. tiveness. He takes his data initially from two sources, Chapter 9, "A New Policy of Juvenile Justice," carries H.E.W. statistics on public institutions for Delinquent the author's recommendations for reform. Although all Children, and the Pappenfort Analysis (University of are of interest, some appear to be better substantiated by Chicago), on length of stay. He then systematically his data than others. Wheeler recommends abolition of controls for release method, classification, institution indeterminate sentencing, and with it, abolition of com- size, interaction effects, and committing offense in re- pulsory juvenile parole or aftercare services. He endorses porting institutions in 1966 and the period 1970-1974. use of "creative" punishment sanctions, whereby offenders On prisonization, the author uses data cons.isting of a are allowed to serve their sentence by contributing time 3-month cohort (686 cases) of youth committed to a mid- to projects in nonprofit agencies. Mandatory computer Western 'State's Youth Commission in 1972. Some of monitoring and evaluation by State Legislature, Juvenile the same correlations are performed, but for this an- Courts, and Federal Granting Agencies, is proposed, alysis other variables such as offender characteristics: primarily to make use of computers' speed in recovering sex, age, race,--and committing offense are added. information and their potential for measuring cost- Taken together, the author's findings show a remark- effectiveness of proposed services. 72 FEDERAL PROBATION

Wheeler's arguments are strongest when he stays close Although Mr. Skoler deliberately chose to address only to his data. As the author presents his "Case for Non- the "criminal justice apparatus" and not crime or crim- coercive Humanitarianism," readers are given an intui- inal justice, this may have been a mistake. Did the re- tively appealing philosophy, but one lacking a substantive formers sitting on the various commissions expect their experience or evidence to recommend it. Still Counter- proposals to affect the quality or efficiency of the system? Deterrence belongs on your bookshelf. W.heeler's scru- Does Mr. Skoler believe that greater centralization would pulous empiricism, exhibited best in his early chapters, affect the quality of justice? The amount of crime? While discards sentimentality in a way that is likely to be the these issues are implicit, they don't rise to the surface norm for criminal justice critics in years to come. Fur- sufficiently often or clearly enough to convince the reader, thermore, his findings about length of stay and parole particularly one who is not familiar with the criminal policy have implications for all justice systems, juvenile justice system, that questions about 'structure and organ- and adult, State and Federal. ization are pressing public po!icy issues. This book should be useful for planners and policy- Washington, D. C. JUD WATKINS makers as they move toward or away from unifying the criminal justice system. Organizing the Non-System pro- Reforming the Criminal Justice System vides a comprehensive and insightful view of the progress Organizing the Non-System. By ,Daniel L. toward consolidation of criminal justice agencies and Skoler. Lexington, Massachusetts: Lexington carefully describes the criminal justice organization (or Books, D.C. Heath and Company, 1978. Pp. 309. disorganization) in many of the states. Although readers In Ouganizing the Non-System, Daniel L. Skoler an- may not agree with Mr. Skoler's conclusion about the alyzes the difficulties in unifying the criminal justice desirability of centralization, they can be grateful for system. Mr. Skoler makes a valuable contribution to the the careful way the issues are exposed and the frame- debate about the desirability of a unified criminal iustice work Mr. Skoler provides for thinking about a more system by laying out the practical and theoretical prob- centralized organization of the criminal justice non- lems that a centralized system might generate. Mr. Skoler system. provides a useful summary of criminal justice reform New York City LucY N. FRIEDMAN efforts (from the Wickersham Commission in 1931 to the present) and reviews the responses that have been Reaffirming Criminology's Liberal Tradition made to the recommendations of the various commissions. Organizing the Non-System begins with a description Crime in Our Changing Society. By Daniel of the components of the criminal justice system; the Glaser. New York: Holt, Rinehart and Winston, roles of governmental bodies; and budget issues. Mr. 1978. Pp. 533. Hardcover and paparback. Skoler then deals separately with police, courts and the The diversified scope of criminology is no where more judiciary, prosecution, defense and corrections. For each component, he outlines its structure, reviews reform pro- evident than in contemporary analysis of "the" crime problem and its solution. For some time, the dominant posals and analyses centralization efforts. The last two criminological philosophy was a liberal tradition of seeking chapters address integrating the criminal justice system "causes" of criminality and then advocating policies per- and the future of unification. Mr. Skoler illustrates al- taining to crime reduction that attacked those causes. most every point he makes with a specific example (such as the experience of jurisdictions which have consolidated This liberal approach, however, has recently been under severe and sustained criticism from both writers of the police departments or the elimination of local prosecutors left (Quinney, Platt) and the right (Wilson, van den in Alaska, Delaware, and Rhode Island). Haag). Under the weight of such assaults, it is perhaps This book is an excellent resource for criminal justice unsurprising that some criminologists have felt compelled planners who may confuse the various commissions and their proposals and who do not have the geographical to defend etiological work in criminology (see Donald R. Cressey, in August 1978), something that or chronological overview of the criminal justice system Criminology, that this book usefully imparts. Mr. Skoler successfully would have been unthinkable and unnecessary even 5 synthesizes the reform efforts and by discussing each years ago. agency separately, makes it possible to follow the evo- Yet, the liberal tradition is far from moribund, as lution of thinking about criminal justice unification. Daniel Glaser's book reflects. Glaser, a sophisticated Mr. Skoler makes no pretense of being a detached criminologist who has made a number of important con- analyst; he is an advocate of greater centralization. Al- tributions over the years to our understanding of impri- though he takes cognizance of constitutional barriers sonment, criminal justice, and adult criminality, has to unification,--i.e., the need to keep the judiciary and written a cogent (and unwitting) defense of liberal crim- the executive separate,--he argues that some obstacles inological thinking, Glaser's book is an analysis of crime to unification can be overcome. Using Kentucky and Min- in terms of etiology. He reviews major theories of crime nesota as examples, Mr. Skoler provides empirical evi- and does not limit his review only to sociological contri- dence that some centralization can occur without violating butions; thus, the reader learns also of the latest bio- separation of powers. He does not, however, advocate logical and psychological thinking on crime. There are complete centralization. excellent substantive chapters on the major forms of Despite its thoroughness, Organizing the Non-System crime, as well as chapters on substance abuse (and its does not address the increasing diversity of criminal relation to crime) and sex offenses. Throughout, Glaser justice-related agencies; such as 'pretrial diversion, vic- fruitfully employs the distinction between predatory tim services, mediation, and noninstitutional rehabilita- and nonpredatery criminality that he introduced in an tion programs. The growth in the type and number of earlier work. Material dealing with criminal justice agen- quasi-criminal justice organizations will make central= cies (e.g., police, courts, prisons) is neglected purpose- izing more difficult and perhaps as a goal more unreal- fully, except as that material is relevant to the issues istic. Indeed, fragmentation of the system may be in- at hand. creasing rather than declining. There are two noteworthy chapters, one dealing with YOUR BOOKSHELF ON REVIEW 73

the risk of apprehension (chapter 5), and another con- exceptionally low: only 20 percent of the peer judges cerning the problem of explaining the crime peak in returned useable questionnaires. However, the authors adolescence (chapter 8). The element of risk of appre- suggest that this response rate does not impugn the hension and subsequent punishment for crime has been validity of the survey. First, it is argued that rating a major concern in criminology since the revival of in- tasks are not influenced by sample bias. While it may terest in deterrence, and Glaser's handling of this topic be a common empirical result that ranking procedures are is very informative. He points out that it is not sufficient robust with respect to sample bias, this conclusion may merely to examine police clearance rates to explore the not be true in general. (Indeed, one would be very sus- nature of this gamble by the offender since most crim- picious of the results of an election in which 80 percent inals commit more than one crime. Placing his discussion of potential voters failed to poll. Then, in an effort in the context of probability theory, Glaser shows that to turn vice into virtue, the authors present data to successive offenses are associated with higher and higher show that the respondents were more qualified to assess chances of apprehension since the probability of escaping Criminology than were the nonrespondents. In view of detection for two or more crimes is the product of the this, they argue, the low response rate could be seen as an probability of each offense, not the risk of each offense asset rather than a liability. This is pure sophistry] alone. Explaining the age of peak criminality in ado- The important issue in evaluating the survey is whether lescence is no less an important topic. Glaser studies the sampling was done adequately. It is doubtful whether this issue from the perspective of the social position of a survey which achieved a 20 percent response rate could adolescents, the apparent widening of the age-generation be described as well conducted even if there were for- structure in our society, the lengthening time persons tuitous features which may have ameliorated the effects are subjected to adolescence, and a number of other of sample bias. To be fair, however, the authors made casual factors that are intertwined and as yet poorly considerable efforts to obtain a representative sample understood. The chapter is valuable if only because this of peer judges and the defects in the peer survey are problem of explaining the relation between crime and more a reflection on the criminologists who were asked age still ranks as one of the more crucial and enduring to participate than on the research workers' technical criminological puzzles, and one that has thus far with- competence. stood various attempts at explanation. In the concluding section, the 3,690 works in the bib- This book would be very useful in courses on criminology liography are grouped into three quality classes--high (although not criminal justice, the subject of a subsequent quality, average quality and low quality--on the basis volume by Glaser). It is clearly written, the issues are of .the citation index, the peel" survey, and a global rating precisely identified, and the discussion Orderly and concise. made followin~ content analysis of the source documents. And, as Glaser shows, the liberal tradition from which This classification was achieved by a clustering procedure the book came is far from anachronistic. Clearly, we which partitioned the 3,690 works into the three sets by have more to learn from examining causes of crime and minimizing the within groups variance of the three quality the possible policies that flow from those causes. measures. I was rather disappointed at the limited use of Washington State University ROBERT F. MEIER measurement models in this stage of the research. During the last decade there have been rapid developments in Twenty-five Years of American Criminology measurement and scaling models for social data and it would have been of interest to compare the classifications Evaluating Criminology. By Marvin E. Wolf- obtained from different methods. In addition, the authors gang, Robert M. Figlio, and Terence P. Thorn- pay little attention to the problems of the reliability and berry. New York: Elsevier North-Holland, Inc., validity of the classification. 1978. Pp. 340. $27.50. The results of the cluster analysis form the basis of a chapter which lists, by content and orientation, the In Evaluating Criminology, Wolfgang and his associates best works in American Criminology. The chapter consists set out to measure the scientific adequacy Of American of over 40 pages of reproduced computer print-out and Criminology during the period 1945 to 1972. The results is not very interesting to read (unless, of course, your of this investigation are presented in three stages. The name appears in one or more of the lists). I will refrain first stage examines the citation index as a measure of from telling you who is in the Criminological Top 100 scientific excellence, the second presents the results of a but if you have attended or taught a course in Criminology peer survey, and in the final stage the authors devise a in the last 10 years many of the best works would have composite measure of excellence and examine the factors been on your reading list. associated with high and low quality works. Using the results of the classification, the authors then The section dealing with the citation index is the best attempt .to identify the factors which discriminate be- presented and perhaps the most interesting. By a diligent tween high and low quality work. In this analysis a search of the literature the research team compiled a series of measures derived from a content analysis of bibliography of 3,690 source documents relating to Amer- the source documents are used as predictor variables in ican Criminology during the period under study. From a number of discriminant function analyses. Because of these documents they abstracted over 20,000 citations the hather amorphous nature of the predictor variables, to works within the bibliography. The analysis of the the results are not very informative. We learn, for ex- citation data makes fascinating reading. Most stl:iking ample, that high ouality methodological works are char- are the facts that 50 percent of all citations were made acterised by such features as: having interm'etations con- to 2 percent of the works in the bibliography and that gruent with the data; not making purely assumntive nearly 60 percent of published studies disappeared in- stantly and were never cited again! interpretations and having hypotheses stated in symbolic form. Other features such as large sample, field obser- The peer survey is the least satisfactory part of the vation and the use of specific techniques such as regres- research. In this survey a panel of peer judges were asked sion and factor analysis also increase the quality of to nominate the 20 books and articles in Criminology they methodological studies. High quality theoretical works thought the best. The response rate in this survey was have such features as: interpretations which follow from 74 FEDERAL PROBATION

term counseling orientations). The result is that reality assumptions and definitions; testable propositions stated therapy which has been popular in many correctional and proposition which are logically (as opposed to em- settings for well over a decade receives just a couple of pirically) derived. While the analysis is conducted care- paragraphs of attention, and the discussion of the eclectic fully, the findings could have been anticipated easily approach covers a mere one and one-half pages. Further, from a reading of an elementary text on scientific methods group counseling is limited to one ll-page chapter. Within in social research and it is clear that the authors have this chapter, the discussion concerning the types of group failed to capture the elusive ~lualities which distinguish counseling deals only with didactic, psychodrama, and between good and bad science. encounter groups; all of which are covered in about one The book concludes with a chapter which discusses the page. My personal opinion is that counseling orientations growth of American Criminology during 1945 to 1972 and group counseling should constitute the core of a book and argues persuasively that this growth conforms to of this nature and more space should have been given to the logistic function which is characteristic of the growth them. As it is, many of these topics are rushed through of many sciences. While much of the material is inte- so hurriedly that the reader may be more confused than resting, the chapter could have well been omitted since it seems to have little bearinff on the rest of the research. helped by their inclusion. On a more positive note, the chapter headings are My overall impression is that this is a conscientious arranged in a logical sequence which the reader will find and generally well conducted attempt to examine the relatively easy to follow. The first six chapters are devoted knotty problem of measuring scientific excellence. Be- to topics which relate to the caseworker's professional role cause the study has many features which are associated and development; specifically, "The History of Correc- with high quality methodological work (for example, tional Casework and Counseling," "Correctional Casework interpretations which are congruent with the data, large Standards and Principles," "Casework Role and Function," sample size, factor analysis and regression), I am forced "The Goals of Correctional Counseling and Casework," to conclude that this is above average methodological study. "Competencies and Training Required of Correctional Christchurch, New Zealand D.M. FERGUSSON Counselors," and "The Competencies of Effective Coun- selors." Although some of these chapters are rather Generic Casework for the Correctional Client skimpy, they all contain much information which the reader should find useful. The next chapter is devoted to Correctional Casework and Counseling. By "The Correctional Client," and chapters 8 through 18 Hayes A. Hatcher. Englewood Cliffs, New Jersey: relate to specific casework models and services. Several Prentice-Hall, Inc., 1978. Pp. 332. $13.95. of these chapters deal with material which is rarely The last decade has witnessed an explosion of publi- found in a book of this nature, e.g., "Employment Coun- cations on the criminal justice system with nearly every seling," "The Career-Planning Service," and "The Ap- facet of the system being the subject of scores of texts. praisal Service." These chapters should be of special While the quality of these publications varies dramatically, interest to both preservice students and practitioners. And, the quantity is such that most areas of the criminal then the last chapter attempts to provide an overall per- justice system have at least a few good books from which spective by discussing issues and trends in correctional the reader may choose. Several areas have, however, been counseling and casework. largely neglected by this bombardment of publications; My most critical observation of the book relates to most notably, correctional counseling and casework. One the first chapter, "The History of Correctional Casework is hard-pressed to name more than one or two texts and Counseling," which is apparently intended to estab- which are devoted exclusively to these areas. Readers lish a suitable background for readers who are not have, therefore, had to read books from other settings students of corrections. The coverage is fairly adequate and then try to generalize .to the correctional setting. except for the fact that the author reverses the Pennsyl- For the most part, this has not proved to be a very vania and Auburn Systems. As every first-year crim- satisfactory solution. Consequently, readers interested inology student knows, the Auburn System represented in correctional counseling and casework should have their a decided improvement over the Pennsylvania System in intellectual appetites whetted by the appearance of Hayes that it was less expensive and was considerably less Hatcher's Correctio?ml Casework and Counseling. damaging to the inmate's psychological well-being. While Hatcher begins his efforts by assigning himself the a chapter of this nature is not critical for an apprecia- monumental task of "introducing the student and prac- tion of correctional casework and counseling, such a titioner to correctional casework models, services, phi- glaring inaccuracy is still disturbing, Confusing some- losophy, history, and principles against a backdrop of thing as elementary as the Pennsylvania and Auburn development and contemporary practices." (P. xiv). The Systems must raise grave doubts in the minds of serious only possible way the author could hope to cover so much students concerning the validity of other parts of the text. material in 332 pages was to resort to brief and often The scholarly luster of the book is further dulled by shallow,discussions. Nowhere is this sketchy coverage the lack of references in certain important chapters, in more evident tl~an .in the "Introduction" where the author spite of the fact that many excellent articles are readily is content to define correctional casework as "the work available in the professional literature. For example, of all professional and paraprofessional employees of the chapter entitled "Employment Counseling" has but various formal and informal agencies who deliver serv- one footnote, and it relates to a tangential matter other ices to the corrections client" (P. 1) and to note that than identifying any important book or article on employ- counseling is the "major vehicle by which correctional ment counseling. Since the author devotes only eight pages casework achieves its end." (P. 3). While both of these to this important subject, references become especially im- statements are valid in the broadest sense, they certainly portant. The chapter on "The Referral Service" is also do not represent tight definitions. eight pages long and ha½ only two references. Another A number of significant casualties result from this shortcoming is the author's tendency to make serial shotgun approach. Most importantly, only one chapter references from the same source. In this respect, the is devoted to casework models (which I would prefer to chapter on "Correctional Casework Standards and Prin- YOUR BOOKSHELF ON REVIEW 75

ciples" has 10 references but the first six come from the most common disposition for drug law violators is out- same source. None of this is intended to demean the right dismissal of the charges, with the author moving quality of the references, but rather is meant to emphasize on to other matters. I would have liked to have seen that the reader may be hampered in pursuing an area him explore some explanations and implications. Does of interest beyond the book. this lack of prosecution by the Criminal Justice System My overall impression is that this book would have been actually encourage crime? Is this why Police Depart- considerably stronger if the author had narrowed the ments do not vigorously enforce certain drug laws? Are scope of the book and provided more indepth analyses. so many dismissals conditioned by overcrowded court In trying to cover too much material in too short a space, calendars ? the author resorts to superficial discussions which lack In another area, the author does an excellent job of the theoretical sophistication and practical flavor neces- documenting that whenever drug legislation is enacted sary to satisfy the interests and needs of either prac- which provides harsh or mandatory prison terms, the titioners or preservice students. Still, it is difficult to be Criminal Justice System universally reacts by system- too critical of Correctional Casework and Counseling atically developing techniques to avoid application and because of the dearth of relevant books with which it enforcement of the laws. The author then explains that can fairly be compared. While the book falls somewhat the very operation of the Criminal Justice System, from short of what this reader would have desired, hopefully policeman to presecutor to judge to parole board, requires its publication will point up the need for more and better flexibility and discretion. In this context, the author books in these largely ignored areas. states, and this is one of the most crucial statements in Indiana State University JEFF SCHRINK the book, Chat all available evidence ¢ndicates that the criminal law is a qualified failure at deterring drug usage, Socio-Legal Dimensions of Drug Abuse at least with respect to the United States. This stimulates perhaps the most crucial question which Drug Abuse: The Law and Treatment Altern- the book raises: Does the criminal law fail to deter drug atives. By James C. Weissman. Denver, Colorado: use simply because criminal sanctions, punishment, is not Anderson Publishing Company, 1978. Pp. 306. an effective deterrent, or, is it because the Criminal $14.50. Justice System refuses to operationalize the law? If the latter, then we are left with the paradoxical position The author tells us at the beginning that he is writing that the Criminal Justice System, which has the job of a textbook which will provide the criminal justice stu- deterring illegal drug use, actually reinforces it. Again, dent with a comprehensive, balanced perspective regard- the author does not pursue these issues. ing socio-legal dimensions of drug abuse. The reader Perhaps this is not a criticism of the author, per se, but will learn very little about addicts or addiction per se, of the medium of discourse he selected to communicate the but will learn a great deal about the establishment's re- fruits of his extensive labor. As it is, he has made a sponse to them. The major focus is a description of drug significant contribution to the field and his book should abuse legislation and the efforts (or lack of) of various be part of the background of criminal justice personnel. official and quasi-official agencies to operationalize such He could have made an even more significant contribution, legislation. This task is pursued primarily in his sec- however, had he given us the benefit of his judgment tions on Legal Aspects, Law Enforcement, Rehabilitation as.well as his wide-ranging knowledge. and Corrections, and Prevention. The book has the strengths and weaknesses char- Los Angeles, Calif. DONALD HARTLEY acteristic of most textbooks. Like the paintings of Andrea Del Sarto, the technique is excellent but the work lacks Social and Institutional Evolution: that spark of creativity, of life. The Case of the Police The book ranges over a wide variety of relevant sub- jects, provides enough information to serve as an intro- Police in a Time of Change. By John J. Brod- duction to such subjects, and is written in a very objective, erick. Morristown, New Jersey : General Learning remarkably bias free fashion. It is filled with statistical, Press, 1977. Pp. 240. $5.95. historical, informational data that will certainly educate Recent dramatic change in the American social pano- even the most experienced drug abuse worker. The re- rama includes an array of social mores, specific behavior, viewer, who spends a significant part of his time training and public expectations of our institutions. This has, in drug abuse personnel, has already found himself relying turn, resulted in some commensurate change in public on the book to look up the dates of this or that piece of attitudes concerning the law and law enforcers. Such drug legislation, to review DEA strategy, to get the changes are also reflected in the area of law enforcement. major Supreme Court cases which define the affirmative Police in a Time of Change reflects upon many of these defense of entrapment, and to get ideas on how to or- changes. The book is a thought-provoking culmination of ganize a talk on drug prevention. Educators who use a research project which offers a number of insights and the book will also appreciate the author's inclusion of basic understanding of some of these changes within the discussion questions following each chapter. police occupation and attitudes among contemporary law Being a textbook, however, it lacks passion, imagination, enforcement officials. Broderick skillfully interposes par- indepth analysis. The reader will get a great deal of ticipate~observation research field notes, survey data, information regarding how the Criminal Justice System attitude scales data, theory, and literature review along functions and dysfunctions in its interaction with the drug with some useful commentary offered by inservice law- problem but will get little insight into the why's. The enforcement students. author's delivery of information is so value-]ree that the An intriging aspect of this book is the first four reader may not quite know what to mal~e of it. Some chapters covering the basic personality types of police evaluation, interpretation, even speculation would have officers (N=109) of various ranks. Included are: (1) the added tremendously to the work. enforcers, (2) the idealists, (3) the realists, and (4) the As an example, we are given the information that the optimists. Here Broderick approaches the four ideal per- 76 FEDERAL PROBATION sonality types and then goes beyond the ideal with real- Burglary in Metropolitan Toronto istic examples of these "law" and "order" types articu- Burglary: The Victim and the Public. By Irvin lating the overall pattern of values, attitudes, and beliefs of officers adjusting to and coping with their occupation. Waller & Norman Okihiro. Toronto, Ontario, Can- The thrust of the book is change--change in the police, ada; University of Toronto Press, 1978. Pp. xii, the social milieu and in management. Broderick also 190. $12.50. suggests that occupational socialization and experience are critical factors that give rise to negative attitudes, This recent volume in the Canadian Studies in Crim- antagonism and cynicism for some police officers. Job inology series, reflecting the typological approach to satisfaction on the other hand, is, according to Broderick, crime, focuses on residential burglary in Metropolitan a function of the ability or the inability of individual Toronto during the middle seventies. The authors/re- officers to engage in occupational environment manipu- searchers, affiliated with the Centre of Criminology at lation. the University of Toronto, employed area/cluster sampling Recognizing that personalities do not operate apart to elicit epidemiological and etiological information on this from groups the second portion of the book describes relatively unexamined offense. the social milieu in which the four personality types Waller and Okihiro interviewed randomly selected operate. Extensive use of field notes comprise the major victims and nonvictims concerning experiences with bur- portion of the middle sections of the book. Indeed, Brod- glary and the criminal justice system. The researchers erick makes extensive use of field notes through the discovered infrequent and minor criminal justice contact, first seven chapters. The last two chapters reflect upon a moderately high level of fear of being a burglary recent changes in law enforcement and focus upon addi- victim, a realistic assessment of police efficiency, and an tional changes which remain to be made. enlightened attitude toward offender rehabilitation. Police in a Time of Change is a fairly well-written Burglary, a crime of opportunity engaged in by un- book which should prove useful to the law enforcement sophisticated males, is characterized by a relatively low novice and others interested in the police. The first several value of stolen property, a remarkable ease of entrance chapters on personality types create some interest and (unlocked doors), and an absence of confrontation. The Broderick makes adequate use of the field notes and com- decision to notify authorities is affected by property value mentary throughout the book. The author also attempts and damage to residence (though multicollinearity ap- some summary sociological commentary for most sections. pears to "explain" the unimportance of insurance); However, as a contribution to new knowledge this is a whereas, the desire for retribution is related only to fairly minimal offering. Much of what Broderick intro- damage of residential dwelling. duces has already been well documented in the empirical The most valuable portion of the research project con- sociological and police literature. In this vein, Broderick's cerns testing the validity of various theories of crime Police in a Time of Chc~nge would not be considered a and burglary causation: crimes as opportunity (defensible breakthrough. In addition, one has some difficulty ascer- space and social cohesion), crime and opportunity (a taining how the author developed the four theoretical potential offender population), and crime of opportunity typologies presented in the 2 X 2 matrix (Table I) (affluence and availability). based on such niggardly percentage distributions as are Multiple regression analysis of burglarized dwellings offered in Table 2. These data are, according to Broderick, disclosed the unimportance of nonwhite and immigrant "... a summary of some of . . . [the] questionnaire populations, the overwhelming importance of proximity responses." One has no idea how the author manages his to public housing, and the significance of household income, questionnaire data along with the qualitative open-ended time dwelling occupied, and surveillability. The authors responses, interviews, and "extensive participant-obser- conclude that the presence of a large potential offender vation field notes" to come up with four distinctive per- population is the most important contributing element to sonality types. residential, burglary. The suggestion that the questionnaire results and the This reviewer has no methodological quarrel with the participant-observation data were discussed with inservice "disproportionate stratified" sampling measures, an effec- officers attending college for the purpose of developing rive means of isolating the victim population for intensive the "working personalities" appears to be the only justifi- investigation. External validity, however, is problematic; cation to be found. As ideal types to "provide a simple residential burglary in "Toronto the good" (a low crime/ burglary rate, a highly educated population, the absence frame of reference . . ." for relating all the data "... of a deteriorating inner city) may not be comparable to to the major goals of law enforcement . . ." which, in residential burglary in other locales. the words of the author, is to provide for "... the pro- The most incisive part of this pithy volume reports tection of constitutional rights and the enforcement of on the testing of Oscar Newman's "defensible space" statutes" is not only grandoise in its scheme, but such concept. The construction of measurement scales (social a method, even in a qualitative sense, is most vulnerable to cohesion, surveillability) is applauded. However, the re- the question of validity. The reader is not offered the searchers overemphasize the community/social cohesion luxury of an explicit explanatory rationale for how this aspect of "defensible space" and disregard the significance methodological technique bridged the gap. Given this dif- of occupancy and surveillability--variables equally sup- portive of Newman's model. Moreover, Newman concen- ficulty one is left to accept that this is theway it is. trates on public housing (comparing crime rates among This would appear to be a major liability to Broderick's housing projects); whereas, the Waller and Okihiro effort. research is oriented toward private dwelling units (many Nevertheless, Police in a Time of Change should serve of which employ doorkeepers). And Newman is concerned as a useful teaching aid. The final pages include a series with all types of offenses; whereas, the present study of discussion questions which touch upon the chapter is limited to burglary (in which crime location is irrel- highlights. In addition, the book is easily read. evant by definition). It appears, therefore, that "defen- The University of Alabama DENNIS L. PECK sible space" adequately accounts for general crime in YOUR BOOKSHELF ON REVIEW 77 public housing but needs some modification as an ex- ing to our fundamental social values. Crucial here, says planation for private residential burglary. McAnany, is the problem of determining the morally Portland, Oregon RONALD E. JACKSON proper relationship between restitution and retribution, for each contains elements of the other. Finally, Charles Title offers an ingenious theoretical analysis of the pos- Balancing Accounts sible consequences for deterrence of each of seven ways Offender Restitution in Theory and Action. in which restitution can be required of offenders. These Edited by Butt Galaway and Joe Hudson. Lex- ways result from different combinations of the chief vari- ables in restitution, which are: the presence or absence of ington, Massachusetts: Lexington Books, 1978. penal sanction accompanying an order of restitution; Pp. 212. $16.00. whether payment is in assigned labor or in money; if Among the more intriguing aspects of jurisprudence the latter, whether it is to come from the offender's is the complex and subtle concept of loss or injury sus- pocket or from future earnings; and the proportion to tained by victims of wrongful acts. Virtually all legal be repaid of the loss he caused. systems seem to acknowledge, however tacitly, that such Several current programs, some of which use monetary acts upset a desired equilibrium in the order of things, and some of which use work restitution, are described in and that justice demands its restoration. "Injury" can six papers. These show that administrative problems be as tangible as physical hurt and loss of property, or differ considerab!y between the two types, and suggest as insubstantial as bruised dignity and mental suffering. that the two might not be likely to dwell comfortably "Victims" can be deities, sovereigns, governments, under the same managerial roof. "society," and ordinary persons. And by such diverse In addition to references appended to nine articles by measures as monetary payment, apology, penance, serv- their authors, the editors of this volume have included a itude and execution, things can be set aright. welcome 86-item selected bibliography. Anyone wanting Seeking explanations for the seeming ubiquity in human an instructive and useful introduction to the ancient but affairs of an urge to keep accounts balanced, some soci- reviving use of restitution should read this book. ologists attribute its source to a basic need of social University of Rhode Island RALPH W. ENGLAND, JR. systems that parties to interactions must not too often feel victimized or exploited or "reduced" lest the parties h Primer on White-Collar Crime become reluctant to enact needed social roles. Thus (goes the theory) there arose early in human society a "norm White-CoUar Crime: A 20th Century Crisis. of reciprocity" in the form of an implicit expectation that By August Bsquai. Lexington, Massachusetts: interactions will be mutually supportive of interactors. D.C. Heath and Company, 1978. Pp. 186. $14.95. From this viewpoint, "wrongful" acts are those violative This concise informative book provides an excellent of the norm, and a "victim" is one who comes out the introduction to the area of white-collar crime. It is a loser in a transaction wilfully made lopsided by the wrong- much needed work simply because such a volume does not doer. As one of the ways to balance accounts, restitution exist and its potential utility is great. An overview of to victims or their kin has waxed and waned over the various types of white-collar crime is presented along centuries. Perhaps reflecting the current trends both to- with numerous, but brief, case illustrations, the context ward strengthening the retributive functions of criminal in which these crimes occur and the justice system com- justice and acknowledging the distress of victims, resti- ponents that attempt to control these illegal behaviors. tution seems now to be waxing yet again, for some 40 A few notes on definition, scope of the problem, the restitution programs for adult offenders have been estab- perpetrators, and some ideas on why this area of crime lished in this country during the last 10 years. has been neglected introduce the work. The next 11 chap- The book reviewed here contains 17 papers read at ters describe specific types of white-collar crime with the Second National Symposium on Restitution, held in varying detail. A chapter on securities-related crimes St. Paul late in 1977 with grant support from the LEAA. presents the development of the securities industry, a For symposium purposes restitution was defined as "a brief review of securities laws and a section on the sanction imposed by an official of the criminal justice "corporate animal" which provides a setting in which system requiring the offender to make a payment of these crimes may occur. This chapter also notes the money or service to either the direct or substitute crime various sub-types of these offenses and the process of victim." regulation by the Securities and Exchange Commission Most of the contributors to this book are persons working and the Department of Justice. in corrections, or are academicians with vocational ex- In contrast, a chapter on environmental offenses perience in that field. Among a generally g(~od collection simply traces 'the history and notes the current statutes, of papers three I found particularly interesting. as well as the lax enforcement. Other chapters focus on Mary Utne and Elaine Hatfield describe psychology's bankruptcy frauds; bribes, kickbacks, and political frauds; recently emerged counterpart to sociology's reciprocity consumer frauds; frauds in government contracts and pro- notions in "Equity Theory and Restitution Programming." grams; insurance frauds; insider frauds such as embez- By studying experimentally interpersonal exchanges which zlement; antitrust and restraint of trade practices; com- contain exploitation possibilities, equity researchers seem, puter crimes; and tax frauds. Each of these chapters is if incidentally, to be acquiring proof that offender resti- quite informative, laying out the basic facts surrounding tution has much potential as a device not merely for re- the crime, the laws, and the enforcers. paying victims' material losses, but as importantly, for The inclusion and exclusion of crimes as white-collar restoring their damaged "wholeness" of self by relieving could be argued. Are also labor violations, food and drug their sense of injury and personal diminution. In a stim- violations, and health and safety violations offenses that ulating essay, Patrick McAnany identified five possible could be classified as white-collar? Should crime by com- functions of restitution, each arising from distinctively puter be cited when this is a method for committing crime different ideas as to what punishment should be intended not the crime itself? Computer crime is usually fraud to achieve, and each raising particular questions pertain- through the use of the computer. The definitional debate 78 FEDERAL PROBATION however, will continue, and what /s presented here are 1976). The cases in this update were obtained from most of those offenses that the public would consider COAG's monthly Consumer Protection Newsletter, an white-collar crime. October 1978 survey of state consumer protection contacts, Though the term "white-collar crime" was coined by and West General Digest. The report is divided into a sociologist, we do not get any sociological insights or three sections: constitutional challenges, substantive stat- perspectives on the problems and issues relevent to white- utory applications, and procedural questions. A table of collar offending. August Bequai is an attorney and former cases, a table of state consumer protection statutes, and Federal prosecutor, and it is predominantly this legal and a subject index are included. Price: $5.00. justice system perspective that is presented. Future years Correctional Law: A Selected Bibliography. Depart- of research in a variety of disciplines will hopefully ment of Corrections, 138 South Pine Street, Doylestown, lead us to a better understanding of the problems and Pa., 1979. Pp. 34. This bibliography was prepared by issues in dealing more effectively with these crimes. the Pennsylvania Prison Warden's Association to assist Early in his work, Bequai notes the problem of obtaining correctional administrators in developing a working li- data in the white-collar crime area. The problem is also ob- brary on correctional law. It contains annotated references vious throughout the book with only case illustrations and to correctional legal material, commentaries, abstracts, estimates of impact presented. The problem, however, and specialized studies. goes beyond obtaining data. It goes to the matter of what Day Training Centre. Inner London Probation and data our society regards as important to collect, compile, After-Care Service, 73 Great Peter Street, London, and report. While we have several sources of data on England, January 1979. Pp. 22. This pamphlet describes "common" crimes, we are a long way from indicators in a program established in 1973 as an experimental "alter- white-collar crime. Bequai's one page on the data problem native to imprisonment" project within the Criminal barely touches this major issue, which is in large part Justice Act of 1972. The program is designed to meet accountable for a lack of depth and detail in this book. the needs of the "inadequate" recidivist with the require- Three of the final chapters address problems of invest- ment of 60 days attendance at the Centre followed by igators, problems of prosecutors, and litigation problems. probation in lieu of a custodial sentence. The first of these refer to a lack of training, too few Delay in the Administration of Crimiinal Justice. staff, insufficient funds, bureaucratic red tape and other United Nations Social Defenee Research Institute, Via such easily remedied problems. After some discussion of Giulia 52, Rome. Publication No. 18, October 1978. Pp. history and politics, the chapter on prosecutors presents 73. The purpose of this study was to determine the extent the problems of red tape, lack of a firm commitment, the to which delay occurs at different stages of the criminal politicized nature of the U.S. Attorney offices, and a hesi- justice system in India and to identify measures which tancy to shift prosecutorial strategies. The chapter on could help eliminate or reduce such delay. The study litigation problems reviews procedural safeguards and also deals with the use of bail. constitutional rights, and would be more appropriately titled "Litigation Issues." Unfortunately the final chapter Directory of Criminal Justice Information Sources. Na- on "What the Future Holds in White-Collar Crime" deals tional Institute of Law Enforcement and Criminal Justice, entirely with electronic funds transfer systems. U.S. Department of Justice, Washington, D.C., September In summary, this book does not advance the state of 1978. Pp. 155. This is the second edition of the directory the knowledge in white-collar crime. It does offer a which contains a listing of services offered by agencies concise, convenient description of crimes that can be and associations directly or indirectly related to the field labeled white-collar, and an "awareness" document that of criminal justice. The 137 agencies described feature will hopefully be read by many. Having thus increased information services, reference and technical assistance our awareness, we may be better equipped to consider to criminal justice professionals. the more difficult issues regarding the disparities within The Evah~c~tion of Juvenile Diversion Programs. De- our justice system which handles the white-collar criminal partment of the Youth Authority, Health and Welfare quite differently from the ordinary criminal. Agency, Sacramento, Calif., 1978. Pp. 366. This is the Washington, D.C. BERNARD AUCHTER final report of a project begun in 1974 which involved an extensive survey of 74 diversion projects and an evalu- ation of 15 projects selected to represent the 74. This Reports Received report deals with the evaluation phase and is concerned Administrative Segregation of Prisoners: Due Process with three questions: how many youths were diverted, Issues. Committee on the Office of Attorney General, 3901 was recidivism reduced, and how much did the project Barrett Drive, Raleigh, N.C. 27609, January 1979. Pp. 43. cost. This report discusses the applicability of procedural due Federal District Judges: An Analysis of Judicial Per- process to the placement of prisoners in segregated con- ceptions. College Press, Baltimore, Md., 1978. Pp. 224. finement for security reasons rather than as punishment In the introduction, William I. Kitchin of Loyola College, for rule infractions. Judicial responses to the claims that the author of this book, states that the purpose of this state statutes, regulations, or practice have given pris- study is to describe how a sample of Federal district oners a constitutionally protected interest in general pop- judges perceives their jobs and to compare their per- ulation privileges are examined. The report also analyzes ceptions to those of other judges, state and Federal, challenges to the basis of administrative segregation and trial and appellate. The theoretical framework for this the policy considerations involved in determining whether research is role theory; chapters are devoted to the procedural due process should be extended to this area "purposive role" of judges, the process of deciding cases, of decisionmaking. Price: $2.50. innovation and policymaking, the administrative role, The Consumer Protection Case Digest. Committee on and automated jurisprudence. the Office of Attorney General, 3901 Barrett Drive, Raleigh, N.C. 27609, March 1979. Pp. 111. This report re- Prison Law Monitor. Institution Educational Services, views and categorizes cases reported since COAG's An- Inc., 1806 T Street, N.W., Washington, D.C. Volume I, alysis and Digest of Consumer Protection Case Law (June 1978-1979, Nos. 1-11. To meet the need for a compre- IT HAS COME TO OUR ATTENTION 79

hensive prisoners' rights law reporter to replace the old Beating a Rap? Defendants Found Incompetent to Prison Law Reporter published by the A.B.A., the Prison Stand Trial. By Henry J. Steadman. Chicago: The Uni- Law Monitor began publication with its first issue in versity of Chicago Press, 1979. Pp. 144. $13.00. June 1978. Each issue contains an examination of recent Behind Jail Bars. By Octavio Antonio Ballesteros. New court decisions at Federal and state levels dealing with York: Philosophical Library, Inc., 1979. Pp. 300. $14.95. the wide range of correctional law: probation, parole, discipline, due process, juvenile detention; as well as con- The Criminal Justice System and Its Psychology. By tributed articles and reports on legislative and organiz- Alfred Cohn and Roy Udolf. New York: Van Nostrand ational activities. Reinhold, 1979. Pp. 345. $17.95. The Role o/ the Administrator in Evaluation. Pretrial The Criminological Enterprise: Theories and Per- Services Resources Center, 1010 Vermont Avenue, N.W., spectives. By Don C. Gibbons. Englewood Cliffs, New Washington, D. C., February 1979. Pp. 58. The activ- Jersey: Prentice-Hall, Inc., 1979. Pp. 226. $6.95. ities required of the administrator if a good evaluation of Criminology Review Yearbook, Volume 1. Edited by an agency is to be produced are described in this publi- Sheldon L. Messinger and Egon Bittner. Beverly Hills, cation. It presents six steps which the administrator California: Sage Publications, Inc., 1979. Pp. 767. $32.50. can take to intervene in the evaluation process in a Dictionary of American Penology: An Introductory meaningful way. Guide. By Vergil L. Williams. Westport, Connecticut: Prison Conditions: An Outline of Cases. Committee on Greenwood Press, 1979. Pp. 530. $29.95. the Office of Attorney General, 3901 Barrett Drive, Ra- Introduction to Criminal Justice, Second Edition. By leigh, N.C. 27609, March 1979. Pp. 37. Confinement itself Nell C. Chamelin, Vernon B. Fox, and Paul M. Whisenand. under certain conditions may violate the Eighth Amend- Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1979. ment's prohibition of cruel and unusual punishment. Pp. 514. $14.95. This outline delineates the particular conditions which, Introduction to Criminal Justice. By Thomas R. Phelps, separately or in conjunction with others, have been held Charles R. Swanson, Jr., and Kenneth R. Evans. Santa unconstitutional. Its aim is to assist the reader to judge Monica, California: Goodyear Publishing Company, Inc., what kind of deficiencies by themselves violate the Eighth 1979. Pp. 451. Amendment, which ones not in themselves unconstitutional Juvenile Delinquency. By Peter C. Kratcoski and Lu- may yet contribute to an overall situation which con- cille Dunn Kratcoski. Englewood Cliffs, New Jersey: stitutes cruel and unusual punishment, and which short- Prentice-Hall, Inc., 1979. Pp. 429. $14.95. comings will be held to lack constitutional magnitude. Price : $2.50. Modern Security Methods. By Charles F. Hemphill, Jr. Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1979. Pp. 300. $14.95. Books Received On the Penitentiary System in the United States and Battered Women. Edited by Donna M. Moore. Beverly Its Application 9~ France. By Gustave de Beaumont and Hills, California: Sage Publications, Inc., 1979. Pp. 224. Alexis de Tocqueville. Carbondale: Southern Illinois Uni- $7.95 (paper). versity Press, 1979. Pp. 222. $5.95 (paperback).

It Has Come to Our Attention

The following item appeared in the May 17 edition of The first nationally recognized, professional accredita- The Washington Post: "Unusual Prayer for Judge-- tion of an adult correctional institution was awarded Washington Lawyer Peter H. Wolf was sworn in yester- today to the Vienna, Illinois, Correctional Center by the (lay as an associate judge of the D.C. Superior Court. Commission on Accreditation for Corrections. "This is The following prayer was read at the ceremony by the truly an historic first for the field of corrections in the Rev. Herbert Meza of the Church of the Pilgrims: 'Our United States," said Commission Chairman Thomas J. Father . . . We pause to ask your blessing upon this Mangogna, who presented the award. "Vienna Correctional proceeding, not just because a good and honorable man Center provides a national model for corrections adminis- is being invested, but because justice is being enhanced. trators, not only in its operation, but also in its willing- So we seek your favor beyond this moment. So that all ness to be accountable to the public it services." To receive who come into this court may find justice in his judgment the 3-year accreditation, the Vienna Correctional Center and judgment in his justice. To that end, we do not pray complied with the most stringent national standards de- for his welfare as we pray for his handicaps. Keep him veloped for correctional agencies. blind to skin color. Keep him deaf to broken English. The National Council on Crime and Delinquency made Keep him dumb to power brokers. Keep him quarantined public on August 5 a letter to Governor Carey which from lobbies and star chambers. Keel) him sick of seeking criticized the New York State plan for building and cronies. So that having afflicted him with the virus of acquiring new prisons at a cost of several hundred million judicial wisdom he might become immune from judicial dollars. The letter and a background document urge the waste. In a day when many have reduced life to an Governor to halt construction on new prisons until a endless litigation before an absent judge, let his life commission is established to examine ways of dealing continue to be full of your righteousness and mercy so with offenders without the building or acquiring of more that they reflect the glory of that higher bench in which prison space. The commission would be instructed to you preside. Amen.' " look into the effect on prison population of legislative .- ,

8O FEDERAL PROBATION changes in drug, designated felony and second felony we seem to have lost sight of the fundamental purpose offense laws. It would also consider alternatives to im- of that system--to protect the life, liberty and property !Srisonment and such new programs as mediation and of all citizens. That includes both the accused and the conflict resolution which function outside the criminal victim. But the major focus of our present system is to justice system. It would recommend the possible tightening catch, judge, punish, or rehabilitate the offender. Too up of administrative corrections procedures and would often we forget the victim." assess the effect of new parole policies on the prison The Department of Philosophy of Georgia State Uni- population. versity announces a Call for Papers for an Interdiscipli- The Criminal Division of the Department of Justice and nary Conference on Capital Punishment, to be held in the Law Enforcement Assistance Administration on July Atlanta on April 18 and 19, 1980. Academic fields rep- 31 signedan agreement to share ideas on how to improve 'resented will include Philosophy, Religion, Sociology, state and local law enforcement in such areas as white- Criminology, Law, Psychology, Political Science, and collar crime, organized crime, and arson. A committee Economics. Invited speakers include Ernest van den Haag, of three LEAA and three Criminal Division officials Richard Wasserstrom, Russell Kirk, Marvin Wolfgang, will coordinate the activities. and Millard Farmer. Papers may be on any aspect of Harvey Treger in August travelled to the Federal capital punishment--pro or con~and may involve any Republic of Germany on a grant from the German method or approach. Questions to. be addressed include: Marshall Fund to offer consultation to the Ministry of Is Capital Punishment Constitutional? Is it Moral? Is Justice, Lower Saxony, where a police-social work team it Effective? Papers may be of any length, but reading program is being started--the first in Europe. This is time (of selected portions or summaries, where necessary) a program which was initiated and developed by Treger will be limited to 30 minutes. Papers should be typed, at the University of Illinois, Chicago Circle Campus, Jane double-spaced, and submitted in duplicate. Arrangements Addams College of Social Work from 1970-1977. There are being made to publish selected papers in a book. are now 40 police departments in Illinois that have the The deadline for submitted papers is December 15, 1979. program. Originally funded by the Illinois Law Enforce- Selections will be announced by February 1, 1980. Send ment Commission and local communities, the programs papers and inquiries to: Professor C.G. Luckhardt, De- are now 100 percent community supported and a line partment of Philosophy, Georgia State University, Uni- item in police budgets. versity Plaza, Atlanta, Georgia 30303. "Crime victims are frequently subjected to callous treat- Nevin Trammell, supervising probation officer, U.S. ment from the very system that is supposed to protect District Court, Middle District of Tennessee, has been them," S. Shepherd Tate, president of the American Bar named chairman of the Tennessee Pardons and Parole Association, said in a speech in May. Speaking to the Board. Oakland County (Mich.) Bar Association meeting in Three European seminars in criminal justice have been Southfield, Mich., Tate said he has a deep concern for announced by Lake City Community College. They will the problems confronting victims. He called on members be held in Germany (Christmas 1979), Poland (summer of the legal profession to use their power to make sure 1980), and Germany (summer 1980). For additional in- the justice system serves victims, too. He noted that, formation contact Robert E. Page, Lake City Community "As our criminal justice system has become more complex, College, Lake City, Florida 32055.

Contributors to This Issue

BENJAMIN FRANK: Ph.D. (1936), New York University. rice Institute, 1971-1973; Research Associate, Center for Chief, Research and Statistics, Federal Bureau of Prisons, Criminal Justice, Harvard Law School, 1973-1975; Deputy 1936-1962; Professor and Assistant Director, Center for Director, Commission on Accreditation for Corrections, Study of Crime, Delinquency, and Correction, Southern 1975-1978. Illinois University, 1962-1965; Professional Lecturer, Uni- SUSAN HOFFMAN FISHMAN: Executive Director, Women versity of Maryland, 1965-1966; Program Director, Com- in Crisis, since 1977. B.A. (1973), Trinity College, Hart- mission on Correctional Manpower and Training, 1966- ford. Statistical Analyst, Connecticut Department of Adult 1968; Visiting American Expert, United Nations Far Probation, 1973-1974; Research Consultant, Knox Founda- East and Asian Institute, Tokyo, 1968-1969; Adjunct tion, 1974; Field Director, B'nai Brith Youth Organiza- Professor, School of Justice, The American University, tion, New Haven, 1974-1976; Acting Director, Women Washington, D.C., 1970-1978. Author: Contemporary Cor- in Crisis, Connecticut Department of Correction; 1976- rections (1973). 1977. Author: Just Freedom, Criminal Justice Film, 1977. ERNEST G. REIMER: Assistant Director, Commission on Lecturer, National Institute on Crime and Delinquency, Accreditation for Corrections, since 1975. B.A. (1948) June 1979. and M.S.W. (1951), University of California, Berkeley. ALBERT S. ALISSI: Professor, School of Social Work, Various positions, retiring as Deputy Director in charge University of Connecticut, since 1974. B.S. (1952), Spring- of the Parole Division, California Department of Cor- field College; M.S.A. (1954) and D.S.W. (1967), Western rections, 1952-1975. Author: The Correctional Community Reserve University; M.S.L. (1974), Yale Law School. (1967). Social Worker, Mental Hygiene Clinic, Fort Dix, N.J.; DALE K. SECHREST: Program Director, American Cor- U.S. Army Hospital Psychiatric Section, Orleans, France, rectional Association Correctional Standards and Policies 1954-1956; Director, Group Work Service, Children's Aid Program, since 1979. B.A. (1964) and M.S. (1966), San Society, Cleveland, Ohio, 1956-1958; Director, Outreach Jose State University; D.Crim. (1974), University of Research Project, Alta Social Settlement, Cleveland, Ohio; California, Berkeley. Behavioral Scientist, American Jus- Executive Director, Alta Social Settlement and Collinwood

FPI--MAR--5-29.79- 25,250-2010 Youth Association, 1958-1967; Assistant Professor (1967) versity Law School, 1971-1973. Co-author: Administration and Associate Professor (19695, University of Connecti- of Law Enforceme~lt Organizations (1979). cut. Recipient, Outstanding Contribution to Social Work HENRY L. HARTMAN: Clinical Professor of Forensic Award, NASW, 1975. Editor, Perspectives on Social Psychiatry, Medical College of Ohio, Toledo, since 1969. Group Work Practice (19775. Author: Boys of Little A.B. {1931) and M.D. (1935), Yale University. Senior Italy (1978). Physician, Taunton State Hospital, Taunton, Mass., 1939- JAMES H. BRIDGES: Professor, University of Denver, 1946; Psychiatrist in private practice, 1946-1975; Psy- since 1970. M.A. (1957), M.S.W. (1957), and Ph.D. chiatric Consultant, Lucas County Family Court Center, (1970), University of Minnesota. Supervisor, Hennepin since 1953; Medical Director, Court Diagnostic and Treat- County Court Services, 1958-1960; Instructor, University ment Center, Toledo, since 1972. Author: Basic Psy- of Minnesota, 1960-1964; Chief Social Worker, Hamm chiatry for Co~'ections Workers (1977). Memorial Psychiatric Clinic, 1964-1968; Instructor, Uni- versity of Minnesota, 1968-1970. BOOK REVIEWERS JOHN W. GANDY: Associate Professor, University of BERNARD AUCHTER is with the National Institute of South Carolina, since 1975. M.S.W. (19705, California Law Enforcement and Criminal Justice, Law Enforcement State University, Fresno; D.S.W. (1975), University of Assistance Administration, Washington, D.C. Denver. Social Worker, U.S. Public Health Service, Fed- RALPH W. ENGLAND, JR., PH.D., is Professor of Sociol- eral Bureau of Prisons, 1970-1972; Social Worker, Cali- fornia Youth Authority, 1972-1973. Co-author: Research ogy, University of Rhode Island, Kingston. on the Vicissitudes of the Social Work Deanship (1979). D.M. FERGUSSON is Principal Investigator, Christchurch Recipient, Research Grant, University of South Carolina, Child Development Study, Department of Pediatrics, 1978-1979. Christchurch Hospital, Christchurch, New Zealand. JAMES D. JORGENSEN: Professor, University of Denver, LUCY N. FRIEDMAN, PH.D., is Director, Victim Services since 1964. B.A. (19535, University of South Dakota; Agency, Inc., New York, N.Y. M.S.W. (1958), University of Denver. Child Welfare DONALD HARTLEY is President and Director, Correctional Worker, South Dakota Division of Child Welfare, 1958- Services Associates, Los Angeles, Calif. 1961; Director of Social Service, South Dakota State RONALD E. JACKSON, PH.D., is a former lecturer at Training School, 1961-1964. Co-author: Volunteer Train- the University of Maryland University College, European ing for Courts a~ut Co~'reetions (1973); QUID: How Division, College Park, Md. You Can Make the Best Decisions of Your Life (1978). ROBERT F. MEIER, PFLD., is Associate Professor of JAMES L. BECK: Research Analyst, Federal Bureau Sociology, Washington State University, Pullman. of Prisons, since 1976. B.S. (1970), Purdue University; DENNIS L. PECK, PH.D., is Assistant Professor of Ph.D. (1978), George Washington University. Research Assistant, National Council on Crime and Delinquency, Sociology, The University of Alabama, University. 1972-1973; Research Analyst, U.S. Parole Commission, JEFF SCHRINK, PH.D., is Associate Professor and Chair- 1973-1976. person, Department of Criminology, Indiana State Uni- CHRIS W. ESKRIDGE: Assistant Professor, Criminal versity, Terre Haute. Justice Department, University of Nebraska, since 1978. JUD WATKINS is Supervising Probation Officer, U.S. B.S. (19755, Brigham Young University; M.A. (1977) District Court, Washington, D.C. and Ph.D. (1978), The Ohio State University. Investigator, Utah Attorney General's Office, 1975; Investigator, Utah REVIEWERS OF PERIODICALS County Attorney's Office, 1975-1976; Part-time faculty, EUGENE H. CZAJKOSKI, D.P.A., is Dean, School of Brigham Young University, Department of Justice Ad- Criminology, Florida State University, Tallahassee. ministration, 1976; Committee Member, Ohio Juvenile Justice Gubernatorial Advisory Council, 1977-1978. Au- GEORGE I. DIFFENBAUCHER is Executive Assistant to the thor: An Empirical Study of Fali~ere To Appear Prob- Assistant Director, Federal Bureau of Prisons, Wash- ability Among Accused O~enders : Construction and ington, D.C. Validation of a Prediction Scale (1978). Co-author: Issues VERNON FOX, PH.D., is Professor, School of Criminology, in Probation Management (1978). Florida State University, Tallahassee. STANLEY VANAGUNAS: Department of Public Adminis- HAROLD W. KELTON is Chief Probation Officer, U.S. tration, University of Arizona, Tucson. B.S. (1962) and District Court, Pittsburgh, Pa. M.S. (1963), University of Illinois; M.S. (1968), Uni- OMAR G. RI0S is Deputy Chief Probation Officer, U.S. versity of Wisconsin; Ph.D. (19755, Michigan State Uni- District Court, San Antonio, Texas. versity. Planning Director, Wisconsin Council on Criminal HARVEY TRE~7~ER is Professor, Jane Addams School of Justice, 1968-1971; Executive Director, Center for Crim- Social Work, University of Illinois, Chicago Circle, inal Justice and Minority Opportunity, Marquette Uni- Chicago.

A WORD ABOUT OUR PRINTERS UR READERS will be interested to know that the FEDERAL PROBATION Quarterly is O printed at the United States Penitentiary, Marion, Illinois, in the plant conducted by the Federal Prison Industries, Inc., a Government corporation operating all industries in the federal penal system. Approximately 98 percent of the inmates assigned to the printing shop have had no prior experience whatsoever in printshop activities. Train- ing in the printing plant at Marion includes an apprenticeship program in composition, camera and plate-making and offset printing. This program is approved by the United States Department of Labor, Bureau of Apprenticeship and Training and the Marion, Illinois, Area Multi-Trades Joint Apprenticeship Standards. Superintendent of the printshop is John E. Scrivner. POSTAGE AND FEES PAID ADMINISTRATIVE OFFICE OF THE UNITED STATES COURTS UNITED STATES COURTS CONTROLLED CIRCULATION RATE WASHINGTON. D. C. 20544

OFFICIAL BUSINESS

[] Moved, left no address /~ir--I No such number oved, not forwardable [] Addressee unknow1~

J

IF YOU HAVE CHANGED YOUR ADDRESS, OR NO LONGER WISH THE JOURNAL, PLEASE RETURN THE ADDRESS ON THIS COVER WITH APPROPRIATE NOTATION. INCLUDE ZIP CODE WITH CHANGE OF ADDRESS.