If you have issues viewing or accessing this file contact us at NCJRS.gov. I u.s. Department of Justice National Institute of Justice NO - . '0\ ... I as Fines in Sentencing: A Study of the Use of the Fine as a Criminal Sanction ... ----_______c _________ "--- _____~_~~ _____~_"~ __ ~. • About the National Institute of Justice The National Institute of Justice is a research branch of the U.S. Department of Justice. The Institute's mission is to develop knowledge about crime, its causes and control. Priority is given to policy-relevant research that can yield approaches and information State and local agencies can use in preventing and reducing crime. Established in 1979 by the Justice System Improvement Act, NlJ builds upon the foundation laid by the former National Institute of Law Enforcement and Criminal Justice, the first major Federal research program on crime and justice. Carrying out the mandate assigned by Congress. the National Institute of Justice: • Sponsors research and development to improve and strengthen the criminal justice system and related Fines in Sentencing: civil justice aspects, with a balanced program of basic and applied research. A Study of the Use of the Fine • Evaluates the effectiveness of federally funded justice improvement programs and identifies programs that promise to be successful if continued or repeated. as a Criminal Sanction • Tests and demonstrates new and improved approaches to strengthen the justice system, and recommends actions that can be taken by Federal, State, and local governments and private organizations and Executive Summary individuals to achieve this goal. e, • Disseminates information from research. demonstrations. evaluations. and special programs to Federal, State. and local governments; and serves as an international clearinghouse of justice information. by • Trains criminal justice practitioners in research and evaluation findings, and assists the research commun­ ity through fellowships and special seminars. Sally T. Hillsman Authority for administering the Institute and awarding grants, contracts, and cooperative agreements is Joyce Sichel vested in the NIJ Director. An Advisory Board. appointed by the President. assists the Director by recom­ L. mending policies and priorities and advising on peer review procedures. Barry Mahoney Reports of NIJ-sponsored studies are reviewed by Institute officials and staff. The views of outside experts knowledgeable in the report's subject area are also obtained. Publication indicates that the report meets the Institute's standards of technical quality, but it signifies no endorsemen~ of conclusions or recommendations. James K. Stewart Director The Vera Institute of Justice New York, New York and The Institute for Court Management De artment of Justice U.S. P I I of Ju\" •.;e Denver, Colorado Nalionallnsl tu e , d from the II as receive d been reproduced e)(~c y iew or opinions state This document ha~, n originating It. pOint. of v d do not necessanly person or organl~aal~ those of the authors, ~~e National Institute 0' in this docume~'Cial positiOn or poliCies 0 represent the 0 I \ I Justice. , hted material has been November 1984 , ' t reproduce this copyng Permission 0 granted by _l-CE-/-- UR-~NT ~ 'e(NCJRS), , Criminal Justice Reference SeIVIC tothe National , es permis, NCJRS system reqUif , outside of the \ Further reproductiOn er U.S. Dep,artment of Justice sion of the Copynght own ' \ National Institute of Justice .. PROJECT STAFF Sally T. Hillsman Joyce L. Sichel Barry Mahoney Director of Research Senior Research Associate Director of Research Vera Institute of Vera Institute of Institute for Court Justice Justice Mmagement Co-Principal Investigator Project Director Co-Principal Investigator National Institute_of Justice Vera Institute of Institute for Court Vera Institute of Justice James K. Stewart M:magement Justice Director New York, New York Denver, Colorado London, Ens..land Ida Zamist Roger A. Hanson Silvia S.G. Casale Senior Research Senior Researcher Senior Research Associate Associate H. Ted Rubin Alice Dawson Senior Associate Legal Consultant Thomas W. Chur ch , Jr. Director, London Office, Marlene Thornton 1980-1982 Timothy Deady, Research Assistant Brenda Geer, Alan Levin, Anne Van Arnan Angela Rosen, and Research Associate John Vail Paralegals Sue Bozinovsky, Chris Ratiner, and Grace Otero Susan Stuber Administrative Research Interviewers Assistant Jessica Kohout Programmer Anne Kittredge Dawn L. M3.yer Secretaries This project was supported by l~rant Number 80-IJ-CX-003~, awarded to the Vera Institute ClfJustice by the Nationallnstl­ tute of Justice, U.S. Department of Justice, under the Om­ nibus Crime Control and Safe Streets Ac,t of 1968, as amended. Points of view or opinions stated in this document are those of the authors and do not necessarily represent the official position or policies oflhe U.S. Department of Justice. The Nationai Institute of Justice reserves the right to repro­ duce publish translate, or otherwise use and to authorize othe:s to pUbilsh and lise all or any part of the copyrighted material contained In this puQlicatlon. Copyright © 1984 by the Vera Institute of Justice - iii - ABSTRACT ACKNOWLEDGMENTS This Executive Summary presents findings from an exploratory study of law and A complex and multi-faceted research. effort such as this draws upon the tal­ practice with respect to the use of fines as a sanction for criminal offenses. The principal sources of empirical data are a national telephone survey of admin­ ents and support of many individuals. The work done by each member of the project istrators in 126 trial courts in 21 states; site visits, for interviews and ob­ servation, to 38 courts in seven states; and examination of a sample of case rec­ staff enriched the work being carried out by all the others as we sought to ex­ ords in New York City's five limited and five general jurisdiction trial courts. The study has also taken account of secondary materials including federal and plore facets of the criminal J'ustice system here and abroad t h at had received very state statutes, appellate court decisions, and books and articles dealing with sentencing. Particular attention has been given to the recent experience of little previous attention. Coordinating this effort, which was taking place si- three Western European countries--Eng1and, Sweden, and West Germany--that use fines very extensively as a sentence for criminal offenses. mu1taneaous1y in New York, Denver, and London would have been impossible without The data indicate that patterns of fine utilization in the United States vary the readiness of each staff member to share generously of his or her individual widely, even within the same state or metropolitan area, as do practices with re­ spect to fine collection and enforcement. Despite this diversity, however, there talents, and to offer understanding (and patience) to colleagues. are some common themes. First, fines are widely used as a criminal sanction and their use is not confined to traffic offenses and minor ordinance violations. Michael E. Smith and Harvey E. Solomon, Directors of the Vera Institute of Many American courts depend heavily on fines, alone or as the principal component of a sentence in which the fine is combined with another sanction. Fines are Justice and the Institute for Court Management, respect i ve1 y, deserve our special used most extensively in limited jurisdiction courts, but some courts that handle only felonies also make considerable use of them. Practitioners who favor broad thanks for their support and general good humor in the face of the project's ever­ use of the fine note that it is less costly than jailor probation and maintain that it can be both a meaningful punishment and an effective deterrent. broadening horizons and its occasionally chaotic appearance. They provided en­ Second, although large amounts of revenue are invo1ved--probab1y well over a billion dollars annua11y--very few courts have reliable information on fine uti­ couragement and wise advice as the work progressed, and their suggestions were lization and enforcement. Few judges or court administrators have a sound work­ enormously helpful throughout the study. ing knowledge of aggregate fine amounts, collection rates, or the effectiveness of particular approaches to enforcement. Development of sound fines management information systems could significantly enhance the capacity of courts to use, Jonathan Casper, George F. Co1e~ Malcolm Feeley, Daniel J. Freed and David collect, and enforce fines effectively. Moxon provided very useful comments on drafts of the full report. The contents of Thirq, while the poverty of offenders is frequently cited as an obstacle to broad use of fines, there is evidence that a number of courts frequently impose that report and of this Executive Summary owe much to their careful and thoughtful fine sentences upon offenders with limited means and are relatively successful in collecting them. Factors associated with high collection rates include lim­ reviews. We are also grateful to the Research and Planning Unit of the British ited use of installment payment plans, allowance of relatively short periods for payment of the fine, and strict enforcement policies that include imposition of Home Office for its cooperation with the several par~s of this study that were a jail term in the event of default. Several Western European countries have adopted sentencing policies that ex­ conducted through the Vera Institute's London Office.