MAY CONTAIN MARKUP

By NORVAL MORRIS, MICHAEL TONRY

Across the country prisons are jammed to capacity and, in extreme cases, barges and mobile homes are used to stem the overflow. Probation officers in some cities have caseloads of 200 and more--hardly a manageable number of offenders to track and supervise. And with about one million people in prison and jail, and two and a half million on probation, it is clear we are experiencing a crisis in our penal system. In Between Prison and Probation, Norval Morris and Michael Tonry, two of the nation's leading criminologists, offer an important and timely strategy for alleviating these problems. They argue that our overwhelmed corrections system cannot cope with the flow of convicted offenders because the two extremes of punishment--imprisonment and probation--are both used excessively, with a near-vacuum of useful punishments in between. Morris and Tonry propose instead a comprehensive program that relies on a range of punishment including fines and other financial sanctions, community service, house arrest, intensive probation, closely supervised treatment programs for drugs, alcohol and mental illness, and electronic monitoring of movement. Used in rational combinations, these "intermediate" punishments would better serve the community than our present polarized choice. Serious consideration of these punishments has been hindered by the widespread perception that they are therapeutic rather than punitive. The reality, however, Morris and Tonry argue, "is that the American criminal justice system is both too severe and too lenient--almost randomly." Systematically implemented and rigorously enforced, intermediate punishments can "better and more economically serve the community, the victim, and the criminal than the prison terms and probation orders they supplant." Between Prison and Probation goes beyond mere advocacy of an increasing use of intermediate punishments; the book also addresses the difficult task of fitting these punishments into a comprehensive, fair and community-protective sentencing system.

Oxford University Press, Sep 12, 1991, 294 pages

By Charlie Brooker and Coral Sirdifield

There are many benefits to making sure that we understand the mental health needs of people on probation and address them. Criminal justice and health agencies need to work together to make sure that people get the support that they need with their mental health. However, currently, the services that are provided are not always suitable to meet this population’s needs, and people on probation can face numerous barriers to accessing care. In this evidence review, Professor Charlie Brooker, honorary professor at Royal Holloway, University of London and Dr Coral Sirdifield, Senior Research Associate at the University of Lincoln, look at: The benefits of focusing on the mental health of people on probation, what we know about the mental health of people on probation, the organisation of mental health care, current initiatives, and challenges to providing high-quality care. Also what good quality care for people on probation looks like and Improving the evidence base and provision of care.

Suffolk, UK: Clinks, 2024. 13p.

By Ammar Khalid, Rochisha Shukla, Arielle Jackson, and Andreea Matei

Pima County, Arizona, has implemented multiple reforms to address probation-related drivers of jail incarceration through its participation in the John D. and Catherine T. MacArthur Foundation’s Safety and Justice Challenge, including strengthening transitional housing support intended to provide short-term housing options for people experiencing housing instability. The Urban Institute conducted a study, in partnership with the Pima County Adult Probation Department, to describe probation pathways to jail incarceration and system-level trends, as well as the effects of providing transitional housing support to people on probation, particularly in terms of jail use.

WHY THIS MATTERS

Many jurisdictions across the country have implemented strategies to reduce jail incarceration for people on probation because probation violations contribute significantly to rising jail populations in the United States: 33 percent of all people incarcerated in jails were arrested while on probation, and 27 percent of the people in jails for probation violations were incarcerated for technical violations alone. Housing instability can heighten the risk of criminal legal system involvement, particularly for people on probation.

WHAT WE FOUND

Our main takeaways include the following:

Roughly 10 percent of all jail bookings in Pima County were due to probation violations, representing an overall low share of jail admissions. However, average length of stay for people in jail for probation violations was considerably longer at 66 days, nearly three times as long as that for the pretrial population (25 days) and five times as long as that for the sentenced population (13 days).

Probation violations resulting in jail incarceration represented 16 percent of all terminated probation cases and were largely driven by technical violations, which include absconding charges.

There were some observable racial and ethnic disparities in jail use as a formal probation revocation petition outcome. Native American and Hispanic people had higher odds—by 97 percent and 46 percent, respectively—of being revoked to jail compared with white people. Black people were 24 percent more likely to receive coterminous outcomes compared with white people.

Between January 2020 and June 2022, 331 people received financial assistance to access transitional housing. The number of people receiving assistance increased over time and the probation department prioritized people with higher risk and needs when making decisions about funding for transitional housing.

The odds of a probation termination to jail were not significantly different for people who received funding for transitional housing and those who did not. These null effects, however, could owe to the small number of people served and the limited data available on people who received transitional housing support. Interviewed stakeholders, though, perceived this support for people on probation to be a crucial stabilizing force and extremely meaningful to their well-being.

Washington, DC: Urban Institute, 2023. 63p.

By Erin Harbinson, Kelly Lyn Mitchell, Courtney Hougham, and Danette Buskovick

This report details a collaboration between the Robina Institute of Criminal Law and Criminal Justice (the Robina Institute) and Hennepin County Department of Community Corrections and Rehabilitation (DOCCR) to examine whether probation conditions are aligned with evidence-based practices in corrections, specifically the risk-needs-responsivity (RNR) principles (i.e., Andrews, Bonta, & Hoge, 1990) for community supervision, and to explore the effect of alignment on supervision outcomes. This project was conceived in order to test whether there is a need to bridge the sentencing process with the RNR principles followed by DOCCR. Research suggests that in order to reduce re-offending, probation conditions should reflect RNR principles and that over-supervising low risk individuals can increase recidivism (Lowenkamp, Latessa, & Holsinger, 2006). But because sentencing often occurs before the risk assessment has been completed, the probation conditions imposed at sentencing may not relate to the probationer’s risk and needs, or may require a higher degree of contact and intervention by the corrections department than suggested by the probationer’s risk to reoffend. Since Hennepin prepares a presentence investigation (PSI) for some cases and administers a pre-screener for others, this practice provides a natural “experiment” to explore how assessment might influence conditions. The project explored the relationship between the sentencing process and RNR principles by asking the following three questions: 1. How well do the risk/needs of offenders align with probation conditions? 2. Does the timing of assessment impact this alignment? 3. Are supervision outcomes improved when conditions are aligned with risk/needs? Key Findings The key findings from this study were as follows: • Most people on probation were assigned a similar number of conditions and similar types of conditions; there was not much variation. • The average number of probation conditions assigned to people on probation increases with risk, but only slightly. This increase ranged from less than one condition to one condition per increase in risk level. • People who received a PSI have on average approximately 5 more conditions assigned at each risk level when compared to people who did not receive a PSI. • A majority of the supervision conditions people were assigned did not target their criminogenic needs. Ø However, most people who had identified needs in the drugs and alcohol domain were assigned probation conditions that aligned with that need, though alignment was better when a PSI was conducted before sentencing Ø The majority of people who had identified needs in the family/marital, leisure and recreation, companions (criminal vs. anticriminal), and antisocial pattern were not assigned probation conditions that align with those needs. Ø When a PSI was not administered, the majority of people who had identified needs in pro-criminal attitudes and orientation were not assigned probation conditions that align with that need; when a PSI was administered, a more substantial proportion of individuals with this need were assigned such a condition. Ø When there is better alignment between needs and supervision conditions, it appears to be associated with the administration of a PSI, and to be driven by the assignment of conditions to address the domains for alcohol and drugs, education and employment, and pro-criminal attitude and orientation. • Improved alignment of supervision conditions with risk and needs did not significantly reduce the likelihood of reconviction one year out, however, more research is needed on measuring alignment since this non-significant finding might be due to the small variation in the number of conditions by risk level.

Minneapolis: Robina Institute of Criminal Law and Criminal Justice University of Minnesota Law School 2020. 36p.

By Dafna Gozani, Laura Ridolfi and Snna Wong

Probation is the most common court ordered outcome imposed on youth in juvenile court in California. Too often, youth are placed on probation for an unspecified amount of time, while under the microscope of overly burdensome and confusing probation conditions. Youth needlessly spending years on probation limits their potential and wastes precious resources. This report provides key data and explores the harmful outcomes of excessive probation programs, highlights promising approaches, and provides policy recommendations.

Oakland, CA: National Center for Youth Law and W. Haywood Burns Institute, 2021. 15p.

By Kelly Lyn Mitchell, Lily Hanrath, Erin Harbinson

Ramsey County Community Corrections (RCCC) and the Robina Institute of Criminal Law and Criminal Justice partnered to participate in the Reducing Revocations Challenge, a national initiative of Arnold Ventures and the CUNY Institute for State and Local Governance dedicated to understanding the drivers of probation revocations and identifying ways to reduce them when appropriate. The study involved two broad questions. First, what is the pathway to revocation for people on probation in Ramsey County? Second, what are the drivers of revocations in Ramsey County? Drawing from three sources of information—a legal and policy review, data regarding a cohort starting probation in 2016, and interviews with criminal justice system stakeholders—the primary goals were to identify the factors driving revocations and to collaborate with other stakeholders and members of the community to identify changes in policy and practice that can reduce probation revocations and lead to better outcomes for individuals on probation while protecting public safety

St. Paul, MN: Robina Institute of Criminal Law and Criminal Justice, Minneapolis, MN2022. 70p.

By Kelly Lyn Mitchell, Lily Hanrath, Erin Harbinson

Ramsey County Community Corrections (RCCC) and the Robina Institute of Criminal Law and Criminal Justice partnered to participate in the Reducing Revocations Challenge, a national initiative of Arnold Ventures and the CUNY Institute for State and Local Governance dedicated to understanding the drivers of probation revocations and identifying ways to reduce them when appropriate. The study involved two broad questions. First, what is the pathway to revocation for people on probation in Ramsey County? Second, what are the drivers of revocations in Ramsey County? Drawing from three sources of information—a legal and policy review, data regarding a cohort starting probation in 2016, and interviews with criminal justice system stakeholders—the primary goals were to identify the factors driving revocations and to collaborate with other stakeholders and members of the community to identify changes in policy and practice that can reduce probation revocations and lead to better outcomes for individuals on probation while protecting public safety

St. Paul, MN: Robina Institute of Criminal Law and Criminal Justice,

Minneapolis, MN2022. 70p.

By Varun Bhadha, Matthew Clauson, Jeanmarie Elican, Fatima Khan, Kendall Lawrenz, Brooke Pemberton, Rebecca Ringler, Jordan Schaer, Mikayla Sherman, and Sarah Wohlsdorf

The use of surveillance technology to tag and track people on pretrial release, probation and parole is on the rise. The COVID-19 crisis in prisons and jails, bail reform efforts and bipartisan support for curbing mass incarceration accelerated interest in purported alternatives to incarceration. As a result, the use electronic monitoring devices, including GPS-equipped ankle monitors, went up dramatically. Thanks to the leadership of community organizers and advocates, the harmful and racialized nature of this type of carceral surveillance has been exposed. This report seeks to add to those efforts by examining the specific policies, procedures, contracts and rules that govern the use of electronic monitoring of people on probation, parole and pretrial release.4 Drawing on over 247 records from 101 agencies across 44 states and the District of Columbia, this report focuses on the operation of electronic monitoring and reveals the degree to which monitoring impacts all aspects of everyday life and undermines the ability of people to survive and thrive. In particular, this report focuses on the specific rules and policies governing people on monitors and how they restrict movement, limit privacy, undermine family and social relationships, jeopardize financial security and result in repeated loss of freedom….

Washington DC: George Washington University Law School, 2021. 54p.

By Nicola Carr

The Council of Europe recently issued Guidelines Regarding Recruitment, Selection, Education, Training and Professional Development of Prison and Probation Staff, in recognition of the need to provide a set of standards that will apply to all Council of Europe Member States. The guidelines were developed by the Council for Penological Cooperation (PC-CP) and approved by the European Committee on Crime Problems (CDPC) in April 2019. The guidelines outline a number of key principles relating to the recruitment, education and training, and professional development of prison and probation staff. In some countries prison and probation staff are employed by the same agency, and there are some areas of the guidelines that pertain to both. The guidelines also set out the educational entry standards that should apply for probation staff working directly with suspects and offenders (this echoes the terminology used in the European Rules on Community Sanctions and Measures), and some of the core areas that should be covered in subsequent training. …

Academic Insights 2020/02 . Manchester: HM Inspectorate of Probation, 2020. 12p.

By Shawn Bushway 

Job training programs for people under supervision have been based on an economic framework that identifies individuals involved in crime as a disadvantaged group with poor human capital. The best available research evidence has not found that these programs consistently improve employment outcomes. This article reviews the evidence for the effectiveness of standard job training programs and then examines new developments in the field that use alternative frameworks for understanding the roles of such programs. The first alternative is signaling: how people under community supervision use the completion of job training to signal to employers and others that the behavior that led to their conviction is either anomalous or no longer representative of them. The second alternative is a model of desistance known as identity change: the ways in which job training can help individuals solidify a new, more prosocial identity. I make sense of extant work and new alternatives and provide a set of recommendations for change in the community supervision system.

  ANNALS, AAPSS, 701, May 2022  

By Kelly Lyn Mitchell , Erin Harbinson and  Lily Hanrath

  Executive Summary The study is a collaboration between the University of Minnesota, Robina Institute of Criminal Law and Criminal Justice, and Hennepin County, funded by a grant from the University of Minnesota's Driving Tomorrow Grand Challenges research initiative. The project used a mixed methods approach examining data on healthcare use and healthcare claims by people on probation, interviews with medical providers, a survey of probation officers, and a survey and interviews of people on probation. The Robina Institute led the survey of probation officers, which was aimed at learning about probation officer attitudes and beliefs about the links between probation and health, and how they saw their role with regard to the health of people on probation. This report summarizes the findings of the survey and suggests potential policy interventions that could be implemented to improve the health and probation outcomes of people on probation.  

Minneapolis: University of Minnesota Robina Institute of Criminal Law and Criminal Justice. 2021. 27p.

By Leah Wang and gabriel sayegh

In the United States, the number of people under the surveillance of probation and parole systems is nearly twice the number of those behind bars. Community supervision, which refers mainly to probation and parole, is “too big to succeed.” (Simply defined, probation is a court-ordered “suspended” sentence served in the community, typically with a set period of supervision; parole is a conditional release after incarceration.) This is true throughout the country — and Connecticut is no exception, particularly in terms of its outsize probation system, which jeopardizes the well-being and progress of more than 30,000 people and their families. Chronically underfunded and overly punitive, probation rarely serves as an alternative to incarceration, as it was originally intended. And people released from prison to parole supervision often struggle to rebuild their lives during the reentry process….

Easthampton, MA: Prison Policy initiative, 2023. 20p.

By Beth M. Huebner and Sarah K.S. Shannon

  Probation is the most commonly imposed correctional sanction, is often accompanied by supplementary costs, and can be operated by the state or private companies. Private probation is a unique sanction used in lower courts, most often for misdemeanor offenses, and is managed by third-party actors. We focus on documenting the process and unique costs of private probation, including the rituals of compliance and proportionality of punishment. We use data from interviews with individuals on private probation and local criminal justice officials as well as evidence from court ethnographies in Georgia and Missouri. For individuals on private probation, payment of monetary sanctions is a crucial way of demonstrating compliance. Yet the financial burden of added costs for supervision and monitoring creates substantial challenges.  

Russell Sage Foundation Journal of the Social Sciences, Vol. 8, Issue 1. 1 Jan 2022

By Róisín Mulgrew  

The State duty to prevent preventable prisoner deaths is easy to state and substantiate. Yet prisoner death rates are increasing around the world and are often much higher than those in the community. To understand why this is happening, the findings and recommendations of the country reports of international oversight bodies and thematic reports from international rapporteurs are synthesised with contemporary rights-informed penal standards, multi-disciplinary scholarship, non-governmental organization reports and media extracts. On the basis of this knowledge, this reform-oriented article explores the impact of structural, societal and environmental factors on natural and violent prisoner deaths and how these factors operate cumulatively to create dangerous and life-threatening custodial environments. The paper makes recommendations to reaffirm and enumerate the positive obligation to protect prisoners’ lives, develop specialist standards, adopt a broader approach to prison oversight and create a specific United Nations mandate on prisoner rights.

Human Rights Law Review, 2023, 23, 1–25 

By Charlie Brooker and Karen Tocque

There is a high prevalence of mental illness in probation including suicide. It is important for probation staff to recognise mental illness and to refer on to an appropriate agency once it is detected. Probation’s staff knowledge about mental illness was therefore examined across Europe in this study using a well validated measure – the Mental Health Literacy Scale (MHLS). Response rates within services and countries varied widely from 0-74%. Scores on the MHLS also varied considerably from 113-138 with an average score of 128. This overall average score is similar to other groups of the population such as university students and the clergy. There was a strong association between knowledge and confidence in working with people with a mental illness. The policy implications of these findings are discussed. It is clear there is a continuing role for CEP in this arena especially in the light of the Council of Europe’s recent White Paper on mental health in probation and in prisons.   

Utrecht: Confederation of European Probation, 2023. 33p.

By Coral Sirdifield, Charlie Brooker, Rebecca Marples 

A narrative systematic review was undertaken of the literature concerning the health of people on probation. In this paper, we provide an up-to-date summary of what is known about suicide and suicidal ideation and probation. This includes estimates of prevalence and possible predictors of suicide and suicidal ideation. Searches were conducted on nine databases from January 2000 to May 2017, key journals from 2000 to September 2017, and the grey literature. A total of 5125 papers were identified in the initial electronic searches but after careful double-blind review only one research paper related to this topic met our criteria, although a further 12 background papers were identified which are reported. We conclude that people on probation are a very high risk group for completed suicide, and factors associated with this include drug overdose, mental health problems, and poor physical health. There is a clear need for high quality partnership working between probation and mental health services, and investment in services, to support appropriate responses to suicide risk.  

Forensic Science International: Mind and Law Volume 1, November 2020,

By Coral Sirdifield, Charlie Brooker, Rebecca Marples

A narrative systematic review was undertaken of the literature concerning the health of people on probation or parole (community supervision). In this paper, we provide an up-to-date summary of what is known about substance misuse in this context. This includes estimates of the prevalence and complexity of substance misuse in those under community supervision, and studies of the effectiveness of approaches to treating substance misuse and engaging and retaining this population in treatment. A total of 5125 papers were identified in the initial electronic searches, and after careful double-blind review only 31 papers related to this topic met our criteria. In addition, a further 15 background papers were identified which are reported. We conclude that internationally there is a high prevalence and complexity of substance misuse amongst people under community supervision. Despite clear benefits to individuals and the wider society through improved health, and reduced re-offending; it is still difficult to identify the most effective ways of improving health outcomes for this group in relation to substance misuse from the research literature. Further research and investment is needed to support evidence-based commissioning by providing a detailed and up-to-date profile of needs and the most effective ways of addressing them, and sufficient funds to ensure that appropriate treatment is available and its impact can be continually measured. Without this, it will be impossible to truly establish effective referral and treatment pathways providing continuity of care for individuals as they progress through, and exit, the criminal justice pathway.  

Utrecht: Confederation of European Probation, 2020.

By Kelly Roberts Freeman, Ammar Khalid, Lily Robin, Rochisha Shukla, Paige Thompson and Robin Olsen

Probation revocation to jail or prison can result when a person is arrested for a new crime or is in violation of their probation conditions. The nature of probation supervision and how these violations relate to revocation varies depending on individual factors and the local context. Through the Reducing Revocations Challenge, the Urban Institute partnered with the Adult Probation Services Division of the Arizona Administrative Office of the Courts and the Pima County Adult Probation Department to shed light on the revocation pathways in Pima County and to identify policy solutions to address them. Specifically, this mixed-methods study aimed to examine 1) the types of noncompliance that occur (i.e., new crimes and technical violations); 2) probation officer and judicial responses to noncompliance; and 3) the role of client, caseload, and supervision characteristics on formal violations and revocation. This report presents our analysis of administrative probation data contextualized by a qualitative assessment of state and local policies, probation client case files, and interviews with probation officers, judges, and community providers. This allowed us to explore in-depth the factors, circumstances, and behaviors that drive both petitions for revocation and revocation outcomes. We provide policy implications based on these findings to safely reduce revocations and maximize supervision success.

Washington, DC: The Urban Institute, 2021. 55p.

Edited by Madeline M. Carter

The manner in which jurisdictions respond to parole and probation violations should be thoughtful and deliberate. Although each case requires individual decision-making, the response to a given violation should be consistent with policy developed by that jurisdiction. Agency violation policies should be built around such considerations as assessment of risk posed by the offender, case processing requirements, local resource availability, and outcomes desired by the agency for certain types of violations. Agency violation policies guide line staff in making supervisory decisions and assist decision-makers in reaching consistent and equitable dispositions. During the past decade, the National Institute of Corrections (NIC) helped 29 jurisdictions address violation issues by providing onsite technical assistance. Many other jurisdictions have expressed interest in receiving such support. Among the lessons learned is that goals, resources, and values differ from one place to another. It is vital that jurisdictions work through a process leading to informed policy options that meet their particular needs. This handbook is built around what we have learned about how agencies effectively address violations policy. Expanding on information and examples from the 29 jurisdictions, this document is designed to lead agency policy teams through a series of activities to help them develop their own set of violation policies. This is a difficult initiative for agencies to take on; however, it is important and essential work, and the resulting agency policy is worth the commitment. I urge agency administrators to use the materials in this handbook to develop probation and parole violation policies that best conform to the needs and resources of their jurisdictions.

Silver Spring, MD: Center for Effective Public Policy, 2001. 105p.

By Madeline Carter

In 2011, while working in Milwaukee, Wisconsin, on the Evidence-Based Decision Making Initiative, sponsored by the National Institute of Corrections (NIC), the Center for Effective Public Policy (the Center) pioneered the concept of “dosage probation.” In 2012, NIC awarded a cooperative agreement to the Center and its partner The Carey Group to develop a model that would further explore this concept and outline the activities, processes, and objectives that a jurisdiction would carry out at the individual case, agency, and system levels to implement dosage probation as a risk reduction intervention. The model was introduced through the publication of a monograph entitled Dosage Probation: Rethinking the Structure of Probation Sentences (Carter & Sankovitz, 2014). In subsequent years, NIC supported implementation of the model in two pilot sites: Napa County, California, and Washington County, Minnesota. Much has been learned from these pilot efforts.

The dosage probation model suggests that the length of supervision should be determined by the number of hours of intervention necessary to reduce risk as opposed to a standard probation term, such as 3, 4, 5, etc., years. Dosage probation is designed to incentivize behavior change by providing an opportunity for the individual under supervision to receive early termination from probation if they successfully engage in risk reduction interventions tailored to their criminogenic needs, in a “dose” matched to their risk level. This document, the second in a series, provides background information on the dosage probation project; a summary of the literature pertinent to dosage; and information about the dosage pilot sites, including key lessons that emerged from the pilot project. It also lays the foundation for a forthcoming set of resources on this topic: The Dosage Probation Toolkit.

Silver Spring, MD: Center for Effective Public Policy, 2020.