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ANNALES INTERNATIONALES

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DE CRIMINOLOGIE

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organe officiel de la Société internationale de Criminologie.

Président : M. Giacomo CANEPA (ltalie)

Secrétaire général : M. Georges PICCA (France)

COMITÉ DE RÉDACTION DES ANNALES

Président : M. Albert J. REISS Jr. (U.S.A.)

Président de la Commission Scientifique

Secrétaire : M. Pierre-Henri BOLLE (Suisse)

Secrétaire de la Commission Scientifique

Rédacteur en chef : M. Georges PICCA (France)

Membres

MM. Enrique BACIGALUPO (Argentine/Espagne), Alessandro BARATTA (Répu-

blique fédérale d’'Allemagne), Mmes Michèle BARIL (Canada), Ulla BONDESON

(Danemark), Maureen CAIN (Grande-Bretagne), Anne-Marie FAVARD (France),

MM. Paul FRIDAY (U.S.A.), Ryuichi HIRANO (Japon), Georges KELLENS (Bel-

gique),

Obrad PERIC

(Yougoslavie), Emiro SANDOVAL (Colombie), Jacques

SELOSSE (France), Mme Louise SHELLEY (U.S.A.).

ÉDITORIAL

Ainsi que nous l’avions annoncé (1), ce nouveau numéro des ANNALES

INTERNATIONALES DE CRIMINOLOGIE est entièrement consacré à un

compte-rendu des travaux du |Xème Congrès International de Criminologie

qui a eu lieu à Vienne (Autriche) du 25 au 30 septembre 1983. Les contrain-

tes — notamment financières -- qui pèsent sur la rédaction n'ont pas permis

de publier plus tôt ce compte rendu et, nous le regrettons.

«LA RELATION DE LA CRIMINOLOGIE AVEC LES POLITIQUES

ET PRATIQUES SOCIALES», tel était le thème central de ce Congrès,

ôŸganisé par la Société Internationale de Criminologie. Le propos introduc-

tif de Denis Szabo et la synthèse de notre nouveau Président le Professeur

Giacomo CANEPA, permettront au lecteur de mesurer, à la fois, les ambi-

tions de cette réunion et, les enseignements que l’on peut en retirer. L'utilité

sociale d’une criminologie scientifiquement pluraliste mais également, réa-

liste dans la contribution à la mise en œuvre de politiques nouvelles adaptées

aux défis actuels du crime, ne devrait plus être contestée.

Les travaux du Congrès se sont déroulés dans quatre sections autour

desquelles s’ordonne ce volume. Ces sections ont donné lieu à un nombre

important de rapports, ainsi que de communications libres dans les ateliers

_et tables rondes.

On trouvera dans ce numéro des ANNALES, les principales contribu-

tions présentées au Congrès. Ces contributions sont le fait d'universitaires,

chercheurs, praticiens ou responsables de la justice pénäle, venus de diverses

régions du monde. Elles témoignent de la diversité des approches du pro-

blème du crime, de la richesse des travaux de recherche, ainsi que des répon-

ses différentes de la société, face à ce problème.

Le Congrès de Vienne a notamment permis d'établir un bilan provi-

soire de l'’état de ces réponses. | permet de conclure que, si, la criminologie

n'occupe pas toujours la place qui pourrait légitimement être la sienne —

notamment auprès des responsables de l'ordre public et de la justice pénale

— Son influence va croissant. !! faut voir dans cet état de choses, non seule-

ment, une preuve du dynamisme des criminologues, mais aussi la prise en

compte dans diverses régions du monde des insuffisances de la justice pénale

traditionnelle. La criminologie représente un espoir de rénovation pour les

différentes politiques anticriminelles qui ont jusqu'ici enregistrées des résul-

tats souvent équivoques. Car au-delà des controverses stériles sur la sévérité

ou le libéralisme, ce qui compte c'est, non seulement une meilleure connais-

sance du phénomène criminel mais aussi l'efficacité des actions mises en

œuvre pour assurer une meilleure prévention et, par voie de conséquence, la

sécurité de la communauté sociale, dans un monde qui change.

On peut espérer que tous ceux qui, à des niveaux différents, sont inves-

tis de responsabilités dans les domaines qui ont été explorés au Congrès de

Vienne, trouveront dans ce compte rendu des enseignements utiles.

*

*

*

Depuis la publication du précédent numéro des Annales, des modifica

tions sont intervenues dans la direction et l'administration de la Société, le

Professeur Giacomo CANEPA est devenu depuis le 22 février 1985 Président

de notre Société, succédant au Professeur Denis Szabo. Messieurs les Profes

seurs Albert J. REISS Jr., H.J: KERNER et PH. BOLLE ont été respective

ment élus à la présidence, vice-présidence et Secrétariat général de la Com

mission Scientifique. Enfin le 23 novembre 1985 le Conseil de Direction a

élu Monsieur Georges PICCA Avocat Général à la Cour de Cassation

(France) et professeur Associé à l'Université de Paris Nanterre, Secrétaire

Général de la Société Internationale de Criminologie.

Le Secrétariat Général a enfin connu, au cours de l'année; une doulou

reuse épreuve avec la perte de Madame Christiane CAMBOUNET, à laquelle

le Président Jean PINATEL rend ici l'hommage qui lui était dû.

LA RÉDACTION

IN MEMORIAM

Christiane CAMBOUNET

(1930-1984)

En prenant la plume pour retracer à grand traits la vie de Christiane

CAMBOUNET, je me sens étreint par une émotion indicible. Car je puis

difficilement admettre que, jeune encore, elle nous ait été enlevée après une

longue et cruelle maladie. Ce fut, pour elle, un calvaire douloureux et, pour

nous tous, la prise de conscience de notre impuissance devant un processus

inexorable.

Christiane CAMBOUNET, dont la famille a des racines occitanes, est

née à Paris le 7 septembre 1930. Après des études secondaires, elle se dirigea

vers le Secrétariat. Les circonstances la conduisirent à entrer à l’Administra-

tion Pénitentiaire. Le 17 novembre 1952, à l’issue du 2ème Cours Interna-

tional de Criminologie, mon regretté ami Charles GERMAIN la mettait à

la disposition de notre Société.

De 1952 à 1965 elle fut, pour moi, une collaboratrice remarquable.

Lorsqu’en 1965, Georges FULLY me succéda, elle assuma de plus en plus

de responsabilités. Après la mort tragique de Georges FULLY en 1973, dis-

parition que nous avons profondément ressentie, Christiane CAMBOUNET,

durant ma présidence et en liaison avec mon ami HALL Williams, devait

avoir la haute main sur tous les services de la Société Internationale. Elle

avait accepté, en outre, d’assurer le secrétariat de l’Association Française

de Criminologie, qui fut longtemps présidée par Yves ROUMAJON.

Christiane CAMBOUNET m’apporta une aide considérable dans la pré-

paration du Congrès International tenu à Lisbonne en 1978. Lorsque je pris

ma retraite après ce Congrès, elle resta à son poste et suivit alors la nouvelle

équipe dirigeante composée de Denis SZABO et de Jacques VERIN. Mais

bientôt elle allait être opérée, et, peu après, sa maladie repris son cours

inexorable.

La personnalité de Christane CAMBOUNET était caractérisée par

l’amour qu’elle portait à sa mère. Elle vécut toute sa vie avec elle, se sacrifia

pour elle, la soigna jusqu’à son dernier soupir. Cette piété filiale exemplaire

la priva de la joie de fonder elle-même une famille ; elle demeura célibataire.

On peut, sans doute dire, que son attachement pour ses fonctions à la

Société Internationale de Criminologie compensa, dans une certaine mesure,

cette absence de foyer personnel. Son dévouement était, en effet, sans limite

et elle s’imposait par son intelligence et sa gentillesse. Tout le monde

—“5-

l’aimait et la respectait. Elle était, au surplus, d’une loyauté absolue et le

bien de la Société se confondait avec son bien propre.

Christiane CAMBOUNET a marqué la Société Internationale de Crimi-

nologie, et elle a conquis notre affection. Et c’est pourquoi, nous avons été

nombreux à nous incliner devant sa famille, nous associant à sa douleur et

la partageant, à l’issue de la cérémonie religieuse de la Chapelle des Otages

à Paris. Nous avons alors compris combien cette amie admirable avait été,

durant sa vie, animée par une foi sans faille qui lui a permis, il faut l’espérer,

de surmonter l’angoisse de ses derniers jours.

Jean Pinatel

_6—_

TABLE DES MATIERES

TABLE OF CONTENTS

INDICE-

ALLOCUTIONS D'OUVERTURE

DU IXème CONGRES INTERNATIONAL

Mrs

Denis Szabo Président en exercice de la Société

. ° . - . . . . .

Christian Broda Ministre de la Justice (Vienne)

17

Minoru Shikita Chef de la Section de la Prévention du

Crime et de la Justice Pénale des NU................

21

SECTION !

Le statut, les rôles de la criminologie et ses rapports institutionnels

avec les politiques et pratiques sociales

Mrs

A. Baratta : Sur la criminologie critique et sa fonction dans

la politique criminelle

» . À ° . ». . . . ° . e + . . ° . »À . ° . ° ° ° . °

27

M.W. Klein : Criminological theory and public policy

selected American experiences

. ° . . ® . ° . . » . ° ° ° ° ° ° . °

45

P. Rock : The status and roles of criminology and its

institutional relations with public policy and practice

65

P. Tôrnudd : À more sombre mood

67

SECTION II

La création des lois et leur réception par la société

Mme

Delmas-Marty : la création des lois et leur réception par la

société

. . . » . . . . e » . ° . ° ° . . . . ° . ° . . . . . … . ° . . . . . .

83

Mr

B.V. Korobeinikov : Criminological aspects of Soviet crimi

nal policy

. . . À ° . .… À . ° ° ° . . ° ° . . ° . ° . . . . ° ° . . ° ° . . °

103

Mr

Steinert : The costs of legality: some conclusions from the

resuits of research in penal legislation and criminal law

development

° . . À . . ° ° . ° . . . . ° ° . . . ° . . À . ° Û . . ° . ° .

119

Mr

Ch. F. Welford: Criminology and criminal law reform : the

case of sentencing reform in the United States

129

SECTION III

Les politiques et les pratiques sociales propres au système pénal

(peine et traitement)

Mrs

Bajo Fernandez : Mutua interaccion entre ciencias juridicas

y criminologicas, opinion publica y derecho positivo frente

a la ejecucion de las penas de prision

143

_7—

A.K. Bottomley : Criminal statistics and penal policy

social criticism and the «Enlightenment» function of cri-

minology

. . . Q . ° . . ° . . . . . . . . . Û . . ° . . . . . . . . ° . ° °

.

167

D. Fogel : Probation work in small agencies: a national

. * . ° . . . . . Q . . . Û .

191

study of training provisions and needs

Mme

K. Gônczôl: Hungarian public policy in relation to its cri

° . ° . . ° . . ° Û . Û ° . . . . . ° . . . . ° . . .

225

minal justice system

SECTION IV

Les politiques et les pratiques de controle social

extra-pénal et informel (prévention)

Mrs

T. Bandini : Politique et pratique du contrôle informel

de la délinquance : la situation italienne

. . . . Q . . . . . ° . . .

251

A. Normandeau : Alternatives au système pénal : une utopie

de l’an 2000 ?

.. . . . . . . . . . . . . . . . . . . . . . ° Û . . . . ° . .

261

L. Sebbah : Policies and practices of informal social control

. . ° . Q . . °

271

outside the criminal justice system (prevention)

K. Sessar : Machen wir

auch die schwehter der justiz zu

pflugscharenl. We should beat the swords of justice into

plowshares

. . . . . . . . . ° . . . . . ° . . ° » . ° . . ° . . . . . . Û .

291

Mr

G. Canepa Président de la Commission Scientifique de la

Société Internationale de Criminologie.

La criminologie et ses relations avec les politiques et prati-

ques sociales

. . . ° . ° . . . . . . . . . . . . ° . . . * . . . ° . . . . .

295

ANNEXE

Liste des communications acceptées

. . . . . . . . . . . . . Û . .

303

-_8_

DISCOURS INAUGURAL

|IXe CONGRES INTERNATIONAL DE CRIMINOLOGIE

Denis Szabo (1)

Peu de personnes contesteront le fait que la grande prospérité matérielle

des pays, surtout développés, entre 1950 et 1975, a consolidé les bases de la

démocratie économique et sociale, timidement amorcées durant l’entre-deux

guerre. Cette démocratie sociale qui suscitait l’édification de l’État Provi-

dence dans les pays occidentaux et la confirmation des principes socialistes

de la légalité dans les pays de l’Europe de l’Est eut des effets bénéfiques sur

la politique criminelle. Celle-ci, considérée longtemps comme une simple

application des dispositions du droit pénal dans l’administration de la jus-

tice, fut élargie aux dimensions d’une politique sociale.

Les sciences sociales, en particulier les sciences économiques et politi-

ques, ont joué un rôle déterminant dans le développement de ce changement

social planifié qui fut, en fait, la politique économique et sociale des gouver-

nements d’après guerre. La sociologie tirait un peu en arrière : plus proche

de ses origines philosophiques, elle faisait davantage écho que les autres

sciences de la société à la crise épistémologique qui a secoué les sciences

humaines et la philosophie dans les années 60. La dichotomie entre réforme

et révolution, changement ou rupture paralysait bien des volontés devant

l’engagement pragmatique qu’exigeait la politique sociale. Néanmoins la

collaboration, l’intéraction entre l’université et le gouvernement fut intense

méme dans les pays comme les États-Unis ou le Canada, où il y eut peu de

précédents à ce genre de relation.

En 1967, lors du XVIIe Cours international de criminologie (tenu à

Montréal), cette nouvelle perspective en criminologie fut présentée dans

toute son ampleur : on s’efforçait de dresser le programme d’une recherche

et d’une action sociale inspirée par la criminologie dans les domaines d’appli-

cation. Il s’agissait de la resocialisation, de la police, des tribunaux et de

l’application des peines, de la prévention (Szabo, et al, Criminologie en

Action, 1968). Le souffle qui inspirait ce cours, captait bien l’esprit du

temps. Du silence de son cabinet de travail, de l’atmosphère sereine de son

laboratoire, le «criminologue» fut appelé par les «princes qui nous gouver-

nent». On les invitait à mettre en œuvre ce qui semblait résulter de leurs

travaux de recherche. Ce fut en tout cas la situation en Amérique du Nord.

En Europe, tant de l’Est que de l’Ouest, les traditions bureaucratiques

(1) Président en exercice de la Société Internationale de Criminologie.

Q —

furent plus pesantes. Néanmoins, les hommes d’État, les hauts fonction-

naires éclairés ont tenté d’infléchir le penchant routinier de l’appareil d’État

en y introduisant des réformes inspirées par les mouvements tels que la

«Défense sociale nouvelle» . Le pouvoir des partis communistes étant conso-

lidé dans les pays socialistes, ceux-ci s’ouvraient, de plus en plus, vers l’ensei-

gnement des sciences criminologiques.

La crise économique et sociale qui ébranle, actuellement, l’édifice de

l’État-providence, la crise épistémologique et politique qui bouleverse les

sciences sociales et surtout la sociologie, liée traditionnellement à la pensée

criminologique, ont provoqué un brutal coup d’arrêt de cette réforme

sociale planifiée, née dans l’après-guerre. Il s’est constitué, aux côtés de la

criminologie clinique traditionnelle, d’une criminologie à vocation étiologi-

que, une autre criminologie qualifiée suivant les auteurs (et suivant les nuan-

ces quelque peu scolastiques) de criminologie critique, radicale, interaction-

niste ou de la réaction sociale. Cette nouvelle tendance scientifique contes-

tait plusieurs postulats de la science «traditionnelle». Elle fut le fruit des

conflits nés de l’engagement des criminologues dans l’œuvre de la réforme

sociale. Celleci ne peut, évidemment, guère prétendre à la neutralité. À

l’instar de la politique, l’œuvre de réforme exige un engagement normatif

au service de certains idéaux. Si la neutralité de certaines démarches métho-

dologiques fut préservée de justesse, tout l’appareil conceptuel de la crimi-

nologie fut déclaré problématique donc objet de contestation légitime et

nécessaire. Dans les sociétés normatives et intégrées telles que les sociétés

rurales traditionnelles ou les sociétés socialistes, ces problèmes ne prédomi-

nent pas. En revanche dans les sociétés partiellement intégrées, comme c’est

le cas des démocraties libérales occidentales, cette situation présentait un

problème sérieux pour les criminologues.

Le moment semblait, dans ces conditions, bien choisi, pour consacrer

les travaux des assises mondiales de la criminologie, au seuil du dernier quart

de notre siècle, à dresser le bilan d’une action et d’une recherche qui se sont

déroulées depuis une vingtaine d’années. La criminologie fut vraiment en

«action» durant ces décennies. À quels espoirs répondait-elle ? Quels résul-

tats anticipait-elle ? De quels postulats procédait-elle ? Enfin, qu’est-ce que

tout cela a-t-il donné ?

Les paroles introductives au congrès, que je reproduis telles quelles dans

la première partie, sont inspirées de l’état d’esprit cristallisé pour la première

fois lors du XVIIe Cours International de criminologie tenu à Montréal.

Elles en gardent les préoccupations fondamentales : la science au service du

changement (progrès ?) social, l’harmonisation de la politique criminelle

(pour la première fois !) avec les mouvements de la politique sociale sont-

elles concevables ? Sont-lles justifiables ? La «post-face» constitue des

réflexions qu’inspirent la lecture des contributions qu’on lira dans ce

volume. C’est un retour critique, une réflexion plus sereine sur le bilan qui

— 10 —

fut dressé par cette génération de chercheurs qui pratiquait ou critiquait la

criminologie en action. C’est la première génération de «criminologues à

temps plein» qui avait, à la fois, une expérience pratique et une distance de

la criminologie et de la politique criminelle comme dimension de la politi-

que sociale. Leur réflexion constitue, pour moi, la fin d’une époque, celle de

l’innocence et le début d’une autre que je laisse à chaque lecteur le soin

de qualifier…

Conçue dans les années fiévreuses précédant le deuxième guerre mon-

diale, notre Société s’appuie cependant sur une tradition qui remonte à la

fin du XIXe siècle. Dans le cadre congrès d’anthropologie criminelle, se réu-

nissaient alors des médecins, des juristes et des sociologues préoccupés de

l’étude scientifique du phénomène criminel, de l’homme devenu criminel et

de la société criminogène. Cette étude fut inspirée par la volonté des pre-

miers criminologues de porter un nouveau regard sur les causes obscures des

conduites criminelles, grâce à cette science nouvelle. Cette époque : la fin du

siècle, fut empreinte d’optimisme. On nourrissait l’espoir puissant que le

progrès économique, social et scientifique ne manquerait pas de provoquer

le progrès moral. Ce progrès, à son tour, devait encourager l’esprit de coopé-

ration contre le conflit, de l’altruisme contre l’égoïsme, de la vertu, en

somme, contre le vice. On ne croyait pas que le progrès moral se ferait auto-

matiquement mais on croyait fermement que la connaissance scientifique

des sources et des modalités des comportements criminels devait nous

conduire, nécessairement, à l’élimination progressive des causes persistantes,

d’ordre économique, social et psychologique de la criminalité. Il y avait bien

quelques rares exceptions, tel Bergson, qui s’interrogeaient avec scepticisme

sur la simultanéité du progrès matériel et moral, sur l’effet d’entraînement

qu’aurait le premier sur le second. Leurs voix, prémonitoires, demeuraient

isolées au milieu des «croyants» du progrès illimité. Le ton des premiers cri-

minologues lors des congrès, comme celui du fondateur de notre Société,

l’illustre maître italien Benigno di Tullio, fut empreint d’un optimisme

profond. Pourvu, pensait-on, que nos législateurs et nos ministres compren-

nent les enseignements de la science. Pourvu seulement qu’ils s’éclairent

dans leur décisions par ce que nous propose la science, nous aurons une

société plus civilisée qui traitera le crime et le criminel comme un problème

social ou un problème d’inadaptation ou d’aberration psychologique.

Dès Beccaria, grand précurseur de la criminologie, les esprits généreux

et épris de progrès réclamaient l’adoucissement des rigueurs barbares du bras

séculier. Jusqu’à nos jours, les criminologues se sont rangés, dans leur majo-

rité, auprès des faibles contre les forts, auprès de ceux qui défendent la

dignité de l’homme, méme celle des plus indignes de nos congénères.

— 11 —

Telle est la tradition de notre discipline : tradition qui se confond avec

la croyance dans l’utilité de la connaissance pour une organisation sociale et

une adaptation humaine harmonieuse. Cette tradition inclut le respect

mutuel des droits, encourage l’équilibre entre les droits et les devoirs, entre

les obligations et les libertés. Cette traditions pèse sur notre discipline, elle

s’impose aux criminologues. La preuve : les régimes totalitaires, qui écrasent

l’homme au service d’idéaux prométhéens, ne tolèrent pas notre science. La

criminologie y est absorbée dans l’appareil répressif de l’état. Il n’y a pas de

place dans de tels régimes pour la tradition criminologique, pour les crimino-

logues.

Il y a également ceux qui voient dans le crime l’expression d’une

volonté délibérée de nuire, d’une nature bestiale et prédatrice, les manifesta-

tions de l’esprit du mal que la société doit durement réprimer. Il n’y a pas

de place dans l’esprit de ces gens ni pour la tradition criminologique, ni pour

les criminologues. Les effets conjoints de l’efficacité de la prévention géné-

rale et spéciale devraient suffire pour protéger la vie et les biens des citoyens

pourvu qu’elles soient vigoureuses et implacables.

Devant ces deux menaces, devant ces deux puissantes tentations, quelle

est la place de la criminologie ? Notre tradition nous oriente vers la porte

étroite où ne passent pas les solutions faciles. Les problèmes criminels ne

furent jamais réglés par la force brutale, par l’implacable rétribution ni l’es-

prit de vengeance. L’histoire terrible de l’application des peines doit en con-

vaincre le plus endurci des «rétributionnistes». Le passé mi-centenaire de

l’État Providence et d’une prospérité matérielle sans précédent n’a pas résolu

non plus, parfois bien au contraire, le problème de la prévention du crime.

La consolidation des régimes socialistes dans de nombreux et grands pays du

globe ne semble pas avoir réussi à écarter définitivement, comme d’aucuns

l’espéraient, la menace criminelle.

Cette porte étroite de la tradition criminologique tient compte de trois

principes et s’efforce de les accorder au service de l'homme. Il y a d’abord

le principe de la liberté ‘qui commande celui de la responsabilité. Nous ne

sommes pas une termitière, n’en déplaise à certains socio-biologistes, et nous

ne pouvons pas non plus substituer la coercition, fusse-t-elle d’inspiration

scientifique comme dans «l’Orange mécanique» , à la libre acceptation des

conséquences de nos propres actes. Il y a ensuite le respect de la liberté des

autres, de la collectivité. Chacun de ses membres à un droit inaliénable à la

sécurité de sa personne et de ses possessions. L’homme doit être astreint au

respect de cette liberté par les lois clairement rédigées, équitablement et

efficacement administrées. Enfin, le troisième principe postule qu’une meil-

leure compréhension de la nature humaine dans ses déterminants biologi-

ques, psychologiques, socioéconomiques et politiques assure une meilleure

adaptation des deux premiers principes à la réalité et à la spécificité de

l’homme dans l’ordre, perpétuellement en changement, des êtres vivants.

—_12 —

Notre Congrès, par le thème qu’il s’est donné, s’inscrit résolument

dans la tradition criminologique telle que nous venons de l’évoquer. Nous

désirons cheminer à travers cette porte étroite qui s’ouvre entre ces trois

principes. Nos Congrès quinquenaux dressent le bilan provisoire des grands

débats et des recherches en cours dans notre discipline. Je ne veux pas anti-

ciper sur ces débats, ni sur les conclusions qui naîtront au terme de cette

semaine d’échanges et de communications incessantes. Je sais sesulement que

nous allons aborder des sujets d’importance cruciale non seulement pour

l’avenir de la criminologie mais pour la qualité de la vie morale et matérielle

de nos sociétés, développées ou en voie de développement, d’inspiration

capitaliste ou socialiste. La criminalité, en dernière analyse, exprime un

malaise individuel et un malaise social. Satisfaire ses désirs au détriment des

autres est un comportement inacceptable à New-York comme à Moscou,

à Pékin comme à Rio de Janeiro. La riposte pénale, la politique de préven-

tion générale, la mobilisation de la communauté pour revitaliser les mécanis-

mes du contrôle social subissent l’influence de processus d’une grande com-

plexité. Il y entre des facteurs qui tiennent aussi bien de l’environnement,

du milieu social que du milieu interne de l’homme, de sa « nature» si diffi-

cile à cerner avec ses potentialités qui peuvent être orientées aussi bien vers

le mal que le bien.

Certains affirment — et qui oserait dire qu’ils n’ont pas un grain de

vérité — que, si nous mettions en œuvre tout ce que nous savons déjà sur la

criminalité et l’homme délinquant, nous ferions des progrès immédiats dans

notre quête d’une société plus libre et plus sécuritaire. Interrogeons, dans

chacun de nos pays, des policiers, des magistrats, des officiers de probation

ou des éducateurs sur ce qu’il faudrait faire, concrètement, pour réduire la

criminalité. La plupart n’hésiteront pas à dresser des catalogues de mesures

fort précises. Imaginons un instant ce qui pourrait figurer dans cette liste.

En coopération avec les citoyens et les services de sécurité privée, la police

renforcerait sa surveillance des rues et des places publiques ou s’agrègent

les éléments suspects. Les groupes de voisins se constitueraient dans les

grandes villes ayant une forte proportion de population mobile ou nomade

pour assurer une certaine cohésion sociale au sein de l’unité géographique.

Ils feraient des pressions sur les pouvoirs municipaux pour obtenir des unités

sociales viables. Ces mêmes pressions, orientées cette fois-ci vers les autorités

scolaires, renforceraient la discipline et décourageraient la fréquentation des

écoles et des collèges par les jeunes adultes non motivés pour l’étude. Les

procureurs tiendraient compte, dans l’acte d’accusation, de la carrière cri-

minelle complète des accusés, sans exclure les dossiers des cours juvéniles.

On supprimerait les règles de procédures qui provoquent de longs délais

entre la commission d’un délit, l’inculpation et la sentence. Le juge aussi

devrait disposer des informations détaillées pour l’évaluation des chances

de récidive et du degré de dangerosité des personnes convaincues de la com-

mission d’un crime. Les délinquants peu dangereux devraient purger leurs

peines sous surveillance dans la communauté. Ceux qui représentent de

—13 —

graves risques de récidive et dont le crime est grand devraient être incarcérés

pour de longues périodes. Les délinquants coupables d’un premier délit

grave subiraient une courte peine. Les programmes de traitement devraient

être disponibles pour les personnes souffrant de troubles psychologiques ou

d’intoxication. Nul criminologue averti ne peut s’inscrire en faux contre ces

propositions.

Chacun connaît cependant les innombrables obstacles concrets qui

empéchent leur application. Ils tiennent aux intéréts corporatifs, aux arriè-

res-pensées, aux conflits de juridiction, à la tendance à la bureaucratisation

ou à l’excessif juridisme des procédures. De toutes les branches de l’adminis-

tration publique, celle de la justice pénale offre la plus grande résistance à

la modernisation.

Est-ce à dire que l’expérience et la connaissance scientifique sont inca-

pables de pénétrer et d’inspirer notre politique criminelle ? Ce n’est certai-

nement pas le cas. Dans tous les pays, on relève des progrès notables dans

la collecte des informations statistiques sur les mouvements de la crimina-

lité, sur la personnalité des accusés ou des condamnés. La formation du per-

sonnel a fait des progrès considérables surtout si l’on se rappelle qu’il y a

peu de temps encore, le niveau d’instruction des détenus était parfois supé-

rieur, dans certains pays, à celui de leurs gardiens… La qualité de l’expertise

utilisée ou utilisable aussi bien dans le diagnostic que pour la classification

en vue de traitement ou l’application du régime pénal fait l’objet d’études

de plus en plus approfondies. En somme, la criminologie constitue un

apport croissant, grâce à la qualité de ses expertises, à notre connaissance

de l’homme criminel et des facteurs criminogènes.

Un certain consensus se forme également sur le fait que la connaissance

de plus en plus précise de la criminalité et des criminels doit inspirer une

stratégie de prévention et de répression qui fera diminuer la tentation de

violer la loi. Agir sur des facteurs criminogènes est l’ambition suprême des

criminologues, préoccupés de politique criminelle. C’est aussi la raison d’être

des pouvoirs publics et de l’administration de la justice. Le chemin qui y

conduit est aussi parsemé d’obstacles que celui qu’empruntent toutes les

sciences sociales à vocation appliquée, inspiratrices de politiques économi-

ques et sociales. Les déboires de la planification et de la prévision dans le

domaine du transport public, de la politique énergétique ou de l’assurance-

santé sont trop bien connus : les criminologues ne sont plus les seuls à

éprouver un sentiment d’échec.

Nous espérons tous que les travaux du IXe Congrès international de

Criminologie apporteront quelque lumière sur les expériences recueillies

dans des régions ou pays du monde qui diffèrent entre eux par le régime

politique, le niveau de développement économique, la religion, la langue

ou les traditions. L’échange d’expériences, l’évaluation critique des résul-

tats, la confrontation des idées basées sur des postulats opposés constituent

— 14 —

la raison d’être d’un Congrès. Nous sommes les hôtes d’un pays qui a su faire

évoluer remarquablement son appareil judiciaire en vue d’une politique cri-

minelle équitable et juste. L’expérience autrichienne qu’incarne ministre,

Herr Broda, doyen, jusqu’à sa retraite récente de la vie politique, des minis-

tres européens de la justice, nous intéresse au plus haut point. Nous lui som-

mes reconnaissants de nous faire part de ses réflexions et nous écouterons

avec grand intérêt son bilan.

Pour les hommes de science, le monde et son histoire est un vaste labo-

ratoire. La diversité des traditions, les multiples solutions que nous appor-

tons au défi de la criminalité ne doivent cependant pas cacher la similitude

fondamentale de nos problèmes respectifs. Nous appelons tous de nos

vœux, à l’instar de nos prédécesseurs et en invoquant le témoignage de nos

grands pionniers du XIXe siècle, une justice de plus en plus informée. Beau-

coup de précepts du sens commun se sont révélés lors de l’observation scien-

tifique des faits comme étant des préjugés non fondés. D’autres ont été

reconfirmés par les investigations multiples et complémentaires. Nous

devons accepter et partager la lourde responsabilité de ceux qui assument

l’ordre et la paix publique lorsque nous présentons les résultats de nos

recherches. Ce n’est pas que nous nous assimilons aux responsables de

l’administration publique, mais nous devons être plus conscients que jamais

de la portée et des effets pervers toujours possibles des conclusions de nos

travaux. Nos fonctions critiques sont primordiales. Mais notre responsabilité

est aussi énorme vis-à-vis de nos concitoyens, victimes potentielles parfois

d’eux-mémes ou d’autrui. Nous ne devons pas susciter dans des domaines

aussi vitaux que la prévention du crime des espoirs qui risquent d’être cruel-

lement déçus. Les criminologues doivent veiller, grâce au progrès constant

de leurs recherches, à ce que la politique criminelle porte l’empreinte d’une

connaissance plus précise, plus approfondie du crime, du criminel et de la

criminalité. Pour ce faire, ils doivent communiquer les résultats de leurs

travaux au grand public et aux praticiens intéressés de la justice pénale. Ces

derniers devront considérer, de plus en plus, les chercheurs criminologues

comme des collaborateurs, des auxiliaires indispensables dans une société

civilisée qui prend à cœur de traiter les problèmes de la criminalité au

méême titre que les autres problèmes sociaux.

Les travaux de ce IXe Congrès marqueront, je l’espère de tout cœur, un

pas décisif dans la direction d’une politique criminelle où les résultats de

recherche figureront de plein droit et tout naturellement aux côtés des con-

sidérations d’ordre social, politique et moral. L’utilité sociale de la crimino-

logie, si gravement contestée dans certains pays du monde occidental au

cours des années 70, ne devrait plus faire de doute. Son indépendance ne

souffrira pas non plus de la part des pouvoirs publics. À l’instar des autres

sciences qui analysent les affaires publiques, la criminologie réalisera sa voca-

tion sociale. L’esprit de service des criminologues vaincra, j’en suis certain,

les tensions et les conflits qui peuvent surgir entre les intérêts généraux et les

intérêts particuliers des victimes et des agresseurs. Le criminologue y parvien-

dra à une seule et unique condition : ne jamais sacrifier le respect de l’homme.

— 15 —

3JEGRÜSSUNGSWORTE VON Dr, CHRISTIAN BRODA

Bundesminister fur Justiz a. D., vor dem IX. Internationalen

Kongress fur Kriminologie in Wien am 25. September 1983

Ich môchte für die Finladung danken, an Ihren Kongress einige Be-

grüssungsworte zu richten. Meine Legitimation dazu leite ich von der akti-

ven Mitarbeit an der Verwirklichung langfristiger rechtspolitischer Ziele in

Osterreich und in der europäischen Zusammenarbeit im Rechtswesen ab.

Erfolge in der Rechtspolitik kann man nur im Zusammenwirken mit der

Wissenschaft und insbesondere mit der Kriminologie erreichen.

In den fast zehn Jahren seiner Geltung hat sich unser neues Strafgesetz-

buch bewährt. Seine tragenden Gedanken haben tiefe Wurzeln im Rechts-

bewusstsein unseres Volkes geschlagen. Zweckstrafrecht, rationaler Rechts-

güterschutz, Rücknahme des Strafrechts aus dem Bereich der Privatsphäre,

Entkriminalisierung der Bagatellstrafsachen, Entwicklung von Alternativen

zur Freiheitsstrafe, nach T'agessätzen berechnete sozial gestaffelte Geld-

strafe, Ausbau der bedingten Verurteilung und der bedingten Entlassung,

Abbau der Rechtsfolgen, automatische Tilgung und Beschränkung der

Auskunft aus dem Strafregister, Bewährungshilfe sind die Neuerungen der

Strafrechtsreform mit den weitestgehenden Auswirkungen. Alle diese

Bestimmungen sollen helfen, dem Verurteilten später wieder die Wiederein-

gliederung in die Gesellschaft zu erleichtern. Dem wirksamen Schutz der

Gesellschaft vor dem gefährlichen Rechtsbrecher dienen die neuen Ein-

richtungen des Massnahmenvollzugs, in denen auch geistig abnorme Rechts-

brecher untergebracht und behandelt werden. Schon im nächsten Jahr wird

die Justizanstalt Gôllersdorf für die Behandlung geistig abnormer Rechts-

brecher ihrer Bestimmung übergeben. Osterreich betritt mit der Erôffnung

dieser Anstalt europäisches Neuland in der Strafrechtspflege.

Wir hätten dieses weitgesteckte Programm, das noch in voller dynami

scher Entfaltung steht, nicht verwirklichen kônnen, wenn nicht vom Anfang

ihrer Beratungen die Strafrechtsxommission über den Kreis der Juristen

hinaus den Rat und die Hilfe der Wissenschaft in Anspruch genommen und

erhalten hätte. Das galt vor allem für die Mediziner und die Kriminologen.

Später haben wir wertvolle Unterstützung durch das Institut für Kriminal-

soziologie (jetzt Rechtssoziologie) unter der Leitung von Univ. Prof. Dr.

Heinz Steinert, der zu den Mitveranstaltern dieses Kongresses gehôrt, er-

halten.

Aus eigener Erfahrung kann ich sagen, dass Staat und Gesellschaft

ein grosses Interesse haben müssen, gute Voraussetzungen für die Arbeit

der Kriminalwissenschafter im allgemeinen und für die Kriminologen im

besonderen zu schaffen. Fine zeitgemässe Rechtspflege und besonders die

Strafrechtspflege müssen in der Lage sein, auf die Arbeiten und die

—17 —

Erkenntnisse der Kriminologen zurückzugreifen. Die Strafrechtspflege bleibt

von den Auswirkungen der weltweiten Wirtschaftskrise nicht unberührt

Die kriminelle Anfälligkeit wird grôsser, der Mangel an geeigneter Arbeit

für Strafgefangene ist drückend, die Môglichkeiten der Unterbringung ent

lassener Häftlinge im Produktionsprozess sinken. Alle diese Folgen wirt

schaftlich schwieriger Zeiten bringen es mit sich, dass die Anstrengungen

der Gesellschaft, den Ursachen der Kriminalität wirksam entgegenzutreten

gesteigert werden müssen. Wenn die Gesellschaft bei der Kriminalität den

zeitbedingten Gefahren gegensteuern will, darf sie auch notwendige Mass

nahmen nicht scheuen. Auch der Rat der Kriminologen wird wichtiger

Zu den Beiträgen der Kriminologen zu einer wirksamen Kriminalpolitik

gehôrt auch die Mitwirkung an der Aufklärung der Bevôlkerung über die

Beziehungen zwischen Gesellschaftsentwicklung und Kriminalität. Den

Kriminologen ist hier ein weites Feld der Aktivität erwachsen. Die Bitte

sei gestattet, dass sie sich bei dieser Aufklärungsarbeit einer allgemein ver

ständlichen Sprache bedienen môgen. Ihr Erfolg ist der Erfolg der Gesell

schaft, die für ihre Reformbemühungen ein aktiv Anteil nehmendes kri

tisches Bewusstsein ihrer Bürger benôtigt

Ich kann den Beratungen Ihres Kongresses nicht vorgreifen. Vielleicht

finde ich aber Ihre Zustimmung, wenn ich einige Probleme aufzähle, von

denen ich glaube, dass sie in der nächsten Zeit die besondere Aufmerksam

keit der Kriminologen finden soliten

Vorbeugung und Wiedergutmachung sind nützlicher und wichtiger als

Strafen. Ich schliesse mich der Meinung jener an, die meinen, dass das beste

Mittel zur Bewältigung von Kriminalität der Abbau von gesellschaftlichen

Spannungen sowie die Freiheit von Furcht und Not, Angst und Unter-

drückung ist

Schadenersatz- und Wiedergutmachungsansprüche sollen im Rahmen

der Kriminalpolitik und der Gesetzgebung stärkere Berücksichtigung finden

Wir wollen soziale Gerechtigkeit auch im Strafrecht. Die nach Tages

sätzen bestimmte Geldstrafe entspricht der sozialen Gerechtigkeit

Wir wollen eine funktionierende Justiz. die wirksamen Rechtsschutz

in zumutbarer Verfahrensdauer gewährt. Die Untersuchungshaft soll nur

bei unbedingter Notwendigkeit und nicht länger als unbedingt erforderlich

verhängt werden

Die Freiheitsstrafe soll auch in der Praxis darauf beschränkt werden

«ultima ratio» zu sein, wenn andere Mittel der gesellschaftlichen Reaktion

auf sozialschädliches Verhalten nicht mehr zur Verfügung stehen. Alterna

tiven zur Freiheitsstrafe.sollen entwickelt und ausgebaut werden

Die Anhaltung Verurteilter in geschlossenen Anstalten soll schritt-

weise durch Resozialisierungsmassnahmen und Massnahmen des offenen

Strafvollzuges ersetzt werden, soweit dies unter Bedachtnahme auf den

Schutz der Gesellschaft moghch ist.

— 18 —

Der verstärkte Einsatz von Sozialarbeitern im Strafvollzug und der Aus

bau der Bewährungshilfe sind eine vorrangige Aufgabe im Interesse der Wie

dereingliederung straffällig Gewordener.

Die Wiedereingliederung von Haftentlassenen ist durch organisierte Ent

lassenenhilfe, insbesondere durch Sicherung von Arbeitsplätzen, zu fôrdern

Ich bin sicher, dass Ihr Kongress zu interessanten Ergebnissen bei der

Beratung dieser Fragen gelangen wird.

Den Unterlagen entnehme ich, dass sich ein Arbeitskreis des Kongresses

mit deni Thema «Die Zukunft der Todesstrafe» beschäftigen wird. Gestat-

ten Sie, dass ich abschliessend dazu einige Sätze sage.

Seit dem 28. April 1983 liegt das Protokoll Nr. 6 zur Konvention zum

Schutze der Menschenrechte und Grundfreiheiten über die Abschaffung der

Todesstrafe zur Unterzeichnung durch die Mitgliedsstaaten des Europarates

auf. 13 Staaten haben bisher unterzeichnet. Unter ihnen auch die Republik

Osterreich, die inzwischen auch schon das Ratifikationsverfahren eingeleitet

hat. Ich nehme an, dass unser Parlament schon in naher Zukunft die Zustim-

mung zum Beitritt Osterreichs zu diesem bedeutsamen vôlkerrechtlichen

Vertrag erteilen wird. Es ziemt sich für unser Land, zu den ersten Unter-

zeichnerstaaten zu gehôren. Wir haben durch einstimmigen Beschluss unse-

rer Volksvertretung schon vor 15 Jahren die letzte Spur an die Môglichkeit

der Verhängung der Todesstrafe auch im ausserordentlichen (z. B. standge-

richtlichen) Verfahren aus unserer Verfassungs- und Rechtsordnung elimi-

niert. Noch ist der entsetzliche Missbrauch der Todesstrafe während des

nationalsozialistischen Unrechtsstaates zu lebhaft in unserer Erinnerung.

Das 6. Zusatzprotokoll zur Europäischen Konvention zum Schutze der

Menschenrechte und Grundfreiheiten über die Abschaffung des Todesstrafe

ist das erste vôlkerrechtliche Instrument, durch das die Abschaffung bzw.

die Nichtwiedereinführung der Todesstrafe in Friedenszeiten für Mitglieds-

staaten zu einer rechtlichen Verpflichtung wird. Es trägt damit dem Stock-

holmer Appell von Amnesty International vom Dezember 1977 Rechnung.

Ich stehe nicht an, die Hoffnung auszusprechen, dass das 6. Zusatzprotokoll

zur Europäischen Menschenrechtskonvention Ansporn und Rückhalt für die

weltweiten Bemühungen um die Abschaffung der Todesstrafe auch ausser-

halb des Kreises der Mitgliedsstaaten des Europarates sein wird. Die Achtung

der Todesstrafe als Instrument gesetzlicher Strafverfolgung wird auch eine

Hilfe im Kampf gegen die «Exekutionen » ausserhalb des Gesetzes sein, die

immer wieder Gegenstand der Berichterstattung sind, an deren Authentizität

nicht gezweifelt werden kann. Amnesty International nimmt sich bekannt-

lich dieser Fälle in dankenswerter Weise mit Nachdruck an.

Ich danke Inhen für Ihre Aufmerksamkeit und wünsche den Beraturigen

des IX. Internationalen Kongresses für Kriminologie einen guten Verlauf

und vollen Erfolg.

— 19 —

ADDRESS OF Mr. MINORU SHIKITA,

Executive Secretary of the Seventh United Nations Congress

on the Prevention of Crime and the Treatment of Offenders,

at the opening session of the 9th International Congress on Criminology .

Herr Bundespräsident, Minister Ofner, Minister Broda, President Szabo,

Ladies and Gentlemen:

It is a great pleasure and an honour for me to address this Congress

on behalf of the United Nations. Within the United Nations Secretariat,

the matters related to criminology and criminal policy are handled almost

exclusively by the Crime Prevention and Criminal Justice Branch of the

Centre for Social Development and Humanitarian Affairs, which was trans-

ferred to Vienna from New York three years ago. It is particularly fortunate

for the United Nations that the Congress is taking place in Vienna, thus

making it possible for many of our staff to follow the work of this import-

ant international event closely. It is also particularly fortunate that this

Congress is being held at this particular time, which for us is crucial for

the substantive preparations of the Seventh United Nations Congress on the

Prevention of Crime and the Treatment of Offenders, which will be held

in 1985.

The topics of the United Nations Congresses reflect, I believe, many

of your own concerns. These include: issues of crime and crime prevention

in the context of development and socio-economic processes, such as

urbanization and industrialization: the problems of youth, crime and justice,

new perspectives in criminal justice administration, the need to limit crimi-

nal victimization and to devise policies on behalf of victims to aid them in

their quest for justice and redress; and the necessity to expand the network

of internationally accepted quidelines, standards and norms in criminal

justice, as well as to increase their effective implementation. All of these

issues relate to areas which are going to be considered by your Congress

and can profit immensely from your discussion and inout. Such input

and contributions are much more essential now than ever before: in fact

the gradual change in the nature of the United Nations Congresses which

have been transformed from large-scale meetings of practitioners, experts

and scholars, to full inter-governmental conferences has enhanced the im-

portance and significante of securing sufficient scientific and academic

inputs from the Non-Governmental Organizations to all stages of our

preparations.

The essential role and functions of Non-Governmental Organizations,

such as yours in the realization of the United Nations programmes are

undeniable:

— 21 —

First, you provide a link between the individual criminal justice prac-

titioners, scholars and all others concerned with crime prevention, on the

one hand — and on the other, the specialized official bodies, national and

international. It is you who keep the public informed of possible advances

and positive achievements in various fields, or of obstacles encountered.

In this general role as disseminators of information you are truly irreplace-

able.

Second, your Non-Governmental Organizations play an indispensable

role in furthering the aims and objectives of the United Nations Charter

on the important subject of education for citizenship. Thus it goes without

saying that your research efforts, periodicals, scientific publications, the

journeys you undertake to both developing and developed countries, and

your lectures, conferences and congresses play a significant role not only

in advancing knowledge among your scientific community or the elite, but

also in educating the citizenry absorbed in the day-to-day business of

living.

Last but not the least of the many functions of Non-Governmental

Organizations is that of stirring official bodies to action. It could be said

with a degree of certainty that many problems would have never become a

part of the agenda of the United Nations bodies, including our United

Nations Congresses, if not for the initiative or action of Non-Governmental

Organizations. Many of you will recall various important meetings organize d

by the International Society of Criminology which provided the United

Nations with their valuable expertise and impetus.

This is why there has been a long-lasting tradition of close and mutually

beneficial co-operation between the United Nations and the International

Society of Criminology. This tradition dates back to the period of the

establishment of our programme, when the International Penal and Peni-

tentiary Commission, the predecessor of the International Penal and Peni-

tentiary Foundation, transferred his functions to the United Nations. Since

then, and especially since the First United Nations Congress on the Pre-

vention of Crime and the Treatment of Offenders, held in 1955, in Geneva,

this tradition of close co-operation has developed in a very consistent

and positive pattern, culminating in the preparations of the Fifth Congress

in 1975, when your International Society joined its forces with the Inter-

national Association of Penal Law, the International Society of Social

Defence, and the International Penal and Penitentiary Foundation for the

scientific organization of an international colloquium on ”Deprivation of

Liberty in the Context of Crime Control”’, as a major contribution to that

Congress. This was followed, in 1980, by another international colloquium

on ”Crime and Abuse of Power”’, when an important resolution was

adopted by the four organizations and submitted to the Economic and

Social Council. The international colloquia held at Bellagio have been

of enormous value, as acknowledged in the substantive documentation

_ 22 —

for the congresses and by the congresses themselves, and, most recently ,

at the Sixth United Nations Congress on the Prevention of Crime and the

Treatment of Offenders held in Caracas, in 1980.

It is therefore, extremely gratifying to us that these Four most im-

portant Non-Governmental Organizations are continuing to make a consoli-

dated effort to provide their scientific contributions also to the forthcoming

Seventh Congress. To that end, it is noted with satisfaction and gratitude

that they have established an international committee of co-ordination,

organized an International Congress on ”Criminal Justice Processus and

Prespectives in a Changing World”, sponsored by the Centro Nazionale

di Prevenzione e Difesa Sociale last June, and will organize a Colloquium on

’Youth, Crime and Justice”’ next May again in Bellagio, Italy. Additional

evidence of the efforts of the whole criminological community in furthering

the United Nations work is the anticipated donation to our Organization of

all criminological books which are being exhibited here. In this connection,

I should like to thank most sincerely all contributors to the exhibition for

their generosity which is a further testimony of your co-operation and

interest.

The socio-economic and cultural transformations occuring throughout

the world pose difficult problems to all countries, from the most indus-

trialized and rich to the poorest ones. Economic recessionñ, unemployment,

unbalancèd income distribution and poverty enter the picture of every-day

life much more visibly today than ever before and may bring with them

tremendous social problems, including disruption, violence and crime. The

complex nature of crime calls not only for a multidisciplinary, integrated

and intersectoral approach to the study of this phenomenon, but also to

the prevention and control of its manifestations in order to cope more

effectively and humanely with the serious threat posed by it, especially in

its new, more dangerous forms and dimensions. Criminologists, in this

connection, have a very difficult task in their efforts to prevent and control

crime. In fact, if we want to reduce the impact of crime, we must also seek

and secure the active involvement of all other relevant sectors of public

life — —the entire community, the family and society-at-large— — in order

to plan, implement and co-ordinate appropriate policies and measures.

In other words, criminal policy should not only be adequately formulated

and planned on the basis of sound research and study; it should also be

co-ordinated with strategies for social, economic, political and cultural

development, thus becoming a truly ’public policy”.

Our anticipation of this Oth International Congress on Criminology

is, therefore, very great. The topics to be dealt with the different Sections

under the general theme of ’’Relationships between Criminology and Public

Policy”” are all very opportune subjects and of vital current importance.

The development of criminology as a science is as important as ever, and

it is even more so now, in view of the apparent continued growth in crime

— 23 —

and the increased need for policy-makers to obtain more relévant scientific

inputs to their policy formulation. In this perspective, this Congress and the

United Nations Congresses should have a symbiotic relationship: you can

advance science and stimulate scholarly progress; we can help to bring

the results of your work to the attention of policy-makers world-wide, so

long as they can be translated into practical policy-options. We thus look

forward to your deliberations with great expectation.

In furtherance of our sincere wishes for effective two-way communi-

cation between the scientific community and the United Nations Sec-

retariat, | would like to invite all participants at the Congress to a meeting

for an informal dialogue at the Vienna International Centre on Friday

morning, as you will find in your Congress folders. Our Branch has planned

this meeting ever since we knew that this Congress would be held in Vienna,

and my colleagues are looking forward to meet with you soon in our offices.

The practical arrangements for this visit had to be made some time ago, and

we were advised that Friday was the only day on which regular panels

were not meeting. It has become clear, now that we have seen the final

programme, that such a visit coincides with some worthy events being held

at the same time. I hope that all those who wish to attend both the work-

shops and the United Nations meeting, as well as the dear friends who are

organizing the workshops, will accept my most sincere apologies for some-

thing which was arranged long before the details of the final programmes

were announced. We still hope that we will have an opportunity to meet

with these participants on some other occasions.

Mr. President Szabo,

The scientific contribution of your Organization has been invaluable

to the United Nations, both in the institutional sense and in the signifi-

cance of the work of your many distinguished members. The initiative

taken by your Society in its congresses, symposia and seminars have made

significant inroads in increasing the understanding of the complex processes

invoived in criminality and the formulation of more viable policy-oriented

action, thus paving the way for innovative, enlightened approaches based

on new development in the social and behavioural sciences, as well as in

legal theory and practice, where the human dimension cannot be denied.

We welcome, therefore, the results of your discussions, with our assurance

that your proposals and recommendations will be duly taken into account

in the course of our work.

In this regard, we in the Branch are the fortunate beneficiaries of the

goodwill, and the hard work, which so many people have put into the

organizations of this Congress. We are indeed looking forward to this week

as a time of securing vital ingredients for our Congress, and a time for

renewing acquaintance with many old friend and meeting many new ones.

I thus wish you the most successful deliberations and I hope to see

many of you next Friday morning at the United Nations premises.

Thank you

_ 24 —

SEKTION / SECCION / SECTION |

Le statut et les rôles de la criminologie et ses rapports institutionnels

avec les politiques et pratiques sociales.

El estatûto y las fünciones de la criminologia, asi como sus relaciones

institucionales con las politicas y prâcticas sociales.

The status and roles of criminology and its institutional relations with

public policy and practice.

Stellung und Rolle der Kriminologie und deren institutionelle Wech

selbeziehungen mit sozialpolitischen Entwicklungen und mit Strukturen in

der Praxis.

— 25 —

SUR LA CRIMINOLOGIE CRITIQUE ET SA FONCTION

DANS LA POLITIQUE CRIMINELLE.

Alessandro Baratta*

1. L’étiquette «criminologie critique» se réfère à un champ plutôt

vaste et non homogène de discours qui, dans le cadre de la pensée crimino-

logique et sociologico-juridique contemporaine, ont en commun une carac-

téristique qui les distingue de la criminologie « traditionnelle» : la nouvelle

manière de définir l’objet et les termes mémes de la question criminelle.

La différence est aussi et surtout une conséquence de ce qui, en utilisant la

nomenclature d’une récente théorie des «révolutions scientifiques» (Kuhn,

Th. S., 1962), peut être défini comme un «échange du paradigme» inter-

venu dans la criminologie moderne. Sur la base du paradigme étiologique

la criminologie est la science des causes de la criminalité. Ce paradigme,

avec lequel naissait la criminologie positiviste vers la fin du siècle dernier,

reste à la base de toute la criminologie « traditionnelle», méme de ses cou-

rants les plus modernes, qui, à la question sur les causes de la criminalité

ont fourni des réponses différentes de celles d’ordre anthropologique et

pathologique du premier positivisme et qui sont en partie nées de la polé-

mique avec celui-ci (théories fonctionnalistes, théories écologiques, théories

multifactorielles, etc.).

Le paradigme étiologique suppose une notion ontologique de crimina-

lité entendue comme une donnée préconstituée aux définitions et pour cela

aussi à la réaction sociale, institutionnelle ou non institutionnelle, que

mettent en œuvre ces définitions. De cette manière restent en dehors de

l’objet de la réflexion criminologique les normes juridiques et sociales,

l’action des instances officielles et, plus en général, les mécanismes institu-

tionels et sociaux à travers lesquels se réalise la définition de comporte-

ments déterminés et de sujets déterminés comme «criminels» ainsi que la

réaction sociale respective.

La prétention de la criminologie traditionnelle, de fournir une théorie

des conditions (ou causes) de la criminalité n’est pas justifiée du point de

vue épistémologique. Une recherche des causes n’est pas applicable à des

objets définis par des normes, des conventions ou des évaluations sociales et

institutionnelles (Maciver, RM., 1942, p. 88). En appliquant à des objets

de ce type un savoir causal-naturaliste on produit une «réification» des

résultats de ces définitions normatives en les prenant pour des choses exis-

tant indépendamment de celles-ci. La «criminalité » , les «criminels» sont,

* Director, Institut fuer Rechts — Und Sozialphilosophie, Universitaet

des Saarlandes, D - 6600 Saarbrirechen.

— 277 —

sans aucun doute, des objets de ce type. Ils sont impensables sans l’inter-

vention des processus institutionnels et sociaux de définition, la loi pénale,

son application de la part des instances officielles, les définitions et les réac-

tions non institutionnelles (1).

À ce propos doit être souligné le caractère fragmentaire de ces défini-

tions. Elles séparent des fragments de classe de phénomènes sociaux homo-

gènes regroupables, par exemple, en fonction de la méme négativité sociale,

c’est-à-dire de l’attaque aux mémes biens ou intérêts d’importance sociale

(Baratta A., 1983). Dans son livre de prochaine publication Chr. Debuyst

(1983) met en relief que, contre la présupposition durckheimienne dont

part la criminologie traditionnelle, l’inégal traitement de situations êt de

sujets égaux dans le processus social de définition de la «criminalité »

répond à une logique de rapports assymétriques de la distribution du pou-

voir et des ressources dans la société. L’impossibilité d’une recherche causale

sur un objet défini de manière aussi fragmentaire que la criminalité avait

déjà été indiqué par l’observation de D. Chapman (1968, p. 3) que, paral-

lèlement à tous les comportements défendus, il en existe beaucoup d’autres

(socialement) identiques, qui sont évalués de manière neutre ou sont même

permis.

La réification de la criminalité produite par la criminologie étiologique

comporte, comme revers de la médaille, une grave inconséquence : les

éléments pour construire la théorie de la criminalité sont gagnés en observant

seulement une partie des phénomènes concernés, et c’est justement cette

partie qui est sélectionnée par les mécanismes institutionnels et sociaux de

définition, lesquels, selon l’hypothèse d’où part la criminologie étiologique,

devraient être indifférents pour l’existence de son objet de recherche.

L’introduction du labelling approach, due surtout à l’influence de cou-

rants sociologiques d’origine phénoménologique (comme l’interactionnisme

symbolique et l’ethnométhodologie) dans la sociologie de la déviance et du

contrôle social, et d’autres développements de la réflexion sociologique et

historique sur le phénomène criminel et sur le droit pénal, ont déterminé

>

à l’intérieur de la criminologie contemporaine, un échange de paradigme

moyennant quoi ces mécanismes de définition et de réaction sociale sont

venus à occuper une place de plus en plus centrale à l’intérieur de l’objet de

la recherche criminologique. Il s’est affermi ainsi un paradigme alternatif par

rapport au paradigme étiologique, et que l’on appelle justement paradigme

de la «réaction sociale» ou «paradigme de la définition». Sur la base du

nouveau paradigme la recherche criminologique a tendance à se déplacer des

causes du comportement criminel vers les conditions à partir desquelles,

dans une société donnée, les étiquettes de criminalité et les statuts de crimi-

nel sont attribués à des comportements et à des sujets, et vers le fonctionne-

ment de la réaction sociale informelle et institutionnelle (processus de crimi-

nalisation).

_ 28 —

Méme dans sa structure la plus élémentaire le nouveau paradigme impli-

que une analyse des processus de définition et de réaction sociale qui s’étend

à la distribution du pouvoir de définition et de réaction dans une société, à

l’inégale distribution de ce pouvoir et aux conflits d’intérêt qui sont à l’ori-

gine de ces processus. Lorsque, à côté de la «dimension de la définition »

cette «dimension du pouvoir» (cf. Keckeisen, W., 1976, p. 29 ss.) est suffi-

samment réalisée dans la construction d’une théorie, nous sommes en pré-

sence du plus petit dénominateur commun de toute cette pensée que nous

pouvons ranger sous la dénomination de «criminologie critique».

La simple introduction du labelling approach dans une théorie de la cri-

minalité ne suffit pas pour la qualifier. Les alibis théoriques et pratiques

liés à un emploi du labelling approach à l’intérieur de contextes théoriques

subjectivistes et idéalistes (comme l’interactionisme symbolique et l’ethno-

méthodologie) ont amplement été dénoncés dans une critique «de gau-

che» (2) en partie d’inspiration marxiste, qui s’est développée entre autres

aussi à partir de positions théoriques caractérisées par une réalisation radi-

cale du paradigme de la réaction sociale. Les principaux résultats de la criti-

que «de gauche» au labelling approach ont depuis été reçus par la crimino-

logie critique et font partie des points de vue «accordés dès le départ» aux

fins de son ultérieur développement.

La critique «de gauche» a en particulier dénoncé trois effets mysti-

fiants possibles, propres à l’emploi du labelling approach dans un contexte

idéaliste :

a) évaluer la criminalité et la déviance comme le résultat de processus

de définition peut provoquer, dans un tel contexte, l’escamotage de situa-

tions socialement négatives et de souffrances réelles qui, en de nombreux

cas peuvent être considérés comme le point de référence objectif des défi-

nitions;

b) faire dériver de la reconnaissance des effets stigmatisants de la peine

ou d’autres interventions institutionnelles la thèse de la « radicale non-inter-

vention» , signifie créer un alibi pour des interventions socialement adéqua-

tes et justes;

c)concentrer les recherches sur certains secteurs de déviance et de

criminalité sur lesquels se concentrent en effet, avec leur fonctionnement

socialement sélectif, les processus d’étiquettage et de criminalisation (les

franges les plus faibles et les plus marginales du prolétariat urbain), peut

contribuer à la consolidation du stéréotype dominant de la criminalité et

de la déviance comme comportement normal de ces groupes sociaux et

dévier l’attention des comportements socialement négatifs des «cols-

blancs» et des puissants.

A l’intérieur de la criminologie critique sont en cours depuis un certain

temps des tentatives pour développer une théorie matérialiste des situations

et des comportements socialement négatifs et de la criminalisation. Une

— 29 —

telle théorie matérialiste se caractérise par le fait de rapporter les deux

termes de la question criminelle, les situations socialement négatives et le

processus de criminalisation, aux rapports sociaux de production et, pour

ce qui conceme notre société, à la structure du processus de valorisation

du capital. La discussion récente qui a également eu lieu à l’intérieur du

marxisme sur ces sujets a, à mon avis, montré que méme une théorie maté-

rialiste qui se réfère de manière non dogmatique à l’enseignement de Marx,

peut opérer avec une correcte et radicale application du nouveau para-

digme criminologique sans tomber dans les mystifications de l’emploi idéa-

liste du labelling approach (Keckeisen W., 1976, pp 121 ss.); elle peut

dénoncer et surmonter cet usage idéaliste sans pour autant en venir à utiliser

une conception ontologique ou naturaliste de la criminalité ou rester au

niveau du sens commun.

2. La «rationalité» en tant qu’approche pour un fondement théorique

de la politique criminelle et de la réforme pénale, peut signifier deux choses

différentes. Elle peut signifier un critère technologique et pragmatique

s’exprimant par les termes de «praticabilité» et d’«efficacité ». Dans ce cas

il me semble qu’il vaudrait mieux parler de «rationalisation » , c’est-à-dire

d’ajustements du système qui laissent intacte la structure d’ensemble, aux

fins d’un meilleur fonctionnement. Ici «rationalité» indique le résultat à

poursuivre. Le modèle de science sociale qui correspond à cette conception

de rationalité est un modèle technologique.

C’est là le modèle de la criminologie traditionnelle, c’est-à-dire de la

criminologie étiologique, qui dans ce sens doit être considérée comme une

science auxiliaire tant du droit que de la politique criminelle officielle. Quel

est alors le concept de rationalité qui sera à la base d’une stratégie radicale

de réforme (politique criminelle alternative) et du modèle de science sociale

correspondant ? A la différence de la raison technologique qui est surtout

un point d’arrivée de la pratique, la raison critique est surtout un point de

départ de la théorie. Elle n’est pas une norme pour l’action, mais une norme

de la pensée, et en méme temps, loi et logique du réel. Mais le réel, la réalité

sociale est en mouvement : sa logique, c’est-à-dire le modèle de rationalité

qui nous permet de la comprendre, n’est donc pas la logique statique qui

correspond au principe de non contradiction, mais la logique dynamique qui

est logique de la contradiction, dialectique. Une des principales conquêtes

de la pensée moderne est justement d’avoir formulé cette logique de la con-

tradiction, la dialectique, comme ratio essendi en méme temps que ratio

cognoscendi de la réalité. La théorie sociale de Marx et beaucoup d’orienta-

tions parmi les plus fécondes de la pensée historique et sociologique contem-

poraine ont leur base dans cette logique.

Si nous arrivons à la conclusion que les principes structurels et fonc-

tionnels nécessaires pour organiser scientifiquement la connaissance du sys-

tème pénal sont opposés à ceux qui sont déclarés par lui-même, alors,

— 30 —

partant d’un concept dialectique de rationalité, nous exclurons que cette

contradiction entre les principes déclarés et le fonctionnement réel du sys-

tème soit un cas dû au hasard, une mésaventure de sa réalisation, imparfaite

comme tout ce qui est humain. Nous ne considérons pas l’image idéale que

le système propose de lui-méme uniquement comme une erreur de la part

des opérateurs et du public, mais nous lui attribuerons le statut d’une

idéologie. Cette idéologie pénale devient une partie intégrante de l’objet

d’une analyse scientifique du système pénal. Le fonctionnement du sys-

tème ne se réalise pas nonobstant, mais à travers cette contradiction. Elle

est un élément important, comme d’autres éléments du système, pour assu-

rer la réalisation des fonctions qu’elle a à l’intérieur de l’ensemble de la

structure sociale (df. Baratta A., 1982).

L’élément idéologique n’est pas contingent, mais inhérent à la structure

et à la manière de fonctionner du système pénal, tout comme celui-ci, plus

en général, est inhérent à la structure et au fonctionnement du droit abstrait

moderne. La forme de la médiation juridique des rapports de production et

des rapports sociaux dans la société capitaliste moderne (le droit égal) est

idéologique: le fonctionnement du droit ne sert en effet pas à produire de

l’égalité, mais à produire et à maintenir de l’inégalité. Il concourt à assurer,

reproduire et même à légitimer (cette dernière étant une fonction essentielle

pour le mécanisme de reproduction de la réalité sociale) les rapports d’inéga-

lité qui caractérisent notre société, en particulier l’échelle sociale verticale,

c’est-à-dire la diverse distribution des ressources et du pouvoir, la consé-

quence visible du mode de production capitaliste (3).

Le fonctionnement inégal et fragmentaire du système ne reflète pas seu-

lement l’inégale distribution des ressources et du pouvoir dans la société et

la correspondante hiérarchie des intéréts en jeu, mais concours aussi, de

manière non négligeable, à la reproduction matérielle des rapports de subor-

dination et d’exploitation. Il est aussi une partie intégrante du mécanisme

à travers lequel s’opère la légitimation de ces rapports, c’est-à-dire la produc-

tion du consensus réel ou artificiel, et surtout la désarticulation et l’empé-

chement du dissentiment.

Le différent concept de rationalité explique la différence entre la pers-

pective de réforme propre au modèle réformiste de la rationalisation et celle

qui est propre au modèle «abolitionniste» de la transformation radicale et

du dépassement. La raison technologique rencontre une limite naturelle

quant à sa manière de pouvoir concourir à la résolution des contradictions

du système

considérant comme irrationnelle la contradiction entre les

effets voulus et les effets non voulus du système, elle n’est en mesure que

d’étudier les seconds du point de vue des premiers et reste pour cela à

l’intérieur de l’idéologie pénale. Elle ne réussit à agir que sur celle des con-

tradictions du système qui semblent résolvables à l’intérieur du système

lui-méme, en portant l’idéologie pénale à des niveaux plus avancés et huma-

nitaires et en essayant d’améliorer et d’intégrer l’outillage de la politique

criminelle actuelle.

— 31 —

La raison critique découvre la rationalité fonctionnelle des contradic-

tions du système, mais ne les considère pas comme résolvables, à l’intérieur

du système, à travers des perfectionnements idéologiques et des améliora-

tions techniques. En assumant l’idéologie juridique comme objet de connais-

sance, elle produit une perspective de politique criminelle qui se place à

l’extérieur de celle-ci. Et pour cette raison elle n’est pas une perspective de

rationalisation, mais une perspective rationnelle pour dépasser le système.

3.A ces deux différentes perspectives de politique criminelle et aux

deux différents concepts de raison qu’ils impliquent correspondent deux

modèles différents de science sociale et de criminologie. La criminologie

traditionnelle qui, en adoptant le paradigme étiologique se présente comme

science des causes de la criminalité, est la base classique de toute politique

criminelle de type réformiste. Elle n’est qu’en mesure de contrôler le fonc-

tionnement du système, c’est-à-dire l’efficacité des moyens dont elle se

sert pour poursuivre ses propres buts déclarés ou de proposer de meilleurs

instruments. En étudiant la criminalité comme ce que le système pénal

déclare de combattre et non la manière dont celui-ci définit celle-là, la cri-

minologie traditionnelle opère comme une instance du système, non comme

une théorie scientifique sur celui-ci (cf. Baratta, A., 1977 b; 1982; Pavarini

M., 1981; Aniyar de Castro L., 1981). Sa contribution à la rationalisation

du système est aussi et surtout une contribution à sa légitimation. En

effet, en mettant son propre savoir causal (la théorie des causes de la «cri-

minalité») et son savoir technologique (théorie des mesures pénales et

alternatives) au service des buts déclarés du système, la criminologie tradi-

tionnelle accrédite du point de vue de la science une image du système qui

est dominée par ces buts.

La criminologie traditionnelle étiologique méme dans ses versions

les plus à jour (à travers l’approche «multifactorielle») a de par sa nature

une fonction immédiatement et directement auxiliaire par rapport au sys-

tème pénal existant et à la politique criminelle officielle. Son univers de

références et son horizon d’action lui sont presque toujours imposés par le

système pénal existant. C’est pourquoi elle est obligée d’emprunter à celui-

ci la définition de son propre objet de recherche : la «criminalité» en tant

que définie par les normes et les statistiques, les «criminels» comme indi-

vidus sélectionnés et stigmatisés (et de cette manière rendus disponibles

pour l’observation clinique) à travers l’institution de la prison (cf. Baratta

A., 1982; Pavarini M., 1981).

Comparée à la criminologie traditionnelle, la criminologie critique se

place dans un rapport radicalement différent avec la pratique. Pour la cri-

minologie traditionnelle le système positif et la pratique officielle sont les

destinataires, les bénéficiaires de son savoir, le prince par lequel elle est

appelée à être le conseiller. Pour la criminologie critique le système positif

et la pratique officielle sont avant tout l’objet de son savoir. Le rapport

avec le système est critique; sa tâche immédiate n’est pas de fournir des

_32 _

recettes de politique criminelle, mais d’examiner de manière scientifique la

genèse du système, sa structure, ses mécanismes de sélection, les fonctions

qu’il exerce réellement ses coûts économiques et sociaux, d’évaluer sans pré-

judice le type de réponse qu’il est en mesure de fournir et qu’il fournit

effectivement à des problèmes sociaux réels. Elle se met au service d’une

construction alternative ou antagoniste (voir plus bas dans le texte) des

problèmes sociaux liés à des comportements socialement négatifs.

Il est naturel qu’à partir de ces prémisses une criminologie critique ne

puisse pas toujours avoir la fonction immédiate de projet qu’a la criminolo-

gie traditionnelle. Son influence sur une transformation du système pénal

pourrait se réaliser en un temps relativement bref uniquement sous deux

conditions : la première est qu’une transformation des rapports d’hégémo-

nie permette de mettre la main à une réforme du système pénal ou l’intérét

des classes subalternatives pourrait devenir réellement déterminant. La

seconde est que le retard historique qui à ce jour rend encore la culture

officielle de la gauche et le mouvement ouvrier subalternes par rapport à

la culture et à l’idéologie bourgeoise dans la manière de construire et de

résoudre les problèmes sociaux liés à la «criminalité», serait rattrapé à

travers le déploiement d’une conscience et d’une culture alternative des

classes subalternes et à travers une politique autonome et antagoniste du

mouvement ouvrier dans le secteur du contrôle social. Si ces conditions

ne sont pas données, l’influence de la criminologie critique pour des pro-

jets d’alternatives ne peut être qu’une influence indirecte, qui se réalise

à moyen et à long terme.

Ceci n’est cependant pas une faiblesse, mais bien au contraire la force

de la criminologie critique dans la perspective d’une réforme. Si l’on ne veut

pas mesurer la valeur pratique de la théorie en fonction de l’apport techno-

cratique à la rationalisation des instruments institutionnels et qu’on lui

assigne au contraire la tâche de préparer une transformation radicale du sys-

tème pénal, c’est-à-dire une politique criminelle alternative qui ne se réduise

pas à la politique pénale (4), on devra convenir que la contribution que la

criminologie critique peut fournir à cette réforme à travers l’analyse cri-

tique du système et la reconstruction des problèmes sociaux est non moins

importante, à moyen et à long terme, que ne le sont des recettes d’applica-

tion immédiate.

Je crois aussi que dans la mesure où la criminologie critique poursuivra

sans compromis sa propre fonction scientifique et politique, sa contribution

est destinée à exercer un rôle important dont le législateur et les instances

institutionnelles ne peuvent dès maintenant ne pas tenir compte. Pour cela

il faut également éviter de la part du mouvement scientifique et politique

pour une réforme radicale toute attitude sectaire d’opposition globale à

l’État et au «pouvoir» comme si l’État et le pouvoir étaient par une loi

naturelle le monopole des mouvements traditionnels ou conservateurs. La

criminologie critique et le mouvement pour la réforme radicale doivent

— 33 —

au contraire se défendre sans compromis des tentatives de délégitimation

dont on en fait parfois le signe et affirmer son propre rôle légitime à tous les

niveaux institutionnels, scientifiques, administratifs et politiques où ils

concourent avec le même droit que d’autres directions de pensée (5).

La supposition d’où part la criminologie étiologique dans sa fonction

auxiliaire et légitimatrice par rapport au système pénal et à la politique cri-

minelle officielle est qu’il existe un milieu naturel de comportements et

de sujets qui ont une qualité qui les distingue de tous les autres comporte-

ments et de tous les autres sujets : ce milieu naturel serait la criminalité. La

criminalité étant une entité ontologique, il serait possible d’en rechercher

les causes et de mettre la science des causes au service de la pratique qui

doit la combattre. Cette façon de considérer la criminalité est tellement

profondément enracinée dans le sens commun qu’une conception qui s’en

détache risque à tout moment de passer pour une renonciation à combat-

tre des situations et des actions socialement négatives. En utilisant le para-

digme de la réaction sociale et en considérant pour cela la criminalité non

comme une qualité naturelle de comportements ou de sujets, mais comme

une qualité qui leur est attribuée à travers des processus de définitions de

la part des instances officielles ou du public, la criminologie critique sem-

ble défier avant tout le sens commun. Mais dans ce cas aussi, comme dans

tant d’autres, la contradiction entre la théorie et le sens commun n’est

qu’apparente. Qui confond ces deux niveaux différents du discours finit

souvent par attribuer erronément à la théorie des conséquences qui sem-

bleraient la rendre absurde sur le plan du sens commun. Il n’est pas rare

de rencontrer, en présence de théories qui adoptent le paradigme de la

réaction sociale, ce type de critiques. Elles se rassemblent en des argumen-

tations saugrenues que l’on peut résumer comme suit :

1) Qui soutient que la qualité criminelle de certaines actions et de cer-

tains individus est le résultat de processus de définition, soutient que la

criminalité n’existe pas.

2) Qui soutient que, étant donné le caractère attributif et donc rela-

tif des définitions de criminalité, il n’est pas possible de tenir un discours

scientifique sur les causes de la criminalité comme si elle était une réalité

naturelle, soutient que la criminalité n’a pas de causes.

3) Qui soutient les deux thèses énumérées ci-dessus exclut que l’on

peut combattre la criminalité et ses causes, et exclut en particulier une

politique criminelle préventive.

Il est facile de se rendre compte que ces critiques basées sur’le sens

commun et sur un discours scientifique qui ne réussit pas à le trans-

cender, se perdent dans le vide. Un discours scientifique sur la question cri-

minelle naît quand les définitions de criminalité du sens commun tout

comme les définitions légales de criminalité ne sont plus le postulat duquel

on part, mais deviennent l’objet méme du discours. Or ce saut qualitatif qui

— 34 _

amène le discours à transcender les définitions positives du sens commun

de la criminalité et de la déviance et par suite aussi le champ de référence

conceptuel auquel est lié le système existant du contrôle social est justement

ce qui caractérise la criminologie critique vis-à-vis de la criminologie tradi-

tionnelle. Sa capacité d’établir un discours scientifique différent et plus

vaste que celui de la criminologie traditionnelle dépend, mais pas unique-

ment, du passage du paradigmç étiologique au paradigme de la réaction

sociale.

Se placer du point de vue d’une criminologie qui accepte ce change-

ment de paradigme ne signifie pas nier l’existence « objective» de situations

et d’actions socialement négatives.

De sérieuses difficultés théoriques qui ne trouvent pas non plus de

solution univoque dans une discussion à l’intérieur du «réalisme» marxiste

apparaissent cependant lorsqu’on veut donner une signification précise

. °

” ° °

au concept d’objectivité ici mis en cause. Affirmer l’existence « objective »

de situations ou d’actions socialement négatives est une opération que l’on

peut faire rentrer dans le processus plus général par lequel sont définis ou

construits les problèmes sociaux, en vue d’une réponse possible, institution-

nelle ou non. Étant donné que je considère comme exclu, à la lumière des

développement de l’épistémologie moderne, un retour à une notion natura-

liste ou de droit naturel d’objectivité, je voudrais faire allusion à une hypo-

thèse différente qui profite de l’utilisation combinée de constructions théo-

riques obtenues dans trois différents champs de recherche : 1) une théorie

de la construction des problèmes sociaux (6); b) une théorie des besoins (7);

une théorie de la «communication libre du pouvoir» (8).

Si on utilise le terme «négativité sociale» pour les situations ou com-

portements que l’on peut considérer comme la négation ou la répression de

besoins réels et que l’on entend par « besoin réels» la possibilité d’exister et

de déployer la propre existence qu’ont les individus en fonction de l’évolu-

tion des capacités de production matérielle et culturelle dans une société

donnée, alors on pourra prendre en considération comme « objective» une

construction des problèmes sociaux en tant que résultat d’une «communi-

cation libre du pouvoir» entre les porteurs de ces besoins. Une telle cons-

truction des problèmes sociaux est une construction alternative ou anta-

goniste (selon le degré de conflictualité caractérisant une société) par

rapport aux définitions officielles ou à celles du sens commun.

On peut considérer les définitions officielles et celles du sens commun

comme le résultat d’une communication idéologique, entendue comme

une communication fonctionnelle pour la reproduction des rapports de

pouvoir existants. En ce sens «communication libre du pouvoir» n’indique

pas une réalité de fait, mais plutôt un principe d’émancipation et d’autono-

mie qui guide à l’intérieur des classes subalternes ces processus de commu-

nication entre porteurs de besoins à travers lesquels se développe la

— 35 _

conscience et l’action politique de ces classes en vue d’une transformation

des rapports d’hégémonie dans la société. Des constructions antagonistes

sont celles qui adoptent ce point de vue pour la définition des problèmes

à résoudre et pour l’élaboration des réponses alternatives. Ces constructions

seront donc en concurrence avec les constructions idéologiques où les pro-

blèmes sociaux sont au contraire construits en fonction de la reproduction

des rapports sociaux et de pouvoirs existants. Or «criminalité» et

«déviance» ne dénotent pas des milieus naturels, mais des milieus culturels,

dans le sens qu’ils résultent de processus de définition qui se déroulent à

l’intérieur du mécanisme idéologique par lequel a lieu la reproduction de la

réalité sociale.

Il n’est donc pas possible, du point de vue épistémologique, de proposer

une recherche des causes (et une politique apte à les combattre) des com-

portements définis comme «criminalité» et «déviance», sans accepter en

même temps ces définitions et accréditer en conséquence les mécanismes

de communication et de pouvoir auxquels ils correspondent. Qui conteste,

sur la base d’une analyse historique et sociologique du système pénal exis-

tant, que sa principale fonction réelle coïncide avec la fonction déclarée

de combattre la criminalité, et identifie au contraire la fonction réelle du

système dans la reproduction des rapports sociaux d’inégalité et de subordi-

nation ne peut dans le méme temps accepter de participer à une construc-

tion idéologique des problèmes sociaux dans l’optique du système pénal et

du sens commun qui lui est complémentaire.

Le système pénal, en utilisant les notions de criminalité et de peine

comme des points naturels de référence, tend à réduire de manière frag-

mentaire et artificielle l’identification des zones de négativité sociale et des

besoins individuels et communautaires qui peuvent justifier ou postuler une

intervention institutionnelle (9).

Le seul fait que ces notions aient leurs racines plus primitives et irra-

tionnelles dans la psyché sociale ne justifie pas que leur utilisation soit

acceptée comme naturelle pour une construction «rationnelle» des problè-

mes sociaux et du système du contrôle social. Bien au contraire, l’usure que

ces deux termes traditionnels de la questton criminelle ont subie au service

séculaire du pouvoir devrait au moins suggérer une grande prudence en ce

qui concerne la possibilité de les mettre au service d’une construction anta-

goniste des problèmes sociaux ou d’une articulation autonome des besoins

et des intéréts des classes subalternes.

Le critère guidant le mouvement des classes subalternes dans une

société de transition ne peut être un simple renversement de la force et de

l’impact du processus de criminalisation de certaines zones de situations

vers d’autres. L’histoire du socialisme réel montre que l’usage inflationniste

des définitions de déviance et de criminalité n’est pas compatible avec la

réalisation de l’idéal d’une société d’individus libres et égaux sous la bannière

— 36 —

de laquelle le prolétariat était parti à la prise du Palais d’hiver. Le principe

cardinal du modèle d’une politique criminelle alternative n’est pas la crimi-

nalisation alternative, mais la décriminalisation, la plus rigoureuse réduction

possible du système pénal.

Ceci ne signifie pas, il est utile de le répéter, un désintérêt pour les pro-

blèmes sociaux «objectifs», mais une forte relativisation du moment

«pénal» ou «correctionnel» lors de leur construction, une construction

antagoniste en vue d’interventions institutionnelles et communautaires plus

adéquates à des besoins et à des intérêts importants dans une société de

transition. Entre l’idée d’une forte réduction du système pénal et de tout

le système du contrôle social et le «catéchisme de la non-interférence »

(cf. Young J., 1975) ou le principe de la «radicale non-intervention »

(Schur E., 1978) il y a, comme on l’a vu, une grande distance. Il faut ajou-

ter que la perspective d’une construction antagoniste des problèmes sociaux

qui évite un trop large emploi des définitions de criminalité et des défini-

tions négatives de déviance n’a rien à voir avec une conception de la

déviance comme entièrement positive qui avait caractérisé l’attitude roman-

tique vis-à-vis de la déviance dans la «nouvelle criminologie» anglaise à ses

débuts (cf. Taylor I:, Walton P., Young J., 1963). Elle n’a rien à voir non

plus avec une attitude de «sympathie» zoophile pour les déviants, démys-

tifiée une fois pour toutes par Gouldner (Gouldner A. W., 1968, pp. 37 ss.;

cf. également Young J., 1970) qui accompagne souvent ce qui a été défini

comme «criminologie des underdogs», parce qu’elle se tourne exclusive-

ment vers les sous-cultures déviantes des minorités socialement subalternes

et marginalisées (Gouldner A.W., 1970).

4. La perspective de réforme radicale qui découle d’une criminologie

critique part de la connaissance des mécanismes sélectifs et des fonctions

réelles du système liées à l’inégale distribution du «bien négatif» crimina-

lité (Sack F., 1968, p. 469); elle part, comme l’a bien formulé E. Resta

(1981, p. 143), de «la conscience de l’inégalité » .

Inégalité ne signifie pas seulement inégale distribution des statuts de

criminel parmi les individus. Dans le champ de la protection des « biens

juridiques» elle se traduit par un isolement extrémement partiel et frag-

mentaire de domaines pouvant être offensés et de situations d’offense d’in-

téréts ou de valeurs importantes : il s’agit d’un mécanisme assez subtil de

concrétisation du «bien juridique» auquel concourent toutes les instances

opérant aux divers niveaux ou segments du système pénal, du législateur

jusqu’aux organes de l’application. Ÿ concourent également l’homme de la

rue et les mass-média. Inégalité veut dire, dans ce cas, réponse inégale à des

situations négatives et des problèmes sociaux homologues. Ce caractère

inégal (fragmentaire) de la protection pénale est d’habitude justifié par la

plus grande ou la moindre disposition des situations d’offense à être l’objet

d’intervention pénale. Cette justification est un cercle vicieux. En effet,

—37 —

en argumentant de la sorte, l’intervention pénale et ses caractéristiques

technico-juridiques, qui se sont consolidées dans la tradition et dans la pra-

tique, sont considérées comme des données naturelles qui correspondent à

des domaines naturels de portée pénale des problèmes.

Il faut d’autre part reconnaître que la manière fragmentaire d’opérer du

droit pénal dans la définition des domaines limités à l’intérieur de plus vas-

tes zones de problèmes sociaux homogènes est une limite structurelle de

l’instrument pénal : mais cette limite ne dépend pas de la structure naturelle

des problèmes. Ils sont susceptibles de constructions différentes et alterna-

tives, desquelles peut dériver une structure interprétative et une réponse

institutionnelle ou sociale indépendante de l’optique pénale (cf. Baratta A.,

1983). Même une politique criminelle alternative rencontre ces limites

insurmontables de l’instrument pénal quant à sa capacité de protéger des

intérêts importants.

Des déplacements signifiants, mais toujours limités, dans le domaine

effectif de protection sont possibles et même souhaitables dans le cadre

d’une telle politique. Surtout en des époques de tension et de transitions qui

rendent instables les équilibres réels du pouvoir on a continuellement des

exemples de ces ajustements partiels des domaines effectifs de protection,

des ajustements qui souvent se passent de l’intervention du législateur et se

réalisent à d’autres niveaux du système comme il est arrivé récemment en

Italie, dans certains cas. Dans une politique criminelle alternative, de toute

façon, le moment pénal ne peut qu’avoir un rôle relatif et dans certains cas

« provisoire » .

La relativisation du moment pénal comme technique de construction

et de résolution de problèmes sociaux signifie avant tout son intégration

dans une plus complexe perspective extra-pénale de reconstruction des pro-

blèmes en vue d’une réponse adéquate et organique à ceux<ci; elle comporte

la considération, en dehors des éventuelles indications, aussi des contre-

indications, des effets nocifs et des coûts sociaux de la peine évalués à la

lumière d’un sérieux contrôle empirique de son effectivité. Pour l’exi-

gence d’une politique de décriminalisation dans une plus ample et adéquate

perspective sur les problèmes sociaux et sur les devoirs institutionnels,

D. Pulitano a trouvé une formule assez heureuse : « décodification par zones

de matière — écrit-il (1981, pp. 119 — 120) — et orientation vers de nou-

veaux modèles intégrés (extrapénaux) de solution des tâches sociales sem-

blent donc des voies à travers lesquelles le droit pénal lui aussi peut aller

à la recherche d’un nouveau visage».

La fonction naturelle du système pénal est de conserver et de repro-

duire la réalité sociale existante. Une politique de transformation de cette

réalité, une stratégie alternative basée sur l’affermissement des valeurs et des

garanties constitutionnelles, un projet politique antagoniste et autonome

du mouvement{ ouvrier ne peut donc considérer le droit pénal comme un

— 38 —

de ses fronts les plus avancés, comme un instrument propulseur. Au

contraire, le droit pénal reste, dans un triple sens, une ligne de défense.

Défense, avant tout, du droit pénal des attaques de nos jours portées

contre les garanties libérales que lui assignent les constitutions des états de

droit. Défense, en second lieu, vis-à-vis du droit pénal, ce qui signifie conten-

tion et réduction de son domaine d’intervention traditionnel et surtout de

ses effets négatifs et des coûts sociaux qui pèsent particulièrement sur les

Zzones les plus faibles et marginalisées du prolétariat et contribuent de cette

manière à le diviser, à l’affaiblir matériellement et politiquement. Défense,

enfin, à travers le droit pénal dans la mesure où, pour le moment, il peut

encore être considéré comme une réponse légitime et sans alternatives aux

problèmes sociaux dans le cadre d’un modèle intégré de réponse.

Toutefois l’idée régulative d’une politique criminelle alternative reste

celle du dépassement du système pénal. Orienter la réforme sur cette idée

régulative ne signifie pas renoncer à des réformes possibles, mais signifie,

il faut le souligner encore une fois, choisir et évaluer les réformes sur la

base de leur possibilité de transformer radicalement le système dans l’intérét

des classes subalternes.

En d’autres occasions (Baratta A., 1977; 1982) j’ai essayé de définir,

dans ses lignes générales, le modèle d’une politique criminelle alternative qui

utiliserait comme idée régulative ou «utopie concrète» le dépassement du

droit pénal. Proposer une telle perspective ne signifie pas le renvoi de toute

réforme possible dans le présent pour attendre l’arrivée , certe assez lointaine

(ou peut-être impossible ?) d’une société qui sache se passer de la peine,

mais affirmer un critère selon lequel orienter et à l’aide duquel mesurer les

choix de politique criminelle. Dans des théories radicales de la politique

criminelle, telles que le sont les théories «abolitionnistes» (10) le critère

fonctionne dans le sens qu’on évalue les réformes comme si leur destination

pouvait être de dépasser le système pénal traditionnel et ce dépassement

serait effectivement possible. En ce sens un représentant de cette perspec-

tive radicale propose une tactique basée sur la distinction stratégique entre

réformes positives (qui servent à conserver le système dans ses fonctions

réelles) et réformes négatives (qui produisent de réelles transformations

qualitatives du système et servent à le dépasser partiellement) [cf. Mathie-

sen, Th., 1974].

Il faut aussi remarquer que des perspectives radicales de réformes de

ce type peuvent être proposées et sont proposées en rapport avec des théo-

ries de la société et des modèles de société future assez différents l’un de

l’autre et qu’il n’est pas possible de les réunir sous les mêmes caractéristi-

ques, sauf sous un point de vue strictement formel. Pour la perspective

«abolitionniste» de la réforme pénale Gustav Radbruch a trouvé une

expression qui mérite d’être reportée, quand il écrivit que «la meilleure

réforme du droit pénal n’est pas sa substitution par un meilleur droit pénal,

— 39 —

mais sa substitution par quelque chose de meilleur» (Radbruch G., 1963,

p. 269). Du point de vue formel cette expression peut servir à qualifier tou-

tes les théories qui appartiennent à la perspective «abolitionniste» , tous les

projets de politiques et de pratiques qui n’hésitent pas à franchir la ligne

séparant les systèmes pénaux alternatifs des alternatives au système pénal.

NOTES

(1) Sur la notion de criminalité dans le sens commun, aussi en relation

à une recherche sur « La réaction sociale à la criminalité avec réfé-

rence particulière au secteur non institutionnel» (sous la dir. de

A. Baratta, G. Smaus, F. Sack), cf. la monographie de G. Smaus

(1981).

(2)

Avec le terme «de droite» on peut qualifier les critiques au labelling

approach rentrant dans des positions orientées vers une restauration

du modèle traditionnel de criminologie et vers la conservation de

l’actuel système pénal, engagées à défendre les deux contre la crise

de légitimité scientifique et politique qui les touche. On peut appeler

critiques «de gauche», celles qui font partie de discours qui, au

contraire, tendent à mener cette crise jusqu’à ses conséquences radi-

cales, dans une perspective scientifique et politique qui adopte le

point de vue de l’intérét des classes subalternes. La différence entre

les deux types de critique est grande : la critique « de droite» a ten-

dance à nier le labelling approach en retournant en arrière par rapport

à son introduction dans la théorie de la déviance et de la criminalité.

Une correcte critique «de gauche» est, à mon avis, celle qui tend à

aller plus avant que le labelling approach, à travers le labelling

approach. Pour quelques-uns des principaux exemples de cette criti-

que au labelling approach, cf. Gouldner A., (1968); Liazos A (1972);

Thio A., (1973); Keckeisen W.(1976).

(3)

Une conséquence qui, d’ailleurs, ne manque pas de se produire, pour

des raisons structurelles et dans des dimensions différentes, aussi dans

d’autres sociétés contemporaines.

(4)

Pour cette distinction entre les concepts de «politique criminelle» et

«politique pénale», cf. Bricola F.,(1975); Baratta A (1977, p. 354).

(5)

Cf. Baratta A., Smaus G, (1981).

(6)

Pour une première orientation, cf. Merton R.K., (1957, p. 19 ss.);

Becker H. (ed.), (1966); Merton R K., Nisbet R.A, (1971); Hondrich

K.O. (ed.), (1975); Spector M., Kitsuse J., (1977); Stallberg F.W.,

(1979); Mattes J. (ed.), (1980). Pour une notion critique du terme

«Soziale Probleme» cf. Steinert, H, (1981).

(7)

Pour une orientation historiste dans la théorie des besoins, à l’inté-

rieur d’un discours d’inspiration marxienne alternatif par rapport à

l’«anthropologisme» de l’interprétation connue de A. Heller, cf.

Piccioni L., (1978).

— 40 —

(8)

Pour ce concept, cf. Habermas J., (1975; 1978, p. 228 ss.).

(9)

Cf. en ce sens Steinert H., (1980, p. 82); Dal Lago A , (1981); Baratta

A (1982; 1983).

(10)

À l’intérieur de l’actuelle discussion internationale sur la décriminalisa

tion, les coûts sociaux du système pénal, les limites de l’institution de

la prison, etc., émergent les noms de Louk Huisman Bianchi aux Pays

Bas, et Niels Christie et l'homas Mathiesen en Norvège. Pour une clas

sification des théories sur la politique criminelle sous des «types

idéaux» de théories « conservatrice » , «réductionniste » et «abolition

niste», cf. Landeville P., (1977). Voir aussi, dans un cadre plus large

des modèles de politique criminelle, Delmas-Marty M.,(1983).

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— 43 _

CRIMINOLOGICAL THEORY AND PUBLIC POLICY :

SELECTED AMERICAN EXPERIENCES

Malcolm W. Klein*

INTRODUCTION

l always advise my students that delivering a memorable paper requires

concentration on a very few major points. One or two is best; three gene-

rally stretches the willingness of the audience to remain in the grasp of the

presenter. Four major points is an invitation to oblivion.

In the remarks to follow, I will deliberately defy my own advice, for

I have four major areas to cover, and within each there are a number of sub-

categories or illustrations. The matter of applying criminological theory to

public policy, it seems, cannot neatly be limited to a very brief set of issues.

I will make my comments under these four general headings. First, why

should we bother with theory in a public policy arena already so full of

accepted ideas ? Second, what are the criteria generally applied for the

assessment of appropriate theory ? Third, how well do major criminolo-

gical theories hold up to those criteria ? Fourth, to date, what does expe-

rience suggest about the utility of policy-relevant theory ?

I. SOME ADVANTAGES FROM THE USE OF THEORY

There are some writers and researchers, especially those with a stylistic

preference for phenomenological perspectives and exploratory procedures,

who find the use of a priori theory to be unnecessarily constraining and

narrowing. Others respond that theory guides the discovery process, yield-

ing more useful results by virtue of the organization of data and implica-

tions. If the truth lies somewhere in between, my personal view is that the

latter perspective is the more appropriate; in a world of probabilistic rela-

tions and an infinity of variables, theory leads us to see more, even while

it may on occasion blind us to some relevancies. Let us consider four

examples.

A. Organizing Our Thinking. So much is known about criminal behavior,

and so much is thought to be known about its etiology and control, that

some form of theoretical orientation proves very useful in categorizing that

* University of Southern California, Dept. of Sociology, Social Science

Building 154, University Park, U.S.A., Los Angeles, CA 90089-0032.

— 45 —

knowledge. Take, for example, the specific question of whether delinquent

behavior tends to be specialized or «versatile» . Psychological perspectives

b

including social leaming theory, stress individual differences, and lead us to

expect different patterns of delinquent behavior across individuals. Thus we

seek different etiologies for violence, for property crimes, for drug abuse

9

and for rebellious youthful behavior. Discovery of such behavior-specific

etiologies would naturally lead to behavior-specific intervention policies.

By contrast, sociological or political perspectives that view most delin-

quency as normal adolescent behavior, merely a manifestation of age

stratification, would be more likely to anticipate non-patterned or versatile

delinquent behavior, what has elsewhere been termed «cafeteria-style »

delinquency. Etiology would be couched in terms of normal developmental

processes, and intervention policies would favor non-intervention or « gene

ral» rather than «specific» deterrence practices.

À recent review of the literature on this topic (Klein, 1984) reveals an

overwhelming preponderance of evidence on the side of versatility, with

very little evidence for the existence of major patterns of specialized delin-

quency. Because the versatility pattern relates more directly to socio-poli-

tical theories, which in turn relate to broader, non-individualistic interven-

tion policies, theory in this instance guides policy by relating behavioral

patterns to etiological implications. Score one point for theory !

B. Alerting Us to Logical Inconsistencies. Policy-directed programs based

explicitly upon theoretical orientations are in the best position to yield

advances in the relationship of thinking to acting. Thus, in the U.S. we have

had an opportunity to assess the value to crime reduction of opportunity-

structure during the Kennedy/Johnson years, of the so-called «national

strategy» theoretical stance under Nixon, and of labeling theory in the

mid-seventies. The current affinity of the Reagan administration for the

tenets of general deterrence theory is beginning to present another, similar

opportunity.

Being able to specify in some detail the tenets of theory which underlie

policy allows us to assess both how well policy articulates theory and how

well the outcomes of policy may fairly be attributed to that policy. The

logic of the theory provides the material for such an assessment. À recent

example is provided by the National Program for the Deinstitutionalization

of Status Offenders («(D.S.O.»).

Replicated in eight sites in the U.S., at the cost of many millions of

dollars, the D.S.O. program was the principal enactment of the liberal

delinquency legislation of the mid-seventies. It was explicitly justified by

reference to labeling theory. In many critical ways, the D.S.O. program was

a failure. At both the federal and local levels, a host of impediments to

program success have been identified (Klein, 1979; Kobrin and Klein, 1983),

— 46 —

but central to many of these was the very clear failure to implement the

tenets of the theroretical perspective which spawned the program.

D.S.O. was a federally mandated program to remove from incarcera-

tion and temporary detention any youth charged with an offense not char-

geable against adults. The most common such offences are running away,

incorrigibility, truancy, and possession of alcoholic beverages. As a principal

component of the 1974 Juvenile Delinquency Act, the D.S.O. provision

revealed the commitment of the framers of the Act to the central tenets of

labeling theory. In addition to its humaneness, the process of deinstitu-

tionalization was seen as reducing the stigmatization resulting from formal

processing in the juvenile justice system and thus interrupting the cycle of

deviance production (Lemert’s «secondary deviance») which may result

from negative self-images and societal reactions.

Unfortunately, neither the federal legislation nor the program guide-

lines provided clear specification of basic labeling propositions. Therefore

each state and local jurisdiction developed programs to suit its own political

convenience and its own conventional wisdoms about delinquency preven-

tion, while occasionally paying lip service to labeling theory propositions.

Even the selection of programs to be supported by federal funds was under-

taken by the federal Office of Juvenile Justice and Delinquency Prevention

according to criteria having little direct relevance to labeling theory (Kobrin

and Klein, 1983, Chapter 11).

If built on labeling theory, what might the D.S.O. programs have done ?

Several rather obvious examples can be provided.

1. Because labeling theory is admittedly ambiguous, a structured

specification of its propositions might have been offered as guidelines by

the federal funding agency, or might have been attempted by the program

directorates in the various jurisdictions. This was not done.

2.Since stigmatization of clients by involvement with juvenile justice

agencies was to be avoided, processing of clients by non-justice agencies

only might have been attempted. In some jurisdictions it was, while in

others it clearly was not. The issue of political control of the programs is

an important consideration here.

3.In those settings with clear justice system involvement, one would

expect less stigmatization to occur at the police level than at the court level.

Thus police diversion rather than court diversion programs might be expec-

ted to prevail. Just the opposite proved to the case in these D.S.O. programs.

4. Labeling theorists maintain that it is the disadvantaged segments of

society which are most consistently stigmatized by the formal control

systems. Thus the D.S.O. programs might have given extra attention to the

poor, to ethnic minorities, or to female clients. Analysis of the DS.O.

— 47 —

clientele over all program sites revealed, if anything, an opposite tendency

in client selection.

S. Labeling theory clearly would argue that any potentially stigmatizing

label, such as « delinquent» or «neurotic» or «product of an inadequate

family » , should not be spread about. A client should not be surrounded by

social agents police, school officials, welfare workers, ministers and priests

who have been alerted to his deviant status. But in D.S.O., as in most social

service programs, the assumptions of coordinated service prevailed over the

labeling proposition. Community agency networking was seen positively,

in terms of consistent service delivery, rather than negatively in terms of

«label spread». An analysis of D.S.O. data (Gordon, 1980) revealed that

greater agency networking was associated with higher levels of client reci-

divism.

6. Labeling theorists would surely look askance at any program which

tended to substitute one negative label for another. In the case of DS.O.,

one would hope that community intervention in lieu of justice system pro-

cessing would strive for neutral or positive label applications to clients. Yet

the predominant treatment modality employed in these programs was some

variation of mental health counseling. Whether this took the form of indivi-

dual counseling or group counseling, the message to the clients was still the

same : if you are not a « bad kid», then perhaps you are a «sick kid» , one

in need of therapy: we”ll counsel you until you are «better». New stigmas

replace the old.

7. Clearly, no destigmatization process should be applied to clients

not yet involved in the justice system. In the case of D.S.O., deinstitutionali-

zation and alternative community treatment should have been applied only

to clients in clear danger of detention or institutionalization. Yet analysis

of the client data reveals a consistent trend toward «net-widening» , the

process by which inappropriate clients are involved in the program without

a demonstrable need to be involved. Although the potential for net-widen-

ing was obvious from the outset, few D.S.O. programs articulated the danger

or developed safeguards against it. Thus the natural proclivity for preventive

activities surfaced inevitably and yielded large numbers of inappropriate,

non-detainable youngsters for D.S.O. treatment.

In its penchant for net-widening, for alternative stigmatization, for

organizational networking, and for retaining justice agency control on

programs and clients, D.S.O. clearly became a program in conflict with its

own intellectual birthright. It is the capacity of labeling theory to be expli-

cated that bares the wounds of the program so openly. Score another point

for theory !

C. Exposing Conventional Wisdoms. The term «Conventional Wisdom »

refers to the combination of untested assumptions and relatively unchal-

lenged facts that we normally take to represent truth. «Criminology»,

— 48 —

noted Korn and McCorkle, «is without parallel in the behavioral sciences

for the sheer prevalence of invalidated ideas over positive knowledge »

(1959; 304). In criminology, we have many conventional wisdoms, some of

them in direct conflict with each other. We can recognize them easily :

They start with the phrase, «It is obvious that…».

Thus «it is obvious that» police discriminate against minorities, «it is

obvious that» imprisonment creates more confirmed criminals, and «it is

obvious that» rehabilitation doesn’t work. Or, take the example of street

gangs in the 1950’s and 1960°s in the U.S. It was «obvious» to policy

makers in that era that street gangs could be transformed and turned from

their destructive pursuits by dedicated and «street-wise» workers. While

tenets of differential association, culture conflict, and opportunity'structure

theories were supportive of the street worker approach, any but the most

superficial reading of those theories would have warned against the conven-

tional wisdom of this value transformation approach to street work pro-

grams. These theories each had much to say about neighborhood and

community structure, about formal institutions of control, and about

class-related value systems, but little of this was systematically incorporated

into street work programs which became dependent, instead, on the per-

sonal relationships between worker and gang member (Caplan, 1968; Carney

et al., 1969). For the most part, these programs, with their conventional

wisdoms, became conventional failures (Klein, 1971).

In the 1980s, the emerging conventional wisdom concemning street

gangs in the U.S., mirroring the neo-classical writings now in vogue (Wilson,

1975; Van Den Haag, 1975) and the socio-political conservatism of the

Reagan administration, is based on deterrence theory. The value tranforma-

tion model is in decline, and the deterrence model is in the ascendancy. In

the arena of street gangs, this has led to emphasis on surveillance, probation

and parole revocation, violence control, and greater reliance on police and

prosecution programs (Maxson and Klein, 1983). Yet, even the most cur-

sory examination of deterrence theory would reveal that these programs

concern themselves only with the conventional wisdoms associated with

deterrence, not with such theoretical corollaries as have been spelled out by

Gibbs (1975), Zimring and Hawkins (1973), and others. Concepts of cele-

rity and certainty have not penetrated the punishment severity mentality

to any significant degree; perceptions of punishment probabilities are

assumed rather than manipulated; the explicit communication of detection

and conviction consequences to gang members remains an untouched policy

option.

In the case of both the value transformation model and the deterrence

model, the existence of relevant theories reveals the very limited value of

the resulting programs because the programs are based principally on the

conventional wisdoms associated with those theories. It is the theories

— 49 _

which provide the material for exposing the inadequacies for policy of these

conventional wisdoms. Yet another score for theory !

D. Building Knowledge by Evaluating Theory-Based Policies. American

criminologists, far more than their European and other counterparts, have

involved themselves in the empirical evaluation of public and private pro-

grams of crime control. Indeed, in criminology as well as other areas of

social concern, evaluation research has become a significant growth industry

in the USS.

Taken together with the tendency for significant crime programs to

claim themselves as exemplars of various theories, this emphasis on evalua-

tion has, I believe, greatly advanced our understanding of crime etiology and

control. Theories that hold up to empirical test, theories that are modified

by reference to program-derived data, and theories that must be largely

abandoned because of a failure of empirical validation in field tests all

advance our knowledge. They advance it because the programs we evaluate

relate explicitly to these theories. Programs which do not, it seems tome,

can offer little but piecemeal tidbits following their evaluations. If we know

more about community organization, opportunity structures, peer relations,

labeling, social bonding, and organizational control procedures, it is to a

considerable extent true because we have had the opportunity to view these

concepts as they have been articulated in evaluated programs. And it is these

concepts, not the programs, that constitute our knowledge in criminology.

Two contrasting examples are instructive, the first involving Cloward

and Ohlin’s opportunity structure theory (1960) and the second involving

labeling theory. In the early and mid-1960s, the federal government and the

Ford Foundation were enamored of and very supportive of opportunity

structure theory. Stressing various forms of blockage of access to both

legitimate and even illegitimate avenues of material success, the theory

posited that varieties of delinquency were directly related to these access

blockages. This was basically a theory of lower class delinquency, and the

belief was then prevalent that delinquency was concentrated among lower

class youth. To successful, middle-class and upper-class Americans, both

academic and political, the theory «made sense», explaining a disturbing

social problem at some distance from them by reference to processes of

success attainment they could easily understand. There was little need

here to posit an alternative culture, since the values of concem were the

accepted middle-class values of status and material gain.

Adopted by the federal establishment as its response to urban delin-

quency, opportunity structure theory was soon translated as well into the

rallying cry of the «war on poverty». The demands of serious urban pro-

blems were accepted as a federal responsibility; community action programs

in myriad forms were established to open up the opportunity structure to

the disadvantaged. Here, indeed, was a glorious opportunity to apply and

— 50 —

evaluate the utility and validity of a major social theory. Unfortunately,

the opportunity was not taken seriously. Programs were mounted with

little appreciation or planning for evaluation, so that the multiple, long

range failures of the war on poverty are ill-understood and, one fears, doo-

med to be repeated. What little we know of the validity of opportunity

structure theory has been provided by independent scholars in peripheral

rather than central positions of evaluative leverage (Elliott, 1962; Moynihan,

1969; Short and Strodtbeck, 1965).

By way of contrast (albeit partial contrast only) consider the case of

labeling theory and juvenile diversion programs in the U.S. in the 1970s.

While it is true that many indeed the majority of juvenile diversion programs

were perverted or even invalidated by the net-widening phenomenon, it is

also the case that federally supported diversion programs, explicitly based

on labeling theory, have been mounted and evaluated. Perhaps reflecting

the failure to learn about social programming in the 1960s, Congress and

various federal administrators placed more stress in the 1970s, the era of

labeling theory’s predominance, on accountability for program funds both

fiscally and in terms of net outcome.

Along with much other research, both funded and unfunded, which has

tested principal tenets of labeling theory, perhaps the most striking studies

have been those explicitly relating diversion programs to the theory. These

would include principally the work of Elliott and Dunford and their collea-

gues in Colorado, Davidson and his students in Michigan, and Klein and

Teilmann and their students in California. From these have come some very

well articulated statements of labeling theory in operational terms; tests of

both minimal and maximal levels of diversion implementation; tests of both

natural and controlled applications of the theory in diversion programs; and,

finally, some better understanding of the promise and limitations of labeling

theory as a policy framework.

Thanks in major part to the stress on program evaluation, we can now

say of labeling theory that it predicts far less effectively than was originally

thought. Well implemented diversion programs generally fail to produce

much change in juvenile attitudes, self-images, and behaviors. Some labeling

effects may be more directly laid to social agent’s responses to past label

applications than to any internal changes among agency clients. Labeling

theory has not been invalidated by this research, but labeling effects have

emerged as relatively weak.

Social programs justified by reference to labeling theory, despite the

relative strength of its support among many justice system practitioners,

may be constructed on shaky foundations and should expect to accomplish

little by way of client change. What allows one to make such a statement is

that (1) the theory could be and was explicitly articulated, (2) programs

were explicitly formulated as operationalizations of the theory, and (3) the

— 51 —

theory was tested by reference to evaluation of the derived programs.

Score one more point for theory !

II. CRITERIA FOR CRIMINOLOGICAL THEORIES

This section of the paper summarizes a portion of an extensive, 173-

item review of the criteria that criminologists themselves have used to

evaluate the theories of their colleagues. (1) Suffice to say, at the outset,

that the list of criteria to emerge from the review is so extensive that no

theory could reasonably be expected to perform well with respect to all

of them.

In addressing these criteria, I will be using the word, theory, in a fairly

narrow way. I certainly do not mean to use it sysnonymously with such

words as hunch, or belief, or even hypothesis. Further, I will be using the

term to apply to more than one proposition, and to sets of propositions

which are interrelated.

For instance, viewed in this way, Sutherland’s proposition about crime,

that it is learned much as any other behaviors and attitudes are learned, does

not constitute a theory. It merely relates one variable to another. If we add

his classic proposition that learning of criminal behavior and attitudes is a

function of the ratio of exposure to social definitions favorable to law

violation over definitions unfavorable to law violation, we now have two

propositions only barely related to one another not enough to warrant the

term theory, yet.

But let us now add Sutherland’s specification, borrowed from psycho-

logical learning theory, that the «differential associations» vary in fre-

quency, duration, priority, and intensity, and we have arrived at a propo-

sition specifying the interrelationships between the other two, and thus we

have the basic, if minimal ingredients of a theory. Again, we can add the

fourth proposition, that it is within close, intimate groups that most of

these learning processes take place. This specifies conditions within which

the first three propositions interact and gives us a more complex theory, one

truly capable of yielding highly differentiated data predictions.

And finally, we can add another major prong of the theroy., given grea-

ter precedence by Cressey (1962) than by Sutherland, that. differential

association processes culminate in crime as a function of social disorganiza-

tion. The greater the social disorganization of a community, such that the

(1) Materials for this section were originally developed for the Governor’s

Special Committee on the Criminal Offender (New-York, 1967) and

have been used in prior presentations.

— 52 _

law is pressing in one direction and other forces are pressing in the opposite

direction, the more will that community produce the differential association

processes by which crime is learned and enacted.

Here, then, is a full-blown, complex theory of human behavior, using

psychological, social psychological, and sociological levels of variables. Ît is

this sort of theory, which specifies two or more propositions in interaction

and, preferably, within specified contexts, that I have had in mind in the

earlier sections of this paper and in what is to follow as well. I will not be

referring to simplistic statements that state too little, nor to those so broa-

dly stated that cannot yield differential predictions. Many well-known

theories of criminal and delinquent behavior do fit the description I have

offered differential association, social control, labeling, deterreñce, varia-

tions of strain theories such as opportunity structure and delinquent sub-

culture, and psychoanalytic theory to name a few. It is to such theories that

the following criteria have been applied by criminologists themselves.

A. Logical Structure. Explanation of events by reference to variables

otherwise independent of those events; internally consistent propositions,

each of which narrows the range of prediction error; deductions derived

logically from the propositions, and more parsimoniously than from com-

peting theories; concepts which can be agreed upon, operationalized, and

their dimensions quantified.

B. Definitons. Clarity as to the focus of the theory, the act to which it

refers, and the appropriate unit of analysis (i. e. an act, a person, or a

response: label, law, etc.).

C. Focus. Placement along the dimension from a general theory of crime

to a theory of a specific type of criminal act (e. g. arson).

D. Verifiability and Verification. Both the capacity (formulation, opera-

tionalizations) for verification and the results of empirical tests.

E. Relation to General Deviance. The extent to which the theory fits

under more general deviance propositions, or specifies its independence

of them.

F. Major Facts. The extent to which the theory can account for ecological

and demographic distributions, unevenly distributed prevalence and inci-

dence rates, changes in crime detection and reporting, changing patterns (as

in drug abuse, gang violence, organized crime targets), the place of com-

panionship, and victim precipitation.

G. Criminal Careers. Their patterns, their distributions, their sources in

delinquency or in non-delinquency events.

H. Emergence vs. Maintenance. Concerns with etiological issues as opposed

to contemporaneous reinforcement and control.

— 53 —

I

Process. The linkages betweenv social structural variables and the com-

mission of unlawful acts.

J

The Selection Problem. Attention to differential involvement among

siblings in the same family, residents in the same neighborhood, or recidi-

vists in the same treatment cohort.

K. The Criminal Justice System. Both its contribution to and ability to

control levels of crime and delinquency.

L. Practical Guidelines. Is the theory constructed and stated in such a way

that policy guidelines can be derived ? Can these guidelines be shown to be

theoretically derived rather than common sense principles ? Can these

guidelines overcome the impediments to program implementation that so

often plague our attempts ?

Are such criteria as these only of interest to criminologists, or are they

directly relevant to the policy maker as well ? The answer, quite obviously,

is that they do indeed have direct policy relevance. We can consider several

examples.

Theories concerned with acts of persons — criminal acts — are likely to

yield suggestions for « target hardening» and specific deterrence procedures

Theories defining persons as the appropriate units of analysis are more likely

to concentrate on rehabilitation and prevention procedures, as well as

specific deterrence. Theories focusing on the response to crime are more

likely to recommend changes in the justice system or in legislation (e.g.

decriminalization of certain drug use, or establishing criminal sanctions for

non-adherence to administrative regulations). One can easily see from this

that various political persuasions might well find themselves more com-

fortable with one definitional approach than another.

As with their definitional focus, the empirical arenas («major facts»)

to which various theories best apply also relate to the socio-political con-

cerns of policy makers. The juvenile gang theories of Cohen, Cloward and

Ohlin, and Miller during the 1960s fit well with the political climate of that

time in the U.S.. But in the 1980s, their emphasis on social forces and cul-

tural pluralism does not fit the spirit of the reigning conservative establish-

ment. Deterrence theory is now very much in vogue.

Similarly, the increased interest during the Carter administration in

corporate crime and adherence to administrative guidelines as set forth by

regulatory agencies matters concerning theories of class conflict and

organizational behavior have now been supplanted by interests in violence

and career criminality. These latter stress deterrence theory and, to some

extent, social control theory. Those who review the funding of research by

federal agencies easily recognize how the socio-political climate of-a federal

bureaucracy can directly affect the support or non-support of theoretically

unfused proposals.

— 54 —

Along with definitions and major facts, a theory’s emphasis on etiolo-

gical versus maintenance issues relates to its acceptance among policy

makers. Etiological issues, the locus of behavior in developmental, or social

conditions, are more congenial with liberal rather than conservative orienta-

tions. In contrast, maintenance issues such as peer pressures, target availabi-

lity, and absence of family or community controls tend to appeals as

explanatory variables to more conservatively oriented officials. There is

considerable overlap among these, of course consider for instance the shared

interest among liberals and conservatives in community-level controls on

crime yet the separation remains notable.

Or, as fourth example, consider the prominence given to the crimiral

justice system by opposing theories. Labeling theory sees the danger of the

creation of delinquent and criminal careers through the selection of deviant

acts and applications of deviant labels by agents of the system. Thus diver-

sion rather than sanctioning programs are favored by labeling theorists and

their practitioner colleagues.

Deterrence theory, however, sees in the criminal justice system the

potential for reducing criminal behavior through the application of negative

sanctions (the swifter, the more certain, and often the more severe, the

better). It is not diversion from an ineffective system that is sought, but a

strengthening of the system’s capacity to respond directly to the criminal.

Finally, there is the matter, broadly conceived, of a theory’s ability to

suggest practical guidelines. Experience in the U.S. suggests, sadly, that any

theory capable of yielding new or multiple guidelines for positive action will

be positively received and applied by policy makers irrespective of its

logical structure or empirical status. Thus, over the past twenty-five years,

we have seen an uncritical acceptance for policy direction of differential

association, opportunity structure, labeling, social control, and deterrence

theories among American officials at the federal and, by derivation, at the

state and local levels.

Clearly, the validity of these theories has not been a critical factor in

their adoption, for their validity has never been established prior to adop-

tion. Rather, what we seen is a series of marriages (not, to complete the

metaphor, with intervening divorce proceedings) between criminological

idea systems and politically-toned value systems. The former have sought

arenas for application while the latter have sought rationalizations for

policy preferences. In this sense, the place of criminological theory in

public policy may be accidental, but it is by no means inconsequential.

IIT. APPLICATIONS OF THE CRITERIA

When the preceding criteria were first applied as a body to a broad

series of popular theories, the result was discouraging. Differential Asso-

ciation was found to have an incomplete structpre; its definitions were

— 55 _

difficult to operationalize, leaving verification weak. For a general theory,

it left many facts unanswered. Questions of emergence vs. maintenance,

careers, and selection found too few answers. On the positive side, the

theory’s attempt at comprehensiveness and its amenability to the derivation

of practical guidelines were unusual among the other approaches.

Cohen’s delinquent subculture theory had the advantage of logical

and definitional clarity, but yielded few practical guidelines, and suffered

from negative findings in major attempts at verification. By way of contrast,

opportunity structure theory shared the same structural and definitional

clarity but yielded somewhat better levels of confirmation. However, its

scope, as with Cohen’s, was narrow.

Other theories fared even less well. Miller’s lower class culture theory

suffered from both logical and verification problems, and shared the narrow

focus of other approaches. Psychoanalytic theory suffered from the most

serious logical and definitional deficiencies, parochialism, and unacceptable

verification procedures. À series of lesser theories too numerous for specifi-

cation here similarly failed to meet many of the tests provided by the

criminologists’ criteria.

In find it highly significant, however, that theoretical developments

since the first application of these criteria are somewhat more promising.

Specifically, developments in labeling, social control, and deterrence theo-

ries ssem worth considering as they relate to criteria À through L, above.

Looking first at labeling theory, early criticisms (e.g. Gibbs, 1966;

Gove, 1970) ssem now to be too harsh. There is a structure implicit in the

theory, but often it is the critics rather than the proponents who best

articulate it (e.g. Klein et al., 1977). À non-recursive, dynamic perspective

such as labeling requires very intensive work to establish its underlying

structure.

Labeling theory is very clearly concerned with both acts and with

deviant persons, being in this sense somewhat more comprehensive, or

even more sophisticated, than most other approaches. This is additionally

the case because labeling theorists include the reactor, the social agent or

labeler, as a central concer. This perspective also gives labeling a more

general focus deviance rather than just crime and relates criminal issues to

Œe more generic issues of general deviance.

However, these strengths have not been matched by the theory’s

empirical status (Panciera, 1982). Labeling concepts have proven difficult

to operationalize, and the temporal and non-recursive nature of the theory

calls for the most difficult form of test, namely longitudinal studies. Since

there have been numerous demonstrations of labeling effects, albeit weak,

the principal empirical task now would seem to be the delineation of the

contexts within which labeling processes do and do not take effect.

_ 56 —

With respect to the remaining criteria, labeling theory fares quite well.

It does concern itself with the career issue, very centrally, and it does focus

on maintenance issues, although perhaps at too much expense of etiology.

It is highly process oriented, and handles the selection problem by reference

to the societal reactors than the specific differentiating characteristics of the

deviant actors. Because of this latter concern with the reactors, labeling

incorporates consideration of the criminal justice system into its perspec-

tive.

Finally, with respect to practical guidelines, the infusion of labeling

theory with federal and local policies has made this a moot point. The

failure of labeling-inspired public policy can be laid more to the door of

the implementors than of the theorists, the earlier description of the D.S.O.

experience being a good case in point.

Let us look now at Hirschi’s increasingly popular social control theory

(Hirschi, 1969). Hirschi’s is a socialization theory, basically etiological,

that asks not why people become delinquent but rather why they don°t.

His is a Hobbesian assumption that thinks ill of unconstrained mankind

and posits the processes by which we become properly socialized. These

processes are social, having to do with one’s bonds to society, to one’s

family, peers, school, and work world. The theory specifies four types

of bonds, called attachment, commitment, involvement, and belief.

The structure of control theory tends to be simply linear or additive,

in that the relationship between the four principal concepts (and thus of

the propositions embodying them) are poorly specified. On the other hand,

operationalizations of the concepts have been provided, yielding an un-

usually high level of verifiability (and considerable verification as well).

The individual actor, especially as described by his social bonds, is the

definitional unit of analysis, and the focus is quite narrowly on delinquents

alone. Thus little can be said at this point about social control theory’s

placement of this focal behavior within the broader context of other forms

of deviance.

Although it is not clear that this must be the case, control theory has

not been applied to an understanding of the broad spectrum of facts asso-

ciated with delinquency nor with criminal careers or the selection problem.

It is concemed with emergence, not maintenance, it is a process theory

which delimits a narrow range of necessary processes, and is not concerned

with the contributions of the criminal justice system.

Thus social control theory is narrowly confined, yet perhaps because of

this shows considerable logical and empirical strength. Its capacity to

suggest practical guidelines will probably prove most convincing at the pre-

ventive rather than the rehabilitative level, especially in family and school

socialization processes. Clearly the guidelines will have less to do with post-

arrest or post-adjudicative control procedures, despite the name of the theory.

— 57 _

Third and finally in this consideration of the more currently popular

theories in the U.S., we come to deterrence theory. There is a potential pro-

blem here, as one can speak separately of «general deterrence» (macro

level) and «specific deterrence» (micro level) theory. However, some

economists and other writers to the contrary not withstanding, it seems

necessary to this writer that even general deterrence theory, to achieve an

adequate level of prediction, must sooner or later incorporate the essential

perceptual and cognitive elements of specific deterrence. Thus this discus-

sion will address principally the adequacy of specific deterrence theory

which ties the concepts of sanction severity, certainty, and celerity to the

perception or knowledge of those to be deterred and to their alternative,

non-criminal behaviors.

Deterrence theory, although less elaborately developed at this point,

may eventually prove to fare better against our list of criteria. It shares

certain characteristics of social control theory. To the extent that it is the

mirror image of labeling theory, it shares certain of the advantages of that

perspective as well.

Reflecting the cross purposes of macro and micro level perspectives,

the propositional structure of deterrence does not provide a very coherent

model. There is a great need for careful, integrative work to bridge the gap

between the two levels of analysis. But there is no logical or necessary

barrier to such an integration.

For the very same reason, the focus of the theory remains at this point

unclear, ranging from aggregated data on crime rates to the specific acts of

individual persons (or, given the particular logic of the deterrence approach,

the «non-acts» of deterred persons). Generally, the definitional unit of

analysis is the act rather than the person.

Understandably, there is some disagreement over how deterrence

theory has fared empirically. Predictions provided at the macro level are

criticized as spurious and at the micro level as reductionist. Delinquency

studies pitting labeling theory against deterrence theory have given more

support to the former, but this may reflect more on poor deterrents than

on deterrence theory. Until more support is sought and given for longitu-

dinal studies of deterrent effects, this state of affairs may change little;

the theory’s potential for explaining major facts of criminal and delinquent

patterns, or the development and desistance of criminal careers, must

await research which goes beyond mere cross-sectional relationships.

Deterrence does pay more attention to maintenance issues than most

others and, at least in its micro level form, explicitly concerns itself with

intervening processes (perceptions of risk and consequences, prior exposure

to sanctions, internalization of norms, etc.). In this, it is similar to labeling

theory.

_ 58 —

Also, deterrence and labeling share a strong concern for the place of

the criminal justice system in the determination of crime rates. That the

two perspectives view the system in opposite ways, one as creator and the

other as controller of criminal careers, represents an intellectual challenge

that has yet to be entertained seriously by criminologists. The opposite

remains for now in the policy guidelines of labeling-oriented and deterrence-

oriented policy makers. These officials, unfortunately, generally limit them-

selves to the most simplistic statements and implementations of the theo-

ries, there is much that criminologists could do to promote more sophisti-

cated enactments of these theories and thus provide more sophisticated tests

of their validity and utility.

’

IV. ARE WE READY FOR POLICY-RELEVANT THEORY ?

The question of using theory to derive effective policy is no longer one

of the existence of adequate theory. It is, rather, one of finding policy

makers and practitioners sufficiently aware of the advantages of the enter-

prise. In the U.S., we came up wanting in the eras of opportunity-structure

and of labeling. The impediments to proper implementation simply proved

too overwhelming.

But now we’ve had those bitter experiences. Now we’ve had some

opportunity to study the impediments themselves. We should now under-

stand better the gap between theoretical tenets and practical exigencies (see

Klein, 1980, Moffitt, for recent examples). Now, finally, we have reached

the point of facing the most crucial question of all in this arena : how do we

bring about a genuine rapprochement between policy maker and theoreti-

cian ? Research specifically attuned to that question may well be the

research without which we will be stalled at our present plateau of accom-

plishment. I will end this treatise with two final examples, one of failure

where hope was great and one of hope where failure seems likely.

In 1970, during the first term of the Nixon administration, federal

juvenile justice officials turned to a group of consultants, primarily academic

scholars, to devise a «National Strategy» for delinquency prevention. It

was the basic conclusion of that group, heavily infused with sociological

perspective, that both the problem and the promise in delinquency lay

principally at the doors of the very social institutions charged with the

responsibility for the socialization of American youth. These institutions

the schools, welfare agencies, juvenile justice agencies, and so on — were

nominated as the most appropriate targets for change, such that they might

become more responsive to their youthful clients. This focus on social

institutions rather than individual behaviors suggested a wide range of new

programs which might be adopted, and — most importantly — legitimize d

them with the federal blessing. The spirit of the national strategy is

— 59 —

embodied in this quote from the report from the meeting of the consultant

group :

…Ô the development of a viable national

strategy for the prevention and reduction of

delinquency rests on the identification,

assessment, and alterations of those features

of institutional functioning that impede and

obstruct a favorable course of youth

development for all youths, particularly

those whose social situation makes them most

prone to the development of delinquent

careers and to participation in collective

froms of withdrawal and deviancy (Gemignani, 1972).

There were to be four major prongs to the many programs funded

under the umbrella of the national strategy. These prongs represented, in

action, four major theoretical propositions which, taken together, consti-

tuted the theoretical structure of the strategy.

À

«Provide more socially acceptable and meaningful roles for youth» (2).

The general notion here was that involvement of youth in development of

acceptable social roles will increase their participation in pro-social activities

and reduce their reliance on negative activities.

B

«Divert youth away from the juvenile justice system into alternate

programs». Thus the positive labels of principle À are here balanced by

avoidance of negative labels.

C

«Reduce negative labeling». This principle referred not only to the

delinquent label conferred by the justice system, but to those others con-

ferrable by other institutions — poor student, dependent, dropout, neurotic,

gang member, poor worker, unskilled, etc.

D

«Reduce youth-adult alienation». The notion here was that effective

socialization is enhanced by youth-adult sharing of activities and plans, and

that alienation from the adult world throws young people back on less

acceptables sources of reward and satisfaction.

Taken together, these four principles and the underlying concern for

the place of social institutions in the development of youth constitute a

mini-theory with a strong labeling stamp. The discerning reader, however,

will also see the influence of social control theory, differential association,

and other less specifically criminological thought. In any case, with a

(2) The quoted principles are taken from Gemignani, 1972. Mr. Gemignani

was the Director of the Youth Development and Delinquency Preven-

tion Agency, and the convenor of the consultant group.

— 60 —

specified set of propositions and strong federal backing (including some

millions of dollars), the stage was certainly set for a clear demonstration of

the collaboration between theory and public policy.

But for the most part, the demonstration never took place. Dozens

of federal awards were made and programs initiated, but reviews of the

programs did not show them to be infused with national strategy principles.

Rather, they were much like standard or established youth development

and diversion projects. This writer, for example, had the experience of

visiting some of these programs as exemplars of the strategy. Program

personnel, including Directors, were unable to describe the strategy, much

less how their activities articulated it. Most importantly, the alteration of

institutional functioning — the comerstone of the strategy — was given

litte more than lip service in those programs aware of the principle, and

not even that in others. In effect, an abstract strategy or theory was impo-

sed on a practitioner system with which it was not particularly congenial.

The American human services system is individually centered and oriented

to individual change. It is not comfortable with attempting structural

alterations of major proportions. The lesson of this experience and others

like it would seem to be that any battle between policy maker and prac-

titioner as to treatment modalities will be won by the practitioner. We

may be wiser to find theories and policies that at least «make sense» to

the line personnel with the ultimate responsibility of implementation.

This is the advantage of the last theoretical perspective to be described

here, which is at once both the most well established theory available to us,

and the least assiduously applied. Ï refer to traditional learning theory, and

most specifically to that portion of learning theory concerned with the

effects of punishment. My colleagues and I have undertaken an analysis of

negative sanctioning (punishment) principles as they relate to the practices

of American police officials in handling arrested juvenile offenders (Klein

1981 ; Moffitt, 1983).

In the U.S., about one half of all juveniles officially arrested for the

first time never have another arrest recorded against them. To some obser-

vers, this suggests that the sanctioning processes involved in police handling

are very effective. To others, it suggests that the probabilities of arrest for

any given juvenile offense, perhaps one in twenty, are such that the 50 per

cent desistance is related more to chance than to deterrence. In either case,

the issue is raised about the effectiveness of early sanctioning, and the

possibilities for increasing that effectiveness by facilitating practices that

would embody the principles of learning theory. Let us consider six of

these principles.

A. Severity of punishment. Generally speaking, undesired behavior is more

effectively suppressed by more severe punishment. Yet the tendency among

— 61 —

police is to be at their most lenient on the occasion of a first offense. Prac-

tice is in direct opposition to the principle.

B. Temporal proximity. Punishment is more effective with minimal time

delays between the undesired behavior and the application of the sanction.

In the juvenile justice system, however, for reasons of detection, protec-

tionism, and the provision of civil rights among others, the time between

the commission of the act and the application of a police sanction may

amount to several hours, several days, or even longer. Again, the practice

is not consonant with the principal.

C

Implicit rewards. If an undesired behavior is rewarding to the actor,

then the rewards may nullify or outweigh the available sanctions. Much

delinquent behavior is implicitly rewarding as it may provide material

gain, status, ego satisfaction, or tension release. Since police sanctioning

options may have little to do with removing such implicit rewards, they

may have little hope from the outset.

D. Schedule of delivery. To be most effective, punishments should be

delivered with each instance of the undesired behavior. Intermittent punish-

ment, in some instances, may even reinforce the behavior. But since police

detection rates are so low, this principle seems almost impossible to activate.

E. Alternative behavior. Punishment of the undesired behavior will be

more effective if alternative, acceptable behaviors can be furnished.

Although the attempt is occasionally made, most police officers are not in

a position to accompany their sanctions with the provision of socially

acceptable alternative behaviors. If we cannot offer rewarding substitutes

for sanctioned behaviors, then there may be little to prevent those beha-

viors from recurring in response to the repetition or continuance of their

precipitating causes.

F. Continuity of content. To achieve effectiveness, the nature of the

punishment should reflect, in the mind of the actor, the act to which it

is applied. But quite often, a juvenile commits an act (for example, run-

ning away from an abusive parent) which is interpreted differently and

therefore «inappropriately» sanctioned by the police (in our case, defiance

of parental authority). À simple fight may be recorded as an assault, or

illicit sexual relations as statutory rape, or «joyriding» as felony auto theft.

To the extent that the act in the mind of the offender receives a response

connected with a different interpretation, the sanction may not be legitima-

ted and thereby loses its impact.

To be sure, this listing of principles does not amount to a definitive

theory of juvenile sanctioning. Interrelationships between the propositions

have not been offered. The cognitive capacities of offenders (as opposed to

the laboratory animals used in some of the theory development) can provide

— 62 —

some of the contiguities noted above as missing. And individual differences

in «sanction sensitivity» (Klein and Mednick, 1982) must be taken into

account in understanding the effectiveness of early sanctions.

Still, two points seem clear. First, there is a very wide gap between

what theory suggests should happen and what observation tells us does

happen. Second, there are ways — even within the constraints necessitated

by civil rights and moral cautions — that early police responses to detected

delinquent activity could produce higher probabilities of desistance from

that activity. Delinquent behavior is, for the most part, normal behavior,

but this does not imply that it cannot or should not be reduced by applica-

tion of learning theory principles. I suggest, then, that this appbication to

public policy of this theory of behavior could provide a most useful exer-

cise in the enhancement of the utility of our criminological knowledge

base.

REFERENCES

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CARNEY F.; MATTICK H.W.; CALLAWAY J.D. (1969). Action on the

Streets. New-York, Association Press.

CLOWARD R.A., OHLIN L.E. (1960). Delinquency and Opportunity : A

Theory of Delinquent Gangs. New-York, The Free Press.

CRESSEY D. (1962). The development of a theory : differential associa-

tion. In M.E. WOLFGANG, L. SAVITZ, and N. JOHNSTON (ed.),

The Sociology of Crime and Delinquency . New-York, John WILEY and

SONS.

ELLIOTT D.S. (1962). Delinquency and perceived opportunity. Sociolo-

gical Inquiry, 32, p. 216-227.

GEMIGNANI R.J. (1976). Youth service systems. In RM. CARTER and

M.W. KLEIN (ed.), Back on the Street : The Diversion of Juvenile

Offenders. Beverly Hills, Sage.

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Pacific Sociological Review, 9, p. 9-14.

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GORDON M.A. (1980). The Relationship of Agency Network Centrality to

Client Recidivism. Los Angeles, Department of Sociology, University

of Southern California.

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an evaluation. American Sociological Review, 35, p. 873-884.

HIRSCHI T. (1969). Causes of Delinquency. Berkeley, University of Cali-

fornia Press.

— 63 —

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offenders

a litany of impediments. In N. MORRIS and M. TONRY

(ed.), Crime and Justice : An Annual Review of Research, Vol. I.

Chicago, University of Chicago Press.

KLEIN MW. (1981). A judicious slap on the wrist : thoughts on early

sanctions for juvenile offenders. In S.E. MARTIN, L.B. SECHREST,

and R. REDNER (ed.), New Directions in the Rehabilitation of Crimi-

nal Offenders. Washington, D.C., National Academy Press.

KLEIN MW. (1984). Offense specialization and versatility among juveniles.

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KLEIN M.W. (1971). Street Gangs and Street Workers. Englewood Cliffs,

New Jersey, Prentice-Hall.

KLEIN M.W.; MEDNICK S.A. (1982). Sanction sensitivity

a theory of

specific deterrence of delinquency. Los Angeles, University of Southern

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KLEIN M.W.; TEILMANN K.S.; LINCOLN S.B.; LABIN S. (1977). Diver-

sion as Operationalization of Labeling Theory. Los Angeles, University

of Southern California (mimeo).

KOBRIN S.; KLEIN M.W. (1983). Community Treatment for Minor Offen-

ders : The D S.O. Experiments. Beverly Hills, Sage.

KORN R.R.; McCORKLE L.W. (1959). Criminology and Penology. New

Y ork, Henry Holt and Company.

MAXSON C.L.; KLEIN M.W. (1983). Gangs : Why we couldn’t stay away

In J.R. KLUGEL (ed.), Evaluating Contemporary Juvenile Justice

Beverly Hills, Sage.

MOFFITT T.E. (1983). The learning theory model of punishment : Impli

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Exploring Guidelines for Specific Deterrence Theory : Early Sanctions

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California (mimeo).

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Delinquency. Chicago, University of Chicago Press.

VAN DEN HAAG E. (1975). Punishing Criminals. New-York, Basic Books.

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Crime Control. Chicago, University of Chicago Press.

_ 64 —

THE STATUS AND ROLES OF CRIMINOLOGY

AND ITS INSTITUTIONAL RELATIONS

WITH PUBLIC POLICY AND PRACTICE

Paul Rock*

In some senses, it is a little artificial to examine criminology and

public policy as if they were independent of one another. Politicz_ælly conse-

quential criminology and research seem to acquire special personalities

in those arenas which are devoted to the business of policy-making. They

become invested with the forms and organization of the policy process,

being given meanings and context by an eminently political activity. Policy-

making itself turns on the artful presentation of arguments and perspectives.

It is an extension of rhetoric, preparing its own environment, history and

desirable futures. Whenever it enters the policy process, criminology is also

obliged to become an extension of rhetoric. It must lend itself to political

persuasion. Ît is thus difficult to detach criminal justice policy and crimi-

nological research. Each is shaped in the face of the other. Designed to be

used and absorbed by the other, anticipating the other’s arguments, and

incorporating the replies which the other might seek. Together, they fur-

nish a more general form of discourse and an attendant network of people,

events, institutions and projects. The relations between the two are accor-

dingly constitutive of their very character, becoming a vital part of the logic

which produced them.

On another level, those relations may be re-interpreted as a pattern of

social exchanges. My own work on policy-making has focuses on the history

of the Justice for Victims of Crime Initiative which has been developed by

the Ministry of the Solicitor General of Canada. The Ministry ha allocated

policy and research to separate Branches of its Secretariat, and some of the

seemingly formal analytic connexions between the two may be observed in

the concrete relations of those Branches. It has become clear that crimino-

logy and public policy are not merely the abstract and reified properties

of events but the embedded features of particular social worlds. Their

characteristics are not best illuminated by a phenomenologically distant

description which neglects how people negotiate and do things together.

For instance, any new initiative or idea will become part of a division

of labour which is itself organized by the availability of staff and older

forms of co-operation. It will be moulded by a model that originated in

* London School of Economics, Houghton Street, Aldwych, G.B. London

WC2 A,2 A E.

— 65 —

other projects and problems. In its turn, it will establish new sequences of

experience, possibilities of action and webs of relations. As people become

involved in its evolution, so some minor or major part of their lives will be

identified with it. They will discover that they have been transformed by

the process. Their biographies will be framed by it. They will also discover

that they have been engaged in the manufacture of a novel social world that

is given coherence by the policy. In this manner, initiatives are created by

groups which they create in return. À kind of reciprocating dialectic is set

free with indeterminate and emergent results. It is never possible to predict

the outcome of any prolonged piece of policy work.

As policies unfold, those who are bound up in them will find that they

and qthers may make different claims upon them.

Policies will become associated with specific facets of specific people.

By extension, statements made about a policy may be read as statements

about its authors. Actions towards a policy may also be directed at the self

that is alienated in the policy. The formal relations between criminology

and public policy thereby hinge on the interplay between the segments

of a social world. The logic of the interaction of those segments will become

incorporated into the logic of policy-making, the one affecting the other.

The ultimate version of any proposal must then be deciphered as an ex-

pression of the practical way in which people got on with one another.

More, those segments tend to be governed by different concerns, styles of

discourse and conceptions of time, procedure and effective action. Thus,

policy may be judged «timely» when research would represent it as prema-

ture; it may be politic to do research in an area which is intellectually

uninstructive; and arguments may be devised to satisfy political audiences

rather than research questions. There can never be a complete and happy

reconciliation of the two. Rather, there is always some social and stylistic

awkwardness in the transitional phase as research becomes sponsored and

then developed for policy purposes.

— 66 —

A MORE SOMBRE MOOD

Patrick Tôrnudd*

INTRODUCTION

There will never be a Nobel Prize in Criminology. This opening state

ment is not intended as an expression of either dissatisfaction or defeatism

Instead, I wish to both remind us of one permanent feature of all criminolo

gical research and also refer to the trend shifts in the criminological commu

nity, within which the mood of the last 10 years, may indeed, be charac

terized as sombre.

The permanent feature of all criminological research is that its sub

ject matter — crime — is a manifestation of counteracting social forces. This

precludes quantum leaps in the organization of criminological knowledge or

in the art of applying this knowledge. The self-regulative mechanisms may

make even real improvements in the understanding of crime or in the art of

dealing with crime difficult to discem. The limitations inherent in the task

of the criminologist may recently have been brought home to us with grea-

ter emphasis than before. At least criminologists in the industrialized

Western countries seem to be beset by a change in general outlook with

elements of if not resignation at least of a realistic reappraisal of the social

task of criminology and criminologists.

1. Loss of authority ?

The change in mood can be understood in the light of several parallel

developments. Within some milieus of criminology the recent radicalisation

process reached a point where neither political realities nor the economy of

dialectics allowed any further increases in temperature. Depending on one°s

point of view, what has followed may be characterized as a «hangover», a

«period of backlash» or perhaps as a breathing space to allow for a neces-

sary intellectual regrouping.

As a social science criminology shares the fate of its parental discipline,

sociology, which after its «honeymoon period» lost some of the popularity

which for a time always surrounds any discipline capable of providing new

perspectives and interpretations.

* Director, National Research Institute of Legal Policy, Siltasaarenkatin

12 A,SF — 00530 Helsinki 53, Finland.

_ 67 —

Like other human sciences criminology is directly affected by the ero-

sion of the traditional process of accumulation of knowledge brought about

by new methodological.orientations. The alternative phisolophical outlooks

such as e.g. Foucaltian textualism, cannot be harmonized with nor replace

positivism. An intellectually stimulating situation — but we must pay a price

in terms of loss of authority and direction.

Furthermore, the increased volume of both criminological expertise and

«semi-expertise» (see 2.4), the continuing process of specialisation and

ideological shifts in favor of decentralisation and participatory democracy

have eliminated some of basis of the criminologist’s earlier position as a

moral authority and acknowledged general expert on crime problems.

These developments are clearly visible in some countries. Other count-

ries may be less affected or are still in the stage where criminologists are

establishing themselves as experts. Likewise there is a great variety of

strategies for coping with the new situation ranging from retreat into

technical specialties to various forms of ideological adjustment (1).

In the following I shall take a closer look at the current roles of crimi-

nologists, on the basis of my familiarity with conditions in the Nordic

countries, and then return to the more general problem of what criminolo-

gists can or should do in the present situation.

2. Institutional relations

2.1. Integration without castration ?

In paper which I delivered at the fifteenth Scandinavian research

seminar at Grenä in 1973 (unpublished manuscript) I described what

happened when foreign visitors came to visit the Finnish National Research

Institute of Legal Policy (at that time called the Institute of Criminology).

«We will of course tell about all the important projects we are working

on… our close relations with the law drafting people in the Ministry of

Justice… how our researchers have secured membership in working groups

and other bodies involved with criminal justice planning…

(1) The word «adjustment» is, perhaps unfair if interpreted to reflect

deliberate choice rather than a gradual broadening of perspective.

Would the latter expression best characterize the process by which e.g.

the «new criminologist» lan Taylor has transformed into an advocate

for «proper policing of established working-class residential areas» and

for abandonment or modification of «earlier idealistic versions of

radical criminology» and «libertarian revulsions to all forms of policing,

control and containement» (1981) ?

— 68 —

If there is an element of bragging in such accounts this is one of the

minor human sins. But there are much more serious sins. Visiting foreign

criminologists have on several occasions grown progressively sterner of mien

as we have recounted our intimate relationship with the legal establishment.

At least one young visitor from the USA did not mince his words when he

made clear to us that no self-respecting criminologist in his country would

have anything to do with the authorities or engage in other such collabo-

ration if he wishes to be considered at all progressive ».

The discussions of the Grenä seminar did not, of course, reconcile the

differing schools of thought on the proper role of the criminologist : seek

the Truth/improve this society/expose society in order to make a better

society for coming generations. The debate raged fiercely as at countless

other conferences, workshops and seminars all over the world at the time.

The momentum of critical re-evaluation of legal institutions was strong —

and the attempts of the establishment to «integrate» the criticism adopting

the critics made, understandably, many criminologists suspicious.

The accusation of «selling out» to the establishment may perhaps be

understandable when reformism and revolution are seen as the alternatives.

It is less clear why a research worker with a basically reformist ideology

necessarily should find himself more constrained in an institutional frame-

work than working outside the system. As the majority of professional

criminologists in Scandinavia seem to be reformists of various hues — in the

sense of regarding reform of the present system as a worthwhiie task — it

may be interesting to take a closer lood at the recent changes in their

professional roles as criminologists and the impact of this change.

2.2. À Scandinavian perspective

To illustrate the changes in the professional role of criminologists in

Scandinavia over the last decades I have gone through the lists of partici-

pants at the annual research seminars arranged by the Scandinavian

Research Council for Criminology. Of the 105 criminologists from Den-

mark, Finland, Norway and Sweden (2) who took part in the two most

recent seminars (1982 and 1981) 47 % worked at universities, 30 % were

employed by the Ministry of Justice or by an agency attached to or under

the supervision of the Ministry of Justice and 9 % were employed by other

governmental agencies. The remaining 14 % were otherwise employed or

could not be reliably classified.

À comparison with the situation 15 years earlier — the two seminars

held in 1966 and 1967 — reveals a clear change. At that time 59 % of the

(2) Because of the difficulties of classifying Icelandic participants I had to

leave them out of the comparison.

— 69 —

participants were university-affiliated while only 19 % belonged to the

«Ministry of Justice» — category. The dramatic expansion of the latter

category is accounted for by the semi-independent research institutes loo-

sely attached to the Ministries of Justice in Sweden and Finland (3). Both

institutes now dominate the scene of criminology research in their respec -

tive countries : the Finnish institute did so already in the nineteen sixties

while the Swedish institute is of more recent origin (it was founded in

1974).

In Denmark and Norway the employment structure of the criminolo-

gists has, on the other hand, remained fairly stable. The Danish and Norwe-

gian contingents to the annual research seminars are, now as in the sixties,

primarily recruited from the universities.

How has this affected the tasks of criminology and the role of crimi-

nologists ? When Inkeri Anttila compared the Scandinavian countries in

1974 she observed that the cultural homogeneity is reflected in the practice

of both criminology and criminal policy (Anttila, 1974). This is still true.

We are of course aware of national differences. The Norwegians have a

tradition of social science with an outspokenly critical outlook primarily

oriented towards public debate (Lochen 1982, 360). In Sweden, on the

other hand, the tradition of successful reform action initiated within the

system is no less strong. There are, undoubtedly, certain long-standing

differences both in general outlook and in the mechanism by which research

findings are communicated to decision-makers. Even so, the most striking

feature of the current criminological scene in Scandinavia is, nevertheless,

now as before the similarity. When reading an anonymous piece of Scandi-

navian criminological research (4) the basic training, age and perhaps poli-

tical orientation of the writer would I think, generally be more easy to dis-

cern than the writer’s country or employment by university/government.

This certainly does not mean that the active government sponsoring of

criminological research in Sweden and Finland has not had any visible

impact. The number of professional researchers as well as the volume of

research has increased. Research initiated by governmental agencies is

carried out within stricter time limits than university research and its

(3) The National Research Institute of Legal Policy in Helsinki, Finland has

two units, one for criminology and one for «general» socio-legal

research.

The much larger Swedish «National Council for Crime Prevention» is,

on the other hand, engaged in criminal policy on all levels : it has one

department for research and one for policy planning (special inquiries).

In addition it is involved in information activities related to criminal

policy.

(4) To secure such anonymity would call for rather elaborate preparations !

— 70 —

choices of research subjects show a closer correspondance with the current

problem formulations of the criminal policy establishment — though less so

than what was originally expected.

To explain Wwhy the employment backgroun'd has had less impact on

the role of the criminologist than perhaps was feared — or hoped — it is

necessary to point to at least two factors. One is the similarity in training

and self-perception among those who are recruited to the jobs of crimino-

logists. The socialisation process initiated by the university training, reinfor-

ced by peer group pressures and the informal network of communication

operating not only through seminars and conferences but also day-to-day

contacts, is very strong. It is strengthened by the two-way traffic between

the universities and the government agencies and by the holding of tempo-

rary parallel jobs (5). This process reinforces the ideal of the independent

and critical scientist. As far as research methodology is concerned the

academic research provides the model — with both the scholarly standards

and the often cumbersome rituals this entails. The other important factor

is the commitment of Scandinavian government authorities to similar

perceptions of the task of research. The semi-independent governmental

research agencies created in Sweden and Finland are explicitly protected

from overt pressure from above through various institutional arrangements.

Formal independence does not, of course — and this is true in all

research milieus — provide any protection against the gradual adaptation

process brought about by close co-operation. Ît is not true that a researcher

who continuously interacts with civil servants from the Ministry of Justice,

will become concerned over their policy problems and inevitably will come

to share some of their attitudes and problem conceptions ? Yes, it is. Gover-

ment-employed criminologists may, however, — besides the obvious rejoin-

der that the process works both ways — counter with the observations that

if you are aware of the process you can also deal with it. When the Finnish

Research Institute of Legal Policy was reorganized in 1974 the criminolo-

gists involved in the planning explicitly set up «critical research» as one of

the major tasks of the institute. This concept was defined in a special way :

as research aware of the conflicting value implications of the issue studied.

Such a formula can best be understood set in relation to a general text-

book prescription for both decisionmakers and researchers engaged in

policy-relevant research to maximize their «awareness» on three levels

a) awareness of both direct and indirect consequences; b) awareness of all

the value and interest implications and c) awareness of alternative courses

of action. It has been suggested that attempts to consider these aspects

systematically and thus engage in «value-conscious» research would broa-

den the scope of applicability of criminological research finding by making

(5) This point was made by the Director of the «National Council for Crime

Prevention in Sweden, Mr. Bo Svensson, who read an early version of

this paper.

— 71 —

i.a. the value commitments of the researcher explicit or identifiable (Anttila-

Tôrnudd 1973, 145-151).

Such formulas tend to express ambitions rather than attainments but

what is significant here is, after all, the manifest ambition to report on not

only those aspects of a problem which are relevant to the administration

but also on those relevant to the « opposition» .

2.3.The criminologist in a «small » society

At the end of the nineteen seventies an OECD committee carried out a

«Review of Social Sciences Policy» in Finland. In the course of its work the

committee — on the basis of a study design by professor Nathan Kaplan —

asked public officials and social science workers about their interrelation-

ship and about the impact of research.

Finnish criminologists who earlier had been subjected to scrutiny con-

cerning the impact of research (UNSDRI 1974) had ready answers concer-

ning the nature of the impact. It is almost hopeless to identify the impact ot

single pieces of research on either specific decisions or on policy in general.

As the Research Institute of Legal Policy observed in its answer (anony-

mously quoted in the committee report : OECD 1980, 165) :

«The impact of research cannot be evaluated independently from the

question of the impact of the researchers, in particular, not in a small coun-

try like Finland, where key decisions may be made within a fairly small

group of politicians, administrators ans scientific experts interacting with

each other».

This insight may partly explain why the interviewed public officials

hardly ever though that they needed research expertise on « general theory »

although the researchers themselves reported that such information was

conveyed to officials (OECD 1980, 161). It appears reasonable to assume

that administrators would not readily recognize the more subtle influences

on problem conceptions and the world-picture in general brought about by

e.g. day-to-day interaction in the course of committee work of other such

co-operation within planning bodies.

Such co-operation was, as a matter of fact, one of the explicit aims of

the re-organisation of criminological research in Finland in 1974 (6). As

(6) The underlying philosophy is illuminated by the following statement

by the first Director of the Research Institute of Legal Policy : «Resear-

chers who through their own research have become familiar with the

problem area will frequently assist decisionmaking most effectively by

offering their expert opinion or by participating in the work of planning

bodies rather than by responding «give me X 000 pounds and | will

carry out a research project to answer your questions» (Anttila, 1978).

_ 72 -

important as such formal co-operation are the numerous opportunities

for informal exchange of opinions at seminars, professional or political

societies or simply with good friends over the phone.

The reflections above are offered partly as a contribution to the expla-

nation why the formal organisation of research may not be such a decisive

factor as originally expected and partly as an explanation why there is no

clear-cut answer to the question of what the impact of criminological

research has been in the Scandinavian countries. Ultimately such estimates

must be based on subjective appraisals and I am not in a position to present

an unbiased opinion.

Is this recounting of Scandinavian experiences at all relevant for larger

countries ? I think it is. The trend towards decentralisation and community

action will, in the future, place much more emphasis on decisionmaking and

utilization of expertise within «small» social systems, in both large an small

countries.

2 4. The new populism

As I observed, on difference between e.g. Norwegian and Finnish

criminologists is the greater reliance on public channels of communication

among the former. Finnish criminologists are somewhat more oriented

towards non-public modes of influencing decisionmaking in small groups,

of a formal or informal nature. The main problem of the latter strategy is

perhaps after all not the risk of corruption by the powerful but rather that

this arrangements does not teach the skills necessary for dealing with the

growing «new» populism.

Criminologists all over the world are familiar with the fairly spontaneous

populism of the man in the street and the reactive politician : scorn for

complicated explanations combined with demands for immediate solutions

(«lax discipline is the cause of crime» ; «just lock up the crooks»).

In some deveioped countries this traditional populism is transforming

into a much more dangerous variety based on mixtures of a little know-

ledge with an excess of zeal. The information explosion has produced a

spin-off in the form of a growing number of half-educated experts who in

a mass media campaign easily present a credible picture of expertise by

facile references to this or that piece of research. At the same time respon-

sible policy planning seems to gradually become more vulnerable to the

rapidly fluctuating moods of the mass media.

When campaigns waged by coalitions of aggressive journalists and

various interest groups and movements for extended criminalisation or up-

graded punishment (both are, as we all know, the favorite theme of the mass

media where criminal policy is concerned) are based on a small kernel of

— 73 _

truth and partial insignts they become much more dangerous than the

good old «flog’em» populism. Paul Rock has commented upon the occasio-

nal helplessness of the «inner circle» of policy makers when confronted

with campaigns where «resistance to public pressure could only be cons-

trued as a condoning of the immoral» (Rock 1980, 210 - 221). My own

experience certainly corroborates the finding that both decisionmakers

and researchers oriented towards informal channeling of expertise may

indeed find it difficult to meet the populist campaigners on equal terms.

The «new populism» issue has many ramifications which fall outside

the theme of the IXth congress. Let it suffice here to observe that if the

Kknowledge and understanding secured by the professional criminologist is

to be used effectively, then there must be preparedness to do so on all

levels of sophistications. The habit of structuring problem insights in terms

of the «systematic consciousness raising» referred to above may make it

easier to see problems with the eyes of potential parties of public contro-

versies at a sufficiently early stage.

2.5. Diversity is the key issue

The lesson of the Scandinavian experience is not that the choice of

the institutional alternative of organizing criminological research would

not make any real difference. Nor can the Swedish and Finnish emphasis

on government-funded research in semi-independent agencies be presented

as some kind of universal model, even if many of the fears and suspicions

which were activated by these solution are, ! think, groundless.

Fach society must seek the particular organisational solution which

best corresponds to its needs and historical situation. But the Scandinavian

experience reminds us of the necessity of maintaining many parallel research

organisations. Organisational diversity accentuates the relative unity of

methodology and scientific standards.

Just as a concentration of all criminological expertise in one single

agency would be a disaster, excessive value-conformism and similarity of

ideological and professional orientation among researchers would threaten

the standards and relevance of criminology. Denis Szabo has drawn atten-

tion to the task of the criminologists to be critics, creators and prophets

(Szabo, 1978, 73). But what would happen if every criminologists were to be

a prophet ! Diversity in the choice of research problems can be secured

through diversity in organisation and research funding. À habit of syste-

matic recognition of the value and interest issues related to all policy-

oriented research is a safeguard against the risk of corruption of standards

or narrowing of outlook — regardless of whether the threat comes from

administrators or from ideologically overly homogenuous peer groups.

_ 74 _

3. Seeking strength in one’s unique competence.

3.1. À world without criminologists.

The well-known Norwegian criminologist Nils Christies has written a

book on the education establishment, where he ponders what would

happen if schools were to be abolished. He concludes that society would

manage very well indeed. This inspired me to some speculation on whether

the same could be said of the criminological establishment. Would some-

thing disastrous occur with the criminal justice system if some evil force

would remove every single criminologist from the face of earth ?

°

Probably the system and society in general would, indeed, continue to

function without disturbances. Self-regulation processes within the system

would gradually make other professions take on the role and outlook of

criminologists. Ît is, of course true, that the legacy left by the criminologists

in the form of coherent theoretical models of crime can hardly be charac-

terized as a tool ready to be picked up and used. The theories of crime are

and continue to be in a sorry state. But without criminologists others

would find themselves in the position of having to remind us of the fluidity

of crime definitions and draw attention to the self-regulation processes

within the system which baffle all reform attempts and to all the other

elements which make up the fundamentally social nature of crime. Other

elements of present-day criminology would, perhaps, fare less well. The

discipline of criminology would be cleansed of much superfluous parapher-

nalia if only the really necessary insights had to be rediscovered.

Instead of carrying out such a removal of all criminologists let us take

a look at the present state of criminological theory and on what can be said

to be the criminologist’s unique competence.

3.2. À theoretical excursion.

When I mentioned «the sorry state» of criminological theories I had in

mind the well-known fact that no universal and comprehensive theory or set

of theories of crime has won general acceptance, nor is any such theory in

sight. It is true that there are a number of «schools of criminological

theory» warring with each other. Typically a new perspective gains ascen-

dancy by a dialectic process of exposing the most extreme conclusions of

reigning models : the new explanation gains strength by allowing new

interpretations and starts losing adherents as soon as its disciples in turn

carries its logic to extreme positions. Putting it another way, the current

«theories of crime» remain credible as long as they are interpreted in such

an abstract and general manner that they cannot be rigorously tested.

[ have no intention to taking sides in the theorietical debate, nor will

[ launch any brand new theories. I will, however, take the liberty of

— 75 —

reminding us of a useful dichotomy of crime explanations, not only be-

cause this dichotomy appears to be useful in organizing theories of crime

(deciding on what theory should be used for which purpose) but also be-

cause it relates to my argument that criminologists should strive to excel

in their unique field of competence.

In the nineteen sixties — exactely sixteen years ago — I argued in favour

of abandonment of the traditional search for so called «causes of crime »

and suggested that causal crime explanations instead should be seen as

belonging to either one of two categories : 1) explanations of the amount

and structure of crime in a given society and 2) explanations concerning

the «selection process» by which certain acts are defined as crimes and

certain individuals defined as criminals or victims (Tôrnudd, 1967).

Policy makers are usually primarily interested in the first type of

explanations which deal with the amount and structure of crime and which

typically are based on the simultaneous consideration of the amount of

opportunity exposure, motivational balance and tolerance limits. The task

of explaining why individuals with certain characteristics — regardless of

whether live in high-crime or low-crime societies — tend to be more « vulne-

rable» to the risk of becoming defined as criminals, is in many respects

a different one. For example

it may make sense to use extraversion or

relative lack of verbal skills as a predictor of the risk of becoming involved

with the criminal justice system but such invariances are hardly suitable for

the task of explaining or predicting trends in crime. Correspondingly,

equilibrium models of the long term fluctuations in the amount and struc-

ture of crime would be rather cumbersome when applied to the explanation

of single criminal acts or specific invariances in the selection of victims and

offenders.

It is not possible to consider here all the implications of applying this

dichotomy to the current theories of crime. Let it suffice to observe that

it ssems to make it much easier to simultaneously accept both a labeling

theory of crime (relegating this theory to the task of explaining certain

aspects of the selection process) and a functional view of crime (for the

purpose of explaining why all societies have and must have crime and why

certain societies have more crime and other types of crime than others).

The criticism raised against labeling explanations according to which

they fail to account for the internal dynamics of the control system (Piven,

1981) or against the functionalist ones, according to which they do not

provide all the answers to the questions raised by the social class distribu-

tion of offenders (Young, 1981) is thus beside the point, if the theories

from the outset are seen as being intended for quite different tasks. The

usefulness of the dichotomy is by no means obviated by the finding that

sometimes — but certainly not always — both types of explanation may

contain common causal agents — e.g. intemperate alcohol use. Usually

— 76 —

the two types of causal explanation have no common content and anyway

the relative significance of possible common elements is, different.

One of H.L.A. Hart’s major contributions to legal philosophy was his

persuasive argument that it makes sense to use different explanations

for the purpose of the criminal justice system and or the task of justifying

the distribution of punishment (Hart, 1968). The parallel to the above

mentioned reasoning may at first glance seem strained; on second thought

perhaps not so ? The two-prong formulation on the tasks for criminal

policy (1) to minimize the human suffering and other social costs brought

about by crime and the control of crime and 2) to affect a just distribution

of these costs) used in some text-books and in policy arguments (Anttila-

Tôrnudd, 1973 and 1983; Fifth UN Congress, 1976) has proved very

useful, regardless of the position taken on theories of crime.

3.3. Tasks for a marginal expert.

One implication of the suggested split of crime explanations into two

categories relates to the frustrations of the policy-oriented criminologist.

[t is hard to provide decisionmakers with workable advice on how to control

effectively what the decisionmakers most want to control (the amount of

serious and visible crime) while advice on how to regulate effectively the

selection process may find few takers.

If in such a situation the frustrated criminologist proclaims a selection

mechanism to really be a mechanism for the controlling of the amount of

crime, this is understandable but unwise.

Naive crime explanations («as crime is an evil phenomenon it must be

caused by something which is evil : the reprehensible phenomenon X, which

is a «cause» of crime») are nowadays seldom offered by professional

criminologists. Instead, we are often in a position to show that variations in

the amount and structure of criminality can — at least when we are talking

of time ranges of a decade or two — best be explained (and in some cases

marginally controlled) using fairly «neutral» causal factors related to

opportunity structure, demography, community organisation and so on.

Even a convincing demonstration that some urbanisation policy is a

major factor behind a steeply rising crime trend will not necessarly bring

about any policy change. Major societal policies on macro-scale planning,

land development or migration ar not dramatically revised on advice from

criminologists. The crime aspect remains a marginal one when seen from

the point of view of grand social strategy. This is no reason for the crimi-

nologist to scorn the role of guider of policy : narrow as the margin may

be, it may, after all, concern the welfare and happiness of millions of

fellow-citizens.

— 77 _

Any attempt to instruct fellow professionals what they should do or

should not do would be presumptuous. There is room for all kinds of crimi-

nological endeavour and if active control is needed it should rather be direc-

ted towards securing more diversity than less (Tôrnudd, 1973).

By drawing attention to the importance of accepting even marginal

challenges I wish, however, to encourage all those criminologists who are

ready to accept the unrewarding task of attempting to improve the existing

system of criminal justice. Also, I would like to give them the practical

advice that they should both broaden their potential for interdisciplinary

teamwork and, at the same time, sharpen their expertise in order to excel in

what is their unique capacity : to understand crime as a social phenomenon.

The former part of the advice follows from the realization of the mar-

ginal role played by crime concerns as such unless they can be combined in

an effective constellation with other more or less marginal concerns. The

second part is at least partly based on the realization that in order to be able

to make recommendations on what will work, the criminologist must, if

necessary, be able to offer advice on what really will not work.

The world of politicians and mass media writers is full of crime control

ideas, about which there certainly is nothing marginal. Earlier simplistic

medical models prescribing various «cures» of crime are today exchanged

for equally simplistic incapacitation programs or disciplining programs. The

responsibility of the professional criminologist is to bring forth his special

knowledge of the self-regulation mechanisms within the system, which, with

time, transform so many apparent short-term successes to something closer

to the earlier status quo. Such realism does not amount to a gloomy fore-

telling of failures. On the contrary : knowing what is possible will make us

more aware of the sucesses.

Awareness of self-regulation mechanisms is often primarily associated

with such equilibrium states which perceptive criminologists have observed

ia. in the amount of prisoners (Christie, 1968; Blumstein, 1976). The

common sense appeal in the basic idea of equilibrium models of prisoner

rates, crime and criminalisations is so strong that no test of some highly

formalized version of such a model could negate it.

The emphasis of further research should, nevertheless, perhaps rather be

on the element of self-regulation within the system as such than on an

overly narrow concept of equilibrium. There is, after all, an abundance of

observations concerning such self-regulation processes

flat sentence

reforms are circumvented, the raising of the minimum punishment of a

statute will cause it to be more seldom used, unrealistic new criminalisations

are seldom and arbitrarily enforced, the interrelation of sentencing practices

on one hand and parole and pardoning practices on the other and so on. As

far as | know, no criminologist has made a systematic study of such

_ 78 —

mechanisms with a view towards discovering common elements, and clarify-

ing their limits and mode of operation.

The criminologist can, on the basis of his general understanding of the

workings of the criminal justice system already warn decisionmakers about

such self-regulation processes which seem likely to reduce the long term

benefits of proposed reforms. Looking to the future, efforts to deepen our

understanding of these processes may will present one of the most promis-

ing avenues of criminological research.

4 . On professional pride

In this beginning of this paper I referred to certain processes and

pressures which may have forced criminologists or some criminologists

to readjust their professional roles. There are a number of options for

dealing with this situations and I most certainly do not wish to offer any

dogmatic prescriptions. Those who wish to use their professional skills to

bring about a more satisfactory criminal justice system should set their goals

on the basis of a realistic understanding of the scope and limits of reform

and of the interplay between criminal policy concerns with broader policy

issues. Professional criminologists are in a unique position to understand

crime as a social phenomenon. This provides not only a basis for professional

pride but also for a common front against the emerging populist movements

which draw their strength from simplistic interpretations of the crime

problems.

REFERENCES

ANTTILA I. (1974). Current Scandinavian Criminology and Crime Control.

Publications of the Research Institute of Legal Policy, No. 3, Helsinki.

ANTTILA I. (1978). The relationship between research and criminal justice

policy. In «Papers on crime control», Publications of the Research

Institute of Legal Policy . No. 26, Helsinki.

ANTTILA I.; TORNUDD P. (1973). Kriminologi i kriminalpolitiskt pers-

pektiv. Norstedts, Stockholm.

ANTTILA 1.;, TORNUDD P. (1983). Kriminologia ja kriminaalipolitiikka.

WSOY , Helsinki.

BLUMSTEIN A., COHEN J.; NAGIN D. (1976). The Dynamics of a

Homeostatic Punishment Process. The Journal of Criminal Law and

Criminology, Vol. 67, No. 3, Sept. 1976, p. 317-334.

CHRISTIE N. (1978). Changes in Penal Values. Scandinavian Studies in

Criminology. Vol. 3, Universitetsforlaget, Oslo 1978, p. 161-172.

— 79 —

FIFTH UNITED NATIONS CONGRESS ON THE PREVENTION OF

CRIME AND TREATMENT OF OFFENDERS, GENEVE 1975, United

Nations, New-York 1976,p.41-51.

HART H.L.A. (1968). Punishment and Responsibility. Essays in the Philo-

sophy of Law. Oxford University Press, Oxford.

LOCHEN Y. (1983). Norwegian Sociology : Social Rebellion and/or Pro-

fessional Participation ? Acta Sociologica, Vol. 25, No. 4, Dec. 1982,

p. 358465.

OECD (1980). Committee for Scientific and Technological Policy : Social

Sciences Policy; Finland. Reports (Book I and II) of the Review of

Social Sciences Policy in Finland. SPT (79) 19. Paris.

PIVEN F.F. (1981). Deviant Behavior and the Remaking of the World.

Social Problems, Vol. 28, No. 5, June 1981, p. 489-508.

ROCK P. (1980). Public Opinion and Criminal Legislation.

13th Criminological Research Conference 1978, Council of Europe.,

Strasbourg, p. 173-213.

SZABO D. (1978). Criminology and Criminal Policy. Lexington Books,

Montreal.

TAYLOR I. (1981). Law and order. Arguments for Socialism. The Mac-

Millan Press limited. London.

TORNUDD P. (1967). Teorier och begreppsapparat i kriminologin. Det

10 Nordiske kriminologiseminar Visby 1967, Nordisk samarbejdsräd

for Kriminologi, Oslo. An English language version « The futility of

searching for causes of crime» appeared in Volume 3 of Scandinavian

Studies in Criminology, Universitetsforlaget, Oslo 1971, p. 23-34.

TORNUDD P. (1973). Research Priorities in Criminology. In Memoria del

VI Congreso Internacional de Criminologia Madrid 1970, Institute de

Criminologia de la Universidad de Madrid, Madrid.

UNDSRI (1974). Criminological Research and Decisionmaking. Publica-

tion No. 10. United Nations social Defence Research Institute, Rome.

YOUNG J. (1981). Thinking seriously about crime : some models of crimi-

nology. In M. Firzgerald, G. McLennan and J. Pawson (editors). Crime

& Society. Reading in History and Theory. Routledge & Kegan Paul,

London, p. 248-309.

— 80 —

SEKTION / SECCION / SECTION IIl

La création des lois et leur réception par la société.

La creaciôn de las leyes y su recepciôn por la sociedad.

The creation of Laws and their reception by Society.

Entstehung, Ausarbeitung und Erlass von Gesetzen sowie deren Auf-

nahme durchem die Gesellschaft (Norgenese).

81

LA CRÉATION DES LOIS ET

LEUR RÉCEPTION PAR LA SOCIÉTÉ

Mireille Delmas-Marty *

«Plus il y a d'interdits et de prohibition, plus le peuple s appauvrit ;

plus on possède d'armes tranchantes, plus le désordre sévit,

plus se développe l'intelligence fabricatrice, plus en découlent d'étran-

ges produits;

plus se multiplient les lois et les ordonnances, plus foisonnent les

voleurs et les brigands ».

Lao-Tseu, Le tao to king

Phénomène directement observable, ou représentation de ce phéno-

mène, l’inflation des lois — et tout particulièrement des lois pénales — n’est

pas nouvelle. Lointain écho de Lao-Tseu, Montesquieu le déplore à son tour

«ce nombre infini de choses qu’un législateur ordonne ou défend rendent les

peuples plus malheureux et non pas plus raisonnables» . Et d’autres avant ou

après lui, tels Justinien, Tacite, Montaigne, Rousseau.

Ce qui est nouveau, peut-être, c’est au-delà d’un simple malaise devant

des changements mal perçus et mal maîtrisés, une véritable remise en cause

du droit pénal, à la fois par les juristes et par les justiciables, alertés par la

production galopante des lois et l’impossibilité de les appliquer toutes. Ce

qui est nouveau, sans doute, c’est l’effondrement d’un certain nombre de

fictions qui enracinaient l’ensemble du système, comme la fiction de con-

naissance de la loi, ou celle d’égalité devant la loi. Devenues trop visibles, ces

fictions n’entraînent plus l’adhésion nécessaire à leur fonction symbolique

d’intimidation et de légitimation du droit; d’autant que se développe paral-

lèlement, à travers l’explosion des «contentieux de masse», une véritable

asphyxie de l’institution judiciaire.

Bref, s’il est vrai que l’échange juridique, comme l’échange de dons, est

«un des jeux sociaux qui ne peut se jouer que si les joueurs se refusent à

connaître et surtout à reconnaître la vérité objective du jeu» (Bourdieu

9

1980, 180), le jeu juridique est devenu bien difficile à jouer dès lors que

l’instrument de mise en cohérence apparente et de refoulement de la vérité

objective qu’offrent les codes est aujourd’hui largement inutilisable.

Dépassé. Les juristes n’ont pas su maîtriser la production des règles juridi-

ques. Ils ne peuvent donc plus assurer, garantir, ou simplement dire la

cohérence du droit. À titre d’exemple, la commission de révision du Code

PE

* Université de Paris XII, (France).

— 83 _

pénal français a constaté l’impossibilité, dans l’état actuel des données

informatisées, de procéder à l’inventaire exhaustif des incriminations péna-

les en France (méme en se limitant aux seules qualifications criminelles et

correctionnelles ou aux seules incriminations faisant encourir une peine de

privation de liberté). Beaucoup d’incriminations pénales dites « modernes»

(droit pénal économique et financier, droit pénal de l’environnement, droit

pénal du travail (1) se trouvent, en effet, en dehors des codes ou surajoutés

de telle façon qu’il devient presque impossible de les y retrouver. Et l’on

finit par perdre ainsi de vue les lignes de construction de l’ensemble, sans

pour autant réussir à arréter ou seulement ralentir les processus de pro-

duction des lois pénales. Constat désabusé de ce qu’il faut bien appeler

une dynamique aveugle (I).

Constat désabusé, mais aussi naissance d’un espoir. D’une chance à

saisir. Car si le bel édifice des codes du XIX” sièlce se lézarde, c’est pour

laisser apparente, sinon la vérité objective elle-même, du moins le décalage

entre la vérité juridique et une vérité autre qu’il devient impossible de

refouler.

Chance, car au détour de ce que certains appellent « crise de la politique

criminelle» (2), la forteresse obstinément close du code pénal s’entrouve.

Qu’ils le veuillent ou non, les juristes entrevoient autre chose que les attir-

mations contenues dans les règles du droit. Qu’ils le veuillent ou non, ils

se trouvent pressés de s’interroger sur les mécanismes de création et de

disparition de ces règles, sur leur cohérence. Ne serait-ce que pour limiter

les dégâts d’une production galopante (des politiques de dérégulation ont

déjà pris place aux États-Unis depuis la fin des années 70). Aussi pour

s’efforcer de maîtriser ces mécanismes et préparer, dans la mesure où il

est possible et souhaitable, un nouveau type de codification. Ainsi s’impose

la recherche des conditions d’une dynamique rationalisée (II).

[ -- LE CONSTAT D’UNE DYNAMIQUE AVEUGLE

Si l’on considère le système de réponses au phénomène criminel appelé

politique criminelle, en terme d’analyse cybernétique, il est clair que le cir-

cuit théorique, à caractère continu et fermé (3) n’apparaît jamais dans la

réalité. Force est d’admettre l’existence de circuits multiples et largement

autonomes les uns par rapport aux autres, car à chaque stade s’expriment

des agents de rationalités différentes, parfois incompatibles (par exemple,

policiers et juges, juges et surveillants de prison, juges d’instruction et juri-

dictions de jugement, etc…). Nourris d’informations directement venues de

l’extérieur déterminant de flux entrants spécifiques, ces rationalités déter-

minent des réponses également spécifiques, sous la forme de flux sortants

parallèles (4).

_ 84 -

Et la situation observée correspond très exactement à la description

du système de justice pénale qu’avait présentée le Secrétariat des Nations

Unies à l’occasion du V° Congrès pour la prévention du crime (Genève,

1975)

«un des problèmes réside dans le fait que l’on tient pour établi

qu’une telle structure complexe fonctionne effectivement comme un sys-

tème, que les différents sous-systèmes ont en commun une série d’objectifs,

qu’ils sont liés entre eux de façon uniforme et que les relations réciproques

constituent la structure particulière du système, lui permettant de fonction-

ner comme un tout, avec un certain degré de continuité et à l’intérieur de

certaines limites. Toutefois, dans les pays où les chercheurs ont entrepris

un examen critique de la structure de leurs systèmes de justice pénale, ils

ont constaté qu’il existe peu d’objectifs communs, qu’il y a une considé-

rable dispersion des tâches et des responsabilités, que les sous-systèmes

ne sont guêère ou pas du tout coordonnés et que les vues diffèrent souvent

en ce qui concerne le rôle de chaque partie du système. En bref, ils ont

constaté un grave manque de cohésion à l’intérieur des systèmes».

Mais c’est précisément ce manque de cohésion que l’analyse systémique

n’explique pas. Elle rend plus visible le jeu des forces qui déterminent ou

bloquent les mouvements de politique criminelle et fait apparaître toute

une dynamique ordinairement cachée; mais elle n’en livre pas le secret.

Elle révèle et enregistre des messages qu’elle ne déchiffre pas et qu’il fau-

drait pourtant s’efforcer de lire.

Lecture difficile, car si les mouvements de politique criminelle apparais-

sent nettement comme une lutte reposant sur une double stratégie de résis-

tance et d’alliance entre les différentes instances en cause, la dynamique qui

les anime reste à peu près inexpliquée, qu’il s’agisse de la dynamique interne

ou externe au système.

À. La dynamique interne.

Si l’on se réfère au schéma cybernétique, pour tenter d’en découvrir la

signification cachée, la dynamique interne au système se développe en deux

temps : production des lois par les organes politiques ou politico-scientifi-

ques et application par les organes judiciaires. Dans la réalité, l’application

anticipe parfois sur la production comme le montre une analyse plus précise

des deux phases.

1) la production des lois est en principe l’aboutissement d’une dynami-

que interne propre aux organes politiques ou politico-scientifiques qui sélec-

tionnent les finalités et pilotent les choix essentiels. Encore faut-il observer

que le choix peut être purement conjonctue! ou relever d’une véritable

stratégie d’ensemble.

Les choix conjonctuels sont sans doute les plus nombreux, tant il est

vrai que bien souvent la décision n’est pasle fruit d’une réflexion d’ensemble

— 85 _

et ne traduit pas la recherche d’une politique criminelle cohérente, mais la

simple réponse à l’événement quel qu’il soit : évasion d’un condamné réputé

dangereux, acte de terrorisme frappant l’opinion, pollution spectaculaire

d’une côte, grave accident dû à la vente d’un produit dangereux, etc. Ainsi

connaît-on en France de nombreux exemples de ces réformes où «l’action

législative apparaît plus comme une succession de réactions instinctives à

des situations données que le résultat d’une attitude raisonnée» (Boulan.

1979) : par exemple, loi du 8 juin 1970, dite loi «anti-casseurs» (aujour-

d’hui abrogée), votée à la suite des événements de mai 1968 pour incriminer

notamment le fait de ceux qui participent à une manifestation dans le cadre

de laquelle sont commises violences contre les personnes ou destructions

de biens; loi du 22 novembre 1978 sur l’exécution des peines privatives de

liberté réduisant les possibilités de libération anticipée, à la suite de l’évasion

de Mesrine; ou loi du 2 janvier 1979 sur la pollution des mers par les hydro-

carbures renforçant les peines applicables, adoptées après le naufrage de

l’Amoco-Cadiz.

Il est vrai que ces choix conjonctuels ont parfois une fonction purement

symbolique. C’est le cas envisagé par le Conseil de l’Europe, d’une criminali-

a «

p

sation décidée pour répondre

la pression de l’opinion publique ou de

groupes qui incitent le législateur à maîtriser certains phénomènes indésira-

bles, alors qu’il ne dispose d’aucun moyen efficace pour le faire ou qu’il ne

veut pas subvenir aux frais ainsi engagés; dans ces conditions, il veut crimi-

naliser l’action afin d’apaiser l’opinion; l’opération réussit souvent en raison

des croyances peu réalistes largement répandues dans la société au sujet du

fonctionnement du système pénal».(1980).

Quant à la stratégie d’ensemble, encore peu influencée en politique cri-

minelle par les organes scientifiques, elle est essentiellement dominée par le

facteur politique. Le choix peut s’exprimer selon des stratégies très diverses.

D’abord les stratégies de changement aux termes desquelles les instances

politiques font véritablement œuvre nouvelle, qu’il s’agisse d’un changement

additif tendant à combler une lacune, parfois révélée par la jurisprudence

(incrimination de la filouterie d’aliments, puis des carburants que l’incrimi-

nation traditionnelle de vol ne permettait pas de couvrir); ou correctif par la

modification d’une règle qui était appliquée mais paraissait mauvaise ou

insuffisante (modification de la procédure de flagrant délit); ou enfin de

changement directif impliquant l’apparition ou la disparition d’une règle

(suppression de la peine de mort ou de la Cour de sûreté de l’État).

Puis les stratégies d’arbitrage, lorsque les instances politiques intervien-

nent pour trancher un conflit entre deux jurisprudences différentes (par

exemple en France le conflit entre juges du fond et Cour de cassation à

propos de la définition de la faute dans le délit d’émission de chèque sans

provisions) ou deux usages différents.

_ 86 —

Enfin l’empirisme où l’initiative vient, paradoxalement, des instances

chargées d’appliquer la politique criminelle, les instances politiques ne fai-

sant que confirmer la pratique, soit par l’abrogation d’un texte déjà tombé

en désuétude (adultère, avortement, aggravation du vol par la qualité de

domestique), soit par la législation de pratiques développées en marge des

lois, phénomène assez courant qui se greffe, le plus souvent, sur des prati-

ques judiciaires ou policières. En France, par exemple, la «correctionnali-

sation judiciaire», consistant à traiter comme délits correctionnels et à

juger comme tels des comportements légalement qualifiés de crimes, est

souvent suivie d’une correctionnalisation législative qui vient entériner

la pratique (ainsi en matière de vols qualifiés, correctionnalisés en marge

des lois par la pratique judiciaire, puis officiellement par la loi du 2 février

1981). Mais il peut s’agir aussi — et le mécanisme est intéressant à analy-

ser — de pratiques policières que le législateur, incapable de les empécher,

finit par reconnaître sous prétexte de mieux les contrôler. Ainsi sont

apparus successivement dans le Code de procédure pénale la garde à vue,

l’enquête préliminaire (1958), puis les contrôles et vérifications d’identité

(1981-1983). En définitive, technique d’abrogation comme technique

de légalisation aboutissent à reconnaître un rôle déterminant aux instances

chargées d’appliquer les lois.

2) l’application des lois supposerait théoriquement une étroite coordi-

nation et une parfaite harmonie entre les différents agents de la politique

criminelle. Dans la réalité, comme on l’a dit plus haut, il n’en est jamais

ainsi, à la fois pour des raisons tenant au système lui-méme (mauvaise

formulation ou mauvaise transmission des lois, mauvaise adaptation ou capa-

cité insuffisante des personnes chargées d’appliquer ces lois), et pour des

raisons externes (voir infra, B. 1 dynamique externe).

Ainsi vont se développer des stratégies de résistance qui relèvent de

motivations fort diverses (esprit de conciliation, désir de tolérance, volonté

de réalisme, comportement de méfiance, situation d’influence) et se pré-

sentent sous des formes plus ou moins nettes. D’abord, résistance diffuse,

en marge des lois, chaque fois que se développe une application différenciée

de la loi. Différence d’une juridiction à l’autre (les cas d’auto-défense, on

le sait, sont appréciés différemment par les cours d’assises et par les tribu-

naux correctionnels), d’un délinquant à l’autre (les étrangers sont scuvent

traités autrement que les autres délinquants), d’un type d’infraction à

l’autre (malgré des peines voisines, les infractions traditionnelles contre

les biens, vol notamment, sont souvent frappées de peines plus rigoureuses

que les infractions «d’affaires», abus de biens sociaux, par exemple).

Différence aussi en amont. Ainsi a-t-on observé, à propos du signalement

à la police de la délinquance juvénile, que «c’est la réaction du sous-groupe

qui est le témoin ou la victime qui appelle l’action des institutions de

répression, l’intervention de la police en dehors de toute plainte et sur le

fait étant très rare; c’est elle aussi qui influence la forme d’intervention des

— 87 _

agents de ces institutions.… Le plus souvent, l’intervention de la police

répond d’abord à l’indignation ou l’hostilité que certains comportements

rencontrent à l’intérieur de certains groupes» (Chamboredon, 19-350).

Différence encore, sans doute, dans les décisions de poursuite du par-

quet et en aval, lors de l’exécution des peines. Ces dernières formes d’appli-

cation différenciée sont en général moins apparentes que les premières

(à caractère judiciaire) car les décisions en cause ne sont ni motivées ni

publiques.

La résistance devient plus apparente déjà avec l’application cumulative

de deux stratégies, l’ancienne et la nouvelle, dans des cas où la décision

officielle était de substituer une nouvelle stratégie à une ancienne. Ainsi en

France le contrôle judiciaire, destiné à remplacer le plus souvent possible

la détention provisoire, s’est ajouté à celle-ci, devenant davantage substitut

à la liberté que substitut à l’emprisonnement.

Mais la résistance est plus apparente encore, et plus sensible, chaque fois

qu’elle marque un véritable refus de la loi, non-application pure et simple

d’un texte ou, à l’inverse, application créatrice, c’est-à-dire invention d’une

nouvelle forme de politique criminelle en dehors de toute décision politique.

Dans l’une et l’autre perspectives, le choix sera souvent déterminé par

«effet perversy. Familier aux économistes, l’«effet pervers» relève d’abord

de leur sphère : «en période d’inflation, j’ai intérét à acheter aujourd’hui un

produit dont je n’aurai l’usage que le mois prochain, car je suis à peu près

sûr que son prix sera alors plus élevé. Ce faisant, je contribue à la perpétra-

tion de l’inflation. Naturellement mon comportement n’a qu’une influence

infinitésimale à cet égard, mais la logique de la situation veut que beaucoup

de personnes se comportent comme je le fais moi-méme. L’addition de ces

influences individuelles infinitésimales engendre donc un effet social».

(Boudon, 1980 - 5). Or, loin de se limiter à l’économie, ces effets pervers

sont «omniprésents dans la vie sociale» et représentent une des causes

fondamentales des déséquilibres sociaux et du changement social» (Bou-

don, ibid).

La non-application est assez rare. Elle prépare parfois, dans un esprit

de tolérance, l’abrogation d’une loi progressivement tombée en désuétude

(voir les exemples cités ci-dessus de l’adultère et de l’avortement).

Dans d’autres cas, il peut s’agir de non-application temporaire qui

peut se fonder sur une dynamique de tolérance : malgré de sérieux indices

de culpabilité, la police ou le parquet classe l’affaire, le juge relaxe ou

acquitte, le chef de l’État accorde la grâce du condamné. Selon cette dyna-

mique de tolérance, le modèle de politique criminelle substitue au modèle

officiel sera le modèle O (absence de toute réponse à l’infraction ou un

modèle sociétal — (adomestation considérée comme réponse suffisante à

— 88 —

l’infraction). Parfois encore, la non-application est liée à l’encombrement

des juridictions, notamment pénales, et à une certaine méfiance vis-à-vis

des instances sociétales : refoulement des actions civiles en matière économi-

que par la Cour de cassation française entre 1960 et 1970. La non-applica-

tion — à l’inverse de celle qui prépare une abrogation — peut aussi manifes-

ter une certaine inertie des tribunaux en présence d’une loi nouvelle qu’ils

n’ont pas encore pris l’habitude d’appliquer et dont ils se méfient, plus ou

moins consciemment : en France toujours, la loi de 1975 sur les substituts

aux peines d’emprisonnement semble avoir été fort peu appliquée au cours

des premières années. Enfin le phénomène peut se situer ailleurs, par exem-

ple au stade de l’exécution des peines. On sait qu’en France le principe de

l’obligation et du droit au travail des détenus (art. 720 CPP) n’est pas

toujours respecté, pour des raisons essentiellement matérielles.

En revanche, l’application créatrice, parfois considérée comme source

du droit lorsqu’elle est le fait des tribunaux, est certainement plus répandue.

On a vu plus haut qu’elle pouvait servir de fondement à une décision politi-

que — stratégie de légalisation — et constituer ainsi une véritable force créa-

trice de politique criminelle (voir les exemples cités ci-dessus).

Il est enfin à noter que l’application des lois peut se trouver renforcée

ou paralysée par l’intervention d’instances sociétales, la victime, le groupe

social (associations privées ou syndicales), le délinquant lui-même, qui, selon

les cas font partie de la dynamique interne au système — lorsque les règles

de procédure les associent au procès pénal (notamment par la constitution

de partie civile de la victime ou de certains groupements) — ou de la dyna-

mique externe (groupes de pression constitués autour des délinquants ou

plus généralement pression des medias au cours du procès).

B. La dynamique externe.

La production des lois pénales et leur application n’est évidemment pas

un phénomène isolé par rapport à la vie sociale. Tout système de politique

criminelle est largement perméable et subit ainsi des influences d’autant plus

efficaces qu’elles sont moins visibles et se trouvent en quelque sorte filtrées

par les medias. Cette dynamique externe se développe selon un double pro-

cessus car elle obéit à des facteurs sociaux divers mais ces facteurs eux-

mémes ne provoquent un changement de politique criminelle que s’ils sont

répercutés par les medias.

1)les facteurs sociaux sont essentiellement d’ordre économique et

culturel puisque les données politiques sont en principe directement inté-

grées à la production de lois nouvelles (dynamique interne).

Les facteurs économiques, encore mal connus, relèvent sans doute à la

fois de la structure de l’économie et de la conjoncture. Il est certain d’abord

que tout le domaine des infractions économiques au sens large (atteintes à

— 89 _

l’ordre économique et financier, à la réglementation du travail et de la

sécurité sociale et méme atteintes à la qualité de la vie, environnement et

urbanisme) et des comportements déviants en matière économique est

commandé par la structure de l’économie, économie de marché ou écono-

mie planifiée. Logique dans un système d’économie planifiée, la réponse

étatique à l’infraction, notamment sous la forme d’une réponse pénale,

peut surprendre lorsqu’elle émane d’un État ayant adopté les principes

d’une économie de marché, fondée sur la libre concurrence et l’initiative

individuelle. Il n’est pas étonnant à cet égard que les pays d’Europe de

l’Est aient été pratiquement les seuls jusqu’ici à n'avoir pas laissé dans

des lois annexes, mais introduit dans leur code pénal, un chapitre spécia-

lement consacré aux délits économiques (AIDP, 1982-1983).

Une évolution se dessine cependant en Europe occidentale. L’Allema-

gne fédérale a adopté en 1975 sa première loi sur la répression de la crimi-

nalité économique (entrée en vigueur le ler octobre 1976) introduisant

quelques dispositions spécifiques dans le Code pénal. Et un certain nombre

de pays occidentaux envisagent d’en faire autant, à l’occasion d’une révision

complète de leur Code pénal (Belgique, Espagne, Finlande, France, Suède).

Certes, dans un système d’économie de marché les infractions économiques

peuvent n’apparaître que phénomènes périphériques en eux-mémes accep-

tables : des accidents en quelque sorte qui auraient méme des effets posi-

tifs sur l’économie, ce qui rend fort difficile le tracé d’une frontière entre

comportements admis ou même encouragés et comportements interdits.

L’intervention du droit pénal a cependant l’avantage d'éviter l’application

des règles du droit civil ou administratif qui altèrent parfois plus gravement

les processus du marché; elle se justifie en définitive, quitte à s’exprimer

de façon plus discrète, dans la mesure où elle ne tend pas à figer le compor-

tement des acteurs, mais seulement à sanctionner les excès dans ces com-

portements. Dans ce sens, on peut considérer que, loin de mettre en cause

l’économie du marché, le droit pénal peut constituer un mécanisme de régu-

lation des dysfonctions du système. Il reste la crainte, parfois exprimée

devant l’immense écart entre modèle appliqué de n’assister qu’à l’apparition

d’un modèle-alibi, destiné à rassurer l’opinion en faisant croire à une effec-

tive contre infraction et déviance en matière économique : criminalisation

de jure accompagné d’une décriminalisation de facto. Sans doute faut-il

l’alliance d’une volonté politique et du facteur économique pour que se

réduise l’écart. À titre d’exemple, la grande presse a souligné qu’en France,

à la suite du changement politique survenu le 10 mai 1981, certaines prati-

ques ont été modifiées en matière de délinquance économique et financière.

Il est vrai que le facteur économique, comme le facteur politique, n’im-

plique pas toujours une analyse d’ensemble, mais peut aussi déclencher un

mouvement de politique criminelle de circonstance. Exemple significatif en

France, la loi du 7 juin 1977 sur le boycottage dans les échanges économi-

ques (art. 187-2 et 416-1, CP) a été adoptée à la suite du boycottage

— 90 —

économique organisé par de nombreux pays arabes après la guerre de 1973

et dirigé d’abord contre des entreprises israéliennes, puis contre les entre-

prises de toutes nationalités, notamment françaises, qui commerçaient avec

Israël ou incorporaient à leurs produits des biens en provenance de cet État :

des «listes noires» étaient dressées des entreprises a priori exclues du com-

merce avec les pays arabes et il était demandé aux entreprises désireuses

d’entrer en relation avec ces pays de produire des certificats attestant

qu'’elles ne se trouvaient pas dans l’une des situations énumérées. En adop-

tant un texte d’incrimination, le législateur a cependant ménagé l’avenir en

y introduisant une disposition juridiquement fort étrange, en quelque sorte

un fait justificatif gouvernemental, aux termes de laquelle le$ peines ne

seraient pas applicables lorsque les faits incriminés seraient eux-mémes

«conformes à des directives du gouvernement prises dans le cadre de sa

politique économique et commerciale ou en application de ses engage-

ments internationaux» (art. 32-III, 1. 1977, non incorporée dans le CP).

C’est dire clairement que, s’agissant d’un texte de circonstance, on entend

réserver sa non-application si les circonstances changent.

Au-delà de la relation ainsi établie entre la structure économique et

la politique criminelle de réponse aux infractions proprement économiques,

on peut se demander dans quelle mesure la conjoncture économique —

d’abondance ou de crise — a également une influence. Des études ont été

menées en criminologie sur «les rapports entre la situation socioéconomi-

que et la criminalité» (Leauté, 1980-81) à partir de trois indicateurs : le

taux d’expansion économique, déterminé par référence à la production

intérieure brute; le taux annuel d’inflation, calculé d’après la moyenne

annuelle des prix à la consommation; et le nombre des chômeurs chaque

p

année, établi

à par

tir de la moyenne arithmétique des demandes d’emploi

en fin de mois. Ainsi a-t-on pu faire apparaître que la criminalité apparente

(connue de la police) a continué à augmenter pendant la crise économique

actuelle, mais selon un rythme d’accroissement moins fort qu’avant la

dépression. Plus généralement, et compte tenu aussi des crises économi-

ques précédentes, il apparaît au cours du XIXème siècle et jusqu’à la fin

de la Première Guerre mondiale une relation positive entre les dépressions

économiques et la criminalité. À partir de la grande dépression économi-

que de 1929 et à peu près jusqu’à nos jours, le phénomène s’inverse. Tout

au moins dans un premier temps, car en définitive la courbe de la crimina-

lité finit par augmenter comme celle de la dépression économique, mais

avec un décalage d’une ou plusieurs années; étant observé que si la dépres-

sion actuelle a cependant des effets moins radicaux que les dépressions

antérieures, c’est sans doute qu’elle n’a pas, jusqu’à présent, supprimé

l’expansion ni provoqué une régression sensible du pouvoir d’achat (Leauté,

ibid.).

L’évolution de la criminalité peut évidemment provoquer une évolution

corrélative de la politique criminelle qui, en ce sens, dépendait indirectement

— 91 _

de la conjoncture économique. En outre, il semble exister un effet direct

sur le seuil de tolérance du corps social face à la déviance et aux infractions,

mais les corrélations sont fort difficiles à établir. Si l’impression de vulnéra-

bilité du corps social tend à s’accroitre en période de récession, elle se déve-

loppe également — pour d’autres raisons — en période de forte expansion

(Réponses à la violence).

Rappelons enfin, plus générale encore, l’analyse inspirée du marxisme

selon laquelle la politique criminelle serait au service de la classe dominante,

essentiellement préoccupée de se protéger elle-méme tout en garantissant

les forces de production : dès lors que la politique criminelle est à base

d'exclusion, la réponse à l’infraction aboutirait à enlever du marché du tra-

vail une portion excédentaire de la population, donc à diminuer la compé-

tition entre travailleurs et jusqu’à une certaine limite à mettre un frein à

l’augmentation des salaires; tandis que la mise en œuvre méme de cette poli-

tique criminelle absorberait une autre partie de cette méme population ( qui

fournira policiers ou gardiens de prison, par exemple). La politique crimi-

nelle, directement produite par l’économie, serait ainsi utilisée comme force

équilibrante de la société dans son ensemble. Parallèlement, le contrôle

social de la déviance apparaît aussi dans cette analyse comme le moyen de

préserver les forces de production (Lascoumes, 1977). Dans la mesure où

l’on observe cependant à bien des égards une remarquable convergence entre

la politique criminelle contemporaine des États socialistes et celle des États

capitalistes, force est bien de rechercher encore d’autres facteurs que les

facteurs de politique économique, car ces derniers, qui devraient conduire

ici à une nette divergence, n’expliquent pas la convergence observée.

Les facteurs culturels développent, en effet, de leur côté de nombreuses

forces susceptibles de provoquer l’élaboration de lois pénales, dès lors que la

culture est définie comme «l’ensemble, supposé cohérent, des règles de

conduite, des croyances, des techniques matérielles et intellectuelles caracté-

ristiques d’un ensemble social » (Mendras, 1975).

D’abord les «règles de conduite» , terme le plus vague impliquant tous

les modes de pensée communs au corps social. À cet égard, l’exemple de

l'Extrême-Orient est particulièrement significatif avec la traditionnelle

exclusion du droit dans les rapports entre personnes appartenant à une

méme classe. En Chine comme au Japon, on est «choqué par la brutalité

des solutions, l’absence de nuances qu’implique la notion de droit. Tout un

ensemble de règles s’est développé qui relèvent des convenances autant et

plus que de la morale, et qui règlent dans toutes les occasions de la vie la

conduite que les individus doivent avoir dans leurs rapports les uns avec

les autres» (David et Jauffret Spinosi, 1982). Rites chinois ou giri japonais,

ces rêgles remplacent souvent le droit et même la morale; elles sont spon-

tanément observées parce qu’on encourrait le blâme de la société en ne s’y

conformant pas. Ce serait perdre la face que de ne pas les respecter. Malgré

_ 92 _

l’influence de l’Occident, surtout au Japon, il demeure que la majorité des

conflits se traitent selon des processus de conciliation.

Plus directement productrices de lois pénales, les «règles de conduite »

impliquent aussi, selon qu’elles sont ou non uniformisées, l’existence d’une

société plus ou moins pluraliste, et par-là méme plus ou moins susceptible

de provoquer, mais aussi de tolérer, des comportements de refus des nor-

mes. Significatif à cet égard est le texte de présentation par la Commission

de l’avant-projet de Code pénal français : se proposant de « fonder la politi-

que pénale du présent sans en réduire la diversité — cette diversité qui est

à la fois un acquis de notre société et la source de sa difficulté à vivre»,

la Commission de révision retient, parmi les valeurs nouvelles, ou nouvelle-

ment perçues et protégées, «non seulement le respect de la vie privée, mais

un véritable droit à la différence qui fonde à la fois la nécessité de punir

diverses discriminations liées, notamment à des critères de race, religion,

sexe, et le refus d’incriminer cette différence considérée comme un droit

de tout individu» (homosexualité, concubinage, etc.).

À l’inverse, il est clair que dans une société peu pluraliste les discrimi-

nations ne seront pas interdites et les différences — ou certaines d’entre

elles — se trouveront incriminées, parfois d’ailleurs en liaison avec les

croyances religieuses.

Les «croyances», en effet, notamment religieuses, sont un facteur dont

on a noté l’importance. Il est certain qu’elles fondent souvent la définition

méme de ces valeurs que la politique criminelle prend en charge lors du

mouvement externe de criminalisation ou de décriminalisation.

Les «techniques» enfin, matérielles et intellectuelles, influencent sans

doute les mouvements de politique criminelle. Elles peuvent, notamment,

par le jeu du progrès scientifique, provoquer l’apparition de valeurs nouvel-

les. Ainsi les progrès actuels en matière de manipulations génétiques susci-

tent-ils l’ébauche d’un mouvement de criminalisation

l’Assemblée parle-

mentaire du Conseil de l’Europe a examiné en janvier 1982 un projet de

recommandations sur les manipulations génétiques, préconisant une modi-

fication de la Convention européenne de sauvegarde des droits de l’homme,

afin de prévoir «la reconnaissance expresse du droit à un patrimoine géné-

tique n’ayant subi aucune manipulation» . À l’horizon de la nouvelle éthique

proposée, de nouvelles incriminations peut-être. De méme avec le dévelop-

pement des techniques d’insémination artificielle…

L’apparition de nouvelles techniques, c’est aussi la modification de

l’habitat et, avec l’urbanisation galopante, l’évolution du seuil de tolé-

p

rance du groupe social, donc l’incitation

a

un mouvement de politique

criminelle indépendant de la seule influence de la démographie sur l’infrac-

tion (problème de criminologie influençant seulement de façon indirecte

la politique criminelle). Ainsi a-t-on observé que «dès son origine la ville

— 93 _

est apparue comme un lieu privilégié d’essor de réglementations : rassem-

blant sur une surface exigüe les hommes jusque-là dispersés dans les champs,

multipliant les contacts entre eux, développant frictions et occasions de con-

flit, découvrant très tôt les problèmes d’hygiène et de sécurité que pose

toute concentration humaine, la ville a dû réglementer; réglementer de plus

en plus : activités de toutes sortes, rapports sociaux complexes qui se nouent

en son sein… rien ne peut la laisser indifférente. Son contrôle doit être

omniprésent et il s’exercera à travers la réglementation qu’elle va élaborer

de manière systématique : n’est-il pas significatif de rappeler, à ce sujet, que,

dans le monde grec, c’est le méme terme (polis) qui désigne la ville et

l’ensemble des contrôles institutionnalisés que celle<i appelle invincible-

ment : la police envisagée dans sa double dimension formelle (les règles

destinées à assurer le bon ordre, la sûreté, la salubrité) et organique (les ser-

vices chargés d’assurer l’application de ces règles par leur action préventive

et répressive » ) [Delmas Saint-Hilaire, 1983 ].

Il est vrai qu’au-delà de l’urbanisation, le développement technique

provoque une nouvelle mutation qui déclenchera sans doute elle-même de

nouveaux mouvements de politique criminelle : l’invention de la radio, puis

de la télévision, viennent bousculer la «civilisation de Gutenberg» , pour lui

substituer une nouvelle civilisation où s’estompe l’opposition entre ville et

campagne, dès lors que la voix, puis l’image redeviennent essentielles,

comme dans la première phase, celle du village initial. Essentielles et univer-

selles, car le mouvement s’est amplifié et la télévision reconstitue à sa façon

le village, «village global» cher à Mac Luhan, global au sens propre du vil-

lage, unique à l’échelle du globe où se confondent peu à peu, au fil d’événe-

ments auxquels tous les hommes sont confrontés, la grande ville et la petite,

la ville et le village, la ville et la campagne. C’est précisément poser le pro-

blème des médias.

2) Les médias constituent aujourd’hui l’un des relais essentiels entre la

demande sociale et la réponse étatique, qu’il s’agisse de la production des

lois ou de leur application. Point de rencontre obligatoire de la dynamique

externe avec la dynamique‘interne. Or les quelques enquêtes qui ont pu être

menées auprès du groupe social révèlent l’extrême défectuosité de l’informa-

tion. Le rapport «Prévenir la violence» (mai 1980) montre en effet qu’il

semble «que le degré de gravité des diverses manifestations de cette crimi-

nalité (celle qui contribue le plus à créer un sentiment d’insécurité dans la

population) soit perçu par l’opinion d’une manière différente qu’il n’appa-

raît dans la statistique ». Les auteurs du rapport, constatant qu’une augmen-

tation globale de la criminalité ne peut rendre compte que d’Une manière

très sommaire de l’insécurité ressentie, considèrent qu’il «existe, en réalité,

dans l’opinion une intolérance à l’égard de certains comportements et une

singulière indifférence à l’égard d’autres comportements» . Plus précisément,

la défectuosité de l’information tient d’abord au peu de données existantes

sur l’application des lois pénales. Les quelques données disponibles sur le

_ 94 _

fonctionnement du système pénal sont généralement tardives et extrêéme-

ment limitées — par exemple, il n’existe pas à l’heure actuelle en France de

statistiques précises portant sur les condamnations prononcées en matière

de délinquance économique et financière ou en matière de criminalité orga-

nisée. En outre, la méthode méme d’élaboration des statistiques est l’objet

de critiques assez vives, notamment quant à la répartition entre grande

criminalité, criminalité moyenne et petite délinquance. On a fait observer

à cet égard que les statistiques criminelles (celles produites par la police,

le ministère public, les juridictions, celles enfin des organes d’exécution

des sentences) «ne peuvent constituer une mesure de la criminalité» et

qu’au demeurant, elles «ne constituent pas une telle mesure» (Robert

et Faugeron, 1981. 30 et S. 47).

Il ne s’agit évidemment pas de supprimer tout effort de connaissance

statistique, mais d’inviter à une lecture prudente, car «la conséquence

fâcheuse du postulat abusif qui fait des statistiques la mesure de la crimi-

nalité ne tient pas tellement dans le fait que reste cachée une portion de

à

p

la criminalité commise; elle consiste

mettre en exergue une criminalité

seulement, à la faire prendre pour le tout des illégalismes commis, à occul-

ter qu’il en existe d’autres très différents» (ibid. 53).

Précaution d’autant plus nécessaire qu’à cette faiblesse des données

existantes sur l’application des lois pénales s’ajoutent encore les difficultés

de la transmission des données publiques, qu’il s’agisse cette fois de l’appli-

cation des lois ou de leur production.

Les difficultés des transmissions sont liées à l’organisation méême des

mass-media et à leur caractère commercial et non scientifique. Le grand

public attend plus de la presse un divertissement qu’une information véri-

table et peu lui importent les déformations, ici encore nombreuses et

diverses : tantôt sur-information - avalanche de nouvelles relatives à un

sujet donné, rendant le phénomène plus difficile à comprendre et la réponse

=

adéquate plus difficile à trouver —; tantôt sous-information, voulue et

imposée par les pouvoirs publics (politique officielle permanente de certains

régimes autoritaires ou totalitaires, nécessité ponctuelle de certaines enqué-

tes délicates) ou spontanée parce que due aux carences de la routine jour-

nalistique ou à une certaine indifférence du public à l’égard de questions

trop techniques et complexes (délinquance financière et économique). À

côté de ces déformations quantitatives, première source d’inexactitude, se

pose aussi le problème de l’information quantitativement inexacte.

Le correctif n’est pas aisé à trouver, car le principe, essentiel en démo-

cratie, de la liberté de la presse interdit toute intervention gouvernementale

autoritaire. Peut-être faut-il avoir l’amorce d’une contre-information à la

fois dans les campagnes menées par certains groupes de pression — mais ils

utilisent eux-mêmes le véhicule des mass-media (associations de victimes,

groupements professionnels, tribunaux d’opinion, Amnesty International).

— 95 —

Mais la véritable contre-information se tient ailleurs dans l’information

directe sur le fonctionnement du système de politique criminelle qui appa-

raît dans les variantes intégrant le groupe social à la réponse de politique

criminelle. Chaque fois qu’un homme pénètre ainsi à l’intérieur méême du

système — pas tant comme juré populaire, car il reste avec le délinquant

ou le déviant (contrôle judiciaire, probation, travail d’intérêt social, aide

post-pénale), il lui est donné de découvrir la politique criminelle par son

propre regard et d’en mesurer par lui-méme les effets, bienfaits et méfaits.

Contre-information évidemment limitée, car tout le monde ne saurait

participer au fonctionnement de la politique criminelle… à moins que ne

se développent ces modèles à intégration sociale, car le domaine est vaste,

de l’infraction à la déviance, et chacun pourrait y trouver place (Conseil

de l’Europe, 1982). Peut-être serait-ce l’amorce d’une rationalisation de

la politique criminelle.

II

LES CONDITIONS D’UNE DYNAMIQUE RATIONALISÉE

Maîtriser les choix de politique criminelle par une dynamique ratio-

nalisée est sans doute un objectif quelque peu paradoxal pour des juristes,

si l’on se réfère aux observations de G. Ripert dans ses ouvrages sur les for-

ces créatrices du droit et de passages qu’il consacre au «statisme» du droit,

repris par F. Tulkens (1983) : «le droit est la formulation de l’ordre social

établi et non la représentation d’un ordre futur, la défense du présent et

non l’anticipation de l’avenir». C’est précisément la raison pour laquelle

la première condition d’une rationalisation des choix serait la rencontre

des juristes et des criminologues, condition technique indispensable pour

assurer la rationalité des principaux choix mais simple préalable qui ne

peut dispenser des conditions juridiques également nécessaires.

À. les conditions techniques.

ÀA l’occasion de la révision des codes pénaux actuellement en cours

dans un certain nombre de pays, il est donné de mesurer la distance qui

continue à séparer, notamment en Europe, juristes et criminologues. Dans

sa pertinente analyse des travaux de la Commission belge, F. Tulkens

(1983) se demande «pourquoi la Commission a entériné ses travaux sur une

base aussi sommaire négligeant l’investigation concrète et l’analyse préalable

des signes, des causes et des raisons d’un certain malaise de la justice répres-

sive de notre pays» ; ajoutant que «si la Commission estimait pouvoir ou

devoir s’en tenir aux seules raisons avancées par le gouvernement, il s’impo-

sait à tout le moins qu’elle les analyse». De méême, la question des objec-

tifs et celle de la fonction à attribuer à un code dans l’entreprise de réforme

du droit pénal.

— 96 _

Encore s’agit-il de projets, de codes et les commissions de révision se

posent-elles la question, méme de façon très sommaire, de l’utilité des incri-

minations pénales créées ou transformées. Mais tout un secteur du droit

pénal se trouve, on l’a rappelé plus haut, en dehors des codes produits à

l’occasion de l’adoption des lois spécifiques et le plus souvent élaboré par

des commissions spécialisées et pratiquement imposé ensuite au Ministère

de la Justice dont le poids dans la négociation interministérielle demeure

très faible. Aussi la production des lois pénales suscite-t-elle une inévitable

impression d’arbitraire et d’incohérence.

Or le développement parallèle des techniques d’évaluation'des politi-

ques sociales permet, là où l’on commence à y recourir pour des recher-

ches évaluatives portant sur la justice criminelle (Amérique du Nord et

notamment États-Unis) une certaine amélioration. Certes, «l’examen des

travaux n’incite guère à l’optimisme quant à la fiabilité de recherches

évaluatives des programmes de politique criminelle» (Szabo, 1981 ). Cepen-

dant l’accent est mis sur le fonctionnement et les dysfonctionnements de la

machine pénale et par la même rend visible toute une catégorie de données

habituellement négligées, lors de l’élaboration des lois nouvelles.

ÀA titre d’exemple, les programmes d’ordinateur JUSSIM I et II mis au

point par A. Blumsteein (1980) pour gérer le système pénal permettent une

rationalisation du système en donnant les moyens à la fois de comparer

d’une juridiction à l’autre le rendement de la machine pénale et d’évaluer

le coût et les diverses implications (moyens matériels, effectifs en hommes)

d’une politique criminelle. Incorporant des données relatives à ce que l’on

sait de la réitération et de la récidive, le programme JUSSIM II tente même

d’évaluer les effets d’une politique sur la récidive.

Mais ces conditions techniques ne sont jamais que le préalable à la

rationalisation recherchée. Préalable nécessaire, certes, mais non suffisant.

Car on ne peut se contenter d’une approche purement fonctionnaliste. Il

ne faut pas négliger le fait que, dans certains cas, la non-application des

lois pénales est une bonne solution pour tous, y compris, la victime. L'idée

étant qu’il vaut mieux, chaque fois qu’il est possible, dénouer un conflit

plutôt que le trancher. En d’autres termes, améliorer le rendement de la

machine pénale n’est pas forcément souhaitable. Encore faut-il créer les

conditions juridiques d’une rationalisation quant à l’approvisionnement

de cette machine.

B. Les conditions juridiques.

Le processus de pénalisation/dépénalisation selon lequel un comporte-

ment entre dans le système pénal ou en sort est actuellement l’un des plus

mal connus des chercheurs et des décideurs. On peut situer avec précision

un tel mouvement dans le temps mais il est tout à fait exceptionnel que le

législateur s’explique clairement sur la motivation de ses choix. Au mieux il

— 97 _

se référera au concept vague et imprécis de «valeurs fondamentales» ou

«valeurs essentielles de la société» pour fonder une pénalisation dont rien

ne permet d’assurer qu’elle garantira effectivement le respect de telle ou

telle valeur. Parfois méme aucune motivation n’apparaît, comme si la sanc-

tion pénale était à l’évidence la seule concevable. Et l’on en vient à se

demander, à la lecture des lois récentes en matière de délinquance liée aux

activités des entreprises (atteintes à l’ordre économique et financier, à la

qualité de la vie et de l’environnement, infractions dans le domaine des

relations de travail), si le législateur se rend vraiment compte qu’il crée une

incrimination pénale dès lors qu’il prévoit l’application d’une peine. L’effet,

bien connu des spécialistes de la criminalité d’affaires, est de réduire la

force dissuasive et réprobatrice d’un droit pénal banalisé au point que

n’importe quel acte de gestion quotidienne d’une entreprise peut se trou-

ver poursuivi. Les véritables comportements de malhonnéteté caractérisée

sont ainsi banalisés du méme coup par un effet de confusion habilement

entretenu par les délinquants eux-mêmes.

Créer les conditions juridiques d’une rationalisation de ce mouvement

de pénalisation/dépénalisation suppose donc, avant tout, qu’on le rende

visible donc contrôlable.

Le rendre visible implique que des formes particulières soient imposées

au législateur lorsqu’il fait un tel choix. On peut notamment imaginer l’in-

tervention, au plan national d’un organe spécial sorte de commission de

filtrage — dont la consultation serait obligatoire pour chaque projet de loi

prévoyant l’apparition ou la suppression d’une incrimination pénale. Pure-

ment consultatif — car il ne saurait évidemment être question de réduire les

prérogatives constitutionnelles du législateur, un tel organe pourrait néan-

moins jouer un rôle pratique important.

ÀA titre d’exemple, la Commission de révision du Code pénal fran-

çais a suggéré la création d’un tel organe dont la mission serait double.

D’une part, il interviendrait pour donner un avis motivé sur tout texte

prévoyant une nouvelle incrimination pénale, la motivation devant faire

apparaître le choix pénal et l’éclairer :

— par la référence à des indicateurs d’effectivité, sorte d’étude d’impact

comportant une estimation de la fréquence des comportements en cause et

une évaluation des conséquences probables de la pénalisation par le système

pénal (risques éventuels de dépassement de la capacité de l’appareil et mesu-

res à prendre);

— et par la référence à des indicateurs d’utilité, la proposition de créer

une incrimination devant être confrontée aux finalités du système pénal et

aux lignes directrices de la politique criminelle.

En cas d’avis défavorable, il serait proposé une formule alternative

(sanction civile, administrative, système de conciliation, etc.).

— 98 —

D’autre part, serait prévue la présentation d’un rapport annuel com-

portant un double bilan susceptible de rendre visibles les choix déjà faits

et de guider les choix ultérieurs, en assurant le «suivi» des réformes péna-

les :

— bilan d’effectivité établi en liaison avec les ministères intéressés

(infractions constatées, poursuivies, condamnation prononcées, évolution

de la délinquance);

— et bilan de cohérence dégageant les critères de pénalisation retenus

d’un texte à l’autre, car ces critères témoignent, à travers le choix et la

hiérarchie des valeurs protégées par le droit pénal, d’un véritable choix de

politique criminelle, donc véritable choix de société.

Ainsi se donnerait-on les moyens de faire apparaître l’utilité — ou

l’inutilité — et l’effectivité — ou l’ineffectivité — du recours au système

pénal. Moyen d’éviter peut-être, ou au moins de réduire le glissement d’un

modèle pénal libéral à un modèle de type autoritaire ou méme totalitaire

Delmas-Marty, 1983, à paraître); glissement parfois à peine voulu et pour-

tant déjà en rupture avec les principes fondamentaux en vigueur. On songe

notamment à l’exemple des lois italiennes récentes de lutte contre le terro-

risme, tel que l’analysait très finement le professeur Baratta : «la production

législative sur l’ordre public et le terrorisme n’est point, à notre avis,

l’expression subjective d’un projet ou d’une ligne organique de politique

criminelle opposée à une orientation qui représentait une alternative… au

contraire, par ces contradictions, la législation d’exception révèle sa nature

de simple réponse contingente, suivant les cas, à de graves faits de terro-

risme» (Baratta et Silbernagl, 1982).

Plus précisément encore, il semble que la visibilité ainsi donnée au pro-

cessus de pénalisation devrait limiter le recours au système pénal comme

simple réponse à un événement ponctuel, simple choix purement conjonc-

turel dans lequel la justice pénale a surtout fonction symbolique : c’est le

cas envisagé par le Conseil de l’Europe (1980) d’une pénalisation, ou d’une

criminalisation, décidée pour répondre « à la pression de l’opinion publique

ou de groupes qui incitent le législateur à maîtriser certains phénomènes

indésirables, alors qu’il ne dispose d’aucun moyen pour le faire, ou qu’il

ne veut pas subvenir aux frais ainsi engagés; dans ces conditions, il veut cri-

minaliser l’action afin d’apaiser l’opinion; l’opération réussit souvent en

raison des croyances peu réalistes largement répandues dans la société au

sujet du fonctionnement du système». Mais l’opération ne réussit qu’un

temps. À terme, elle contribue au contraire à renforcer la perte de confiance

dans un système trop évidemment incapable de gérer tous les conflits

entrant dans sa compétence. Seul le contrôle du processus de pénalisation

permettrait une véritable stratégie d’ensemble face au phénomène criminel.

Un tel contrôle supposerait donc, selon la double ligne suggérée à pro-

pos de l’organe chargé de la rationalisation des incriminations pénales, la

— 99 —

définition à la fois d’indicateurs d’effectivité susceptibles d’évaluer la capa-

cité du système pénal à traiter le comportement incriminé et son impact

sur le comportement et d’indicateurs d’utilité supposant définis les objectifs

du système pénal. Diverses études (L. Hulsman, 1975, Conseil de l’Europe,

1980) tendent à faire apparaître de tels indicateurs, dégageant des contre-

indications à la pénalisation (ou indications à la dépénalisation), formulées

à travers deux séries de critères, absolus ou relatifs. Il serait sans doute fort

utile qu’à partir d’une réflexion sur les objectifs du système pénal envisagés

à divers points de vue (évolution du droit, solutions des conflits, influence

sur le comportement, contrôle de certaine forme de pouvoir par l’État), le

débat permette de proposer de tels indicateurs.

À titre d’exemples, et pour lancer la discussion sur ce point, pourraient

être envisagées comme critères d’effectivité les propositions suivantes (cf.

Hulsman, précité).

— il ne doit pas y avoir pénalisation lorsque cela entraîne un dépasse-

ment de la capacité de l’appareil;

— la pénalisation ne doit pas servir de paravent à un semblant de solu-

tion à un problème.

=

Parallélement, la notion d’utilité pourrait être développée

à partir

d’un principe de subsidiarité du système pénal, tel que l’a exprimé, notam-

ment, le Comité canadien de la réforme pénale et correctionnelle (Fattah,

1982), selon lequel «aucun acte ne devrait être prohibé par le droit crimi-

nel lorsque des impératifs sociaux, autres que le processus de la justice cri-

minelle, peuvent en limiter suffisamment l’incidence » . Ainsi pourraient étre

retenus divers critères d’utilité suggérés par les propositions suivantes (cf.

L. Hulsman, précité) :

— la pénalisation ne doit jamais avoir pour objectif premier la création

d’un cadre visant à aider ou à traiter un délinquant (en puissance) dans son

propre intérêt);

— la pénalisation ne doit pas frapper un comportement qui se présente

surtout chez des groupes socialement faibles ou des groupes qui font l’objet

d’une discrimination ou courent de grands risques d’être discriminés ;

— la pénalisation doit être évitée s’il s’agit d’un comportement difficile

à définir avec précision ;

—la pénalisation est contre-indiquée s’il s’agit d’un comportement

que l’individu adopte surtout dans la sphère privée.

Dans une telle perspective, une réflexion devrait êtré menée sur les

alternatives au système pénal, qu’elles soient de caractère étatique (sanctions

civiles, administratives, procédures de conciliation judiciaire) ou social (sanc-

tions disciplinaires, groupes informels de régulation des conflits). Les carac-

téristiques de ces différentes alternatives devraient étre examinées avec soin

— 100 —

et les garanties procédurales améliorées notamment par référence au Pacte

des Nations Unies sur les droits civils et politiques et à la Convention euro

péenne des Droits de l’'homme (cf. M. Delmas-Marty, 1983)

Encore faut-il s’assurer que de telles sanctions fontionnent effective

ment comme alternatives et non comme sanctions supplémentaires aboutis

sant à réduire encore l’espace de liberté

C’est tout l’enjeu de ce que j’ai appelé une « dynamique rationalisée » .

Il est à souhaiter que la discussion engagée ici contribue à améliorer ce qui

ne sera jamais — c’est toute la part d’imprévisibilité et de d1gmte de

l’homme — totalement maîtrisé.

BIBLIOGR APHIE

«Association internationale de droit pénal», «conception et principes du

droit pénal des affaires» , Colloque de Friburg préparation du XIIIème Con

grès de l’A.I.D.P., Sept. 1982, à paraître, RI.D P., 1983

BOUDON, « Effets prévus et ordre social», P.U.F., 1979

BOULAN, « L’élaboration des lois pénales par le législateur, in la théorie de

la stigmatisation et la réalité criminologique», Aix, 1979, p. 97 et s

BOURDIEU, « Le sens pratique » , les Ed. de Minuit, 1980

CHAMBOREDON, «La délinquance juvénile, essai de construction d’objet»

R.FS., 1971,p.342

COMITE PEYREFITTE, «Réponses à la violence» , la Documentation Fran-

aise, 1977

CONSEIL DE L’EUROPE, «Rapport sur la décriminalisation» , 1980; pro-

jet de rapport sur la participation du public à la politique criminelle

1982

DAVID et JAUFFRET-SPINOSI, «Les grands systèmes de droit contem-

porain», DALLOZ, 8e édition, 1982

DELMAS-MARTY,

«Modèles et mouvements de politique criminelle»,

Economica, 1982 «Permanence ou dérive du modèle libéral de poht1-

que criminelle» , Arch. Pol. Crim. n° 6, 1983 ; «Processus et perspectives

de la justice penale dans un monde en évoluüon» Rapport général,

Société internationale de Défense Sociale, Milan 1983 à paraître

DELMAS SAINT-HILAIRE, «Les dynamiques de la ville», Arch. de PC

1983, 116

HULSMAN, «Défense sociale nouvelle et critères de décriminalisation» in

Aspects nouveaux de la pensée juridique, Recueil d’études en hommage

à Marc Ancel, Pedone, 1975, 19

— 101 —

LEAUTE, «Droit pénal et sociologie criminelle», Les Cours de droit.

1980-81.

MONTESQUIEU, «Cahiers» , Ed. Grasset, p. 119.

TULKENS, «La réforme du code pénal en Belgique», Question critique

Deviance et Société, 1983, à paraître.

— 102 —

CRIMINOLOGICAL ASPECTS OF

SOVIET CRIMINAL POLICY

B.V. Korobeinikov*

Promotion of the advanced socialism as a historic period of the deve-

lopment of Soviet state is characterized by comprehensive strengthening of

socialist legality. Criminal policy constitutes one of the main trends of this

many-sided process, and criminalization and decriminalization (which

include penalization and depenalization) make up the principal subject-

matter of this policy(1). Due to the fact that crime prevention in the

Soviet state underlies combatting this social phenomenon, approaches to

the solution of this task from both theoretical and practical points of view

give birth to important questions on preventive impact produced by crimi-

nal policy upon criminality and on correlation between criminal policy and

criminological efforts in crime prevention.

Defining criminal policy (the content of which is not treated in Soviet

juridical literature uniformely) we share the opinion that criminological

efforts and criminal policy are inseparably linked by the unity of aims (2),

which consist in eradication of criminality out of the life of socialist society.

At the same time, measures undertaken for special purpose of direct preven-

tion, criminalization and decriminalization, brought about in the process of

criminal policy implementation, differ in their subject-matters as well as in

their concrete tasks. In order the efficiancy of each of the mentioned

measures was higher, it is essential to define quite clearly their aims and

tasks, their similiarites and differences, since their efficiency grades up when

measures are undertaken purposefully.

When preventive aspects of criminal policy are placed for consideration,

it becomes possible to single out three main forms of this policy inter-

relations with criminological measures.

——

*

Director, All-Union Institute for the Study of Causes of Crime and

Preventive measures, 2°, Zvenirgorodskaya 15, U.S.S.R. - 123022

Moscow.

(1)

A.À. Hertzenson, Criminal law and Sociology, Moscow, 1970, p. 194;

E.M. Galperin, V.S. Kurliandsky, An subject-matters of criminal and

main directions of its study (in: Main trends of crime combatting,

Moscow, 1975, p. 12, 27); V.N. Kudriavtzev et al., Ground for criminal

law prohibitions, Moscow, 1982, p. 16.

(2)

M.M. Babaev, On correlation between criminal and criminological

policies. In: Problems of criminal law sociology. Moscow, 1982. p. 10.

— 103 —

The first one lies in the fact that findings and conclusions of crimino-

logical studies to a certain extent define directions of criminilization and

decriminilization as main forms of realization of criminal policy.

From this point of view criminological studies of criminality, of its

structure and crime rates acquire primary significance for criminal policy.

Such studies conducted by Soviet criminologists (3) show that crime

rates depend on the impact of certain socio-economic factors (processes,

phenomena) which should be taken into consideration by criminal policy-

makers without fail. Among these factors the leading role is played by the

correlation between the needs of the people, practical satisfaction of them

and psychological attitudes of the population to this correlation. Research

showed that the extent to which the needs are met as well as peoples’ atti-

tudes to this circumstance are not invariable. They are constantly subject to

alterations and depend both on the alterations of the needs themselves and

on the possibilities of their satisfaction (because of the new types of goods

available, new fashions, increase in salaries, influence of mass media etc.).

The growth of discrepancies between the needs and their satisfaction

gives birth to the number of negative manifestations in the form of the

abuse of the position by some officials. The fact which in its turn contri-

butes to committment of mercenary crimes.

In order to overcome such drawbacks the state takes measures of eco-

nomic, organizational and managerial character, as well as criminal law

measures, which constitute the elements of criminal policy.

Temporary discrepancies between intensive processes of urbanization,

migration of population and levels of social, cultural and educative measures,

carried out in newly appearing or rapidly developing settlements, should

also be referred to the category of factors producing their influence on

crime rates. In connection with this it should be stressed out that it is not

urbanization as such that influences alterations in crime rates, but these are

the levels of social control over behavior of migrants in the regions with

more rapid pace of urbanization and migration. The more levels of organiza-

tional, economic, technical and scientific measures correlate with levels of

socio-cultural, educative, politico-ideological and other measures of this

kind, the better this correlation will contribute to decreasing of crime rates.

And vice versa: the growth of discrepancies of the mentioned above levels

and relative slackening of social control entail negative changes in crime

dynamics and make it necessary to take corresponding counter-measures.

(3) N.A. Selivanov, B.V. Korobeinikov, C.F. Skvortzov, Experience of

complex studies of factors affecting crime rates. In: ”Soviet state and

law”, 1982, N°,p..

— 104 —

In particular there may be introduced more strict measures of criminal

prosecution for violations of the norms securing high social control stan-

dards in such regions.

Criminological studies showed that among factors with significant

influence over many types of crimes, important role is played by negative

family and everyday relationships of the people, by criminogenic family

situations, which are rather often connected with infringements upon

personal health and dignity. In connection with this the state takes measures

to introduce more strict responsibility for such infringements.

Criminological studies show that crime rates also fall under the influ-

ence of the factor which consists of the increase of the member of indivi-

duals not envolved in socially useful labour, individuals who are apt to

drunkeness and alcoholism. It is obvious that active and comprehensive

struggle against these phenomena, against drunkards, spongers, idlers etc.,

positively influences crime rates. Not the least role among these measures is

played by means of criminal policy, aimed at some extension and strength-

ening of responsibility for vagrancy and begging or for any other parasitic

way of life.

In the process of implementation of criminal policy, the state of pre-

ventive efforts, made by work collectives, should also be considered.

Criminological studies show that at enterprises where preventive work

is organized well-enough, where it is active and purposeful, the number of

crimes and offences is steadily going down. Moreover, criminologists found

out that the level of preventive activities at bigger enterprises is appreciably

higher if compared with middle-sized and especially small enterprises, and

crime rates at bigger enterprises are several times lower. For example, the

number of offences committed at enterprises with 2500 and more workers

was from 4 to 8 times lower than at enterprises numbering up to 700

workers.

Positive influence on crime rates is exerted by complex approach to

crime prevention in work collectives, if this approach consists of integral

combination of social (in a wide sense of the word) and special measures

of prevention, and if the idea of such prevention is implemented both in the

sphere of production and out of it.

Playing their role in the implementation of criminal policy, courts are

taking into account levels of preventive activities at different enterprises,

possibilities of re-education and resocialization of offenders available at

these enterprises. Having this circumstance in mind, judges pass their de-

cisions as for measures of punishment is concerned, especially of punish-

ments with no deprivation of liberty.

— 105 —

Speaking about criminological aspects of criminal policy and their

correlation with purposeful preventive measures it should be taken into

consideration that certain alterations may occur not onlv with regard to the

state and dynamics of criminality on the whole, but with regard to its

particular elements Or components. Occurence of such alterations deter-

mines trends in criminal policy concerning particular types of crimes or

structural elements of criminality.

For instance studies of juvenile delinquency showed that structure and

trends of this type of criminality to a certain degree are affected by the

number of juveniles living under unfourable conditions. The impact of this

factor is tightly connected with the above mentioned sphere of family and

everyday relationships of the people. Worsening of family relations, disso-

lution of marriages, drunkeness — all these moments negatively affect

juvenile delinquency.

This factor is tightly connected with short-comings in the activities of

different state and public organizations on revealing and social-adjustment

of children from unhealthy families.

The rates of juvenile delinquency fall under the influence of educative

work conducted by secondary schools and schools of vocational training

and the way they organize leisure time of their school-students.

The rates of crimes against socialist property fall under the influence of

the level of control over safe keeping of socialist property. The level of this

control is directly linked with the activities of local administrations aimed at

security of safe-keeping, with the activities of agencies of state and social

control and with the availability of professionally qualified personnel.

In connection with this the state aims the means of criminal policy at

elimination of the shortcomings in the system of stock-taking and control

by means of crimiral prosecution of those responsible for them.

Among factors influencing the dynamics of hooliganism, crimes against

person and other violent crimes criminologists specify shortcomings in the

purposeful work directed at the organization of the proper leisure time

spending, which ensues in the facts of alcoholic abuse and other forms of

amoral behaviour connected with it.

The dynamics of the crimes examined as criminological researches

findings have shown depends on the level of the combatting of the parasitic

way of living.

À substantial impact is produced on the considered process by the

ratio of the ”first time’”’ crimes and recedeive ones. A change the ratio in

favour of the recedeive crimes brings about a negative trend in the dynamics

—- 106 —

of all crimes rates, and especially so with the violent crimes. In this con-

nection and considering the reality one of the most important task of the

criminal policy lies with a realization by its proper means of all measures

directed to a reduction of recedeive crime rates.

The second form of correlation between the criminal policy with

criminological measures in crime prevention is realized by the legislator’s

adopting or rejecting legal norms thus criminalizing (penalizing) or decrimi-

nalizing (depenalizing) of certain types of behaviour pending the changes

taking place in the state, structure and dynamics of crime. But it should

be noted that adopting or rejecting criminal law norms is predetermined by

both the changes in the structure and dynamics of crime and by some other

social, economic and political reasons. For instance, the substantial changes

in criminal legislation of the Russian Federation that took part recently are

caused by both the said reason and by the necessity to bring the criminal

legislation in accordance with the new Constitution of the USSR and

Constitution of the RSFSR and some other legal acts.

This criminal policy — criminalization or decriminalization of certain

types of behaviour by the legislator — is of a preventive significance.

PREVENTIVE MEANING OF DECRIMINALIZATION

(DEPENALIZATION).

The Decree of the Presidium of the Supreme Soviet of the USSR on

‘’Further improvement of criminal and corrective labour legislation” should

be mentioned among the legal norms where the trend to decriminalization

in the modern criminal policy is most fully expressed. This Decree has been

adopted in order to strengthen the effectiveness of the measures of criminal

punishment without deprivation of liberty. It has provided for a more diffe-

renciated approach to offenders, pending their personalities, the degree of

social dangerousness as well as a further improvement of the re-education of

the convicts with a special stress on the using importance in the matter of

the role of state bodies, public and work collectives. The Decree has par-

tially depenalized a wide scope of criminal actions, enlarging in such a way

the possibilities for the state bodies, public and work collectives to prevent

crime commissions.

The said Decree stipulates the right of the courts to suspend the sen-

tence executiori for the term from l to 2 years for a person convicted for

the 1st time for deprivation of liberty for the term up to 3 years, con-

sidering the nature and degree of the social danger of the crime, the of-

fender’s personality and some other circumstances of the case. The courts

may also suspend the execution of additional punishments.

— 107 —

Characterizing the preventive meaning of the said legal norm one should

mention its wide applicability. It embraces many articles of the Penal Code.

The legislator’s granting of ample possibilities to correct and re-educate

affenders without their isolation from the society signifies a very important

trend of criminal policy in crime combatting.

The examined legal norm is very important for crime prevention.

Adopting it the legislator indicates directly to the necessity of an improve-

ment of preventive measures connected with the re-education of the con-

victs, and in the strengthening of the role of state bodies, public and work

collectives in particular. The said subjects occupy the central position in the

crime prevention system. The activisation and improvement of the activities

of the said bodies predetermined by the Decree will undoubtedly contribute

to a reducing and eradicating of crimes. Ît should be noted that certain pre-

ventive measures applied in such cases are clearly described in the com-

mented law. For instance, it provides for court’s rights to oblige the convict

to recompensate to damage caused or to start working, studying, to change

the place of living, working, studying only upon notifying the relevant

agency of the Ministry of the Interior, as well as to register regularly at the

Ministry of Interior agency. The court also has the right to charge a certain

collective or a person upon their consent, with a duty to superwise over an

offender and to re-educate him. Realization of the measures is an important

mean in the offenders re-education.

The control over the behaviour of the offenders with suspended sen-

tences is accomplished by agencies at the Ministry of the Interior, in case

the offenders are adults, and by juvenile delinquency commissions in case

the offenders are minors.

Partial depenalization of many crimes accomplished by the legislator

is accompanied by a simultaneous taking of some preventive measures

which certify once again a close connection between the crime prevention

and criminal policy.

The Decree adoption resulting in a depenalization of many crimes does

not mean a lessening of the demands to the legality or its leniency. The

said law, stipulating the courts right to suspend the execution of the

sentence of deprivation of liberty simultaneously provides for guarantees of

the legality. It indicates that if the convict with a suspended sentence of

deprivation of liberty does not fulfil the duties imposed by the court or

violates public order or work discipline ensuing in the application of admi-

nistrative sanctions or disciplinary or social impact, the superwising agency

of the Ministry of Interior or the juvenile delinquency commission of the

Executive Council of the district, city Soviet of People’s Deputies or the

work collective charged with the supervision over and the reduction of the

offender, makes a presentation based on which the court may pronounce

— 108 —

a decision to vocate the suspension and to send the convict to serve the

original sentence. Thus the law act does not provide for a ”mechanical”

relief of the guilty persons from punishment of deprivation of liberty, but

stipulates a provisionary relief from the sentence execution conditioned by

the faultless behaviour of the offender.

The effectiveness of the measures is stressed by the conditions of a

complete relief of the convict from the punishment. In accordance with

the law act the court upon expiry of the term of suspence and upon the

presentation of the supervising agency which include the characteristics

of the offender’s attitude towards work and study and his behaviour during

the suspense makes a decision either to relieve the offender from the

punishment or to send him to serve it.

Thus, the legislator does not stipulate ”mechanical” relief from the

punishment of deprivation of liberty. The decision is made by the court

pending its assessment of the convict’s behaviour during the suspence. In

case of the doubts concerning the completeness of the convict’s re-edu-

cation, the court may send him to serve the original punishment of depri-

vation of liberty in order to accomplish his reeducation by these measures.

Or an important preventive significance is the adoption of the Decree of

the Presidium of the Supreme Soviet of the RSFSR of December 3, 1982

’Introduction of amendments and additions to the Penal Code of the

RSFSR”. It should be noted that alterations in criminal legislation stipu-

tated by the Decree are mostly connected with depenalization. On the

whole they introduce a broader application lenient measures of punishment

compared to those of the present legislation. So the courts are empowered

to assign more individualized and differenciated measures of punishment de-

pending on the offender’s personality, the degree of social danger of the

crime, and the degree and harm of the consequences of the crime com-

mitted.

So, p. 2, art 39, Penal Code of the RSFSR sanction provides for the

punishments of deprivation of liberty for the term up to 6 years for the

act of a misappropriation of the state or public property by way of

stealing. The Decree introduces as an alternative corrective work for the

term from 1 to 2 years quite naturally this addition allows the courts to

apply well grounded measures of punishment without deprivation of liberty,

eliminating so the possibility of a negative impact of some criminogenic

processes connected with the deprivation of liberty.

The Decree introduces a similar addition to p. 2, art 92, Penal Code of

the RSFSR, stipulating the responsability for a misappropriation of the

state or social property, done by way of embezzle or an abuse of a business

position. The sanction provides for deprivation of liberty for the term up

to 7 years, with (without) forbidding to occupy certain position or partake

— 109 —

in certain activities. The Decree provides for an application of corrective

work for the term from 1 to 2 years with (without) property confiscation,

as an alternative to the above sanction.

Similar alterations are introduced into some other articles of the

Penal Code of the RSFSR.

À similar preventive type of depenalization accomplished by the

modern criminal policy is lessening in severance of the applied measures,

for instance a replacement of strict measures of punishment by corrective

work on a fine.

So the former wording of art 97, Penal Code of the RSFSR dealing

Wwith a responsibility for an appropriation of a found or eventually pos-

sessed state or public property stipulated punishment of deprivation of

liberty for the term up to 6 months, or corrective work for the term up to

one year or social impact measures. The Decree of December 3, 1982

excludes the deprivation of liberty as the punishment measures of the

sanction.

Another preventive form of the depenalization realized by the modern

criminal policy includes lessening the severity of punishment. Decree of

December 3, 1982 provides for lower fines for some offences. For example,

the former sanction of art 1561 Penal Code of the RSFSR, dealing with the

responsibility for a violation of commerce rules, stipulated a fine up to

500 roubles, while the new law makes it up to 300 roubles. The same refers

to the sanction of art 2191 Penal Code of the RSFSR declins with illegal

teaching carate.

From the above said one may conclude that the preventive impact

realized recently by the criminal policy means a growth of the opportunities

for work collectives state bodies and public organizations to re-educate the

offenders with suspended sentences of deprivation of liberty ; a replacement

of strict measures of punishment and deprivation of liberty above all, by

more lenient ones, permitting to re-educate the offender without his iso-

lation from the society; a mitigation of punishment for some types of

behaviour.

Each of these trends of depenalization allows to differenciate the

measures of punishment with utmost consideration of the offender’s per-

sonality, the social danger of the offence and the gravity of the conse-

quences ensued. All this, in its due turn, provides for a higher level of the

general and special prevention accomplished by punishment and thus con-

tributes to the effectiveness of the crime prevention.

The preventive influence of criminal policy is realized here in the

processes of criminalization or penalization. It should be stressed that an

— 110 —

introduction of a criminal responsibility for certain actions, strengthening

the punishment measures are not the purpose of the Soviet State as such.

The legislator does not consider a special task to increase the penalty as

such or to avenge a crime, or to make penalties severer. Adoption of the

measures is of a forced nature and is directed solely to the protection of

the interests of the society or its members from harm of actions which

have become especially dangerous for the society.

Taking measures of a criminalization or a penalization the legislator

considers and tries to maximize the effectiveness of the general and special

prevention impact of the new norms.

As a characteristic example may serve the Decree of the Presidium of

the Supreme Soviet of the RSFSR of September 21, 1981 stipulating

criminal responsibility for an illegal extortion of pay for the work done in

connection with the service rendered to the population (art. 1562, Penal

Code) and the violation of commerce rules (art. 1563, Penal Code).

Criminal responsibility introduced for an extortion of an illegal pay

from a citizen by an emplover of a service enterprise, not holding an official

position, for the work done in the area of commerce, communal services,

medical aid, transport service, encompassed by the job duties, possesses a

clear preventive character (art. 1562, Penal Code of the RSFSR).

Criminological studies show that (the extortions contribute to the

commission of numerous) cases of position abuse and economic crimes

as well as misappropriations of socialist property. Some criminological

studies have confirmed a well pronounced relation of the actions with the

position abuse, bribery, speculation. À relation exists between these crimes

and retail selling of optional goods from the stores, auxiliary premises of

commercial firms or enterprises of catering, hiding goods from customers,

done for mercenary interests (art. 1562, Penal Code of the RSFSR). The

criminal responsibility established by the legislator undoubtedly rises the

degree of a preventive impact on persons, inclined to such a behaviour.

The practice analysis of the legislation application confirms the con-

clusion that the preventive aspect presents a matter of the primary signi-

ficance of these norms. Comparatively rare cases of the application of the

legislation, as well as the nature of punishment stipulated by the sanctions

(corrective work for the term up to one year, fine, forbidding occupy

certain positions or partake in certain activities) certify to the legislator’s

primary intension to prevent these crimes commissions. Only in some ma-

licious cases of repeated actions, or if done on a large scale, the legislator

provides for the deprivation of liberty, which is also primarily a preventive

measure.

The above described Decrees of the Presidium of the Supreme Soviet

of the USSR of August 13, 1981 ”Introduction of amendements and

— 111—

additions to the Fundamentals of Criminal legislation of the Soviet Union

and the Union Republics, at July 26, 1982 ’Further improvements of crimi-

nal and corrective work legislation”, October 15, 1982 ”Introduction of

amendments and additions to some legislative acts of the USSR” are

important for their preventive impact of the criminalization.

In accordance with aforementioned decrees some amendments were

made in criminal legislation of the Russian Soviet Federative republic. Some

of them are the object of our consideration. First of all the amendments to

the first part of the article [ of the Penal Code made by the Decree of the

Presidium of the Supreme Soviet of RSFSR of 3 December 1982 ”On

amendments in the Penal Code of RSFSR” 1983, should be mentioned. If

the former wording of this article which defined the objects of Penal Code

envisaged criminal law protection of the rights of citizens along with social

institutions and values, the new wording provides for criminal law protec-

tion of ”the rights and freedoms of citizens”’. Criminal law protection not

only of the rights but also of the freedoms of citizens entails the criminali-

zation of acts encroaching on these freedoms. But this criminalization

obviously provides for strengthening guarantees of freedoms of Soviet

citizens and is aimed at the general prevention of illegal encroachments

upon them. The same meaning has also the new wording of article 7 of the

Penal Code which defines the concept of crime. According to this wording

the crime is defined as socially dangerous act which infringes not only the

rights but the freedoms of citizens as well.

Of significant preventive meaning are the amendments to Article 242

of the Penal Code concerning conditional sentence for deprivation of

liberty accompanied with mandatory labour. The former wording of this

article stated that if the conditionally sentenced person during the proba-

tionary period laid down by the court committed a new deliberate crime

which entails the deprivation of liberty the court imposes the punishment

according to the rules provided for by Article 41 of the Penal Code. The

new wording of-this article states that such a punishment is imposed in

case of commitment of ”new crime”, i. e. not only the deliberate but also

the careless one. Thus the possibility of assignment of punishment in accor-

dance with several sentences is enlarged.

This criminalization has a significant preventive effect because the

possibility of more strict responsibility warms those conditionally sentences

for deprivation of liberty with mandatory labour against commission of any

new crime not only the deliberate one.

The similar amendment is made to Article 54 of the Penal Code relating

to the assignment of punishment to commitment of new crime by the

parolees as well as to Article SS concerning the parole and the assignment

of a more lenient punishment upon persons who committed crimes under

the age of 18. In both Articles the ”new crime” is substituted for deliberate

— 112 —

crime”. In such a way the legislator underlined the increased danger of

repeated criminal behaviour of parolee and established the responsibility

for such a behaviour thus providing for its prevention. Certain preventive

effect has also the amendment to Article 44 concerning contitional release.

In accordance with former rule the sentence was not enforced provided the

offender did not commit a new deliberate crime within a probationary

period laid down by the court. New wording of this Article states that the

sentence is not enforced if during the probationary period the person did

not commit not only a deliberate but any new crime as well and if he

justifies by exemplary behaviour and honest labour that the was trust-

worthy. This particular amendment about exemplary behaviour and honest

labour serves as an important stimuli for re-education of conditionally

sentenced persons and thus prevents the commission of new crimes. Preven-

tive effect has also a newly established rule (Article 44) about vacation of

conditional sentence in relation to those who systematically violate public

order during probationary period and to whom the administrative measures

or measures of community impact were applied in this connection.

The law lays down that in the case the conditionally sentenced person

transferred to correction and re-education under the supervision of social

Organization or work collective did not justify trustworthy and violated his

promise to rehabilitate by way of exemplary behaviour and honest labour

or quitted the work collective with the aim to avoid the social impact the

court on request of social organization or work collective may issue an order

to vacate the conditional sentence and to make the person serve the sen-

tence imposed by the court. This provision is a significant guarantee of

reeducation of criminals, it provides for solving one of important tasks of

Soviet justice: prevention of criminality. Prevention of criminality is the

main goal of some amendments in legislation consisting in providing for

more strict measures of punishment for misappropriation of socialist pro-

perty and other crimes against socialist property. So in some articles such

sanction as fine is added, in others the limits of fine are increased. In some

articles such supplementary measure as confiscation of property is provided

for. Such amendments are made, for example, in Article 89 of the Penal

Code relating to responsibility for misappropriation of state and social

property by stealing. The first part of new wording of this article provides

for fine from 100 to 500 roubles. The second part of the same article pro-

vides for inserted also in the Il-nd and II[-d parts of Article 90 concerning

responsibility for misappropriation of state and social property by robbery.

Whereas part IV of the same article envisages the confiscation of property

as a mandatory sanction.

Article 91 concerning responsibility for robbery with the aim of fraudu-

lent embezzlement of state and social property also provides for mandatory

confiscation of property. The possibility of confiscation of property is envi-

saged by II[-d part of new wording of Article 92 of the Penal Code concerning

— 113 —

responsability for misappropriation of state and social property by em-

bezzlement, fraudulent conversion or abuse of the position by some of-

ficials, whereas III-d part of the same article provides for mandatory appli-

cation of this sanction. The I-st part of the same article provides for fine

from 200 to 1000 roubles. Similar amendments were made by the afore-

mentioned Decree to legislation relating to responsibility for encroachment

on person’s property of citizens. For example, article 144 of the Penal Code

on responsibility for larceny of person’s property provides for possibility

(parts II and IIT) and necessity (part IV) of applying confiscation of pro-

perty. Similar amendments are made in article 145 of the Penal Code con-

cerning responsibility for robbery. The possibility of imposition of fine up

to 400 roubles is inserted in article 147 relating to responsibility for cheating

and article 148 concerning responsibility for extortion. lhe same amend

ments pertaining to fine and confiscation of property are made in other rules

of criminal legislation. Such penalization has a deep criminological meaning.

The broad application of punishment inciuding fine and confiscation of pro-

perty not only ensures the full reimbursement of the material damage

caused by crime but makes the crime ”not profitable”. The real possibility

to lose the whole material profit gained by the criminal act provided for by

new legislation has a preventive effect and contributes to prevention of such

crimes more effectively. The significant preventive effect as we have already

mentioned has also the introduction into some articles of the Penal Code of

such supplementary measure of punishment as deprivation of the right to

hold specified offices or to engage in specified activity. It should be stressed

that the criminal responsibility is established for ignoring the court sentence

concerning deprivation of the right to hold specified offices or to engage in

specified activity (article 1882 at the Penal Code).

The preventive effect of this article is strengthened by the fact that it

applies not only to the persons, deprivated by court of the right to hold

specified offices or to engage in specified activity but also to the officials

who enjoy the

right to employ people and to fire them. Moreover the

punishment for the later is more severe than that for the previously men-

tioned persons (fine up to 200 roubles for the previously mentioned and up

to 300 and dismissal from office — for the latter).

Summing up the characteristic of preventive aspects of criminalization

and penalization provided for by new criminal legislation it should be

stressed that the most important (from the point of view of crime pre-

vention) features of this process are the following: the establishing of

criminal responsibility for some acts, which contribute to commitment of

new crimes; the establishing of measures of punishment having the maxi-

mum preventive impact (fine, confiscation of property) for mercenary and

economic crimes, for crimes commited by officials; the creation of guaran-

tees of assignment punishment directed at the prevention of criminality.

—114—

The third form of relationship between criminal policy and crimino-

logical measures of crime prevention consists in elaboration and implemen-

tation of measures directed at prevention of criminal behaviour in connec-

tion with amendment of criminal legislation and its application. Taking into

consideration that the criminal policy is directed at combating mercenary

and violent crimes the criminologists make efforts to actively elaborate

measures aimed at prevention just the aforementioned crimes.

e

The activity in the sphere of prevention mercenary crimes comprises a

lot of measures different from the point of view of their content, level and

scale of application and so on.

Among the most significant measures the measures of economic charac-

ter should be mentioned. To this group the following measures belong: the

improvement of economic stimuli of safeguarding socialist property by

workers and employees of work collectives; the improvement of planning

and accounting activity in the field of fulfilment of national economy plans;

the elaboration and implemention of measures directed at reduction of the

amount of unqualified physical labour; the revealing and elimination of non-

antagonistic contradictions in the sphere of production and distribution of

material values; the extensive introduction of scientific achievements into

production; the growth of labour productivity and so on.

Measures of organizational-economic and managerial character consist

of: the improvement of the system of calculation and control in the system

of national economy; the optimization of contract relationship between

different subdivisions of national economy system; the strengthening of

state discipline in the field of delivery of goods; the improvement of man-

agement in the different production spheres, in enterprises and organiza-

tions; the improvement in the field of selling of commodities in short

supply; the elimination of shortcomings in the sphere of careful employ-

ment of personnel busy in the field of material values and so on.

Among the measures of technical character it is worth to mention the

following: the elaboration of means of safeguarding the documents against

forgery; the creation on the base of advanced science and technique of

means of technical control of production quality; the development of

optimum norms of raw materials expenditure and their introduction into

practice; the development of calculating techniques for improvement of

calculation and control and introduction it into practice ; the elaboration of

means of lightening, signalization and other measures of safe keeping

material values at storehouses, warehouses and so on.

Measures of ideological-educative nature consist in cultivating in Soviet

people the socially oriented attitude towards the socialist property. For this

end the different forms and means of legal propaganda are used: lectures,

reports, speeches of workers of law enforcement agencies by radio and TV,

— 115 —

publication in newspapers and magazines. The public organization and first

of all trade unions, comrades’ courts and community councils perform a

significant role in this work.

The last group among aforementioned measures of prevention of

mercenary crimes is the group of legal measures. They include: the improve-

ment of legislation regulating safety of socialist property; the activity of

state agencies and social organizations in the field of preventing misappro-

priation of state and social property, economic crimes, offences, commited

by officials; the improvement of legislation regulating social relations in the

framework of which there exists social contradictions contributing to afore-

mentioned crimes and so on.

Characterizing the main trends of prevention of mercenary crimes, it is

necessary to mention that each of this trends comprises a lot of measures

different as to their contents, forms, means and methods. But there exists a

close connection between these measures that is why the proposed classi-

fication may be considered as very approximate. For example, each of the

aforementioned economic or organizational measures has simultaneously an

educative impact on citizens whereas the implementation of ideological and

educative measures presupposes the acomplishment of certain organizational

and legal measures.

Now let us consider the main trends of prevention of violent crimes

which are being elaborated and realized in the framework of contem-

porary criminal policy. Here it is worth to mention that the violent crimes

are the result of complicated complex of criminogenic circumstances. These

circumstances do exist in different spheres of social relations: in economic,

in family, in the sphere of leisure time, in the activity of law enforcement

agencies. That’s why some of the measures are common for prevention of

violent crimes and mercenary crimes as well.

Here we shall consider only the measures which are specific for pre-

vention of violent crimes only.

Among these the measures directed at improvement of socialist social

relations in the sphere of everyday life should be mentioned first of all.

They comprise measures aimed at the elimination of shortcomings in the

field of commune service; rendering material, psychological and pedago-

gical help to families suffering from conflicts; popularization of proper

family relationships. The measures directed at perfection of education of

children in the family constitute the broad independent complex in the

framework of aforementioned trend.

The measures directed at improvement of spending leisure time by

citizens make the next important trend in the system of measures of pre-

vention of violent crimes. Among them the improvement of different forms

— 116 —

of spending leisure time for people with due regard to age, social and pro-

fessional differences, customs and traditions as well as regional peculiarity

are to be mentioned. The enlisting people to different forms of sports.

technical and art amateur activity is also of great significance.

The specific group constitute measures directed at improvement of

different forms of spending leisure time by people living in hostels. Among

them: heightening of the level of educative work in the hostels, first of all

those for young people, the improvement of vocational training of specialist

in this field of activity.

The independent trend among measures of violent crime prevention

constitute measures directed at the struggle with alcohol abuse. À broad

complex of social, cultural, educative and ideological measures is ac-

complished in the country to this effect. Among them: measures directed at

cultivating among citizens the proper mode of alcohol consumption ; at pre-

venting the adolescent of being involved in alcohol consumption ; at limiting

of production and selling of alcoholic drinks to citizens; the regulation of

alcoholic drinks trade.

To solve the problem of elimination of drink-abuse as one of the

widespread condition contributing to commitment of violent crimes it is

necessary to develop the system of medical institutions, specializing on

treatment of drunkards and alcoholics as well as the perfection of methods

of this treatment. The public at the places of work and dwelling of drunkards

and alcoholics actively participate in the struggle with this negative pheno-

menon. Among public organization participating in this struggle, voluntary

peoples’ brigades (druzhiny), comrades’ courts, community councils, station

of public volunteers aimed at safeguarding of community order should be

mentioned. À lot of measures are elaborated to improve the methods of

work of these organization, to heighten the efficiency of their activity.

The independent trend of activity on prevention of violent crimes

constitute measures, aimed at the struggle with different forms of parasitic

way of life. These measures include revealing of people of such category,

their employment, prevention of cases of such behaviour and institution of

administrative or criminal proceeding against them.

The great influence on violent crimes was recidivism. In this connection

a broad complex of measures directed at perfection of re-education of

convicted persons along with rendering them help in resocialization, em-

ployment and housing after their release is accomplished in the country.

The aforementioned trends of prevention of violent crimes as well as

those of prevention of mercenary crimes include a lot of measures closely

linked together though different as to their contents and forms.

— l117—

Summing up all the aforementioned considerations one can conclude

that the criminal policy which is being accomplished in the Soviet Union has

its clearly expressed preventive aspects. The realization of criminal policy

presupposes that the criminological analyses of the structure and dynamics

of criminality is to be taken in consideration. Criminalization and decrimi-

nalization as the basic forms of criminal policy realization have significant

general and special preventive effect. The criminalization and especially

decriminalization lead to the necessity of elaboration and implementation

of criminological measures.

— 118 —

THE COSTS OF LEGALITY: SOME CONCLUSIONS FROM

THE RESULTS OF RESEARCH IN PENAL LEGISLATION

AND CRIMINAL LAW DEVELOPMENT

Heinz Steinert*

The occasion: to present a paper at a world congress for criminology

on a half day panel, the theme of which is ”penal legislation”, produces a

sort of ’balance-sheet”’ mood. And this in turn brings about some astonish-

ment about just how new this theme is. Only 15 years ago ”Labeling

Theory”, with its fundamental acceptance of the idea that ”criminality” is a

definitional problem, an idea which today almost strikes us as banal and

obvious, could back then cause hot debates in German criminology. For at

that time a historical and political interest was mostly lacking in this disci-

pline. The simple fact that ”criminality” is defined by penal statute, and

that penal statutes are created in a political process and thus subject to

historical change, could for all practical purposes be pushed to the fringes of

our attention in order to make room for the, by way of comparison, long

and unbroken examination of the ”personality of the offender”. One can

understand this established naivité partly by the havoc raised in the German

social sciences in the Nazi period — an especially clear example being the

fate of Rusche and Kirchheimer’s 1939 book which had to wait 30 vears

before it was taken serious academically (cf. Steinert, 1981). The positivist

tradition, with which this has to do on the other part, goes back to the last

century, of course just as the tradition of criminology as a form of police

science and a science of control does.

Whatever the sociology-of-knowledge backgrounds of the development

may be: This naivité is at an end. Criminology has at least won (or more

accurately: rewon) the outlines of a framework of a theory of society, and

the interest in questions of penal legislation has contributed significantly to

this. I want to attempt to present here both some of the important outlines

of this interest as well as to present some conclusions derived from it.

I

Probably the most general conclusion to come out of studies of penal

legislation is that the contents of a penal code cannot easily be accounted

* Director, Institut für Rechts- und Kriminal-Soziologie, Postfach 1, A -1016

Wien.

— 119 —

for by reference to some sort of ”consensual values” in a society but rather

have to be understood as the result of power struggles. The penal statute in

its present condition is the result of a balance of interests, and in its appli-

cation it is necessarily also an instrument of domination (a more exact

description of the character of this domination will be given later). The

most important actors, and hence interests, that have been identified in

various studies are diverse economic interest groups (they became most

evident in studies of property legislation) ’’moral entrepreneurs’” (most

active in the area of sexual legislation, but also in the area of e.g. drug

laws); the different ”enforcement staffs” (judges, police, prison officers

with their interest representations; representatives of political interests in

the narrower sense (insofar as the penal statute limits forms of political

expression and thus the means of political struggle).

It is recognizable that those to whom the norms are addressed in this

area, thus the population groups which empirically are most directly affec-

ted by penal statutes (which obviously are generally formulated, but in

spite of that, differently applicable to different social positions and situ-

ations), are generally the object and not the subject of penal legislation. It

is also recognizable that penal legislation in historically recent times has

become most esoteric, situated in and therefore influenced by a juridical

In-Group with the corresponding internal-juridical view of problems, more

so than is the case in other areas of legislation (where, fore example, eco-

nomic interests are much more directly concerned and accordingly more

influential). Finally it is also recognizable that penal legislation and legis-

lation governing the system of punishment frees itself historically from

immediate economic interests, thus winning more ’’determination by its

own internal laws”, which means that the interests of the apparatus come

more strongly into the foreground. (As to this summary cf. the more com-

prehensive treatment in Steinert, 1976, and Hassemer et al., 1978).

An important result of this research of legislation in a theory-of-action

framework as summarized so far is also that one may not view legislation in

an isolated way; rather, especially where the actual social effects of statutes

are concerned, the process of ”implementation’’ must not be overiooked,

ie. what the ’’enforcement staffs” as well as the ’users” of statutes do

with them. If this aspect of legislation and law enforcement is included, the

interpretation of a statute’s contents becomes somewhat more difficult;

they cannot be taken literally, but rather mechanisms like ”symbolic legis-

lation’”’, or ’unforeseen”’ effects have to be taken into account (like e.g.

competitive advantages of larger firms against smaller firms from stricter

produce laws or strict data protection regulations, etc.). Also the relation-

ship between different statute levels is of importance: Hence ”decrimina-

lisation” does not necessarily mean an actual alleviation for those affected if

in place of penal statutes very widely enforceable and discretionary adminis-

tratively determined penalties are inserted (observable in the cases of

— 120 —

prostitution and vagrancy). The theory-of-action oriented research into

legislation thus yields a picture which is complex rich in detail and in which

the domination practiced with the help of the criminal law is disentangled

into a multitude of conflicts and enforcement mechanisms, which makes

overly simplified attributions of functions seem dubious.

Thus, in order to complement the results from this orientation in

research, one has to group and sort not only according to the actors; but

also to examine the interests independent from their representatives. In

question are the functions and effects which (for different reasons) are not

made (public) issues in the legislative process itself (although occasionally

they are even openly named), but rather must be reconstructed more

abstractly. The most important approaches to the question of the functions

of criminal law, and thus of the determinants of legislation formulated in

terms of a theory of society, are probably represented by the above-men-

tioned book of Rusche and Kirchheimer (1939) and more recently by

Foucault (1975). The first of these books exemplifies an approach basically

in the Marxian tradition ; the second is (in spite of the independence of its

theoretical basis) to be classified as in a wide sense in the Weberian tradi-

tion, with which it in any case shares the central interest in the related

historical processes of rationalization and increasing discipline (cf. also

Breuer, 1978). With Rusche and Kirchheimer a labour-market mechanism

stands in the center of interest: It is the function of criminal law and the

infliction of punishment to keep at hand forms of deterrence which are

adapted to the respective labour-market conditions, thus at the same time

helping to overcome labour-market problems. Legislation is necessary in

Order to bring about this adaption and is therefore finally determined by

economic requirements. Further work on this approach (cf. Steinert &

Treiber, 1978; Schumann, 1981; Steinert, 1981) has, in spite of all neces-

Sary criticism of details, shown its fruitfulness, if the theoretical weight is

shifted to the establishment and representation of a required ”’work morale”

and any direct effects of the criminal law on the labour market are unders-

tood as a special case. Above all Chambliss’ work on the history of the law/

vagrancy (Chambliss, 1964) and on colonial law (Chambliss, 1974) con-

firms this with detailed material. À stronger emphasis ”work morale” as

the central variable also makes connections to the tradition represented by

Foucault possible, in which the process of increasing ”discipline” mentioned

certainly represents an aspect of ”work morale”.

The propagation and forcing of a particular form of ”work morale” is

closely bound up with the defense of property relations as a function of

criminal law. The history of property legislation in criminal law mirrors the

changes in the societal function of property. Hall (1935) shows this in a

case from the 1S5th century where under the influence of a developing trans-

Portation system a legal development proved to be necessary in which the

distinction between possession and property could be handlied. Thompson

— 121 —

(1975) studies a similar problem, where legislation was made necessary, in

his examination of the ”Black Act” in the 18th century England. This

example likewise concerns the bringing about of a ”’modern’’ conception

of property which put the traditionally valid rights of usufruct out of

force. The corresponding penal legislation directed itself against popular

attempts to resist the abolition of the right of usufruct. An analogous

example, one already commented on by Marx, is that of the law against the

theft of wood in the 19th century Germany, which is the focus of Blasius”

examination (1976). This conflict over the conception of property seems

today decided and without expression in legislation. The remnants of this

conflict can be found in the house squattings of recent years and the legal

difficulties associeted with them. The property that is today relevant to the

criminal law is consumption property, and here the concern is less with

property than with the nexus between consumption goods and honest

work, which is passed over in theft; thus it is also about an aspect of ”’work

morale”.

In analyzing the interests which are relevant in moral and sexual legis-

lation, one comes across a very similar area to the one above. Ît is obvious

that these laws help to secure the prevailing family-form, which means: the

conditions of the reproduction of the work force and also those means of

passing down property over the generations which have become codified

into family law. Insofar as reproduction is a decisive component of the

’work morale”’, here too the concern is the establishment and represen-

tation of this ”work morale”, with the additional differentiation according

to the division of labour between sexes. The area additionally allows a first

discussion of the re tion between the results that have been obtained in

the two principal theoretical orientations: theory of action and theory of

society. Attention has already been called above to the ”moral entrepre-

neur”’ as an actor in the process of legislation, and that this political figure

appears especially in the area of moral and sexual legislation. Different

studies of drug, prostitution, homosexual, abortion and pornographiy legis-

lation (cf. the summarizing account in Hassemer et al., 1978) show that the

motivation to take part in such ’’moral crusades” comes out of a struggle for

status: What concerns the ”moral entrepreneur” its to achieve security, with

the help of the criminal law, for a particular way of life which he sees as

both the superior and the only valid way of living and which is threatened

in its hegemony. Examples from the USA and Europe which have been

studied regularly show a conflict between a sober, puritanical and disci-

plined way of life and one that is more hedonistic and individualistic. In

going on from here the question is inevitable, how such conflicts are brought

about. Their basis can be identified in processes of economic modernization

(meaning changes in ”’strategies of capital””) which in turn bring about a new

’work morale” with all its consequences for production, as well as repro-

duction, thus making new forms of living if not necessary at least possible.

The loss of status, to which the ’’moral crusades” react with initiatives

— 122 —

directed at legislation, is thus the result of a changed ’’work morale”. The

conflict, which expresses itself in legislation, is the consequence of a shift in

the prevailing capital strategies and the concomitant shift in modes of living

required by them. (As an example of a concrete analysis in this framework,

cf. Pilgram and Steinert, 1975; for a more detailed theoretical account,

Steinert, 1981 b).

The formula of the criminal law as a means of establishing and repre-

senting a ’work morale” (this conceptualization derives from Moore, 1978,

and his concept of an ’implicit social contract” and could be defined as the

’implicit agreement about who should work why, how and under what

conditions”’) seems to carry quite some way. Behind this stand the functions

of securing the property relations and determining the legitimate means of

political struggle in a wider sense of carrying out social conflicts. It should

be understood that the criminal law is only one of the instruments for

fulfilling these functions and in most cases not the most important one.

Other legal arrangements, de facto arrangements and ideological apparatuses

operate here much more directly and effectively.

II

Even if we identify the criminal law as an instrument of domination,

there is still no compelling reason to conceptualize this domination in a

one-dimensional way. The interest analysis in the last part, with its heavy

emphasis on ”work morale” and ”capital strategies” implies a theory of

society in which the mode of production, i.e. under present conditions

capital and the requirements and mechanisms of its reproduction, serve as

the central categories. It is however plainly a theoretical misunderstanding

when some authors (as, for example, Quinney, 1977), writing in the Marxists

theoretical tradition, equate capital interests with the interests of the capi-

talist class (which later gets reduced to a ’ruling class”). In order to avoid

such over-simplifications it is only necessary to recall the very elementary

fact that the category of ’capital” indicates a social relation, that it includes

as constitutive the existence of ’free wage-labour” that as far as this relation

is established it not only sets the interests of the owners of the means of

production and those of laboury in opposition to one another but also ties

them to each other in a multitude of ways. Nothing in such a theoretical

conception thus excludes the possibility that in particular instances the

interests of labour may become incorporated in legislation (as was the case

in the factory laws; cf. Carson, 1974), that legislation may promise to secure

the workers’ interests in e.g. the protection of their hard-earned consump-

tion property or of the reproduction of their labour power, also by criminal

law.

In order to clarify the character of the domination by criminal law it

is to be taken into account that for the ”user” of these laws they are

— 123 —

resources that must be mobilized and claimend in order to become effective.

Even if the executive is an ’enforcement staff”’ that also becomes active on

its own, in the vast majority of cases this apparatus is mobilized only by

complaints reported to it also in matters of criminal law. We know from

studies of the motivation to report or not to report an occurrence to the

police, that statutes are made use of instrumentally, an attempt, which does

not always succeed, because after reporting the occurrence the capacity to

control the proceedings following from this are somewhat limited. In any

case, there is nothing ’’automatic”’ here but rather invoking and using the

criminal law is a tactical endeavour at all levels. On all levels (from informer

through the whole apparatus up to the highest decision organs) criminal law

is used as a ”political”’ resource. Criminal law policy in thus wider sense

does not limit itself to legislation. We also know that the possibilities to

successfully use the resource ’criminal law” are distributed quite unevenly

in society and that even the resource itself (by e.g. equally forbidding poor

and rich alike to sleep under Dbridges) is geared to the needs of different

social positions in highly unequal ways. But in any case, surprising uses are

also not completely precluded.

This also means that the possibilities of social regulation through penal

threats should not be overestimated. Obviously there are completely di-

rectly effective legal arrangements, like e.g. the already mentioned factory

laws, the familiar arrangements of drawing in the tax on wages (in contrast

to other forms of income) or the payment of child support. Even then there

are all forms of avoidance and circumvention and the statute’s success is

always dependent on the interests and the means of power of those directly

affected, of the enforcement staffs and possible third parties, and of, as I

have called it elsewhere (Steinert, 1976), the relation between the ’oppor-

tunity structure” and the ”control structure”.

These conditions entail that only in rare and lucky cases are statutes in

a position actually to compensate for social inequality. They emerge already

under the conditions of social power relations, and hence the possibilities of

their enforcement and of the ’uses”’ to be made of them are already deter-

mined. They stand within the given social conflicts and are used instru-

mentally according to the means of power available to the different sides.

III

When we see domination by law in this way, the question may be

raised, what exactly is to be gained by settling conflicts with the help of this

resource; or stated differently: why should the parties of a conflict not use

their own rules independent from law and proceed accordingly”? Irrespective

of the fact that this is what takes place in many cases anyway (cf. the

examples in Steinert, 1982, especially p. 266 ff and notes 2 and 3), the

— 124 —

reasons for the present state are manifold: Laws developed with the centra-

lization of power, thus with the central state, used by it as a means of esta-

blishing immediate dependence (and with it the destruction of social orga-

nization), often also as a way of simple fiscal skimming (cf. also Diamond,

1971: Wesel, 1979). As the case of the declaration of public peace (’’Land-

frieden’’) in medieval times shows, which stood at the beginning of centra-

lized penal laws, these were acceptable to conflicting parties who could not

find peaceful conditions using their own resources. Laws were fought for in

order to limit the artibrariness of the emerging central power. Laws, how-

ever, also had the task to direct and render possible the activity of the

organized ’’enforcement staff” of domination. Finally, laws became

interesting with the rise of large economic units and area states for bringing

about some uniformity in the conditions of business and life. Legality was

possible and necessary because states arose.

The costs of this legality from the beginning consisted in systematic

domination, in which local authority was broken (which was also expe-

rienced as liberation). With the rise of modern states in monarchic abso-

lutism and their further development as bourgeois states, this systematic

character of domination was further developed with the formation of an

effective central administration. Not only on account of the state itself, but

still with its very essential assistance (in the military, administration, school),

arose ”’disciplined society””, which we still live in today. (Its description is

one of the ’’classical”’ themes of sociology from Tocqueville to Weber. Cf.

as a more recent discussion, Foucault, 1975; Treiber and Steinert, 1980,

further references). Legality as one of the functions of this desciplined

society has costs which are particularly visible today.

À. Legislation and ’Repressive Individualisation”

The world view of at any rate today’s criminal law is characterized by

the feature that ”society” has no place in it, that the individual and the

State are immediately set against one another. Attribution is always to an

individual. Likewise the effects expected of the criminal law are always

assumed to work on the isolated individual. The legal threat is directed at

the single person under abstraction from social relations which this indi-

vidual lives in and which determine the actions of this person. These social

relations, situations and circumstances are thus systematically neglected by

the law. What can also be termed ”depoliticization” of problems and con-

flicts through criminalisation is based exactly on this characteristic of the

criminal law. Statues of law, by aiming to act equally, generally and ab-

Stractly in the same way, by ”’settling” problems by identifying an indi-

vidual who is both responsible and culpable, presuppose and fortify the

Western version of individualism in which each person stands for himself

against everyone else.

— 125 —

The historical findings show clearly that this is in fact a technique of domi-

nation connected with the central state, the aim of which is the break-up

of local centers of power (cf. Diamond, 1971). Also in the (historically

later) case of colonial laws as related by Chambliss (1974) it becomes clear

that the aim is dissolution of a subsistance economy for the establishment

of ”free” wage labour with its individual saleability in a ”free” labour

market. Individualisation, which actually begins historically earlier, is a

decisive requirement for a capitalist economic system. (Here there exists a

parallel to the mother root of individualism, self-discipline, which developed

very early in Western monasticism, but is generalized only in capitalism

— then also as externally enforced discipline ; cf. Treiber and Steinert, 1980)

The bourgeois individual, with his ”inalienable” rights and his property (not

only in the sense of ownership of material things but also of attributes or

qualities), has thus always had the flip side of dissolved solidarity and of the

individual appropriation of what is socially produced. For the great number

propertyless, this flip side stands in the foreground, especially under the

current conditions of a clearly visible social production of ”qualities’ (in

the sense of ’’qualifications”’ and especially ’disqualifications”), and of the

offer of pre-fabricated ’’personality figures”’ from the culture industry, for

the acquisition of which usually the consumption of certain goods or

services is necessary. The ”psycho-industry”, which Foucault described as

having its root in the disciplinary apparatus, and not least in the prison, fits

in with this by the close connection between ”personality” and ’’admission”

that it creates.

To this socially ”coerced-individualisation” corresponds the bureau

cratic advancement of file keeping, of private and state records which keep

track of life-courses in an abstraction that is suited to domination, thus

creating a ”personality” from which one cannot escape. In the effects that

this has, which have been described by labeling theory, legality takes part in

what can be called ”repressive individualisation”. Doubtless this works to

legitimize and support the analogous social arrangements.

B. The Dissolution of Solidarity and Structured Incompetence

Legally established decisions are based on the assumption that, in the

case of a conflict, one of the two parties must be ”right” (have the law on

its side). At least this is the case in criminal law there is only a decisive jud

gement, but no compromise or agreement. This claim, that only one autho

ritative and ’’right’”’ solution should be possible, deliberately neglects the

social relations out of which the problem arose, and also those which the

concerned have to live with in the future. This neglect of social relations can

also be found in the types of reactions which are at all available to the cri-

minal law: It is always concerned with the intended imposition of a disad

vantage on and the (temporary) removal of a ”guilty” person, thus with inti-

midation, and if is not concerned with providing some sort of help by

— 126 —

actually dealing with the problematic situation. (The measures, which were

introduced under the catchword ”resocialisation”’, likewise apply to the

individual. The offender should be made better, not the situation). Indivi-

dualisation, according to the legal decision model, corresponds to a process

of isolation, of dissolution of solidarity.

That decisions are taken away in this way (Christie, 1977, speaks of the

’expropriation of conflicts”’), that the problems are handled by ’experts’

with their ”’solutions’”’, means that the social capabilities for managinrg con-

flicts are immobilized. Just as in other cases, where professional experts

have taken over, an actual and imposed dependence emerges: The experts

ensure that they retain a monopoly on the licensing of ”their” ability,

whereby the corresponding activities of others are prevented. Likewise the

corresponding ’law’” Kknowledge and ability is depreciated to something

Which is no longer seen as being ”’good” enough, and thus it atrophies. The

criminal law certainly contributes, in regard to our ability to handle con-

flicts, to such a process. (Its general description is given in many examples

in the different writings of Ivan Illich. Scharpf, 1970, analyzes an important

example of obstruction of competent action — in this case, political and

administrative — through piety to the law, and with it, certain forms of

legality).

The ’’costs of legality”, which have been addressed here, result from

the very form which state intervention takes, and they belong to the most

indirect and abstract functions of criminal law. But when we reflect on the

Wways of managing problems and conflicts, which traditionally are handled

by invoking the instrument of the criminal law, and if hor this reflection

want to learn from research on legislation and legal development, it is

exactly these abstract functions of ’’repressive individualisation”, dissolu-

tion of solidarity and production of structured social incompetence that

are important for an evaluation of criminal law and its usefulness. It could

be one of our tasks as criminologists to at least look out for possibilities of

a recovery of autonomous forms of conflict management and social regu-

lation.

REFERENCES

BLASIUS D., (1976). Bürgerliche Gesellschaft und Kriminalität. Zur Sozial-

geschichte Preussens im Vormärz. Gôttingen.

CARSON W.G. (1974). Symbolic and instrumental dimensions of early fac-

tory legislation, in: Hood R., (ed.), Crime, Criminology, and Public

Policy, London, 1974, s. 107-138.

CHAMBLISS W.J. (1964). À sociological analysis of the law of vagrancy,

Social Problems, 12, S. 4647.

— 127 —

CHAMBLISS W J. (1974). The state, the law, and the definition of behavior

as criminal or delinquent, in: Glaser D., (ed.), Handbook of Crimino-

logy, Chicago, 1974, S. 7-43.

CHRISTIE N. (1977). Conflicts as property, British Journal of Criminology,

17,S. 1-15.

‘

DIAMOND S. (1971). The rule of law vs. the order of custom, Social

Research, 38, S. 42-72.

FOUCAULT M. (1975). Surveiller et punir. Naissance de la prison, Paris.

HALL J. (1935). Theft, Law and Society, Indianapolis.

HASSEMER W., STEINERT H., & TREIBER H. (1978). Soziale Reaktion

auf Abweichung und Kriminalisierung durch den Gesetzgeber, in

Hassemer W., & Lüderssen K. (Hg.), Sozialwissenschaften im Studium

des Rechts, Bd. III : Strafrecht, München, 1978, S.1 65.

MOORE B. (1978). Injustice. The Social Bases of Obedience and Revolt,

White Plains.

PILGRAM A , & STEINERT H. (1975). Ansätze zur politisch-ôkonomischen

Analyse der Strafrechtsreform in Osterreich, Kriminologisches Journal,

7, S. 263-277.

QUINNEY R. (1977). Class. State and Crime, New York.

RUSCHE G., & KIRCHHEIMER O. (1939). Punishment and Social Struc-

ture, New York.

SCHARPF F. (1970). Die politischen Kosten des Rechtsstaats, Tübingen.

SCHUMANN K. (1981). Produktionsverhältnisse und staatliches Strafen.

Zur aktuellen Diskussion über Rusche/Kirchheimer, Kritische Justiz,

14,S. 64-77.

STEINERT H. (1976). Uber die Funktionen des Strafrechts, in: Neider M.

(Hg.), Festschrift für Christian Broda, Wien, 1976, S. 335-371.

STEINERT H. (1981). Dringliche Aufforderung an der Studie von Rusche

und Kirchheimer weiterzuarbeiten, in: Rusche G.

— 128 —

CRIMINOLOGY AND CRIMINAL LAW REFORM :

THE CASE OF SENTENCING REFORM

IN THE UNITED STATES

Charles F. Wellford*

æ

One distinctive characteristic of public policy in the United States in

recent years is that is incorporates considerably more social science evidence

then in earlier times. Whereas Presidents once formulated economic policies

based on advise from Wall Street, they are now more inclined to turn to

Harvard or to the Brookings Institute. Similarly, national commissions that

have addressed policy issues in virtually every major sphere of public con-

cern have begun to draw heavily on scholarly research findings. Social

science evidence is also being used in the United States more extensively

in the courts, beginning with Louis Brandies’ use of empirical evidence

before the Supreme Court to demonstrate that the ten-hour work day is

detrimental to the health and the economic well-being of the com-

munity (1), persuasive social science evidence has been presented to the

courts on topics as disparate as school desegregation (2) and the six-person

jury (3). While empirical evidence used in support of particular judicial

decisions at times has failed to withstand subsequent scholarly scrutiny (4)

its use has unquestionably been expanding (5). According to one observer

of developments in the United States this trend should continue : «even

though the use of social research in the courts has intensified, particularly

in the last decade, sociological cooperation is nowhere near the realization

of its full potential» (6). Recently Derek Bok, President of Harvard Uni-

versity, observed that «We ignore the social sciences at our peril, for their

techniques grows steadily more refined. (7).

Sentencing is one prominent area of the law for which scientific evi-

dence has been specifically called. Former federal Judge Marvin Frankel has

observed «We have in our country virtually non legislative declarations of

the principals justifying criminal sanctions. (8) Judge Frankel proposed that

lawmakers inact an effective program of research to provide a basis for

federal laws and rules pertaining to sentences, corrections and parole (9).

Such calls for research have not unheeded. In recent years, particularly with

the establishment of federal agencies devoted to the sponsorship ofresearch,

demonstration and evaluation programs in criminal justice, substantial

—n

* Director, Institute of Criminal Justice and Criminology, Maryland Uni-

versity, U.S.A. — College Park, Maryland 20742.

— 129 —

amounts of research have been conducted by social scientists, particularly

criminologists, in the analysis of important legal and criminal justice issues.

In the sentencing area the early research focused on the concept of

disparity in sentencing. Numerous researchers analyzed the patterns of sen-

tencing in courts at various levels of government in the United States and

demonstrated that there was substantial variation in the sentences given

for what appeared to be similarly situated offenders committing similar

offenses (10). The analysis of disparity, while frequently focusing on non-

legal factors associated sentencing such as sex, race and socioeconomic

conditions, also demonstrated the substantial variation that existed between

judges and courts that were providing very different types and severity of

sentencing for similarly situated individual and offenses (11). The disparity

research suggested that a basic principle of American jurisprudence, that

of equal protection under law, was not being followed at the point of

sentencing.

Another area of research that emerged in the 1970s in the United

States concerned the assessment of the effectiveness of rehabilitation

efforts within correctional and community settings. In a famous work by

Robert Martinson, it was asserted ans widely accepted that «Nothing

works in corrections» (12). That is, a substantial number of research pro-

jects appeared to conclude that rehabilitation programs were not consis-

tantly successful in reducing the level of future of criminality. While now

we understand that the interpretation of these results was grossly over-

drawn (13), it is clear that we do not have the knowledge to specify the

forms of rehabilitation that would justify a continuation of completely

indeterminate sentencing. The «discovery» of sentencing disparity and the

recognition that the indeterminate sentence could not be substantiated

by reference to a body of research that would support the concept of

rehabilitation stimulated discussion of the need for sentencing reform.

At the same time, following years of apparent rapid increases in re-

corded crime, a substantial body of public opinion developed in the United

States reflecting high levels of concem with and fear of crime (14). With

the establishment of the President’s Crime Commission in 1965, and its

report in 1967 (15), American political and public opinion focused on the

crime problem. In each of the presidential elections from 1964 to 1976,

crime was a substantial issue (16). Public opinion polls throughout the

1970s established that in the opinion of the majority of voting age citizens

in the United States crime was one of the most significant problems facing

American society (17). Research questioning rehabilitation and suggesting

unwarranted disparity in sentencing, and the emerging fear of crime coales-

ced around a demand for a more structured sentencing process as a way to

impose longer and/or more certain sentences of imprisonment, especially

for violent offenders.

— 130 —

À . Typology of Sentencing Reforms.

Throughout the 1970s various jurisdictions in the United States have

experimented with different approach to sentencing reform, all of which

have aimed at the issue of reducing disparity and introducing more tradi-

tional philosophies of punishment (e.g., deterrence, incapacitation and

retribution) as alternatives to rehabilitation as the underlying basis of

sentencing policy. The first attempts in this area were efforts to develop

mandatory sentencing for particular types of offenses. For example, laws

were passed in various states requiring a certain penalty for any offense in

which a weapon was used (18). Other examples are mandatory sentences

for certain types of drug offenses (19). While these legislative efforts gained

wide-spread public support, research evaluating their effect produced, at

best, mixed results (20). Research done in Michigan on the effectiveness of

mandatory sentences for firearms rather clearly demonstrated no effect of

the legislation on reduced levels of crime nor on increased levels of sentenc -

ing (21). Similarly in Florida where law manadated a sentence of incarce-

ration for committing felonies in which a gun was used, evaluation studies

demonstrated no impact on the level of crime or on the apparent behavior

of offenders (22). Mandatory drug laws in New-York State while having

some initial impact on crime, soon were found to have little of the kinds

of effect that were anticipated in the legislation. In short, mandatory

sentencing for selected types of offenses was quickly absorbed by changes

in other parts of the criminal justice system. The anticipated deterrent

and/or incapacitative effects of these approaches was quickly lost.

A next step in the development of sentencing reform was an attempt to

rewrite criminal codes establishing fixed mandatory sentences for each

offense. This effort toward fixed sentences for each offense was premised

primarily on the notion of retribution or just desserts and while potentially

affecting the level of disparity placed the legislative body directly in the role

establishing sentences. The net result was substantial increases in the sen-

tences that were provided as legislature’s responding to public pressure

increased the required penalties for most types of criminal offenses. In those

few states that attempted to do a complete revision of their criminal code

providing a mandatory sentence for each type of violation parole release was

retained as a safety valve to guarantee that prison populations would not

exceed the available capacities. The result, of course, is that the paroling

authorities then are left in the position of exercising the responsibilities of

the legislature and the judiciary by setting the exact penalty. Very few

jurisdictions in the United States have attempted to reform their sentencing

practices through a comprehensive mandatory system (23).

À third type of sentencing reform has been determinant sentencing.

The most prominent example of determinant sentencing in the United

States has been in California where the legislature passed a law establishing

the criteria that could be used in setting a sentence and establishing the

— 131 —

importance that would be given to various aggrevating and mitigating cir-

cumstances effecting the particular sentence (24). The determinant sen-

tencing law has been in operation in California for nine years and has appa-

rently had the effect of reducing disparity in sentencing but also has been

associated with rather dramatic increases in the prison population in Cali-

fornia. One estimate has been that at least 25 % of the increase in the prison

population in California can be directly attributed to the determinant

sentencing law (25). Determinant sentencing also involves the legislature

heavily in the establishment of elements to be used in sentencing and the

weighting of those elements. This approach has not been adopted by many

of the other jurisdictions and already in California there are movements to

dramatically revise the determinant sentencing procedure.

Each of the above approaches — offense specific mandatory sentences,

mandatory sentencing codes and determinant sentencing systems — have

failed because they have not optimally utilized social science research

in structuring sentencing reform. The fourth type of sentencing reform —

sentencing commissions, which are now just beginning to be developed in

a number of jurisdictions, rely’s heavily upon the contributions of social

scientists in the establishment of appropriate sentencing guidelines and

policy. In the remainder of this paper I will devote considerable attention

to describing the operations of sentencing commissions, how they utilize

research and how the federal government is contemplating a movement

toward a federal sentencing commission.

Sentencing Commissions

Three jurisdictions in the United States have enacted legislation esta-

blishing sentencing commissions to develop sentencing policy and sentenc-

ing guidelines. The states of Pennsylvania, Washington and Minnesota have

enacted legislation establishing such commissions and empowering them

to promulgate sentencing guidelines for use by judges in their states (26).

The commission in each of these states have been established and have

developed sentencing guidelines reflecting different approaches and with

different emphases on the value of research.

In Washington and in Pennsylvania the primary emphases has been on

developing guidelines that reflect past sentencing practices. In these ap-

proaches research is conducted to develop measures of the kinds and sev-

erity of sentences that have been given in the past, on average, to certain

type offenses and offenders. These approaches ordinarily use a matrix or

series of matrices that have as one axis the severity of the offense and on

the other axis the offenders likely involvement in future or past actual

prior criminal involvement. The intersection of these two dimensions

define a category for which appropriate sentences are promolgated. These

sentences are based upon some measure of central tendency for maximum

likelinood estimation of the types of sentences given in the past. Such

— 132 —

guidelines systems are responsive to the issue of disparity in that if followed

the sentences of judges would tend to be more consistent. The use of such

guidelines grew out of earlier research done at the local level by Leslie

Wilkins and his associates at the State University of New-York at Albany

where voluntary guidelines were developed with the cooperation and ap-

proval of the judge involved (27).

Sentencing commissions as established in these three states are in-

dependent bodies reporting (usually) to the chief executive officer of the

state. The commissions consist of judges, prosecutors, researchers, private

citizens, etc., who oversee a staff that conducts research and developeds

alternate guideline systems for the commissioner’s consideration. The gui-

delines are then subject to approval by the legislature, and if approved, are

mandatory for use by judges in that jurisdiction. This approach substantially

reduces the discretion judges have in sentencing and, as might be expected,

has resulted in some criticism from judges who believe such « sentencing by

mathematics» unduly restricts their legitimate discretion (28).

Minnesota has the most experience with the sentencing commission

idea in the United States (29). In Minnesota the Commission was establishe d

in 1980 and has promulgated its first set of guidelines. These guidelines have

been widely accepted by the judiciary in that state and very few variations

from the guidelines or challenges to the guidelines have been experienced.

In part, the success of the Minnesota Sentencing Commission has been a

reflection of the very highly qualified staff of the Commission and the

quality of the research they have produced to assist the Commission in its

deliberations. The legislation establishing the Minnesota Sentencing Com-

mission required that the final guidelines would not result in commitments

to prison that would result in prison population exceeding current prison

capacity. This required that the Commission, one research had been con-

ducted, to establish criteria for placing individuals in prison as opposed to

on probation that would result in at least a steady state of prison utilization

or perhaps lower utilization. This was achieved through a major effort in

prison population modelling conducted by the staff of the Sentencing Com-

mission, and, in fact, the Minnesota prison population has increased at a

much lower rate than any other jurisdiction in the United States (30).

The sentencing commission notion is particularly attractive in the

United States because it represents the convergance of social legal issues

and social science. It clearly has demonstrated the value that social science

can play in guiding sentencing reform. The success of the sentencing model,

particularly in Minnesota, leads one to believe that sentencing reform in

the future in the United States will be substantially aided by the work of

criminologists.

— 133 —

The Move To Federal Criminal Code Reform.

While sentencing reform has become an important issue in most state

legislature, it is at the federal level that the reform movement has received

special attention. Following sharp criticism of the federal sentencing pro-

cess (31), Congress has, during several recent sessions, considered legislation

to reform the federal criminal code generally and criminal sentencing in

particular (32). À centerpiece of this proposed legislation is the creation

of a United States Sentencing Commission, which would be responsible

for the formulation os sentencing guidelines for the federal court system.

While the Senate and House versions of the most recent version of this

draft legislation disagreed at several points, both versions of that legislation

would have empowered a special body to promulgate guidelines and esta-

blish sentence within which federal judges would impose criminal sanc-

tions (33).

It can be presumed that while guidelines, like other proposals to struc-

ture sentencing discretion (34), could not by themselves make sentencing

perfectly certain and evenhanded, they should make sentencing policy more

explicit, and thus more certain and more evenhanded. It does not auto-

matically follow, however, that any set of guidelines would be more

«rational» than current sentences. Recorganizing this, the drafters of the

recent legislation called for the establishment of a research program to

support sentencing policy, a program that would include the systematic

collection of eimpirical information «regarding effectiveness of sentences

imposed» (35). The Federal Sentencing Commission would, further, «make

recommendations to Congress concerning modification or enactment of

statutes relating to sentencing» in support of «an effective, humane, and

rational sentencing policy» (36).

Regardless of the eventual outcome of Congressional deliberations, it

is clear that the development of rational sentencing policy — whether for-

mulated by a sentencing commission, a panel of judges, or an individual

judge — requires the systematic assessment of sentencing goals and empirical

analysis of data that relate to those goals. For that reason the Department

of Justice contracted with INSLAW Inc. to conduct a comprehensive pro-

gram of research on federal sentencing. The results of those studies suggest

ways in which general public and special public opinions effect sentencing

reform.

To obtain a sense of the degree of consensus among federal judges

about the goals of sentencing and the efficacy of various sanctions in

achieving selected goals, interviews were conducted with 264 active federal

judges in the fall of 1979 (37). Also interviewed were 103 federal prose-

cutors (38), 110 defense attorneys (39), 113 federal probation officers (40),

1,248 members of the general public (41), and 550 incarcerated federal

— 134 —

offenders (42). Five goals of sentencing were selected for this aspect of the

project : general deterrence, special deterrence, incapacitation, rehabilitation

and just deserts. In asking questions about these goals, it was necessary first

to provide definitions of them, to ensure that each person interviewed was

responding to the same concepts. «Rehabilitation,» for example, does not

always convey the same meaning to different authorities. All members of

the general public could not be expected to know in advance the definitions

of each of the five goals, much less to agree about them. The definitions

that were provided to the respondents are shown in Table 1.

Table 1

Sentencing goals : definitions given to survey respondents

General deterrence : To impose a penalty on an offender sufficiently severe

to serve as a warning to others from committing similar crimes.

Special deterrence : To impose a penalty on an offender sufficiently severe

to discourage him from committing any more crimes.

Rehabilitation : To reform the offender through treatment and correction

measures to convert him into a useful and productive citizen.

Incapacitation : The protection of society through the removal of the

offender so that he cannot commit further crimes.

Just deserts : To punish the offender in direct proportion to the seriousness

of this crime.

À . Perceived Importance of Each Sentencing Goal.

Each respondent was asked to rate each goal on a five-point scale rang-

ing from «not at all important» to «extremely important». The results

indicate that the judges tend to regard the utilitarian goals of sentencing —

that is, goals that are directly associated with crime control — as more

important than other goals, especially that of just deserts. The judges

indicated that they regard deterrence to be especially important, as is

demonstrated in Table 2. Each of the following goals of sentencing was

regarded as either very important or extremely important by at least half

of the judges interviewed : general deterrence (sixty-two percent), and

incapacitation (fifty-one percent). Rehabilitation was close behind inca-

pacitations, being regarded as at least very important by forty-nine percent

of the judges. Only twenty-three percent of the judges considered just

deserts to be at least a very important goal of sentencing.

— 135 —

Table 2

Sentence goals :

Importance of each goal to federal judges

(N = 117)

Sentencing goals

General

Special

Incapaci-

Rehabili

Just

Deterrence |Deterrence

tation

tation

Deserts

Extremely

important

28 %

25 %

19 %

25 %

11 %

Very

important

37 %

37 %

32 %

24 %

12 %

Moderately

important

25 %

23 %

32 %

26 %

26 %

Slightly

important

4 %

7 %

8 %

15 %

32 %

Not at all

important

0 %

2 %

l %

4 %

13 %

No answer

6 %

6 %

7 %

5 %

6 %

Total

100 %

100 %

100 %

100 %

100 %

[Source : D. Richardson, Sentencing Goals and Their Application in the

Federal Courts (1980)] (on file at INSLAW).

Of particular relevance to the question of evenhandedness in sentencing

is the extent to which the judges interviewed disagreed about the goals of

sentencing. Disagreement was greatest regarding the goals of rehabilitation

and just deserts. One-fourth of the judges considered rehabilitation to be

«extremely» important, while another substantial group of judges (nineteen

percent) considered rehabilitation to be no more than «slightly» important.

Similarly, nearly one-fourth of the judges regarded just deserts to be very

important or extremely important, while another forty-five percent regar-

ded that goals as either slightly important or not important at all (43).

It is noteworthy that the utilisarian goals of sentencing also rate high

among most of the other populations surveyed. As is shown in Table 3,

deterrence and incapacitation are regarded as more important goals of

sentencing than rehabilitation and just deserts among federal prosecutors

and even among federal probation officers, who serve partly as agents of

— 136 —

rehabilitation. The rehabilitation goal receives its strongest support, relative

to other goals, from federal inmates and defense lawyers.

Table 3

Sentencing goals :

Importance of each goal to selected populations

(percentage who believe goal is at least very important)

e

General | Special

Incapaci- |Rehabili-

Just

N

Deter-

Deter-

tation

tation

Deserts

rence

rence

Judges

. ° ° ° ° . °

117

65 %

62 %

51 %

49 %

23 %

Federal

prosecutors

103

91 %

84 %

71 %

53 %

45 %

Defense

counsel

110

46 %

63 %

48 %

63 %

24 %

Federal proba

tion officiers.

113

72 %

75 %

73 %

68 %

40 %

Federal prison

inmates

. À ° ° ° .

550

16 %

23 %

18 %

65 %

37 %

General

public

. . À. . ° ° *

1.248

74 %

78 %

69 %

72 %

73 %

—

[Source : D. Richardson, Sentencing Goals and Their Application in the

Federal Courts (1980)] (on file at INSLAW).

Efforts to Reform the Federal Criminal Code in The United States.

As early as 1966 the Congress of the United States recognized many

problems in the structure and of the Federal Criminal Code and the oper-

ation of sentencing practices in the Federal system. In that year Congress

established the National Commission on Reform of Federal Criminal Code.

After some three and one half year of effort the Commission completed a

report that established the ground work for fundamental reform of our

Federal criminal code. Since that time several versions of revised criminal

codes have been introduced in the Senate and the House of Representatives

of the United States. During the last thirteen years the research mentioned

above has been completed, numerous hearings have been held on the cha

racteristics of the current federal criminal code and sentencing system and

the ways in which it might be modified. In a recent report on one of those

efforts to reform criminal code the following deficiencies were noted in

federal criminal laws.

— 137 —

It is generally agreed by those familiar with the existing Federal crimi-

nal laws that they are seriously in need of revision. Certainly today the

Nation does not have a Federal criminal code in the true sense of the term,

but has instead a jumble of piecemeal legislative efforts that have been

enacted sporadically over the last two hundred years. While many of the

current statutes are useful in meeting contemporary needs, many others

are not. Some are merely quaint remnants of other eras (such as the offenses

of committing piracy for a foreign prince, detaining a government carrier

pigeon, and seducing a female passenger on a steamship). Others are out-

modzd in more serious respects, some being unenforceable either because

of inadequate drafting or court construction (for example, the statue

prohibiting convicted felons from possessing firearms has been construed

by the courts to require proof that the firearms had been moving in inter-

state commerce — a restriction the Congress had not intended). Even those

statutes that have utility are in many respects overlapping and inconsistent

(for example, there exist today dozens of theft offenses, several of which

may apply to a single criminal act, each defining theft in a different fashion

and often prescribing different penalties). Moreover, there are serious gaps

in the coverage of the Federal criminal laws (for example, while there is

a Federal statute covering bank robbery, there exists today no statue direc-

ted to extortion of monies form a bank). Even finding the law is a problem.

Some areas of law in which there appear to be gaps, such as aircraft hijack-

ing and espionage involving atomic weapons, actually are covered in obscure

parts of the regulatory provisions of the Federal statutes (conversely, some

essentially regulatory provisions, such as the prohibition against using the

likeness of «Smokey Bear» , appear in the midst of penal statutes covering

such serious crimes as murder, kidnapping, and rape). Other criminal law

provisions are hard to find simply because they do not exist in statutory

form; several areas of the law, such as the principles governing the criminal

liability of corporations, have been left entirey to development by judges

through case-by-case decisions — a process that has made standardized,

consistent application almost impossible. In addition, even where the penal

law does appear in statutory form, widely differing terms are used to des-

cribe a defendant’s intent or other state of mind that must be found to

coexist with his criminal action (79 different and undefined terms, such as

«maliciously » , «improperly», and «feloniously» , are used in the principal

penal title alone). Finally, the periods of imprisonment and fine levels

authorized for current offenses bear little relationship to each other and a

questionable connection with what would appear to be a fair penalty under

all the circumstances; in fact, the whole sentencing process, which today

may result in widely disparate sentences for essentially similar conduct, is

seriously in need of reform.

While there have been susbtantial disagreements over the way in which

the substance of the federal law should be organized and whether certain

types of offenses should be subject to federal jurisdiction, the provisions

— 138 —

concerning sentencing that emerged in the Congress five years ago, as

embodied in Senate Bill 1437, have gained a remarkable degree of consenus.

It is now generally agreed that something must be done to address the issue

of disparity in federal sentencing, and that the best mechanism to do this

would be the establishment of a Federal Sentencing Commission. All major

efforts to reform the federal system in the last two years have contained

provisions for some form of a Sentencing Commission. While there are some

disagreements over whether a Sentencing Commission should be in the

judicial, or executive branch of Congress, and there are minor disagreements

over the appropriate membership of the Sentencing Commission there have

been no serious proposals during the last five years to establish a form other

than a sentencing commission to bring about improvements in Federal

sentencing. Second, there is general agreement that such a commission

should be augmented by a staff that can conduct research to help in the

establishment of sentencing guidelines. The role that research has played in

the identification of sentencing problems and the establishment of guide-

line systems in various state jurisdictions has been instrumental in convinc-

ing lawmakers in the United State that criminological research must play a

substantial role in sentencing reform. Third, there is general agreement that

defendants should have the right to appeal sentences that are above guide-

line ranges that these appeals would eventually result in a more established

common law of sentencing that would bring greater refinement to any

empirically derived sentencing guideline system. There is some disagreement

over whether the state should have the right to appeal sentences below the

guideline. Republican and Democrates administrations have recommanded

that the state be given the right to appeal sentences that are below guideline

ranges whereas, civiliberterians have opposed this as violating prohibition

against double jeopardy in criminal proceedings. Finally, there is consistent

agreement that the sentencing provisions established by a Commission

should be subject to review byt he Congress but that they would not be

required to approve the guidelines in any specific form. Recently the

Supreme Court has held that such provisions, which in the United States are

referred to as a legislative veto, are unconstitional. Finally, there is sentenc-

ing guidelines promulgated there would no longer be a need for a parole

release function within the Federal justice system. While individuals could

still be released to parole there would not be an administrative body, such as

now operates at the federal level and in many state jurisdictions, that would

exercice the determination of precisely when people would be released.

Currently in the United States Senate and in the House of Represen-

tatives there are bills emboding these principes that are under consideration

and it may welle be that by the close of this Congress fundamental changes

in federal sentencing practices will be enacted, even if equally fundamental

changes in the substance of the federal law will not have been enacted.

As criminological research has matured and has been able to generate

More precise and understandable answers to sentencing issues that policy

— 139 —

makers have turned to our research for guidance in its reform of the law.

Similarly the general public, as it becomes aware of the results of our

research, has demanded that widely disparate sentences and unprincipled

sentencing be replaced by a system of rational sentencing. While the press-

ures from the public and from some legislatures might direct sentencing

guidelines towards more harsh penalties, this has not been the case in

jurisdictions that have used the Sentencing Commission model. To the

contrary research-based sentencing reform will in the long run result in less

incarceration and shorter sentences.

The development of public policy in the area of sentencing has been

and will continue to be significantly informed by criminological research.

It represents, I think, a model type of collaboration between policy makers

and researchers. Research adress important public issues; that research is

then used to formulate suggested policies; the policies are put into place

along with a mechanism to continue to conduct the kinds of research that

are necessary to assess the degree to which the policies are being achieved

and the degree in which changes need to be made to maintain an effective

system. This has been a fundamental change in American criminal justice

policy, in large part brought about by the experiment in the 1970’s to

provide substantial federal funds to support criminal justice research and

to support improvements in criminal justice. This effort at the federal level

had many positive consequences, one of which has been the development

of a new body of research on sentencing and a close involvement of crimi-

nologists in the determination of appropriate policies and mechanisms to

achieve the goals of sentencing at state and federal levels.

Notes references :

May be obtained by contacting the author directly.

— 140 —

SEKTION / SECCION / SECTION IIl

Les politiques et les pratiques sociales propres au système pénal (peine

et traitement).

La politica y las präcticas sociales proprias al sistema penal.

Public policies and practices proper to the criminal justice system.

Praktische

Vorgehensweise, allgemeine Vorstellungen und Hand

lungsstrategien im System der formellen strafrechtlichen Sozialkontrolle

(State und Behandlung).

— 141 —

MUTUA INTERACCION ENTRE CIENCIAS

JURIDICAS Y CRIMINOLOGICAS,

OPINION PUBLICA Y DERECHO POSITIVO

FRENTE ÀA LA EJECUCION DE LAS PENAS DE PRISON

Miguel Bajo Fernandez*

I. EL PROBLEMA

Los ültimos quince años de la Historia española han tenido una cierta

importancia en multitud de ôrdenés (politico, social, econômico, cientifico

etc.) provocando una aceleraciôn de cambios. Por lo que se refiere a las

ciencias criminolôgicas, esta realidad ha determinado también cambios de

importancia traducidos de forma inmediata en el Derecho positivo, en cuya

gestaciôn tuvo tanta importancia el mundo cientifico como esa realidad

impersonal que denominamos ’’opiniôn pûblica”.

En cuanto a las penas privativas de libertad se ha producido una notable

variacion de opiniôn sobre lo relativo a su ejecuciôn tanto en el ambito cien-

tifico (criminélogos, penôlogos), como en el propio Derecho positivo (Cons-

tituciôn, legislaciôon penitenciaria) y en la opiniôn pûblica’ No puede deter-

minarse cuäl de estos factores ha producido mayor influencia en el resto. En

todo caso, deberia de hablarse de una mutua influencia de los tres, de modo

que, en determinadas ocasiones, la criminologia viene condicionada por el

Derecho positivo y la opiniôn pûblica, a la vez que el Derecho positivo ha-

sido impulsado por la presiôn social y cientifica, sin descartar que la propia

criminologia haya podido dirigir a la opiniôn pûüblica en alguna direcciôn

COncreta.

Vamos a tratar de ver en este trabajo como puede constatarse la existen-

cia de un evidente divorcio entre estos tres factores y cômo, en cualquier

caso, estän alejados de la realidad de la ejecuciôn de las penas privativas de

libertad.

En definitiva, las politicas y las prâcticas sociales, en lo que se refiere

à la ejecuciôn de penas de prisiôn, estän divorciadas.

* Facûltad de Derecho, Universidad Autonoma de Madrid, E - Madrid 34

— 143 —

II. NUEVAS TENDENCIAS DE LAS CIENCIAS

CRIMINOLOGICAS EN ESPANA Y SU INFLUENCE

EN EL DERECHO POSITIVO.

1 . Planteamiento.

La pena privativa de libertad implica la supresiôn de la libertad de una

persona por un tiempo determinado en proprociôn a la gravedad del hecho

y a la culpabilidad del autor, supresion de libertad que se impone por

razones de utilidad.

Si esta descripciôn se corresponde a un ’’castigo retributivo — con fines

preventivos’’ o es, por el contrario, una ‘‘sanciôn preventiva — limitada por

la proporcionalidad”’, es algo que Îleva camino de convertir se en una discu-

siôn bizantina. Al fin y al cabo hay una idea comün a ambos planteamien-

tos : la de que la pena es un ‘‘castigo proprocionado” o, si se quiere, la de

ser une ‘‘activa prestaciôn socialmente positiva, adecuada a la culpabilidad

del autor’”’ (G. Rodriguez Mourullo 1974). Lo que a mi especialmente preo-

cupa es, mäs bien, la importancia que se vuelve a dar, cumpliendo los desi-

gnios fatales de una historica ciclica y repretitiva del pensamiento penal,

a la idea de prevenciôn general y de resocializaciôon del delincuente, hasta

el punto de querer privar a la pena de todo contenido de ‘“‘castigo” y de

‘““proporciôn’”’ a la culpabilidad, convirtiendo el principio de intimidaciôn

o de resocializaciôn en esencia de la pena privativa de libertad y no en sim-

ples fines de la misma.

Comenzaré por hacer algunas reflexiones sobre el tratamiento peniten-

ciaro como eje de una nueva concepciôn monista-preventista de la pena,

para finalizar refiriéndome a las modernas tendencias de prevenciôn general.

2. Monismo preventista del tratamiento penitenciario.

A. Segün Alarcôn Bravo (1972) por tratamiento ha de entenderse la

acciôn individualizada (de tipo médico, biolégico, psiquiâätrico, psicolégico,

pedagôgico y social) que bajo de idea de la reeducaciôn y readaptaciôn del

condenado trata de modificar favorablemente aquel sector de la personali-

dad del delincuente que influye en su delincuencia o estados peligrosos

para evitar la reincidencia.

Pues bien, en el Derecho penal moderno una linea humanitarista y

bien intencionada intenta polarizar el sentido de la reacciôn juridico penal

(pena y medida de seguridad) en un ‘‘monismo preventista” que gira en

torno a la idea de tratamiento penitenciario. Esta corriente, en la que milita

la Nueva Defensa Social y un sector amplio de penitenciaristas y

— 144 —

criminôlogos, puede entenderse como una fase mäs en la reconciliaciôn de

la lucha de escuelas, reconciliacion que comienza, como es sabido, con el

binarisomo, continua al otorgar a la pena la misma funcién de la medida de

seguridad de corregir y readaptar al delincuente, y tiene como futuro,

segün augura Sainz Cantero (1970) la conversiôn absoluta de la pena en

tratamiento en la linea de la utôpica vision del correccionalismo de Dorado

Montero.

La moderna inclusiôn del tratamiento en la ejecuciôn de la pena priva-

tiva de libertad es una adecuaciôn del Derecho penal a las exigencias de las

nuevas ciencias del hombre y, por tanto, un sensible y loable progreso que

debe ser desde cualquier punto de vista alentado. Ahora bien, no podemos

olvidar que la idea de tratamiento (correcciôn) entronca con la vieja preven-

ciôn especial como fin de la pena privativa de libertad, y su entrada en el

ämbito penitenciario va acompañada de un nuevo ataque al sentido retribu-

tivo de la pena y a la viabilidad del sistema dualista (pena y medida de

seguridad).

B. No hay nada mäs perjudicial para una contrucciôn intelectual que no

ser consciente de sus propias limitaciones y es indudable que el concepto

moderno de tratamiento tiene y debe tener sus limitaciones.

La primera limitaciôn procede del principio de proprocionalidad que

obliga a imponer la sanciôn en funciôn de la gravedad del hecho y de la

culpabilidad del autor. Esta exigencia puede, de algün modo, discurrir en

el sentido contrario del propio tratamiento, desde el momento en que éste,

a efectos de resocializaciôn del recluso, precisa un tiempo de permanencia

en prisiôn superior al que el principio de proporcionalidad consiente. Si se

pretendiera, con el humanitario fin de corregir al delincuente, aumentar el

periodo de su estancia en el establecimiento penitenciario se esteria, como

adiverte Côrdoba (1970), castigando al sujeto en razôn de poser una deter-

minada personalidad, conculcando elementales principios garantizadores de

la libertad individual.

Esta primera limitaciôn procede de la evidencia de que las leyes penales

conciben la pena como castigo proporcionado a la culpabilidad del autor y

no a las necesidades del tratamiento. (La confirmaciôn de lo dicho en el

texto, puede verse en J.R. Casabô, 1972. En contra Mufñioz Conde, 1974,

por entender que son muchos los ejemplos que responden a la idea preven-

tista). Los fines humanitarios y utilitaristas de la prevenciôn especial, sin la

concurrencia limitadora del principio de proporcionalidad, ponen en peligro

la seguridad juridica. De ahf que las II Jornadas de Profesores de Derecho

penal celebradas en Barcelona (1974) hayan adoptado como una de sus

conclusiones que ‘‘se guardarä en todo caso la debida proporciôn entre la

Sanciôn penal y la gravedad del hecho como exigencia indeclinable de la

justicia y de la dignidad de la persona humana”.

La segunda limitaciôn del moderno concepto del tratamiento estä

anudada a la necesidad de que concurra consentimiento del interno. Es bien

— 145 —

sabido que la eficacia del tratamiento depende necesariamente de la actitud

que el recluso mantenga, de modo que un rechazo total de cualquier medida

reeducadora dara al traste con el mäs sofisticado de los tratamientos. De ahi

que, a nivel teôrico, se haya discutido sobre la necesidad de concurrencia

del consentimiento. Principio elemental normalmente reconocido es aquél

que declara recusable toda präctica que implique un riesgo grave para la

personalidad del condenado. Asi lo consagra el art. 3 del Reglamento peni-

tenciario español (Real-Decreto 1201/1981, de 8 de mayo) al disponer que

‘“la actividad penitenciaria se ejercerd respetando, en todo caso, la persona-

lidad y dignidad humana de los recluidos’”’. Y esta es la razôn por la que

ningün penitenciarista defiende incondicionalmente los métodos quirûrgicos

de tratamiento. La castraciôn, porque constituye sin mäs una limitaciôn

del futuro desarollo de la personalidad. La neurocirugia, porque moderna-

mente no puede demostrar sus exitos. Estos métodos de tratamiento deben

ser rechazados incluso contando con la autorizaciôn del delincuente, por la

razôn de que pueden lesionar la personalidad del sujeto y no se puede

asegurar que el recluso, a quien se le presentaba la posibilidad de mejorar

dentro del sistema penitenciario, otorgue su consentimiento libremente.

Las cuestiôon es mäs discutida en aquellos métodos de resocializaciôn

que no ponen en peligro la personalidad del delincuente. El VII Congreso

Internacional de Defensa Social celebrado en Paris en 1971, planteaba la

cuestiôn incluso a nivel superior, Se preguntaba si es licito pretender la

resocializacion, es decir, la reintegraciôn del delincuente en una sociedad

problematizada, cuestionada, contestada, con crisis de valores, y se Ilegô

a la conclusiôn de que habia que respetar el sistema de valores del recluso

ofreciéndole, sin embargo, opciones y ayudas para el ejercicio de su propia

libertad. Esta conclusiôn implica, sin duda, una clara opciôn en favor de

la necesidad del consentimiento en el tratamiento penitenciario.

La moderna legislaciôn penitenciaria española se ha preocupado espe-

cialmente del tratamiento y ha permitido decir a uno de sus principales

inspiradores que la parte a él referida representa, cientifica y sistemätica-

mente, uno de Ïlos mayores logros y aciertos (Garcia Valdés 1980). La

Ley General Penitenciaria de 26 de septiembre 1979, aunque dedica intere-

santes preceptos al tema del tratamiento no se refiere expresamente al

problema del consentimiento. Sin embargo, a juicio de Garcia Valdés, la

redaccion del texto estä presidida por la idea de la voluntariedad en la par-

ticipacion del recluso en su propio tratamiento.

No me cabe la menor duda de que haya sido ésta la intenciôn del legis-

lador español en la redacciôn de la moderna normativa penitenciarista. Asi

la prueba el hecho de que se haya preocupado expresamente por la vigencia

del principio de legalidad en el tratamiento y por el respeto a la personalidad

y dignidad humana (art. 3 LGP y art. 3 RP). También es prueba de ello el

hecho de que el art. 239,3 del Reglamento penitenciario establezca que

— 146 —

‘“’el interno podrä rechazar libremente o no colaborar en la realizaciôn de

cualquier técnica de estudio de su personalidad o método de tratamiento,

sin que ello tenga consecuencias disciplinarias, regimentales, ni de regresiôn

de grado de su tratamiento”.

Ahora bien, pese a que tanto la doctrina penitenciarista como la legis-

laciôn española, se inclinan por admitir exclusivamente un tratamiento

consentido por el interno, no veo posible un tratamiento penitenciariô que

no sea coactivamente impuesto. La disposiciôn dle Reglamento peniten-

ciario español de permitir al interno recharzar el tratamiento reviste un

cierto cinismo por cuanto, pese a que elimina la posibilidad de consecuen-

cias disciplinarias no puede evitar graves efectos sobre el recluso. No pode-

mos olvidar que en el Derecho penitenciario español rige el sistema pro-

gresivo en lo relativo al cumplimiento de las penas privativas de libertad, y

el paso por los diversos grados del sistema progresivo dependen, entre otras

cosas, del tratamiento penitenciario. Asi se dispone en el art. 243 del Regla-

mento : ‘‘la evolucion en el tratamiento determinarâ una nueva clasificaciôn

del interno con la consiguiente propuesta de traslado al Establecimiento del

régimen que corresponda, o, dentro del mismo, el päâsede una secciôn a

otra de diferente régimen. La progresiôon en el tratamiento dependerä de la

modificaciôn de aquellos sectores o rasgos de la personalidad directamente

relacionada con la actividad delictiva…”’. Ante ésta descripciôn de los

efectos del tratamiento en la evoluciôn del sistema o régimen de cumpli-

miento de la pena, me es muy dificil creer en la posibilidad de un consen-

timiento o un rechazo del tratamiento libremente emitido. Si la actitud

frente al tratamiento puede decidir que el cumplimiento de la pena se haga

en régimen cerrado o de mäxima seguridad o, por el contrario, en régimen

abierto, no creo que honestamente pueda afirmarse que el interno puede

libremente (este es el adverbio utilizado en el art. 239 RP) rechazar o acep-

tar el tratamiento.

Por otra parte, no resulta cierto lo dispuesto en el art. 239 en el sentido

de que el rechazo del tratamiento no puede dar lugar a una ”regresiôn de

grado”. Es imposible conjugar convenientemente esta disposiciôn con lo

establecido en el art. 243,3 : ‘“La regresioôn de grado procederä cuando se

aprecie en el interno, en relaciôn al tratamiento, una evoluciôn desfavorable

de su personalidad y de su conducta”. Conjugando ambos preceptos parece

que la regresiôn de grado sélo es aplicable a los reclusos que, habiendo dado

su consentimiento al tratamiento, evolucionan luego desfavorablemente.

Esta interpretaciôn, sin embargo, resulta insostenible, ya que no tiene sen-

tido que un recluso pueda negarse a todo tratamiento sin que ello implique

regresion de grado, mientras que aquél que esté dispuesto a toda clase de

fratamientos pueda sufrir este efecto de regresiôn por una evoluciôn desfa-

vorable.

Esta antinomia que se produce dentro del Reglamento penitenciario,

Procede del hecho evidente de que el tratamiento penitenciario tiene una

— 147 —

lôgica interna que exige su imposiciôn coactiva, imposiciôn que si no se

hace de forma expresa se consigue por la via, intencionada o no, de condi-

cionar ciertos beneficios penitenciarios al tratamiento. Esta imposiciôn del

tratamiento por la fuerza y al margen de la voluntad del interno, también

se deduce de algunas disposiciones constitucionales como veremos mâs

adelante.

La tercera limitacion de esta concepciôn preventiva de la pena procede

de la imposibilidad de explicar qué sentido tiene imponerla a los delincuen-

tes que no estän necesitados de reeducaciôn (delincuente ocasional, delin-

cuente por convicciôn, delincuente de cuello blanco, delincuente politico

etc.) o que no pueden ser readaptados (psicôpatas, oligofrénicos profundos

etc.), sin contar con los que simple y Ilanamente se niegan a todo trata-

miento reeducador.

La ûnica posibilidad de salvar este escollo y dar coherencia a la concep-

ciôn preventista que estamos comentando, seria la de excluir de la pena

estos supuestos. Y, asi, no deberian de castigarse con pena privativa de

libertad el asesinato por celos cometidos por un sujeto no subsumible en

ningûn tipo criminolôgico de autor (delito pasional), los actos de terrorismo,

los delitos econômicos o los delitos sädicos de un psicôpata amoral; y, por

los mismos motivos, habria que dejar en libertad a todo aquél que mani-

fiesta su voluntad contraria al tratamiento reeducador.

C. Pues bien, una concepciôn de la pena basada en consideraciones de pre-

venciôn especial que no tenga en cuenta estas tres limitaciones (duraciôn

determinada por la gravedad del hecho y la culpabilidad del autor, consenti-

miento del interno para someterse al tratamiento reeducador, imposibilidad

de explicar de manera global todas las penas privativas de libertad) entra-

fiaria una lôgica peligrosa para el ejercicio de las libertades individuales

e ideolôgicamente reaccionaria.

En efecto, la concepciôn reeducadora de la pena es una concepciôn

preventista y, por tanto, goza de sus mismos peligros cuya descripciôn es

ya tôpica entre los penalistas. Quizàäs una de las formas mäs gräficas de des-

cribirlos sea la utilizada por Rodriguez Mourullo quien advierte en esta

concepcion preventista una lôgica de plano inclinado, una légica de acele-

racion. Tal proceso lôgico de aceleraciôn, aplicado al entendimiento reedu-

cador de la pena, puede explicarse de la siguiente forma

primero se

comienza simplemente aprovechando el periodo de prision para intentar

reeducar al delincuente. Luego se intentarä alargar el tiempo de privaciôn

de libertad para conseguir eficacia en el tratamiento reeducador, continuän-

dose por adelantar la entrada en las cärceles para conseguir que el sujeto

peligroso no llegue a delinquir. El final, no tan fantästico e irreal como

pudiera pensarse, estaria en la applicaciôn de técnicas sofisticadas que van

desde los hospitales psiquiâtricos para sujetos desviados, hasta aquellas

prâcticas quirûrgicas capaces (segûn demostrô Rodriguez Delgado) de

— 148 —

eliminar drästicamente la agresividad de un individuo. No nos son, geogrâ-

fica ni histôricamente, tan lejanas técnicas psiquiätricas dirigidas a acabar

con el desidente politico, o castraciones utilizadas para reinsertar en la

sociedad al delincuente sexual.

D. Las tesis que conciben la pena privativa de libertad como medida reso-

cializadora, han cobrado en España pujanza en ciertos sectores que tuvieron

la fortuna de influir directamente en la redacciôn de la Constituciônespa-

fiola de 1979 y en la ley General Penitenciaria de 1979. Y, asi, el art. 25,2

de la Constituciôn establece que ‘‘las penas privativas de libertad y las

medidas de seguridad estarân orientadas hacia la reeducaciôn y reinserciôn

social”’. Esta misma finalidad a tribuye la Ley General Penitenciaria en su

art. 1 a las Instituciones penitenciarias (‘‘Las Instituciones penitenciarias

reguladas en la presente Ley tienen como fin primordial la reeducaciôn y

la reinsercion social de los sentenciados a penas y medidas penales preven-

tivas de libertad, asi como la retenciôn y custodia de detenidos, presos y

penados”’).

À mi juicio, ha sido un error incluir en la Constituciôn una referencia al

sentido de la pena, sobre todo si se tiene en cuenta que la Constituciôn no

contiene ninguna otra referencia al respecto, lo que permite concluir que,

a nivel constitucional, quiere concebirse la pena esencialmente como una

medida reeducadora. Sobre los peligros que toda concepciôn de prevenciôn

especial reviste, y a los que he hecho referencia anteriormente, se suma en

este caso el hecho de que el art. 25,2 de la Constituciôn tiene un añadido

cuya inclusiôn fue debida al voto particular, emitido durante la discusiôn

parlamentaria del Proyecto de Constituciôn, del grupo parlamentario socia-

lista, y que reza asi

‘“el condenado… gozarä de los derechos fundamenta-

les… a excepciôn de los que se vean expresamente limitados por el conte-

nido del fallo condenatorio, el sentido de la pena y la ley penitenciaria”.

Pues bien, con esta disposicion queda resuelta de un plumazo la polémica

mantenida entre los penitenciaristas sobre si el tratamiento reeducador ha

de ser voluntario u obligatorio. En efecto, el interno carece de los derechos

expresamente limitados por el sentido de la pena, segûn establece el

art. 25,2 de la Constituciôn y repite el Reglamento penitenciario (art. 3,2),

por lo que, siendo asi que le sentido de la pena es ser medida reeducadora,

No podrä al interno oponerse al tratamiento.

Es evidente, pues, que esta concepciôn de la pena y su inclusiôn en la

norma constitucional, puede servir de base para la concesiôn a la Adminis-

traciôn penitenciaria de posibilidades intolerables de manipulaciôn del

individuo de modo que esa misma administraciôn no sufra frustraciones

funcionales por no alcanzar los objetivos de ‘“‘supresiôn de la capacidad

delictiva o peligrosidad de los sentenciados’ que el art. 8 del Reglamento

penitenciario le impone. Manipulaciôn que, por otra parte, no est fâäcilmente

evitable dado que es la propia Administraciôn quien sefiala el ‘“modelo

social”’ sobre el que gira el tratamiento rehabilitador.

— 149 —

Para que el ‘monismo preventista del tratamiento no encuentre apoyo

juridico en la propia Constituciôn, est preciso interpretar ésta en el contexto

de la totalidad del Ordenamiento juridico, y ya pusimos de relieve que las

leyes penales conciben la pena como castigo proporcionado a la gravedad del

hecho y a la culpabilidad del autor. La orientaciôn de reinserciôn social que

la Constituciôn quiere darle a la pena, ha de entenderse como una de las

finalidades hacia la que debe ir dirigida la ejecuciôn de la pena privativa de

libertad. En este sentido, la ejecucion o cumplimiento de las penas privati-

vas de libertad deben ir acompañadas por toda clase de actividades tenden-

tes a ayudar al recluso en el desarrollo de su personalidad y con respeto de

su dignidad, (como as1 se dispone en el art. 3 del Reglamento penitenciario),

pero bien entendido que la reeducaciôn y la reinserciôn social del delin-

cuente no est una tarea especifica de la pena, ni de la Administraciôn peni-

tenciaria, sino tarea de la sociedad en general, que debe Ilevarse a cabo,

tanto si el sujeto estä en prisiôon, como si se encuentra en libertad. La tarea

reeducadora es al cumplimiento de la pena lo que la labor alfabetizadora

al cumplimiento del servicio militar, es decir, una tarea ütil y beneficiosa

que dignifica y humaniza la ejecuciôn de la sanciôn, pero totalmente cir-

cunstancial, sin liberar el auténticamente obligado (la sociedad) de continuar

o recomenzar lo realizado. En resumen, la funciôn de reeducaciôn y reinser

ciôn social del recluso debe entenderse como obligaciôn de la Administra-

cion penitenciaria de ofrecer al recluso todos los medios razonables para el

desarrollo de su personalidad y como prohibiciôon a la misma de entorpecer

dicha evoluciôn, nunca como esencia de la pena privativa de libertad.

Sôlo entendiendo asi el tratamiento reeducador y no como fin primor-

dial de la pena y de las Instituciones penitenciarias, pueden conjurarse los

peligros advertidos anteriormente. En efecto, entendido como medida

asistencial puede someterse a las duraciones temporales impuestas por el

principio de proporcionalidad, puede quedar totalmente sometido a la

mâs libre voluntad del recluso y puede ser ofrecido a todos, la necesiten

o no. La pena no seria, entonces, una medida reeducadora, siempre peli-

grosa, sino un castigo retributivo y proporcionado que se ejecuta con pro-

cedimientos ûtiles individual y socialmente.

3. La pena como instrumento de inhibiciôon de conducta.

Se estä desarrollando en la doctrina penal española una teoria de la

pena, aûn insuficientemente elaborada, que hace girar el sentido de la pena

alrededor del principio de prevenciôn general.

Segün esta posicion — seguida fundamentalmente por Gimbernat, Mir

Puig y Luzôn Pena — la funciôn primordial de la pena es la de motivar en

los individuos los comportamientos deseados, inhibiendo las tendencias

antisociales y promocionando los comportamientos valiosos (Vid. M. Bajo

— 150 —

Fernändes, 1977). La sobrevaloraciôn de esta funciôn conduce a cifrar en el

efecto de inhibiciôon de la pena su propio fundamento.

Para Gimbernat, la culpabilidad no est el fundamento de la pena, la

culpabilidad no es reprochabilidad (1971). Niega toda idea de reproche

por la imposibilidad de demostrar la existencia del libre albedrio. Santiago

Mir (1981) es muy claro en este sentido al decir : ‘“el Derecho penal, y con

él la pena, no se fundan en la libertad (no se castiga porque existe la liber-

tad), sino en la necesidad de la prevenciôn penal en orden a la Sociedad”.

La irresponsabilidad del inculpable se justifica, entonces, por su inaccesi-

bilidad al efecto inhibitorio del castigo. Consecuentemente la pena es nua

amarga necesidad dentro de los seres imperfectos que los hombres son.

Esta concepciôn, sobre todo en la formulaciôn expresa de Luzôn que

coloca en la base de la pena la prevenciôn general entendida como intimi-

daciôn general y prevalecimiento del orden juridico (p. 35), se enfrenta

con el dificil problema que plantea toda idea defensista o preventista : la

tendencia a la extralimitaciôon.

Hemos advertido anteriormente, la lôgica de plano inclinado o lôgica

de aceleraciôn que subyece en la concepciôn de la pena como medida reso-

cializadora (prevenciôn especial). Pues bien, esa misma lôgica se encuentra

en la concepciôn de la pena como medida de prevenciôn general. No me

resisto a transcribir las palabras de Rodriguez Mourullo (1971) : ‘‘si la pena

se justifica en virtud de finalidades de prevenciôn general (intimidaciôn de

la generalidad de los ciudadanos), la lôgica del sistema conduce, por un lado,

a imponer a todas las infracciones juridicas sanciones criminales (hipertrofia

cuantitativa del Derecho penal), porque éstas intimidan mäs que las sancio-

nes civiles o administrativas, y por otro, a exasperar la gravedad de las penas

hasta Ilegar a las mäs severas (hipertrofia cualitativa). La ûltima consecuen-

cia seria la imposiciôn de la pena capital a todos los delitos. Resulta signi-

ficativo que en la actualidad el argumento fuerte de la mayoria de los defen-

sores de la pena de muerte sea el de su mayor eficacia intimidante. Aparte

de que este mayor grado de intimidaciôn no ha sido nunca… convincente-

mente demostrado, semejante planteamiento del ya de por si tétrico tema

resulta escalofriante. Como es necesario intimidar a los demäs para que se

abstengan de hechos similares, se admite la muerte del reo. Si no fuera

necesaria esa intimidaciôn, aunque el hecho cometido fuera el mismo, no

se le privaria de la vida. He ahi la pena de muerte fundada en razones de

conveniencia y de utilidad y no de justicia. El hombre degradado y utilizado

COmo simple medio para la intimidaciôn de los demäs”’. Esta degradaciôn

del hombre utilizado como medio para fines que le trancienden ha podido,

desgraciadamente, ser vista y vivida en Europe no hace muchas décadas en

regimenes totalitarios que usaron el Derecho penal como instrumento de

terror. Un Derecho penal preventista y utilitarista ofrece al dictador posibi-

lidades de justificar la persecuciôn del enemigo politico. El Derecho penal

— 151 —

utiliza asi como instrumento de desinfecciôn social, igual que el veneno

para las ratas o el flit par la moscas.

Los seguidores de la teoria de la motivaciôn no son insensibles a esta

preocupaciôn. En concreto, el fin perseguido por Gimbernar es el de conse-

guir una mayor seguridad juridica. Por esta razôn, son firmes partidarios de

la pena proporcionada, eliminando asi toda tendencia de hipertrofia cuan-

titativa o cualitativa de la pena. Ahora bien, creen que la proporcionalidad

es una consecuencia obligada de la motivaciôn o de la prevenciôn general.

En efecto, Gimbernat, a quien sigue muy de cerca en esta cuestiôn

Luzoôn, entiende que la pena sôlo se justifica en cuanto pueda motivar la

no comisiôn del hecho de lo cual se deducen las siguientes consecuencias.

En primer lugar, la irresponsabilidad de los inimputables y de los que pade-

cen error invencible de prohibiciôn, ya que frente a tales sujetos la pena

carece de efectos inhibitorios de control. En segundo lugar resulta obligada

la proporcionalidad segûn la gravedad del hecho y segün concurra dolo o

culpa. ‘“Pues si la tarea que la pena tiene que cumplir — explica Gimbernat

— est la de… crear y mantener en los ciudadanos unos controles… (estos)

han de ser mâs vigorosos cuanto mayor sea la nocividad social de un com-

portamiento’. De otro lado la conducta culposa no puede castigarse mas

severamente porque una mayor pena no puede producir un mayor control

de inhibiciôn, dado que en la culpa el sujeto no cree que el resultado llegue

a producirse y por tanto ‘‘todo sujeto que se comporta peligrosamente

piensa que la prohibiciôn de la causaciôn imprudente no va con él”. En

tercer lugar explica suficientemente que no sea punible la producciôn

objetiva (fortuita) de un resultado, porque la pena no puede motivar la

inhibiciôon de una conducta imprevisible inevitable.

Pese a estos intentos de conciliar las exigencias de proporcionalidad

de la pena con su carâcter motivador de prevenciôn general, tal concilia-

ciôn no se consigue. No se consigue porque son presupuestos irreconcilia-

bles. La funciôn de motivaciôn se puede conseguir fielmente sin necesidad

de proporcionalidad. Puede muy bien ocurrir que una pena, agravada para

evitar la repeticiôon del delito, nazca con un efecto inhibidor de conductas

eficaz. La funciôn de motivaciôn explica que haya existido el delito Ilamado

por Quintano de ‘‘truchicidio’” que castigaba conductas dañosas para la

pesca con la misma pena del homicidio. Y explica que se quieran castigar

severamente los incendios forestales. Y en tales casos no hay proporcio-

nalidady.

La funciôn de motivaciôn tampoco explica que al autor se le castigue

con pena mäs grave que al participe. La motivaciôn idéntica en ambos casos

y la necesidad de castigo puede ser mayor frente al que simplemente parti-

cipa, por ejemplo, encubriendo al delincuente. Estaria justificado castigar

mäs severamente al encubridor, por ser el obstäculo mäs importante a la

— 152 —

actuaciôn judicial, que al ejecutor directo del hecho, es decir, por una mayor

necesidad de hacer desaparecer tales conductas.

En el fondo los partidarios de la theoria de la motivaciôn se han dejado

cegar por prejuicios contra la tesis culpista, sin percatarse que coinciden sus-

tancialmente en sus postulados fundamentales. En efecto, la pena para ellos

es un castigo. Su error estriba en que, pese a concebirla asi, parten de un

ataque radical a los principios de reproche y retribuciôn qu, sin embargo,

son consecuencia ineludible de concebir la pena como castigo.

Se ve que conciben la pena como castigo en multitud de ocasiones. En

primer lugar, cuando explican la forma de operar la pena para lograr los

fines de prevenciôn mediante la referencia al psicoanâlisis donde demuestra

que la prevenciôn se consigue con el castigo u no sôlo con medidas pedagô-

gicas o educativas. Esto se compagina perfectamente, y es la segunda ocasiôn

en que podemos observar que se concibe la pena como castigo, con la distin-

ciôn entre pena y medida de seguridad. Gimbernat explica que se impoga

a los inimputables la medida de seguridad diciendo que dado que ‘“’es mucho

mäs efectiva la imposiciôn de una medida de seguridad, la ejucuciôn de un

castigo es perfectamente innecesaria”’. Pero lo mäs destacable es que ademäs

se concibe la pena como castigo retributivo porque sôlo se la concibe pro-

porcionada a la gravedad del hecho y a la culpabilidad del autor. Esto es, sin

duda, una concepciôn retributiva de la pena, y lo ha visto con claridad

Muñoz Conde, uno de los seguidores de la teoria de la motivaciôn, al no

dudar en definir la pena como ‘‘retributiciôn’”’ (Muñoz Conde, 1975).

Pero, ademäs, al concebir la pena como castigo proporcionado, es decir,

como retribuciôn (por mucho que entiendan lo contrario), estän colocando

el principio de culpabilidad en la base de la pena pese a que el origen de toda

la construcciôn sea el de romper con los principios de retribuciôn y culpabi-

lidad. En algunos autores lo nuevo de su posiciôn consiste en desligarse de la

concepciôn normativa de la culpabilidad que concibe ésta fundamental-

mente como ‘‘poder obrar de otro modo” y presupone el libre albedrio. Sin

embargo, construyen un concepto de culpabilidad, lo cual ya implica una

contradicciôn interna de la teoria de la motivaciôn, y la conciben como

“posibilidad de motivaciôn normal” (Luzon Peña, 1979). A mi juicio, Ile-

gamos al mismo objetivo por caminos distintos porque sôlo puede ser nor-

Mmalmente motivado quien se encuentra en circunstancias normales que le

permiten un proceso normal de motivaciôn de su voluntad, lo cual consti-

tuye la base de la concepciôn normativa de la culpabilidad (posibilidad de

obrar de otro modo).

— 153 —

IL. LA REALIDAD DE LA PENA

PRIVATIVA DE LIBERTAD

La realidad de la pena privativa de libertad en España estä condicionada

al cambio social y politico producido por la muerte del General Franco en

1975. Fl nombramiento como Director General de Instituciones Penitencia-

rias de Carlos Garcia Valdés, uno de nuestros mäs prestigiosos penitenciaris-

tas, hizo cambiar la realidad de nuestras prisiones acomodändolas, en lo

posible, a las exigencias de la nueva Constituciôn de 1978 que constituye,

sin hipérbole alguna, una de las mäs avanzadas desde el punot de vista de la

defensa de los intereses colectivos y de los grupos marginados.

A. El cambio de la dictatura a la democracia, sin embargo, no pudo alterar

dos constantes de la realidad de nuestras prisiones. La primera va referida

a la exagerada relevancia de los delitos contra la propiedad, en el conjunto

de los delitos, de mode que tanto por el nûmero de delitos perseguidos por

los tribunales, como por el nûümero de reclusos, los delitos contrala proprie-

dad representan casi el 50 % de toda la delincuencia, por encima, incluso

de los delitos de träfico automovilistico.

En los años 1971 a 1977 los delitos contra la propiedad vinieron a

significar siempre alrededor del 47 % al 50 % de los delitos perseguidos

por los Tribunales (Fuente : Memoria de la Fiscalia de 1975), Ilegando, en

caso de condenados varones, a significar los delitos contra la propiedad

mâs del 50 % frente al resto de delitos.

La segunda va referida a la enorme importancia de los presos preven-

tivos que, en ocasiones, es superior en nûmero al de los presos condenados.

Esta situaciôn, que constituye un mal casi endémico, puede tener su origen

en el sistema procesal continental de origen napoleônico acompañado de

particularidades propias de la Administraciôn de Justicia española.

Por lo que se refiere a los presos preventivos la realidad es que siempre

giran alrededor del 50 % del total de la poblaciôn reclusa, como se deduce

de los siguientes datos :

— 154 —

Poblacion reclusa

Concepto

1977

1978

1979

1980

1981

Poblacion reclusa en 31 de

diciembre

° . ° . . . » © » Q . À . . »

9.392

10.463

13.627

18.253

21.185

Penados

. ° . . . . ° . . . . ° ° ° ° .

3.740

4.064

5.336

717.458

10.070

Procesados

4. 801

5.720

7.853

10.228

10.714

Detenidos

. ° . e . ° . .… À . . À . °

63

35

56

58

30

Por aplicaciôn de medidas de

459

39

179

136

136

seguridad

Por infracciones de caracter

administrativo

329

252

203

373

235

Libertades condicionales

379

675

646

641

939

—,

La situaciôn de los presos preventivos en España ha sido duramente cri-

ticada por la opinion pûblica. Y ciertamente produce una sensaciôn de des-

precio por los derechos individuales, la existencia en una sociedad moderna

de tal cantidad de presos preventivos. Por esta razôn el Gobierno socialista

ha ensayado una fôrmula para acabar con esta situaciôn poniendo limites

definitivos a la prision preventiva de mode que si el proceso se alarga mâs

allà de los seis o los dieciocho meses, segûn los casos, habrâ de realizarse sin

mantener la prisiôn prventiva. Es indudable que esta medida mucho en

favor de los derechos derivados de la presunciôn de inocencia y significa el

reconocimiento de que la prolongaciôn de la prision preventiva debe ser

corregida desde la propia Administraciôn de Justicia procurando una jus-

ticia räpida sin detrimento de la certeza y seguridad. En los prôximos

Meses se podrä experimentar el modo con que esta interesante medida

puede hacer cambiar los häbitos de una Administraciôn de Justicia lenta y

Pérezosa.

En cualquier caso, es imprescindible tener en cuenta que la enorme

cifra de la prisiôn preventiva en España no significa una mayor represiôn

del Derecho penal español, sino, a lo sumo, un cierto desorden en la Admi-

nistraciôn de Justicia. En este sentido conviene recordar que la poblaciôn

reclusa española es de las mäs bajas en el contexto mundial. À este respecto,

€s significativo que aquellos paises en los que, muy probablemente, hay

Menor volümen de presos preventivos, como seria el caso de USA o Suecia,

el indice de la poblaciôn reclusa es desmesuradamente alto.

— 155 —

Habi-

Pobla-

Coeficiente

Num

Orden

Paises

tantes

Año

cion

Fecha |por 100.000

(miles

reclusa

habitante

HOLANDA

13.897

1973

3.127

1-1-78

22,50

PORTUGAL

8.560

1973

2.140

1-1-75

25,00

IRLANDA

3.030

1973

1.205

3-4-78

39,77

J APON

114.370

1977

49.050

1-1-78

42,88

NORUEGA

4.035

1977

1.774

1-5-78

43,96

ESPANA

36.927

1978

16.410

1-5-80

44 44

DINAMARCA

5.100

1978

2.74

1-1-78

53,86

FRANCIA

53.000

1977

28.936

1-1-74

54,60

SUIZ A

6.300

1977

3.655

78

58,01

Ë)

BRASIL

101.710

1973

60.703

74

59,68

11

ITALIA

56.634

1977

34.278

78

60,50

12

BELGICA

9.837

1967

6.328

78

64,33

13

AUSTRALIA

13.130

1974

9.061

Î%

74

69,01

14

ALEMANIA

FEDERAL

61.389

1977

49.754

1-1-77

81,05

15

INGLATERRA

55.930

1973

48.857

1-12-76

87,37

16

CANADA

22.799

1975

19.922

1975

87,69

17

GRECIA

9.167

1976

8.759

1-1-77

95,55

18

AUSTRELIA

7.500

1977

8.037

1-6-78

107,16

19

FINLANDIA

4720

1976

5.095

1-1-76

107,94

20

SUECIA

38.200

1977

9.901

1-12-76

120,74

21

U.S.A.

204.335

1977 (209.316

1-1-78

146,48

Datos referidos al 1° de Mayo de 1980

FUENTE : C. Garcia Valdes - 1980.

——

De todas formas estoâ datos deben ser completados con la observaciôn

de que con el advenimiento del sistema de libertades a la muerte del dicta

dor General Franco, aumentô considerablemente el nûümero de presos. La

situaciôon desde 1959 y 1979 era la siguiente :

Evoluciôn de la poblaciôn reclusa en los ultimos veinte aäos

1959

. . » . . »À . » ° . » e » e —… e » »* . À e . À ° . © e e ® … e « e # #% e e » . e « e »

15.226

1960

. » ° e «* ® * . ®* . . ® ° . À ° e e * e e #. » —# ° . e © . e e e # e © #* #* #. #% e e # #

15.202

1961

e à . « e ® . e « » à . »® ° . e …s »s — ©#e 6 e . . ». e 6 © # 6 ° e e —. e* e* » e » +e ® 6 À

14.902

1962

e » . » e ® . e ® e À . e » e e e » . . e e e e & ®à ° e e 6 e e e .… o À . - À …. » 6# »

13.735

1963

. e ® e . ©À ° . ° . . »* . ® ® . e ® L . à . . e . e e »#* e * #% » e #% +6 #% +#+ 6 ° …. . e à

11.395

1964

. ® . » . ° ® ° » . Li . e ® e »* . « © ° . . »* . e »À e À e e »* #% —#* —. #* #% #% e = 8 . e À

11.126

1965

e à . À . e e » »# ©e * . . ® à . » » . À . e e —. # e *#e 8 . e ». e —# —# e »# . e —. e » 6 »®

10.622

— 156 —

1966

.… e À . . e À . À . À e » e ° L e . » . e = » e « e —e e 6 @ e e « 6. e +. 6 +e e e e e

10.765

1967

.… À ° . À . . ° . e . ». . ». ° . e »* . e e e e e . À® . —…* e —+. 6 e e » 6 e #% 6 ». 6 + %à

10.929

1968

. » e À … » e À ° À . » . e e © « e e — © e . e e e e © # e e e e # e +e % e . + . e e

12.176

1969

. e ° . . . . « e e e e . À . . . » ° . —… e e * à e e e e » + ® —+e +6 — 6 % +e 6 ® # # %

12.822

1970

e » . À . À e ® . À e e e » . . » ° e e* e …. —e. e — — #%* 6 60 6 6. — e % + 6 — e 6 6 # # 8

13.890

1971

e e e ° . . » ° . à e À e À . » . . . +. +. e © #% % *. * © % #% e 6 e 6 #* #% ° = 6 % . À

11.598

1972

. . . . À . . ° e » . L e » . À . ° e À ° e e e » »# # 8 « e e …. » e #* »# e e e »+ e e ©

13.109

1973

. . À . À . » ° . À ° . e © e . ° . À . e e e . e* e »* %* —… %6 e %* 6. e % «* © 6 e © . »

14.257

1974

°… »* ° ° « e e ° . . . À . ° .… À. e « e —. —. —* e e 6 … #% »* < e e %* e % * +e —* * ® + 8 » .

14.764

1975

° « . À . « À ° . . À . e . » . À . À . e À . . » »À e e —s e * * % +* % — e 6 e # 86 e À

8.440

1976

° e » . e » ° ° ° » e » e e »* —# % e »* e » . . » e » »e . . %* e e —. +» e —s * # © e #% © à

9.937

1977

e «s e » e e ° ° ° ° . e © . . e » . . . …. …. …. e e 6 % =. e e ® e e e »# e e e —… » 6 #% ®

9.392

1978

e e e —… e* #% +* —* #% 6 % « # ®6 .… » . e 6 e % * »% 6 6 ®6 ® ® % 6 © % % e 6 »% …s ® » sS % e e

10.463

1979

e À . e » e à e e e e »% e #% e à e e —. +e #% —. # e . à e e e @8 e 6 e % e %* % e 6 e 6 ©o 8

13.627

1980

e » »s ® . à . » . e . ® e »* e à e +. @ —. —…* #%* * —. 6 6 e #% 6 6 8 e — ® . e e e —s © #% © 8

18.253

1981

. ° e » . . . à e «* e e *e ®6 »# # % . ® . e »À . e e e % — # 6 © . e e …. —… —e % »# —# @ © à

21.185

FUENTE : Garcia Valdes 1980

Anuario estadistico 1982.

En 1982, parece haber llegado a 23.000 reclusos.

Al parecer, los altos indices de presos preventivos existentes en Espa-

fla tienen que ver con el sistema procesal. Asi lo puso de relieve un exce-

lente estudio de Elias Carranza (y otros 1982), en el que se trataba de inda-

gar la prisiôn preventiva en los paises lationamericanos que seguian el sis-

tema penal anglosajôn y los que seguian el sistema penal continental euro-

peo. Sin embargo, es de inusitada importancia resaltar el hecho de que

también Elias Carranza ha podido constatar el dato de que en los paises

que, como España, tienen un alto indice de presos preventivos, el total de

Presos es inferior al de aquellos paises que siguiendo el sistema penal alglo-

Sajôn, tienen mäs presos condenados que en situaciôn de prenventivo.

B. Ciertamente la voluntad de cambio que se ha producido a todos los

niveles en la sociedad española, sobre todo a partir de la Constituciôn de

1978, ha de dar frutos importantes en la realidad de las prisiones. Los

objetivos, a mi juicio fâcilmente logrables, son los que con singular acierto

han apuntado Bueno Arûs y Garcia Valdés (1980) segûn recoge la nueva

legislaciôn penitenciaria :

1. La finalidad de las penas y medidas de privaciôn de libertad es la

reeducaciôn y reinserciôn social de los sentenciados.

2. La actividad penitenciaria ha de ejercitarse respetando el principio

de legalidad.

3. La actividad penitenciaria se ha de ejercer respetando la personalidad

humana de los internos y sus derechos e intereses no afectados por la con-

Ena

— 157 —

4. Se potenciarän las prisiones abiertas (hasta aproximadamente el 45

por 100 de los penados) y las cerradas tendrän el carâcter de excepcionales.

S. La clasificaciôn y separaciôn de los reclusos, atendiendo a su sexo,

edad, condiciôn de preventivo o penado, primario o reincidente, salud, etc.,

es fundamental para el funcionamiento del sistema.

6. Se prefiere la celda individual, recurriéndose a las dependencias colec-

tivas sôlo en caso de insuficiencia temporal de aquellas.

7.Se suprime el uniforme de los penados, que tienen derecho a vestir

sus proprias prendas.

8. El trabajo se considera un derecho y un deber del interno, y se regirä

por el principio de equiparaciôn con el trabajo libre.

9. La asistencia sanitarai se prestarà en las mejores condiciones paracui-

dar de la salud fisica y mental de los internos y vigilar las condiciones de

higiene y salubridad del establecimiento, pudiendo ser asistidos en Centros

hospitalarios libres en caso necesario.

10. El régimen disciplinario se dirigirâ a garantizar la seguridad y con-

seguir una convivencia ordenada.

11. Se regulan los permisos de salida en forma anäloga a la prevista en

las Circulares de 21 de Abril y 4 de Octubre de 1978.

12. Las communicaciones y visitas, quejas y recursos, instrucciôn y

educaciôn y asistencia religiosa (libre ), se regulan en la forma acostumbrada.

13. Se regula de manera especialmente minuciosa el tratamiento peni-

tenciario encaminado a la reeducaciôn y reinserciôn social de los penados,

haciendo del interno una persona con la intenciôn y la capacidad de vivir

respetando la Ley.

14. Se procurarä la plena reintegraciôn social de los liberados, recha-

zando que los antecedentes penales puedan ser causa de discriminaciôn

social o juridica.

15. Se instituye la figura del ‘‘juez de vigilancia” de la ejecuciôn de las

penas.

IV. OPINION PUBLICA.

A. Una serie de acontecimientos han de servirnos para analizar la opiniôn

pûblica española respecto de la ejecuciôn de las penas privativas de libertad.

Estos acontecimientos son :

1. La amnistia concedida en 1977 a los terroristas del grupo ETA que

provoca una intensa oleada de motines carcelarios.

2. La continuaciôn del fenômeno terrorista de ETA y GRAPO mäs allà

de la muerte del dictador Franco, vigente una Constituciôn democrâtica de

amplio respaldo popular, con gobiernos liberales o socialistas y cuando se

— 158 —

estä construyendo un nuevo Estado regional (Estado de las Autonomias)

sobre el que descansan las miradas de otros muchos paises europeos que, de

forma real o latente, padecen también problemas con minortas de colza

de origen francés que produce en 1981 cerca de 400 muertos.

4. El intento de Golpe de Estado realizado por un Jefe de la Guardia

Civil, Tejero.

*

Los acontecimientos que acabamos de sefñalar revisten la suficiente

importancia como para provocar una reacciôn social significativa en la que

pueda analizarse qué pena de presion quiere y desea la comunidad.

B. El tratamiento terrorista desde el punto de vista de la ejecuciôn de las

penas privativas de libertad, demuestran un alto grado de prevenciôn espe-

cial en la politica criminal gubernamental. En definitiva se trata de poder

recuperar el delincuente. Se comenzô negociando con ETA, otorgando una

amplia amnistia en 1977, procurando que los terroristas vascos de ETA

cumplieran sus penas de prisiôn en el propio Pais Vasco, para acabar por

estudiar en la actualidad fôrmulas para alentar la renuncia a la lucha por

parte de los miembros de dichos grupos terroristas y la concesiôn de prerro-

gativas penitenciarias a los arrepentidos. Pues bien, no hay datos que per-

mitan afirmar que estas medidas preventivo especiales sean rechazadas por

la opiniôn pûblica española. Mäs bien, al contrario, los medios de expresiôn

de la opiniôn püblica muestran conformidad con las medidas que tratan

de erradicar el terrorismo por la via de la recuperaciôn social de los indi-

viduos que componen los grupos o bandas armados.

Esta inclinaciôn por las medidas de prevenciôon especial no impide que

se admita también el tratamiento represivo del terrorismo a nivel legisla-

tivo. En definitiva, para la opiniôn pûblica las penas a aplicar al terrorismo

son entendidas como castigos retributivos cuya aplicaciôn debe atender a

objetivos especiales.

C. El envenenamiento masivo por adulteraciôn de aceite de colza de origen

francés ha provocado manifestaciones muy claras de algün sector de la

Opiniôon publica en favor de una pena concebida desde postulados de preven-

CIOn general. En efecto, las asociaciones de consumidores y, en particular,

las asociaciones creadas ad hoc para la defensa de los intereses de las victi-

mas, se han pronunciado en favor de dos objetivos fundamentales : en

Primer lugar, la satisfacciôn de la victima por la via de la indemnizaciôn y

la reparaciôn del daño que debe de ir a cargo de los culpables y, en cualquier

Caso, del propio Estado. En segundo lugar, en favor de una pena ejemplar.

En este sentido, es significativa la actitud de las victimas que presionan seve-

Tamente para que se mantenga la prision preventiva de las personas procesa-

das, con independencia de la prueba o no de la adulteraciôn, y para que se

Mantenga una persecuciôn del Fiscal dirigida a una amplia gama de personas,

CON severidad, solidez y sin medidas de atemperamiento. Dos datos

— 159 —

corroboran esta actitud. De un lado, las enérgicas protestas por el hecho de

que la puesta en libertad de uno de los procesados permitiô su huida al

extranjero. Del otro, la püblica amenaza de interponer una querella criminal

contra el Fiscal que lleva la acusaciôn por prevaricaciôn, en caso de que

informara favorablemente las peticiones de libertad realizadas por las defen-

sas de los acusados.

En esta actitud de dureza, en la que se quiere voluntariamente olvidar

los derechos que toda persona tiene a ser presumida su inociencia y a una

Justicia serena, objetiva y no manipulada, digo que en esta dureza ha de

constatarse no tanto el deseo de una pena justa (sentido retributivo de la

pena) como el de una pena ejemplar (prevenciôn general). La razôn es

clara. El sentido retributivo de la pena exigiria un procedimiento con las

garantias suficientes para determinar la culpabilidad del reo. El sentido

retributivo de la pena es, pues, en principio, contrario a la prisiôn provisio-

nal. La exigencia de la prisioôn provisional realizada por parte de los afec-

tados por el envenenamiento, sin atender a otras consideraciones de pru-

dencia procesa, hasta el punto de presionar al Ministerio Fiscal con la

amenaza de una querella criminal por prevaricaciôn si informa favorable-

mente una peticiôn de libertad, pone de relieve que para ellos la pena ha

de tener aqui un claro sentido de ejemplaridad o de intimidaciôn (preven-

ciôn general).

En cualquier caso, la prevenciôn especial entendida en el sentido huma-

nitarista de recuperaciôn del delincuente o de resocializaciôn del mismo es

totalmente ajena a la opiniôn pûblica en este supuesto delictivo. (Cierta-

mente es otro el caso si entendemos la prevenciôn especial como neutrali-

zaciôn del delincuente en cuanto que el deseo de que permanezca en pri-

sion pueda tener también ese sentido de impedir la recaida en el delito

mediante el adecuado control que implica la perdida de libertad).

A modo de conclusiôn, interesa destacar que la exigencia de castigo

para los procesados con la finalidad de conseguir esa ejemplaridad de que

hablamos, aûn a costa de un incumplimiento de los principios procesales

liberales garantizadores de la inocencia o demds derechos elementales del

ciudadano, constituye un ejemplo evidente de la manipulaciôn del individuo

que toda concepciôn preventista y, en particular, la prevenciôn general,

conlleva con el consiguiente atentado a la dignidad personal. Con indepen-

cia de si son o no culpables, se quiere que alguien ‘‘expie’’ un castigo para

satisfacciôn de los afectados y para ejemplaridad de terceros.

D. Por lo que respecta al frustrado Golpe de Estado de 23 Febrero 1981

es evidente que, a los ojos de la opiniôn pûblica, la pena en este caso no

juega papel alguno en orden a la reeducaciôn o reinserciôn social del conde-

nado (prevenciôn especial). Sélo la idea del castigo justo a la gravedad del

hecho (retribuciôn) y la idea de la necesidad de defender la democracia

frente a sus enemigos fascistas, explican el sentido de la pena que la opiniôn

— 160 —

pûblica desea de los autores del hecho. Bastaria para confirmar este dato

el hecho de que las penas impuestas (aûn no firmes por estar en recurso

ante el Tribunal Supremo) son de especial severidad ya que llegan en casos

hasta los treinta años de privaciôn de libertad. Sin embargo, nadie discute

la oportunidad de pena tan severa, es decir, se admite como obvio que la

gravedad del delito y la necesidad de defensa de la democracia exigen una

pena de esas dimensiones. Incluso quienes simpatizan con los facistas

apelan a la exculpaciôn de los procesados por concurrir ‘““‘estado de necesi-

dad” o una pretendida ‘‘obediencia jurärquica’’, pero a nadie se le ha

ocurrido quejarse o lamentar la severidad de la pena. Es evidente, que una

pena de estas caracteristicas es aceptada por todos como amenaza abstracta

para esta clase de delitos, pero no en funciôn de la necesidad de reinsertar

O recuperar socialmente al condenado ya que resultaria grotesco utilizar

una pena de treinta años de marginaciôn de la sociedad (prisiôn) con el fin

de lograr una adecuada reinserciôn en la misma. Una pena de estas caracte-

risticas se aprueba exclusivamente por el sentido que cobra desde la ôptica

de la retribuciôn o de la prevenciôn general.

E. Hemos visto, pues, cômo frente a ciertas figuras delictivas la opiniôn

pûblica concibe la pena al margen totalmente de la idea de prevenciôn

especial.

Sin embargo, frente a la delincuencia tradicional, sobre todo, frente a

los delitos contra la propiedad, entiendo que la opiniôn pûblica sélo quiere

entender la pena desde la ôptica de la prevenciôn especial. La concepciôn

humanitaria de la pena como medida reeducadora, aparece aplaudida y man-

tenida colectivamente cuando se trata de los tradicionales delitos contra la

propiedad. À este respecto, puede resultar significativa una encuesta reali-

zada por los Departamentos de Derecho penal y de Sociologia de la Univer-

sidad Autônoma de Madrid en 1978. El valor que damos a esta encuesta no

pasa de ser una simple apoyatura para confirmarlo que, desde otras pers-

pectivas, aparece confirmado. Es decir, que la opiniôn pûblica atiende a

consideraciones humanitarias de prevenciôn especial cuando se trata de

imponer penas a delincuentes contra la propiedad u otros supuestos de

delincuencia tradicional o comûn.

La encuesta se ha realizado sobre una poblaciôn de ca. 40.000 alumnos

de la Universidad Autônoma de Madrid, con 1,043 entrevistas que.dan un

Margen de confianza de 95,5 % + 3 % de margen de error.

Se trata de una poblaciôn muy joven de formaciôn catélica de clase

media, destacando los que han nacido en la capital dentro de una familia

de formaciôn universitaria.

Hay un consenso bastante amplio sobre la necesidad social de imponer

sanciones en protecciôn de la comunidad (87,38 %) y de que estas sanciones

sean las de prision (67,05 %).

— 161 —

En cuanto al sentido de la pena de prisiôn existe también una gran

coincidencia al apreciarla como medida de reforma (68,2 %), siendo muy

escasa la opiniôn que lo entiende como castigo (14,0 %) 0 como medio de

intimidaciôn (11,3 %). Este entendimiento resulta coherente con las medi-

das alternativas que se proponen a la pena de prisiôn. En efecto, de entre

aquellos que creen que la pena puede ser sustituida (el 54,65 %) el 37 %

entiende que lo debe ser por centros de reeducaciôn, el 8,4 % por trabajos

educativos o gratuitos y el 27,3 % por libertad controlada.

Del conjuntc de la encuesta se deriva una visiôon humanitaria de la pena

de prisiôn. Los jôvenes encuestados, catôlicos y de izquierdas, reponden

a preguntas de carâcter genérico en funciôn de su ideal concepciôn del

hombre y de la sociedad y, conforme a ello, entienden que la pena de pri-

sion ha de responder no a la idea de castigo sino a la idea de prevenciôn

especial (medio de reforma, reeducaciôn, inserciôn social). Esta actitud bon-

dadosa, humanitaria, casi roussoniana la mantienen muy coherentemente

frente a preguntas concretas cuando se trata de delincuentes contra la pro-

piedad frente a quiénes no dudan en mantener relaciones intimas de convi-

vencia, y frente a quiénes no existe temor o rechazo. Defienden la despena-

lizacion de los delitos contra la propiedad al entender que no deben ser cas-

tigados con prisiôn sino mäs bien con la obligaciôn de reparar el daño y, por

otra parte, entienden que los delitos contra la propiedad se explican mâs

por las injusticias sociales que por otras razones derivadas de la propia mala

voluntad del sujeto.

Sin embargo, esa vision de la pena de prisiôn como medida reeducadora

ms que como castigo que aparece en las respuestas a las preguntas de caräc-

ter genérico, no se mantiene cuando se desciende a situaciones delictivas mäs

concretas, salvo el caso ya sefialado de los delitos contra la propiedad. En

efecto, la actitud frente a los delitos econômicos, el terrorismo o los delitos

sexuales es mäs indicativa de concebir la pena como castigo o como medio

de intimidaciôn que como medida reeducadora.

Lamentablemente en la encuesta no se ha preguntado expresamente

sobre delitos contra la salud de los consumidores (quién con ânimo de lucro

altera sustancias alimenticias, medicamentos o cosméticos) ni sobre los deli-

tos politicos o militares (intento de golpe de Estado).

V. CONCLUSIONES.

En este trabajo hemos tratado de presentar las relaciones entre la Cri-

minologia, entendida en sentido amplio, la opiniôn pûblica y el Derecho

positivo frente a la prisiôn. Es decir, se trata de hacer un estudio compara-

tivo entre la Criminologia, la politica social relativa a la ejecuciôn de las

penas de prisiôn y la realidad de estas penas de prisiôn.

— 162 —

Pues bien, es este estudio referido a las politicas y las prâcticas sociales

en España referidas a la pena de prisiôon, podemos extraer las siguientes con-

clusiones :

1. Las corrientes humanitaristas referidas principalmente a los hechos

delictivos tradicionales (delitos contra la propiedad) se manifiestan en una

evidente direcciôn de prevenciôn especial. En muchos no se considera la

pena de prisiôn adecuada, y cuando se la admite se hace como medida ree-

ducadora y reinserciôn social.

Esta opiniôn puede detectarse a nivel de opiniôn pûblica y coincide con

posiciones preventivas adoptadas por sectores cientificos.

Pues bien, este entendimiento ha tenido notable influencia en la poli-

tica criminal española fundamentalmente a partir de la Constituciôn espa-

fiola de 1978, condicionando también la legislaciôon penitenciaria posterior.

Esta politica criminal orientada hacia objetivos de prevenciôn especial

carece de una prâctica satisfactoria derivada de la falta de medios instrumen-

tales adecuados y del fracaso implicito que todo objetivo de prevenciôn

especial entraña següûn la experiencia tenida a nivel mundial.

2. À nivel cientifico cobra fuerza en la literatura española una posiciôn

que quiere concebir la pena de prisiôn desde postulados de prevenciôn gene-

ral. No puede decirse que esta posiciôn cientifica hay influido en la politica

criminal española por cuanto no es posible encontrar un supuesto legislativo

en que se haya castigado con pena de prisiôn una conducta con el exclusivo

fin de intimidar a la generalidad o la de hacer prevalecer el ordenamiento

juridico.

Sin embargo, esta posiciôn si es coincidente con posiciones populares

frente a determinadas formas de criminalidad. El caso del envenenamiento

Por aceite de colza de origen francés es suficientemente representativo de las

tendencias de ejemplaridad que en casos suscitan algunos hechos delictivos,

Y también hemos podido comprobar los defectos que esta postura encierra.

3. La oposiciôn entre retribuciôn y prevenciôn ha empezado a perder

Sentido a nivel cientifico. Un sector doctrinal entiende que la Constituciôn

€spañola de 1978 obliga a concebir la pena en el triple sentido de retribu-

Ciôn, prevenciôn general y especial. Se dice que, a pesar de que el art. 25

Se refiere sôlo a la prevenciôn especial, la referencia del art. 1 al Estado

social y democrâätico de Derecho obliga a tomar en cuenta los fines retribu-

tivos y de prevenciôn general.

En este sentido ha puesto' de relieve Bacigalupo (1980) que es cada vez

mäs clara la tendencia a fundamentar la exigencia de la culpabilidad en razo-

nes de prevenciôn, fundamentalmente general, posiciôn que definitivemente

ha adoptado Muñoz Conde (1982) al concebir la culpabilidad ‘‘en referencia

— 163 —

a los demäâ”, no como fenômeno individual sino social ya que es la correla-

ciôn de fuerzas sociales la que define los limites de lo culpable o inculpable,

aspecto por el que ha de entrar la idea de prevenciôn general.

En realidad, la oposiciôn entre retribuciôn y prevenciôn ha de perder

sentido en los términos en que hasta ahora se ha planteado. Lo üûnico acep-

table es admitir que entre retribucionistas y preventistas sôlo hay una dife-

rencia de actitud y mentalidad. Asi, en efecto, se dice que los primeros se

enfrentan con la pena mirando hacia aträs, al delito cometido, ad daño pro-

ducido y a la necesidad de rapararlo. Los segundos, por el contrario, miran

hacia el futuro calibrando las consecuencias de la pena en orden al objetivo

de eliminar juicios aprioristicos, logrando bienestar social y una mayor

confianza en la justicia. Los retribucionistas tienden a apelar a grandes ideas

y valores, mientras los preventistas tienden a utilizar el dato sociolôgico, los

fines de utilidad con un evidente acercamiento a la realidad.

Tanto en la opiniôn pûblica como en el Derecho positivo como en las

prâcticas sociales, puede encontrarse corroborada esta tendencia cientifica

que trata de eliminar el enfrentamiento esteril y de constatar la realidad de

las tres funciones tradicionales de la pena : retribuciôn, prevenciôn general

y prevencion especial.

A. Por lo que se refiere a la opiniôon publica hemos podido comprobar que,

frente a delitos como el terrorismo o el envenenamiento colectivo, combi-

nan fines retributivos con preventivos.

B. Por lo que respecta al Derecho positivo es evidente, y asi se reconoce

salvo muy escasas excepciones, el carâcter retributivo que otorga a la pena

como se deduce del art. 2 del Côdigo penal. La prevenciôn especial se reco-

noce expresamente en el art. 25 de la Constituciôn y en la legislaciôn peni-

tenciaria. La prevenciôn general se manifiesta en el tratamiento de la reinci-

dencia y algunos delitos especificos cuya gravedad depende de un alto grado

estadistico de comisiôn (delito de incendio de bosques y delito de robo o

hurto de vehiculos de motor).

C. Por lo que se refiere a las prâcticas sociales, se utiliza cada una de las

concepciones de la pena segün los fines que se persigan en cada caso. Asi,

por ejemplo, el gobierno socialista consciente de que las penas previstas para

los delincuentes contra la propiedad son excesivas y responden a una menta-

lidad decimonônica, pretende disminuir las penas previstas para estos delitos

y los môdulos de la prision provisional con el fin de obtener logros en orden

a la prevenciôn especial (reinserciôn social).

Sin embargo, el propio Gobierno a través de la Fiscalia del Estado man-

tiene posturas que sôlo se explican a través de la ejemplaridad y la retribu-

ciôn por lo que respecta al proceso de los militares del fracasado Golpe de

Estado de 1981 y al proceso por el envenenamiento colectivo por aceite de

— 164 —

colza de origen francés. En efecto, en el primer caso mantiene la fiscalia

recursos ante los tribunales superiores en peticiôn de penas més severas, y

en el segundo caso se ha impedido de forma tajante una politica anterior

de la fiscalia de benignidad con los procesados.

BIBLIOGRAFIA

ALARCON BRAVO, Tratamiento del joven delincuente, en Delincuencia

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penal, en Revista de la Faculdad de Derecho de la Universidad Complu-

tense de Madrid, 1980.

BACIGALUPO Enrique, Schuld und Prävencion in der Begründung des spa-

nischen und lateinamerikanischen Strafrechts, en Zeitschrift für die

gesamte Strafrechtswissenschaft, 92. Band, 1980.

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principio de culpabilidad ?, en la Ley, 8 junio 1982.

BAJO FERNANDEZ, Miguel, Alugunas observaciones sobre la teoria de la

motivaciôn de la norma, en Estudios penales, I, Santiago de Compos-

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BUENOS ARUS Francisco, Panorama comparativo de los modernos siste-

mas penitenciarios, Homenaje a Luis Jimenez de Asûa, Buenos Aire,

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CARRANZA Elias, Luis Paulino MORA, Mario HOVED, Eugenio Raul

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1972

CORDOBA RODA Juan, Culpabilidad y Pena, Barcelona, 1977.

CORDOBA RODA Juan, en Revista de Estudios Penitenciarios, 1970.

GARCIA VALDES Carlos, La reforma del derecho penitenciario español,

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— 165 —

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tense de Madrid, 1979.

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social y democrâtico de Derecho, 2e ed, Barcelona, 1982.

MIR PUIG Santiago, Adiciones a la traducciôn del Tratado de Derecho

penal. Parte general, de Jescheck, Barcelona, 1981.

MUNOZ CONDE Francisco, La prision provisional en le Derecho español,

en la reforma penal y penitenciaria, Universidad de Santiago de Com-

postela, 1980.

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penal y Ciencias sociales, Universidad Autônoma de Barcelona, 1982.

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fiol, en Estudios penales y criminolôgicos, VI, Santiago de Compostela,

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9

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— 166 —

CRIMINAL STATISTICS AND PENAL POLICY:

SOCIAL CRITICISM AND

THE «ENLIGHTENMENT » FUNCTION OF CRIMINOLOGY

À. Keith Bottomley*

The focal concern of this Congress is the relationship between crimi-

nology and public policy on crime and criminal justice. Perceptions and

realities of this relationship may vary from country to country, for reasons

that are being examined at other sessions, but amongst many academics

(certainly in the United Kingdom) there is to be found a widely held view

that criminological theory and research do not in fact much direct influence

upon policy. Part of the reason for this lies in the fact that criminologists

have traditionally devoted much of their time and energy to the discovery

and development of theories of criminal behaviour that emphasise the im-

portance of personality characteristics, socialisation pattems or socio-

economic structures. As a result, any implications for crime prevention or

the treatment of offenders that might emerge from such theories are too

wide-ranging, impractical or otherwise unacceptable (on ethical or ideolo-

gical grounds) to be readily incorporated into the penal policies of govern-

ments or the day-to-day practices of the criminal justice system. However,

this debate has suffered from a narrowness of vision on all sides, with

participants rather naively searching for firm evidence of direct connections

between research findings and policy initiatives.

It requires only a slightly broader vision to recognise that contemporary

Criminology encompasses a very much wider range of intellectual concerns

than traditional theorising about individual behaviour. Attempts to answer

the question «Why do people commit crime ?» now incorporate the often

“accidental» influence of situations and opportunities (see Gibbons, 1971 ;

Bottomley, 1979), and the independent effects of being discovered and

labelled a criminal or delinquent. Furthermore, during the last two or three

decades, an increasing number of criminologists throughout the world have

focussed their attention upon the operation of the penal processes in law

enforcement and the administration of criminal justice. Thus, to the tra-

ditional criminological task of explaining criminal behaviour has been added

that of evaluating criminal justice. Similarly, on the other side of the cri-

minology-public policy equation, there needs to be a wider appreciation of

the fact that the notion of «public policy» on crime must include

* Dept. of Social Administration, The University of Hull, Cottingham Road,

GB - Hull, HU6, 7RX.

— 167 —

consideration of professional practices, and public perceptions that influ-

ence behaviour towards offenders and victims, in both formal and informal

situations.

Nevertheless, even with this extension of the terms of the

debate, it has to be admitted that the impact of evaluative penological re-

search appears to have been much more limited that might have been expec-

ted. Sometimes this can be attributed to the rather piecemeal and localised

nature of the research in question, which can then be dismissed as unrepre-

sentative or methodologically unsound, but often this failure to influence

is due to more fundamental problems of communication and/or value con-

flict between researchers, politicians and public opinion.

This paper attempts to loosen the state of «impasse» that appears to

have been reached in this debate at the present time. Its first purpose is

to suggest that important new insights into the relationship between crimi-

nological research and public policy can be gained from the growing body

of specialised literature on the uses of social research. In particular, the

«enlightenment model» of social research utilization appears to offer a

very fruitful and challenging way of reappraising the objectives and func-

tions of criminological research. The applicability to some of these ideas will

then be examined in relation to the uses of criminal statistics. Finally, the

paper will advocate a two-fold strategy for the future. In the first place,

there would seem to be nothing to be lost and possibly much to be gained

by a certain degree of retrenchment in research terms, whereby criminolo-

gists might reassess the value of research of a basically descriptive kind,

reflecting a key element in the motivation and work of the early pioneers

in social research and penal reform, concerned to reveal new knowledge

about crime, criminals and the penal system. Such work of « descriptive

revelation», or «reporting», still has considerable potential for changing

attitudes and behaviour at all levels in society: In the second place, crimi-

nologists should develop their role as informed social critics, confident

that their expertise and influence lie not just in the production of empi-

rical research data and sophisticated theories, but in confronting society

with basic questions about its values and objectives with regard to crime

and punishment.

I. THE IMPACT OF SOCIAL RESEARCH :

ENGINEERING V. ENLIGHTENMENT.

Those who are involved in the generation of social research findings

that appear to have some relevance for policy or practical decision-making

often seem to subscribe to a rather simplistic view of how such research

should exert its influence. At the heart of this view is a belief in the essential

rationality of the official response to the discovery of new knowledge about

the social world. Carol Weiss (1978) expressed it thus :

— 168 —

… social scientists tend to believe in rationality. They have convictions

that the best knowledge available should be used in the making of the

policy : that when good theory and good data are placed at the service

of policy makers, the subsequent decisions will be sounder and wiser.

(Weiss, 1978, p. 25)

À strong commitment to this set of beliefs is commonly found among

social scientists (including criminologists) who are engaged in research of an

explicitly problem-solving kind. This conception of the relationship between

research and policy has been described as a linear or « decision-driven »

model and it has been expressed diagrammatically in the following way :

Definition

Identification

Acquiring

Interpretation

Policy

of social

of missing

social

for problem

choice

problem

knowledge

research

solution

data

Fig. 1 Decision-driven Model of Research Use

(Source : Adapted from Weiss, 1977a, Fig. 1-1, p. 12).

À characteristic feature of this model is the exitence of an underlying

consensus on goals whereby «it is assumed that both policy makers and

researchers tend to agree on what the desired end state should be. The con

tribution of research is to help in the identification and selection- of appro

priate means to reach that goal» (Weiss, 1977a, p. 12). Much of the scep

ticism that exists among criminologists about the influence of their research

upon penal policy probably derives from the fact that their expectations

are based upon a model of this sort.

A wide variety of alternative models of research use in the social

sciences has been proposed in recent years. In addition to the « decision-

driven» model, Weiss identified a «knowledge-driven» model and what

she called an «interactive model» (Weiss, 1977; 1978). The former is more

commonly found among the natural sciences, and posits a direct influence

generated by the discovery of new knowledge, leading to practical uses

which were previously unthought of. The «interactive model» seems much

more relevant to the social sciences, in which researchers participate in a

complex process of communication with administrators, politicians, and

interest groups, working towards a mutually acceptable outcome :

In this model, the use of research is only one part of a complicated

process that also uses experiences, political insight, pressure, social

technologies and judgment. It has applicability not only to face-to-

face settings but also to the multiple ways in which intelligence is

gathered through intermediaries and brought to bear. It describe a

familar process by which decisonmakers inform themselves of the

range of knowledge and opinion in a policy area.

(Weiss, 1977a, p. 14)

— 169 —

Amongst less acceptable ways in which social research may be used

were listed political ammunition, manipulation, and to advance self-interest

(Weiss, 1978, pp. 30-33).

In Britain, Martin Bulmer (1982) has recently constructed an integrated

framework for understanding the complex patterns of influence of social

research. He begins by drawing a distinction between different types of

social research; viz. (i) the collection of data «pure and simple» , gathering

«the facts»; (ii) the interpretation and understartding of «the facts»,

according to some broader perspective or analytical framework; and (iii)

causal analysis, involving the search of determinants of social conditions or

behaviour. He then proceeds to classify research according to its main pur-

pose, and identifies three broad objectives :

The first is research as intelligence and monitoring, the collection of

demographic, economic and social data which are then available to be

drawn upon by the polivymaker… The second broad purpose is what

may be termed strategic analysis… It is considerably wider-ranging

than intelligence and monitoring, drawing on more general bodies of

ideas. Its purpose is to illuminate a problem in such a way as to permit

action to be taken to change the situation revealed… The third distinct

purpose served by social research is what may be called «scientific

control». The natural sciences or medicine serve as a model here…

(Bulmer, 1982, pp. 153-4, emphasis added)

These three types of analysis and three broad purposes of applied social

research are combined to produce a chart that displays six main kinds of

research influence

authoritative facts, political ammunition, tactical

research, programme evaluation, interaction and conceptualisation (see

Fig. 2).

Figure 2.

À classification of kinds of applied social research

Intelligence and

Scientific control

Strategic analysis

monitoring

political

Production of data

authoritative facts

ammunition

l:

Interpretation and

conceptualisation

understanding

programme

Causal analysis

tactical research

evaluation

o””*o|e

n

(Source : Bulmer, 1982; Fig. 7.1 p. 155)

— 170 —

Before examining in greater detail some elements and implications of

this classification, we need to introduce into the discussion a distinction

between the more traditional «engineering model» and the newer «enlight-

enment model» of the role of social research. The well-established idea of

the social scientist as a «social engineer» has roots and echoes in the work

of several scholars (see Bulmer, 1982, pp. 4246), including Karl Popper:s

notion of «piecemeal social engineering», and Ztterberg's statement in

Social Theory and Social Practice (1962). À concise and eloquent presen-

tation of the enlightenment model, contrasted with the engineering model,

is to be found in the writings of Morris Janowitz (1970, 1971). The erst-

while popularity of the engineering model reflected sociologists’ commit-

ment to the scientific method and the need to adopt empirical research

techniques; it stressed the distinction between basic and applied social

research, whereas the enligntenment model recognises no such strict divi-

sion. Janowitz portrays sociologists as performing a number of interrelated

research functions including the collection of descriptive data and the chart-

ing of social trends («social intelligence » ), the testing of hypotheses about

Specific problems and institutions, and developing models of the most

complex social systems (Janowitz, 1971, p.4). The essential nature of the

enlightenment model is described as follows :

The enlightenment model assumes the overriding importance of the

social context, and focuses on developing various types of knowledge

that can be utilized by policy makers and professions. While it seeks

specific answers, its emphasis is on creating the intellectual conditions

for problem solving…. The consequence of effective sociological in-

quiry…. is to contribute to political freedom and social voluntarism

by weakening myths, refuting distortions, and preventing an imbalan-

ced view of reality from dominating collective decisions.

(Janowitz, 1971, pp. 54)

It will be suggested that this «enlightenment model» of the functions

Of social research enables us to rethink the traditional approach towards

understanding the relationship between criminology and public policy. It

is possible to identify a number of interrelated propositions in the literature

on the enlightenment model which are of particular relevance for this task :

1.the influence of social research tends to be indirect and delayed,

rather than direct and immediate:

2. social research knowledge has no exclusive claim to be the only sort

taken into account by policy makers;

3. any impact that social research might have is more likely to come via

4 process of interaction with a wide variety of audiences and «clients»,

rather than as a result of a one-to-one relationship between researcher and

decision-maker ;

—171—

4. the most significant influence of social research is probably in terms

of altering the conceptual framework of policy makers, and the general

«climate of opinion» surrounding particular social issues.

1

Indirect influence. In contrast to the assumption underlying the social

engineering and « decision-driven» models, that social science can exert a

direct and immediate impact upon the solution of a particular social pro-

blem, proponents of the enlighntenment model accept that the translation

of research findings into practical measures is more likely to occur over a

much longer time-scale, in an indirect and diffuse fashion — so much so,

in fact, that it may not always be easy to recognise its contribution to an

eventual effect. When the time-lag is considerable, social science knowledge

might by then have passed into general circulation within professional

groups or the public at large (Lindblom and Cohen, 1979). The complexity

of this kind of «discursive utilization» of social research has been graphi-

cally described by Knorr :

The main area of utilization consists of an indirect (bound to undergo

further decision processes), diffuse (taken into account to various

degrees and at different positions), difficult to localize utilization res-

ponsibility (distributed over various decision levels), and possibly

delayed discursive processing of the results in the stage of program

development and decision preparation. The low visibility of this kind

of utilization and the far too high expectations contribute to the

popularity of the thesis that little utilization takes place.

(Knorr, 1977, p. 180)

2. Non exclusive knowledge. Social scientists need to be rather more

modest in their claims for the exclusive significance and authoritativeness

of their research-based knowledge. Not only does the knowledge and

experience of other professional interest group compete for influence upon

public policy-making, but «ordinary knowledge» may in fact exert equal

influence upon politicians and administrators. Lindblom and Cohen (1979)

claim that social researchers (Whom they refer to as «practitioners of Pro-

fessional Social Inquiry», or p PSI for short) «greatly overestimate the

amount and distinctiveness of the information and analysis they offer for

social problem solving», and, on the other hand, «greatly underestimate

the society’s use — and necessary use of — an existing stock, as well as a

flow of new ordinary knowledge from other sources than pPSI» (Lindblom

and Cohen, 1979, p. 12). From a tactical point of view, therefore, social

researches would be well advised to pay more attention to the nature and

influence of alternative sources of knowledge, and consider the possibilities

of reshaping «the mountain of ordinary knowledge» that exists and is

powerful. They should, according to Lindblom and Cohen, give up the mis-

taken pursuit of an independent scientific authoritativeness; instead, they

should pursue an interdependent authoritativeness that is closely related to,

—172—

and confirmed by, ordinary knowledge (Lindblom and Cohen, 1979, pp.40-

44). The knowledge that derives from social research is seen as an increment

to other knowledge which «now and then adds sufficient weight to carry a

proposition across the line of disbelief » , but only relatively rarely» issues an

outright challenge to a substantial body of established belief» (Lindblom

and Cohen, 1979, p. 52). This incremental or supplementary role of social

research:is linked to, and partly explains its indirect influence, as summart-

sed by Weiss and Bucuvalas :

The supplementary character of research knowledge thus tends to blur

the use of research. Decision makers often absorb research information

without clear marking of its origins. They merge what they learn from

research with information derived from a variety of other sources.

When they take action, they draw upon their general fund of know-

ledge, of which research has provided only some small part — a part

which is neither clearly identified nor measurable. By virtue of these

processes of assimilation, the «knowledge» that social research supplies

to potential users has indistinct and hazy borders.

(Weiss and Bucuvalas, 1980 p. 172)

3

Interaction. In Bulmer’s classification of the patterns of influence of

social research (Fig. 2), interaction is the central theme that links all three

types of research when the major objective is «strategic analysis» (i. e. «to

illuminate a problem in such a way as to permit action to be taken to

change the situation revealed»). For Bulmer, seeing research as «interac-

tion» means focussing upon the political and social context in which re-

search is used :

Those engaged in developing policy communicate with many different

sources of information, advice and pressure — administrators, politi-

cians, practitioners, planners, journalists, clients, interest groups and

social scientists, among others. All these participants are pooling their

efforts and knowledge in a attempt to tackle a particular problem.

They engage in mutual consultations and discussion, or produce evi-

dence relevant to the policy in question…. Research is thus only one

part of a complicated process that also uses experience, political know-

low, practical technologies, pressure and judgement to arrive at policy

decisions.

(Bulmer, 1982, p. 160)

Janowitz similarly emphasised the importance of the social context of

research utilization, and the need for the sociologist to recognise that he is

interacting with his subject and the various publics to which he must be

responsible (Janowitz, 1971, p. 4). We noted earlier that for Weiss the

«interactive model» was perhaps the most acceptable way of conceptualis-

ing research use in the social sciences. It contrasts sharply with the more

— 173 —

mechanical models she described as «dnowledge-driven» and «decision-

driven», as it does not involve an orderly linear progression from basic

research or social problem definition to application of research and pro-

blem solution but involves «a disorderly set of interconnections and back-

and-forthness that defies neat diagram» (Weiss, 1977, p. 14). Similarly,

for Lindblom and Cohen, it was a natural corollary of their emphasis

upon the interdependence of the knowledge derived from Professional

Social Inquiry (PSI) with other sorts of knowledge, that they should stress

the merit of «interactive problem solving». Interaction can be a method

of problem solving just as much as the more traditionally favoured methods

of «analytical problem solving» ; analysis and interaction should comple-

ment each other, although «practitioners of PSI know that some kinds of

issues have to be settled by the interactions called «politics» , rather than

by analysis» (Lindblom and Cohen, 1979, p. 23).

4. Reconceptualisation. À final element of the enlightenment model, and

arguably the most important, is the way social research may exert a major

influence (albeit in a indirect, supplementary, and interactive fashion) upon

the ways that policy makers conceptualise the nature of their particular

problems and the possible solutions. Confirmation of the importance of the

impact of new perspectives from social science rather than simply the

empirical data of research results comes from a survey of officials in the

mental health service by Weiss and Bucuvalas. They reported that many

respondents had absorbed the concepts and generalisations from the re-

search literature over a considerable period of time, so that they had gra-

dually become sensitized to the perspectives of social science :

By and large, officials value research not only for the specific data it

provides but more importantly for its ideas. It is the generalizations

and concepts from the social sciences that they often find most useful …

The ideas derived from social science provide organizing perspectives

that help them make sense of experience. These ideas offer frameworks

within which problems are interpreted and policy actions considered.

(Weiss and Bucuvalas, 1980, pp. 269-70)

In the field of criminology, Lloyd Ohlin’s analysis of the impact of

theory and research upon the President’s Commission on Law Enforcement

and Administration of Justice (1967) in the U.S.A. likewise suggested that

social science concepts, theories and general perspectives were of more use

to members of the commission in formulating their final recommendations

than the «new knowledge» findings of the specially commissioned research

projects and Task Force reports :

The greatest strength of the social science contribution lay in providing

sensitizing concepts and theories which oriented the search for solu-

tions of the crime problem along certain paths.

(Ohlin, 1975, p. 109)

— 174 —

There is widespread agreement amongst the scholars in America who

have studied the processes of utilization of social research that probably its

greatest impact lies in the way it can lead to new ways of defining problems

and approaching the task of finding appropriate solutions. This central cha-

racteristic of the enlightenment model has, once again, been highlighted by

Carol Weiss:

Evidence suggests that government officials use research less to arrivè

at solutions than to orient themselves to problems. They use research to

help them think about issues and define the problematics of a situation,

to gain new ideas and new perspectives. They use research to help

formulate problems and to set the agenda for future policy actions.

And much of this use is not deliberate, direct and targeted, but as a

result of long-term percolation of social science concepts, theories, and

findings into the climate of informed opinion.

(Weiss, 1977b, p. 534)

The deliberately vague concept of «the climate of opinion» serves to

indicate an important medium for the transmission of ideas and research

findings between academics and policy makers. In England, the former

Director of the Home Office Research and Planning Unit, John Croft,

recognised that changes in penal policy can usually only occur if the «cli-

mate of opinion» (or at least informed opinion !) is reasonably ripe

The «climate of opinion» about crime is necessarily an artefact which

is akin to the prevailing concept of crime. Concepts of crime, which

are not necessarily identical with criminological theory or theories

derived from other disciplines in the social sciences, are in turn derived

from various sources. One of these sources is research. It is conjectured

that, to influence policy, conceptual ideas about crime based on re-

search need to harmonise with or, at best avoid conflict with, other

conceptions of crime derived from alternative sources of information.

(Croft, 1980, p. 3)

The apparent need for social science research to operate, at least partly,

via the medium of the «climate of opinion» certainly suggests a possible

limitation on its capacity to bring about radical change. However, the very

fickleness of this medium offers some hope and presents a challenge. Re-

search can «feed on» issues originating in the wider sphere of public debate,

news media and political controversy. It can then «feed back» material

which can exert a powerful influence. From the perspective of the enligh-

tenment model (unlike thé engineering model) there needs to be no consen-

sus on values and goals, and there is even a positive value in the presentation

of conflicting objectives and assumptions, which can enhance the role of

research as social criticism :

— 175 —

Perhaps most valuable of all, social science research can be a medium

of criticism… What social science research can do is counteract the

mustiness in the corridors of power with critical insights and sharp new

perspectives. In its role as critic, social science may provide its most

valuable, and valued, contribution.

(Weiss and Bucuvalas, 1980, p. 270)

II. THE USES OF CRIMINAL STATISTICS

Official criminal statistics are routine products of law enforcement

agencies and criminales justice administrators, that are collected and publi-

shed for a variety of reasons and purposes, often at odds with the concerns

of criminologists and policymakers who may subsequently wish to use

them. With or without criminological embellishment they fulfil many of the

functions identified in the first part of this paper, for social research in

general: they can be treated (by professionals and the public alike) as «au-

thoritative facts» ; they can be used or abused by politicians as ammunition

or for manipulation; they can be used for purposes of advancing the inte-

rests of criminal justice practitioners, or legitimating the decisions of admi-

nistrators that would probably have been taken in any case and they can be

used for evaluating penal measures or other tactical research purposes. They

have for a long time been the target of severe criticism and attacks from

criminologist (see Bottomley and Coleman, 1981, Ch. 1), but perhaps the

time has come for a reappraisal of their more positive uses, especially in the

context of the present debate about public policy on crime and criminal

justice.

The main types of statistics include (i) crimes recorded as known to

the police; (ii) crimes detected or «cleared-up» by the police ; (iii) suspected

offenders proceeded against; (iv) offenders convicted and sentences; (v)

reconviction rates of known offenders. An authoritative Departmental

Committee on Criminal Statistics was set up in England twenty years ago

and published an important (but sadly neglected) report in 1967 (Perks

Committee, 1967). As a framework for its deliberations and recommenda-

tions it presented a list of the main subjects on which statistical information

is required:

Para 24 :

(a) The nature of crimes and the circumstances in which they are

committed.

(b) The extent and seriousness of crime, and whether it is increasing

or decreasing.

(c) The persons who commit crime, their previous records and general

background.

(d) The action taken to deal with offenders and its consequences.

— 176 —

This was followed by a list of the main uses to which the different

types of information could be put:

Para 25:

(a) Measures to prevent delinquency: for example, in the social and

educational field.

(b) Police procedure in the prevention and detection of crime.

(c) Legislation concerced with the scope of the criminal law, the defi-

nition of offences and the sentencing and treatment of offenders.

(d) The administration of the penal system.

(e) Criminological study and research.

They emphasised their belief that ’criminal should serve not only to

inform Parliament and the public; they should be capable of use as a basis

for decisions by the authorities responsible for legislation, law enforcement

and the treatment of offenders, and for research’ (Perks Committee, 1967,

para. 29. p. 7). The rather sharp distinction that is d‘rawn between the func-

tion of criminal statistics in providing public information and that of acting

as the basis for professional decision-making is one that the enlightenment

perspective would question as mistaken and misleading. Instead its propo-

nents might wish to argue that the provision of information in itself can be

a major contribution to the decision-making process of administrators and

professionals. The message that has emerged from criminological critiques

of official statistics during recent years has been a systematic denial of their

ability to provide satisfactory information for virtually any of the categories

outlined by the Perks Committee; thus, official statistics do not provide

satisfactory information about the nature, cireumstance, or full extent of

crimes committed in the community/; statistics do not include information

about the majority of offenders — who are never caught — and therefore

should not be used as the basis for theories of criminal behaviour; and they

provide inadequate data on which to assess the effectiveness of the action

taken to deal with known offenders. Despite this apparently very negative

stance, there are ways in which criminological research can build upon the

data base of official statistics and thereby increase their capacity to provide

more meaningful information for a variety of interested audiences. In its

turn, this information might have a potential for influencing public policy

in some of the ways suggested by the enlightenment model, at the same

time as it contributes at a more theoretical level to the criminological

understanding of crime and social reaction to it. To illustrate some possibi-

lities in more detail, we shall examine the problems and implications of

statistical information on (i) the nature and perception of crime, and (ii)

the practices of law enforcement agencies and criminal justice administra-

tion.

—177 —

Nature and Perception of Crime

The historical development of official criminal statistics in Western

Europe and the variety of criminological critiques to which they have been

subjected during the last century and a half are now quite well documented

(see Sellin and Wolfgang, 1964; European Committee on Crime Problems,

1970; Douglas, 1971; Bottomley and Coleman, 1981). From the early years

of their publication at the beginning of the nineteenth century, two main

themes were dominant — ’the first was the spreading application of quanti-

tative ideas to human phenomena; the second was the rise of systems of

moral accounting by Western bureaucracies’ (Douglas, 1971, p. 47). The

former trend became closely associated with the rise of scientific-positivist

criminology in the second half of the nineteenth century, whereas the latter

reflected a moral-administrative-political dimension that predated positivism

and will no doubt survive its twentieth century demise (Bottomley and

Coleman, 1981, p. 4). Douglas recognised that ’from their very beginnings

official statistics were policy-oriented and determined primarily by the

political goals of the officials’ (Douglas, 1971,p. 49):

When we look at the early works in moral statistics and the related

forms of statistical analysis of social phenomena, we find that, with

hardly an exception, they are concerned with the use of official sta-

tistical information and of statistical methods of analysis to get at the

causes of social problems and hence, to show that certain solutions are

better than others.

(Douglas, 1971, p. 62)

Crime statistics have thus always had a social and political importance

that transcends any purely «scentific» consideration that attaches to their

interpretation and analysis.

The use of statistics simply for the counting of crime has remained a

dominant concern of criminologists throughout the 19th and 20th cen-

turies, during which there has been constant speculation upon and research

into the «dark figure» of unrecorded crime (see McClintock, 1970). More

recent developments in self-report delinquency and victimization studies

have added a new dimension to this traditional focus of interest. At the

same time as empirical studies of unrecorded crime and criminals have

broadened our quantitative knowledge, other researchers have concentrated

upon qualitative aspects of crime, recognising that the legal-administrative

classification of offical statistics provides an inadequate picture of the

relative seriousness of different types of crime and of the circumstances or

situational aspects of their commission. In Britain, for example, pioneering

work on the development of «situational classifications» of crime was done

at the Cambridge Institute of Criminology by McClintock and his collea-

gues, in order to supplement or replace the existing legal classifications with

— 178 —

sociologically more meaningful categories. For example, in the case of

crimes of violence, important dimensions included the relationship between

the offender and the victim, the geographical location of an attack, and the

degree of violence used (McClintock et al. 1963); similarly, in the case of

robberies, attacks on persons who, as part of their employment, were in

charge of money or goods needed to be distinguished from robberies on pri-

vate premises, attacks in the open and robberies involving people previously

associated with one another (McClintock and Gibson, 1961).

À good illustration of the inadequacy of the existing statistical classi-

fications to inform public debate and political decisions was provided by

the alleged increase of «muggings» in Britain during the early 1970s. À

«moral panic» was fuelled by graphic accounts in the news media about

vicious attacks upon defenceless men and women on the streets of several of

our major cities. As there is no accurate way in which official statistics can

be used to measure or monitor trends of «mugging» — which does not

directly correspond to any existing legal category of crime — the way was

left wide open for a confused and confusing debate, accompanied by a

frequently irresponsible use of official information by various interested

parties (see Hall et al, 1978).

On the other hand, just as there are obvious dangers of the abuse of

statistics which lack relevant information, there can equally well be an abuse

of statistics which give the appearance of providing all-too relevant informa-

tion. This is particularly so in the case of official statistics purporting to

give information about the ethnic origins of offenders. For example, in

March, 1982, the London Metropolitan Police Force released statistics that

were claimed to show the contribution of different ethnic groups to street

crime in different London boroughs; not only was this information derived

simply from asking victims for their opinions of the colour of their assail-

ant(s) (of whom only a small minority were ever caught and brought to

court), but it was published with no attempt to relate it to information

about the proportion of the same ethnic groups in the general population of

the areas concerned. Ît led one commentator to conclude :

The problem as Î see it is not in the mere existence of racecoded sta-

tistics. It is rather their inadequate presentation and selective avail-

ability.… Moreover, if, as seems likely, there are elements of racism

institutionalised with the criminal justice system, this will only be

detected and eradicated when details of race or ethnicity are known…

Undoubtedly, such figures can, and will be used to serve both desirable

and undesirable ends. But surely it is preferable to have the evidence

available for scrutiny, than for it to be selectively released in a form

almost guaranteed to cause a «moral panic» and impair the rational

judgements of both policy makers and the public.

(Smith, 1982, p. 22)

— 179 —

An approach to criminal statistics which has found favour with many

sociologists in the last twenty years is that which views them as objects of

study in their own right, and as products of criminal justice agencies. Kit-

suse and Cicourel (1963) suggested that the questions to be asked should

not be about the «appropriateness» of the statistics but about « the defini-

tions incorporated in the categories applied by the personnel of the rate-

producing social system», with the result that «rates can be viewed as

indices of organisational processes rather than as indices of the incidence

of certain forms of behaviour» (Kitsuse and Cicourel, 1963, pp. 136-7).

Donald Black subsequetly developed this perspective which he termed

«institutionalist» (as opposed to the traditional «realist» approach) and

described as follows:

… (It) makes official records of crime an end rather than a means of

study. It treats the crime rate as itself a social fact, an empirical phe-

nomenon with its own existential integrity…. From this standpoint

crime statistics are not evaluated as inaccurate or unreliable. They are

an aspect of social organisation and cannot sociologically be wrong.

(Black, 1970, p. 734)

To adopt this «institutionalist» approach to criminal statistics certainly

implies a major reorientation which, in its extreme form, would deny any

« objective» meaning or value to those statistics as even partial indicators of

the «crime problem’ — out there. In this respect, therefore, it would be

enlightenment par excellence, and represent an extreme example of «recon-

ceptualisation» that might be too-far-reaching to be easily incorporated into

the forum of public policy debate. There is, however, a related but slightly

less radical approach that still offers a degree of «enlighntenment» but allows

something to be salvaged from official statistics rather than completely

destroying any value they might possess for practical purposes. This is the

interactive perspective.

The origins of this approach can be traced to the simple observation

that the vast majority of crimes recorded by the police become known to

them by the actions of the victim (or other member of the public). It has

been found that 6 out of every 7 recorded crimes are initially reported to

the policy by the public, rather than being discovered by the police them-

selves (Sellin an Wolfgang, 1964 ; Black, 1970, 1971; Mawby, 1979; Bottom-

ley and Coleman, 1981). Leslie Wilkins emphasised the essentially dynamic

nature of criminal statistics, which reflected decisions taken by persons in

authority at various «counting gates» in the criminal justice process (Wil-

kins, 1964, 1965). The clearest formulation of the interactive perspective

is by Stanton Wheeler (1967), who suggested that criminal statistics should

be seen as the result of a three-way process of interaction between the

offender, members of the public (as witnesses or victims) and the official

agents of law enforcement. There is an overlap with the institutionalist

— 180 -

approach, as both make the decisions of all those involved something to be

explained, but Wheeler goes on to stress the role of citizens not only as

co-producers of statistics but also as the primary «consumers ». He calls for

the development of «consumer-oriented» statistics, giving more information

on the charactersitics of victims, the social circumstances of offenses, and

details of offenders, and acknowledges the value of statistics as an impor-

tant «public service» (Wheeler, 1967).

*

We have here, then, a framework within which to locate much of the

recent research and thinking about the value and purposes of criminal sta-

tistics. Interaction emerges as a key concept for understanding not only

their production but also their consequences. The chief «actors» are crime

victims and members of the general public, who collectively constitute

«public opinion», that is in its turn inextricably linked with the policy

process:

Criminal policy is not the exclusive concern of the public servant. In

many countries public opinion often sets the trend of government

policy…. Public opinion about crime determines the limits within

which government can pursue a rational and humane criminal policy.

In addition to that, the feelings of unsafety which some people have

form is themselves a considerable social problem. In short, there is

every reason to undertake a study of the way in which public opinion

about crime is formed and of the possibilities of influencing this pro-

CESS.

(Van Dijk, 1979, pp. 9-10)

The growth of victimology and crime victimization surveys during the

last ten or fifteen years provides a final illustration, in this section, of the

contribution that criminological research might make towards enhancing the

value of criminal statistics for public consumption an enlightened policy.

In his review of victimization surveys, Richard Sparks pointed out that

« different constituencies — policy-makers, administrators, academic resear-

chers — want different things from victimization surveys, and it is by no

means clear that these different demands are compatible» (Sparks, 1981,

p. 2). Amongst the functions that victimization surveys can serve are to shed

some light upon the «true» extent of crime, the causes of crime and its

consequences. In fact, it could be argued that in their relatively short

history, these surveys have gradually progressed from an exclusive concern

with the problem of measuring crime, to the description and classification

of patterns of victimization, documenting the consequences of victimization

interms of fear of crime, changing life-style, social and personal costs etc.

Sparks says that «accuracy of measurement of the extent of victimization

could be seen as a preliminary to these other objectives rather than as an

end in itself» (Sparks, 1981, p. 8). He cites evidence to show that criminal

— 181 —

victimization is not uniformly or randomly distributed among the popu-

lation as whole, and the study of multiple victimization is essential for the

development of causal theories as well as for any realistic assessment of the

impact of crime. Hindelang (1978, 1982) has collated the findings of sur-

veys in cities throughout the United States to develop an impressive «Lifes-

tyle/Exposure» model of personal criminal victimization. This shows the

great potential that this kind of data has for going beyond the mere count-

ing of crime and its victims to theory construction on a considerable scale.

Very similar work is being done on «victimological risk analysis» by the

Research and Documentation Centre of the Dutch Ministry of Justice (see

Steinmetz, 1982).

No hard and fast line should be drawn between the functions of victi

mization surveys in measuring or explaining crime, and as guiding public

policy (Waller, 1982). The first report of the British Crime Survey (Hough

and Mayhew, 1983) presented a summary of the main findings on the

extent of crime (in comparison with official statistics), the differential risk

of being a victim, the fear of crime, and attitudes towards the criminal

justice system. À first survey of this kind takes a calculated gamble in terms

of its reception by the public at large. The British Crime Survey (BCS) was

received in a generally restrained manner, especially in view of the signifi

cance of the «law-'n’-order» theme in contemporary British political life.

Îts revelation that there may be four or fives times as many crimes com

mitted as official records suggest was accompanied by cautionary warnings

The real message of the BCS is that is calls into question assumptions

about crime upon which people’s concern is founded. It emphasises

the petty nature of most law breaking… The survey also demonstrates

the extensive scope for error when drawing conclusions about crime

trends from statistics of recorded offenses.

(Hough and Mayhew, 1983, p. 33)

Information on the relative risks of various kinds of victimization

(criminal and otherwise) was undoubtedly «enlightening» and probably

very reassuring for most members of the public, apart from those few in

the particularly vulnerable groups ! The survey confirmed that most peo

ple’s fear of crime was not «rational», in the sense that the persons who

feared the most were least at risk, and vice versa. Indeed, this «irrational »

fear of crime was seen as greater problem than the actual incidence of crime

itself. The authors of the report concluded :

… the most effective approach probably lies in improving the qualitÿ

of information generally available. This will entail not only providing

the information, but also demonstrating to «opinion formers» the

importance of representing accurately the nature of crime. (p. 27).

The public should have a balanced picture of crime — especially in

— 182 —

in view of the likely consequences of sensational presentation ; excessive

anxiety about crime not only impoverishes people’s lives, but also

makes it difficult to secure rational discussion of criminal policy…

(p. 34).

(Hough and Mayhew, 1983, p. 34)

This sums up concisely the enlightenment function that could be served*

by the effective promulgation of basic facts about victimization and the cir-

cumstances surrounding crime.

Statistics on law enforcement and the criminal justice process.

The notion of official statistics as «decisions» is particularly appro-

priate for those that provide information on the proportion of recorded

crimes that are «cleared-up» by the police, on the number of persons pro-

ceeded against by formal prosecution in the courts or by police cautioning

(or similar diversionary procedure), and for those that record conviction

rates, the sentencing practices of the courts, parole decisions and reconvic-

tion rates. Statistics such as these on law enforcement and the criminal

justice process can be viewed as neutral «administrative-accounting» data,

collected and published for no particular reason other than bureaucratic

neatness and a largely inarticulated sense of accountability’ to their public

paymasters or society in general. But one lesson to be learned from the

history of statistics is that when they are there they will be used — for

good or ill. The statistics if that of crimes «cleared-up» by the police pro-

vides a good illustration of the proverbial saying that «a little knowlegde

is a dangerous thing» .

At firts sight, it would seem quite legitimate to regard the «clear-up»

rate as a measure of police effectiveness in the detection of crime and the

successful « bringing to bood» of offenders. On further reflection, however,

it should not need the expertise of a criminologist to show that there are

many reasons why such a use of this statistic is unjustified. To start, with,

even if the process that produces a cleared-up crime was in fact a true

reflection of police skills, a more accurate way of relating trends in the

clear-up rate to police efficiency would be to express it as a ratio of the

number of crimes cleared up to the number of police in the particular

force during the period in question. McClintock and Avison (1968) carried

out such an analysis for England and Wales between 1955-65, and showed

that a substantial decline in the overall clear-up rate from 49 to 39 per cent

could also be expressed as a 100 per cent increase in the number of crimes

cleared up, or — in relation to police manpower — an increase over the ten-

year period of «crime detected per policeman» from 3.3 to 5.3 (McClintock

and Avison, 1968, pp. 118-9).

— 183 —

More important aspects of the clear-up rate are revealed when a com-

parison is made between different offence groups. In broad terms, the clear-

up rate for offences against the person is invariably very much higher than

that for property offences: for example, in England and Wales throughout

the 1970s, the clear-up rate for sexual offences and violence against the

person was within the range 75 — 82 %, whereas for burglary it was 31 —

37 % and for theft 40 — 43 % (Home Office, 1982, Table 2.16, p. 50).

Although there is a minority of serious offences avainst the person (includ-

ing some murders, rapes, etc.) where the police succeed in arresting offen-

ders because of the high priority assigned to such cases, the main reason for

the high clear-up rate is that the identity of the offender is known from

the outset, and therefore the police are typically not faced with a problem

of «detection» as such. This contrasts sharply with the situation facing the

police when burglaries and thefts are reported to them, often several hours

or days after the event, and with few clues as to the culprit.

In a very high proportion of crimes of violence the crimes were relati-

vely easy to solve because of the association between the offender and

victim prior to the offences… In respect to murder, sexual offences and

crimes of violence, where the attack was made on a stranger and a

genuine problem of detection arose, the various detection rates de-

creased to approximately forty per cent, thus indicating that the police

were not outstandingly more successful in detecting these crimes than

they were with offences of dishonesty.

(McClintock and Avison, 1968, p. 108)

Any attempt to interpret clear-up rates must therefore begin with an

appreciation of the extent to which the nature of the crime and the ways in

which it becomes known to the police largely predetermine the scope for

true detection work. Certain categories of crime are virtually automatically

«solved» when reported and recorded by the police, ranging from «handl-

ing stolen goods» and «theft by employee» to shoplifting and various kinds

of fraud, which rarely become known to the police unless the offenders

have already been apprehended.

There are a number of ways in which police practices themselves (both

official and unofficial) can significantly alter the clear-up rate. An informal

tradition exists in some English police forces of «cuffing» , whereby a police

officer will keep the knowledge of an offence to himself until he has disco-

vered the offender, thus recording both crime and detection at the same

time (Bottomley and Coleman, 1981, pp. 21-5). More officially, offences

can be recorded by the police as «cleared up» in a number of prescribed

circumstances, of which the most common is when a suspect in police cus-

tody admits other offences which may or may not be already known to

the police. Surveys in Britain have shown that offences admitted by suspects

in this way, and «taken into consideration» by the courts, may account for

— 184 —

25-40 % of the clear-up rate, including as many as 6065 % in certain types

of crime (Lambert, 1970; Mawby, 1979; Bottomley and Coleman, 1981).

One researcher commented very pertinently that «it is surely curious that

the only measure of police efficiency, and one that is widely publicised, is

very dependent upon the whim of offenders declaring their interest in pre-

vious exploits» (Lambert, 1970, p. 43). McClintock and Avison (1968)

suggested that is would be more useful, for the purpose of comparing detec-

tion rates of different forces, to exclude those offences cleared up by this

and other «indirect methods» from both the total of crime know to the

police and the total of crimes cleared up, to produce a net figure that could

be described as the «relative detection rate» (McClintock and Avison, 1968,

p. 115).

Further confirmation of the inappropriateness of using the clear-up rate

to evaluate police detective work has come from detailed observational

studies of police investigation and detection work, especially in the U.S.A.

(Greenwood et al. 1977; Sanders, 1977). The majority of crimes that are

cleared up take up a minimum amount of police time; conversely, a tremen-

dous amount of detective work is ultimately «unproductive» — a para-

doxical feature of police work, which no routine statistics can hope to

convey adequately:

The investigator’s daily routine cannot be characterised as devoted

primarily to piecing together clues for the purpose of solving crime.

For the most part he operates in a reactive mode, responding to exter-

nally generated events that require an action on his part… À large

number of incidents come to his attention, but many of them receive

little or no work… If an arrest has already been made, or it is apparent

from the crime report that a limited amount of work will result in an

arrest, then the case is pursued and most of the work involves post-

arrest processing, writing reports, documenting evidence and the like.

À small number of cases are pursued simply because of their seriousness

or importance, but it does not appear that the chances of clearance are

enhanced in proportion to the amount of work.

(Greenwood et al. 1977,p. 118)

Criminological investigations into police clear-up rates appear to have

successfully undermined the idea that they are in any way a valid measure

of the effectiveness of police work in the detection of crime. This message

has not yet percolated through into the common stock of knowledge of

most of the consumers (and abusers) of these statistics. Clear-up rates reflect

complex combination of circumstances, procedures and decisions, entirely

typical of the interactive nature of crime and the production of crime

Statistics.

There is no doubt that the search for valid measure of the effectiveness

of the criminal justice system has provided one of the major motivations for

— 185 —

the study of criminal statistics. The other main focus of criminological

concern in the study of criminal justice has been the apparent disparities

revealed by studies of decision-making at various stages in the process. Apart

from the established international tradition of research into sentencing

disparities in criminal courts, there is now a growing body of research find-

ings on disparities at the prosecution/diversion stage, in parole decisions

and in proceedings for the breach of licences or other court orders. In this

respect, official statistics fuifil what might be called a «provocative» role,

as their data often serve to highlight prima facie variations by showing,

for example, different rates of cautioning in police forces throughout a

country, differential sentencing patterns by courts in different regions,

different rates of parole release from different prisons, and so on. Criminal

justice agencies may often find themselves in the dilemma of having to

choose between releasing more information and leaving themselves open to

accusations of disparities, or restricting the publication of information and

being accused of concealing important data. Criminologists should seek the

dissemination of as much routine decision-making information as possible,

as they have a special responsibility in responding critically to this published

data. Apparent disparities might be able to be explained by the agencies in

terms of criteria that justify the variations, but research can often serve to

challenge official claims. When disagreements arise about objectives or the

means to achieve desired ends, criminologists should be able to help to

resolve disputes, with their contribution not restricted to empirical analysis

but involving critical debate about aims and penal values.

The revelation of disparities in criminal justice decision-making often

leads to dogmatic demands for «consistency», without enough thought

being given to the criteria or guiding principles (if any) on which consist-

ency should be based (Bottomley, 1979, Ch. 3). The wider circulation of

relevant statistics should lead to searching questions being asked about the

aims and procedures of criminal justice policy. Arguably one of the most

important roles for criminologists at the present time is to make govern-

ments, professionals and the general public reassess the basic principles of

public policy in reacting to crime and dealing with offenders. In this task,

the language of «effectiveness» and « disparities» may come to be displaced

by talk of «justice» and « fairness» . The empirical tradition within crimino-

logy may come to be complemented by an equal concern with the social

values inherent in contemporary penal policy.

III. CRIMINOLOGY AS SOCIAL CRITICISM

Criminology encompasses many different types of research, and there

are many different urposes it may serve and uses to which it may be put.

Some criminologists are not at all concerned about the impact their research

— 186 —

might (or might not) have upon the wider society — and there is no reason

why they should be. There will always be a central role for the development

of fundamental theories of criminal behaviour and the « disinterested» eva-

luation of the penal process. On the other hand, those who wish to enhance

the influence that criminology has upon public policy, through the media of

public opinion, professional practice and the political process, may take

comfort from the suggestion that criminological research may in fact have

had more influence than it appears to have done. Îts effects may have been

indirect and subtle, rather than direct and obvious. Previous expectations

were based on an oversimplified view of the processes of social change, and

the role of social research. If the task is seen as one of «enlightenment»,

giving due weight to the social context of policy making and recognising

the collaborative nature of the process of influencing through interaction

and reconceptualisation, then there is considerable room for optimism. The

potential value of research of a more mundane, descriptive kind should not

be underrated, as this may bring to light few facts and situations that can

radically alter people’s attitudes and behaviour. Systematic revelation of

the nature and extent of criminal victimization or documentation of the

experiences of people processed through the criminal justice system could

transform the public perception of the «crime problem» or the meaning

of punishment. The history of penal reform, confirms the power of relati-

vely simple knowledge to bring about change in penal values and accepted

public practices.

Lindblom and Cohen made a similar plea for reappraising the value of

straightforward «reporting» by social scientists, wherein could lie as much

authoritativeness as in the search for «nomothetic generalizations» (Lind-

blom and Cohen, 1979, pp. 83-5). To extend the role of criminologists as

«reporters» might seem to be a very modest ambition; but, within the scope

of the enlighntenment model, the reporting of new facts as well as the deve-

lopment of new theoretical perspectives can reveal a conflict of values that

might bring about new ways of conceptualising the issues at stake, and

consolidate the function of criminology as social criticism :

The enlightenment model… does not consider value consensus a prere-

quisite for useful research. It sees a role for research as social criticism.

It finds a place for research based on variant theoretical premises. It

implies that research need not necessarily be geared to the operating

feasibilities of today, but that research provides the intellectual back-

ground of concepts, orientations, and empirical generalizations that

inform policy. As new concepts and data emerge, their gradual cumu-

lative effect can be to change the conventions policy makers abide by

and to reorder the goals and priorities of the practical policy world.

(Weiss, 1977b, p. 544)

— 187 —

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— 190 —

PROBATION WORK IN SMALL AGENCIES

A NATIONAL STUDY OF TRAINING PROVISIONS

AND NEEDS

David Fogel*

1. BACKGROUND OF STUDY

In 1977, the National Institute of Corrections (NIC) included in its

Annual Program Plan a solicitation to study small probation agencies dealing

with adult offenders and to provide guidance for staff training. The grant

award was eventually made to the Office for Law-Related Research, Univer-

sity of Illinois at Chicago Circle. The research project began in September

1979. A final report draft was submitted in August 1980 to NIC. The pre-

sent report is a summary of that two-volume document (Thomson and

Fogel, 1980) and an introduction to the sequel policy analysis effort — The

Probation Mission Project — which began in March, 1980 and is still in pro-

gress.

Rationale and Assumptions

As concerns about crime increased in the late 1960’s and 1970°s,

governmental efforts were directed at increasing the capacity of criminal

justice agencies to control crime and ensure justice. These efforts included

the development of training and other staff development mechanisms to

improve performance. Notable symbols of these efforts were the Law Enfor-

cement Assistance Administration (LEAA) created by the Omnibus Crime

Control Act of 1968, the National Institute of Corrections created by the

Juvenile Justice and Delinquency Prevention Act of 1975, the report of

several national study commission, and the proliferation of criminal justice

courses and programs in colleges and universities.

À hallmark of the nation’s deep concern with crime and its control was

the emphasis on urban problems. Funding flowed to agencies in urban areas.

The recommendations of the study commissions and the standards they

promulgated were oriented toward larger agencies in urban areas. The pro-

blems were big; the front-line agencies were big; the proposed remedies were

designed with the big agencies in mind.

All of this led to a perception by some that small agencies and rural

areas were being neglected. Organized expression of the interests of rural

* Dept. of Criminal Justice, Behavior Science Building, U.S.A. Chicago, IIl

60680.

— 191 —

areas — and by implication, of small agencies — was articulated with

increasing cogency and urgency in the mid and latter years of the 1970?s.

Probation is one of the areas in which there was this initial definition

of the situation in urban and large-agency terms, a subsequent perception

of neglect of rural areas and small agency needs, and finally a corrective

response. This study represents a part of that response. Hence, this has been

a knowledge-building effort, designed and implemented to provide broad-

based accounts, both numerical and narrative, of the realities of probation

work in small agencies. Subjects addressed range from the larger organizatio-

nal environment through community context and agency structure to the

opinions, behavior, and everyday work activities of individual probation

officers. The unifying thread in this exploration is training — what agencies

provide, how probation officers assess it, what more needs to be done, as

well as the place of training in the context of other elements of probation

policy.

Despite the exploratory nature of the research, there were certain gene-

ral assumptions, incipient hypotheses actually, which guided design of the

data collection plan. Important among these were expectations that small

Or rural agencies are advantaged in terms of community integration and

organizational capacity for flexibility and modest innovation and disadvant-

gaged in terms of resources available, organizational capacity for specializa-

tion and large-scale innovation, geographical distances to cover, and staff

turnover experienced. More specific and complex expectations emerged in

the course of our literature review (Thomson and Fogel, 1980: 47-86).

Attempts have been made to speak to such expectations by relating

findings of this resarch to earlier research. However, given the conditions

under which earlier research was conducted, absence of exact replications

of items and other differences in research design, and the focus of our

primary research on small agencies, this study should be considered a basic

knowledge-building and hypothesis-generating effort rather than a hypo-

thesis-testing one.

Definition and Study Design

For the purpose of this project, as small probation agency was defined

as an administrative unit responsible for performing adult probation duty,

and staffed by nine or fewer probation officers. This definition encompasses

most of the adult probation agencies in the country with 41% (1,675) of all

probation and parole agencies in the United States and its territories, and

75% of those with adult probation responsibilities, comprising our universe.

Two important characteristics of this definition should be noted. First,

those probation agencies dealing exclusively with juveniles are excluded.

This reflects a division of labor within the Federal government with NIC

focusing on adults and the Office of Juvenile Justice and Delinquency

— 192 —

Prevention on juveniles. Second, our definition of agency, following that

used by LEAA and the Bureau of the Census, includes branch as well as

main offices. Although this definition diverges from customary usage of

‘’agency”’, there were cogent reasons, both substantive and operational, for

defining it this way. Important among these were the opinion that it would

be counterproductive to exclude an entire segment of an ignored field about

which the study was to be developing knowledge, and the recognition that

while policy may be made at the central office, it is implemented at the

branch office.

There were two main objectives in the pursuit of the research program:

(1) to develop a general knowledge base about small probation agencies, and

(2) to gather and focus information on the training needs, requirements,

predilections, and imperatives of probation officers in these agencies. Four

phases of research were pursued to meet these objectives, and were as

follows:

— review of the literature

— survey of administrators of small agencies

— survey of probation officers in small agencies

— field visits to small agencies

The literature review concentrated on earlier studies of small agencies but

also considered contemporary issues in probation as they relate to the small

agency. The review helped in formulating questions to be asked in establish-

ing a research program capable of addressing them. It also contributed to

the systematization of existing knowledge regarding small probation agen-

Cies.

The surveys were conducted under sub-contract to the UICC Survey

Research Laboratory, and were executed in accordance with state of the art

standards, including rigorous instrument development procedures, pre-

testing, multiple mailings, editing, and complex coding operations. The Sur-

vey of Agencies questionnaire (SA) was designed to provide data describing

the basic structure, organizational environment, operations, and training

provisions of the agencies and to facilitate entree for the Survey of Proba-

tion Officers (SPO). In addition to eliciting basic demographic and back-

ground information, the SPO questionnaire was designed to identify what

probation officers do, what they think about their work, and by implica-

tion, what training is most appropriate for them. The surveys were con-

ducted by mail. À systematic random sample of agencies stratified by state

rate of 70% was achieved. A comparable useable response rate (67%) was

obtained in the survey of probation officers with 1105 probation officers,

out of 1609 listed in the SA questionnaires, returning completed SPO

questionnaires.

The field visits were designed to add texture to the data gathered

through the mail surveys. Whereas the surveys permitted the collection of

— 193 —

data on a broad cross-section of small probation agencies, the visits were

intended to develop more indepth information about a small sample of

them. As such, the visits were conducted as unstructured interviews and as

observation opportunities. The focus was on how these agencies function,

what constraints bear on them and what opportunities were afforded to

them, how the probation officers staffing them view their work, what they

do, what directions they think that the field should be taking, what training

they have experienced, and what they want from training. That is, we

wanted to understand this type of organization by getting close to what

probation officers do and feel — at least as close as a visit of a day or less

from a stranger would permit. By getting close to the situation, we hoped

to discern how probation officers structure their realities, and in particular

what meanings they attach to the concept of training and to training exper-

lences.

Broadly constrùed, 35 field visits were conducted during the project.

These included attendance at five state, regional, and national conferences

concerning probation and three consultations at state probation administra-

tive offices in two states. The remaining 27 visits covered small agencies

at the local, state, and Federal levels in 14 states. Site selection criteria

included the maximization of diversity, concentration on important types,

e.g., as defined by locus of administration and rural/urban location, and

consideration of propinquity and convenience factors.

Analysis procedures for the survey data consisted of examining fre-

quency distributions, applying descriptive statistics, and constructing con-

tingency tables with subsequent use of statistical tests of significance and

association. The principal aim in all of this was to generate a basic syste-

matic knowledge base about small probation agencies. In pursuit of this

aim, we employed a general analytic strategy of elaboration analysis

(Rosenberg, 1968), an approach in which the focus is on specifying, in

progressively refined analyses, how relationships vary or are maintained

under different conditions. Thus, this approach was quite useful, for exam-

ple, in documenting differences and similarities in small agency probation

work across urban/rural, Federal/state/local, and main office/branch office

dimensions. Analysis of field materials was similarly oriented toward basic

knowledge-building with major products being typologies or partial typo-

logies of agencies and officers. Efforts were also directed at using survey

data and field materials interactively to suggest further analyses and to

supplement descriptive findings. Some of the findings from both the surveys

and the field visits are presented in the following pages.

II. THE STATE OF TRAINING

IN SMALL PROBATION AGENCIES

Five central findings emerged from the research regarding training and

recommended actions in this area. They are as follows:

— 194 —

l) training is being extensively provided ;

2) a wide array of subject areas is being addressed ;

3) training provided is generally well-received ;

4) there are, however, significant gaps in the delivery of training;

5) scores of thousands of offenders are being supervised by probation

officers who have received no training in the past two years.

Pervasiveness and Diversity

To determine how much training is being provided for probation offi-

cers in small agencies, we asked the officers in charge whether their agencies

had training for new probation officers and whether they had training for

experienced probation officers in 1977 and 1978. We also asked how many

hours of training probation officers in the agency received on the average

from each of these three programs. As indicated in Table 1, sizeable majori

ties of these agencies reported having both entry-level and in-service training

programs.

Table 1

Extent and Amoint of Training Reported by Officers in Charge

(N = 551)

Mean Number

Number of Hours

Percentage of Smail

Probation Offices

of Hours for Average

for Average Officer

Officer for Agencies

for All Reporting

Reporting Training

Programs:

Agencies:

Programs for:

Median

Mean

Median

Mean

New Officers - 64% (35) . .

60

121

40

18

Experienced Officers

In

1977 - 65 % (343)

. À . À .

32

35

16

22

in

Experienced Officers

1978 - 72% (399)

e À . . .

40

39

24

28

——

Source : Survey of Agencies, 1979.

To get some idea of what type of training probation officers in small

agencies receive, we asked the officers in charge what subjects were covered

in the various training programs. The questions provided for open-ended

responses. The officers in charge provided a broad array of training subjects

covered. We evolved a coding scheme designed to capture the diversity and

specificity of the responses while providing a means of using more general

subject areas in some analyses. Table 2 illustrates some of the specific sub-

jects coded within the fourteen general subject areas. The latter emerged

from the responses and our understanding of major skill and knowledge

areas important for probation work.

— 195 —

In our analysis of training provisions for the three program periods of

interect (entry-level, in-service 1977, in-service 1978), we found that the

presentence investigation was the preeminent subject to be taught to new

probation officers. Subjects concerning administrative policies and proce-

dures, general work skills, orientation/general knowledge, and supervision

methods followed with roughly the same frequency each.

Perhaps the most striking finding about in-service training provisions in

1977 and 1978 was the consistency of the rank ordering of subject areas.

In fact, the nine subject areas most frequently offered varied no more than

one rank during the two years. Also, while each major subject area was

reported by more agencies for 1978 than for 1977, four were mentioned

more than twice as often for the latter year: presentence investigation, drugs

and alcohol, community resources, and juvenile matters.

Gaps

Given these findings, one might ask, where then is the problem? The

problem is twofold: (1) because probation is organized under scores of aus-

pices throughout the nation, there are pockets of both wealth and depriva-

tion, and (2) even in the aggregate, there is a shortfall in training provisions.

Systematic Differences in Training Provisions

The question naturally arises as to whether the provision of training

varies by type of agency. Does a greater proportion of state-administered

than of locally-administered probation agencies receive training? Within

given types of systems, are rural agencies more deprived than urban ones?

Controlling for the locus of administration, does training vary across the

regions of the country? In short, the answers are: yes, no, and a qualified

no.

As indicated in Table 3, there are considerable differences between

state and local small agencies at all three training points (entry-level, in-ser-

vice 1977, and in-service 1978) observed. At each of these points smaller

proportions of local than of state agencies receive training with the percen-

tage differences ranging from 23 (1977 in-service) to 35 (entry-level). While

the data indicate aggregate in-service training gains from 1977 to 1978 at

the Federal, state, and local levels, the last of these continues to lag behind

with 2 out of 5 reporting no in-service training program for 1978 and a

majority having no entry-level training.

In attempting to explain this difference, main office status proves to be

an important variable. There is no statistically discernible difference with

regard to training provisions among Federal, state, and local small agencies

which are branch offices. The correlate of‘training gaps at the local level is

found instead in main offices. Here we find a 31 percentage point differ-

ence between state and local agencies with reference to whether any training

— 196 —

Table 2

General Subject Areas and Examples of Specific Subjects Coded

Within them in Processing the Survey of Administrators (SA) Questionnaries

General Subject Area

Examples of Specific Subjects Coded Therein

Administrative Policies

Legal rights of officers, Departmental concerns,

and Procedures

State concerns, Caseload management, Proba-

tion standards/professionalism/ethics

General Work Skills

Clerical/paperwork, Communication skills, In-

terviewing, Information processing and systems

Management/supervisory techniques, Survival

techniques/staff development, Interorganizatio-

nal skills

Court and Legal Skills

Court etiquette and procedure, Investigation,

(special), Probation revocation, Restitution,

Fee collection, Special hearings

Law

Correctional law, New legislation, Sentencing,

Legal research, Paralegal training, Interstate

compact, Confidentiality, Constitutional rights

of defendants, Decriminalization

Law Enforcement

Police training, Firearms, Safety and security

Community Resources

Programs,

Utilization/management,

Skills,

Diversion

Supervision Methods

Supervision objectives, Probation plan, Super-

vision-related _ investigation, Relationship to

probationer (role of probationer), Relation-

ship to probationer (role of officer), Parole/

manadatory

release,

in

smalil

Supervision

agency/rural agency problems

Counselling Knowledge

Traditional techniques (e.g., diagnosis, crisis

and Techniques

intervention, environmental problem solving),

Non-traditional

techniques (e.g., probation

contracting, reality therapy, transactional ana-

lysis), Knowledge (e.g., learning disabilities,

group dynamics)

Counselling - Participant

Individual, Group, Family/marital, Victims,

Types

Mentally ill, Mentally Retarded, Young Adults

Juvenile

Counselling, Laws, Status Officers, Investiga-

tions, History/court report writing, Rights/

advocacy

Drugs and Alcohol

Drug identification, Drug treatment, Alcohol

Identification, Alcohol counselling

Pre-sentence Investigation

Investigation, Report writing, Interviews, Clas-

sification

General Knowledge -

To system, To Department, To job, Visits of

Orientation

to institutions

Residual

On the job, training manual, general, other

agency

— 197 —

was reported in 1977 or 1978 or as part of an entry-level program. This

finding is supportive of the supposition of a relationship between organiza

tional size and training provisions from whence this project sprang.

State and local differences in training provisions are not explained by

urban-rural differences, at least not at the small agency level. We found no

statistically discernible differences in training provisions between urban and

rural small agencies at the Federal, state, or local level using the two

summary measurées.

Table 3

Small Agency Training Provisions by Locus of Administration

(N = 551)

In-ser-

Either Entry-

Locus of

Entry

Level or in-

Administration

level

1978*

vice

Either*

1977*

Service (1978

or 1977)*

Federal (90)

11 %

79 %

69 %

82 %

90 %

State (271)

78 %

82 %

73 %

87 %

94 %

Local (190)

° ° . ° . ° .

43 %

57 %

50 %

62 %

68 %

* Statistically discernible difference among Federal-State-Local small agencies at .001

level, using chi-square test

Source, Survey of Agencies, 1979.

Finally, we consider regional differences. Generally, there are no differ-

ences within the three major system types in training provisions across the

regions of the country. This conclusion must be tempered somewhat for

local small agencies, however, due to the cell sizes involved and trends

appearing in the data. In particular, the percentage differences among

regions are striking at the local level particularly when compared with the

Federal and state levels. This incipient regional difference among smail local

agencies is mainly attributable to the lack of entry-level training among such

agencies in the South.

Aggregate Shortfalls

The second problem can be considered in terms of both minimum stan-

dards and numerical projection. From the perspective of minimum stan-

dards, it is not entirely satisfactory that 28% of small agencies had no in-ser-

vice training in 1978, only 36% (186) had 40 hours or more, and only half

(260) had at least 20 hours for the average probation officer. Likewise,

there is the unambiguous finding that 17% (189) of the probation officers

reported that they received no training from 1977 to 1979. Considering

— 198 —

training not as a nice diversion but as a fundamental element of professional

development, the aggregate level of training suggests that despite great gains

in recent years and an amount of training surpassing our expectations,

there is still considerable room for improvement and expansion. And many

probation officers share this opinion ; 42% (454) agree or strongly agree with

the statement, ’’A serious problem in probation work is that sufficient train-

ing has not been provided for staff”’. Similarly, 52% (262) of the officers in

charge reported that they would have liked their staff to have received more

training in 1978 than they actually did.

The second sense in which aggregate small agency training deficiencies

are too great is realized when we indulge in numerical projection, i.e., trans-

lating our responding sample findings into population estimates. Applying

an elementary algorithm, we estimate that over 800 small agency probation

officers have not had any training in the past two years. Projecting from

sample averages, we estimate that these training-deficient probation officers

have over 63,000 individuals under their supervision, and are assigned over

43,000 presentence investigations a year.

What Probation Officers Want

Although it is important to know what kinds of training are being pro-

vided to probation officers and how many are being trained, such know-

ledge does not indicate what more should be done. It is necessary to know

also how the different types of training subjects are being received. Thus,

probation officers were asked to identify the most and least beneficial

subjects recently experienced and the reasons for those assessments. They

were also asked to identify the five subjects they would include in a training

program for experienced probation officers. Such findings, presented in

this section, comprise a consumer preference inventory for small agency

probation training.

Table 4 contains ratios of the number of ”most beneficial” to ”least

beneficial” nominations for each major training area. This procedure con-

trols for exposure with areas ranked in terms of ratios which can theore-

tically vary between O and infinity. Empirically, the ratios for the general

subject areas range from 4.5 to 0.4. The average (mean) ratio for subject

areas is 1.6 since 859 probation officers identified a training topic as most

beneficial but only 528 mentioned one as least beneficial. The reader can

readily observe that some areas with relatively few total mentions rank

above the average, e.g., counselling targets, and some with relatively many

total mentions rank below the average, e.g., general work skills. This

suggests that the beneficiality ratio approach is standardizing for exposure

to training. They key point is that beneficiality is not being determined

simply as a function of familiarity with particular training subjects.

— 199 —

Table 4

Ratio of Most Beneficial to Least Beneficial Mentions

for Each Recent Training Subject Area

Ratio of Most

Ratios for Some Frequent

Subject Area

to Least Bene-

Sub-Types

ficial mentions

Drugs and Alcohol Abuse

4.5 (100/22) | Drugs and alcohol/chemical de

Identification/Treatment

pendency (8.3), Alcohol (7.0),

Drugs (1.4)

Law

4 3 (100/23)

New legislation/court decision

(1*), Correctional/probation and

parole law (I), Sentencing (5.5)

Counselling Knowledge

28 (167/59)

with difficult human behavior

Reality therapy (7.0), Dealing

and Techniques

(5.7), Crisis intervention (3.6),

Family dynamics (2.2), Beha-

vior management (1.9), Transac-

tional analysis (0.8)

Pre-sentence

2.6 (65/25)

Undifferentiated/format

(2.5),

Investigations

. . . ° . ° ° .

Report writing/preparation (2.2)

Supervision Methods

23 (52/23)

Relationship to probationer (2.3)

Counselling (Whom). .

2.0 (24/12)

Family/marital (3.8)

Court/Legal Skills

. À . . À

1.8 (28/16)

Investigation (2.3)

Administrative Policies

1.7 (64/37)

Caseload management (3.6), De-

and Procedures

e » . À « . °

partmental concerns (3.0), Pro-

bation standards/professiona-

lism (0.2)

Juvenile

° . . . » * ° . » e à °

1.6 (25/16)

Laws (5.0)

Residual

. »À . . . » . à e .

1.3 (14/11)

General Knowledge/

1.0 (44/42)

To duties of probation officer

Orientation

(2.8), To systems (0.4), Visits to

institutions (0.4)

General Work Skills . .

1.0 (131/126)

Interviewing (3.1), Communica-

tion skills (2.0), Management/

supervisory

techni

ues

(1.7),

Survival techniques

f

staff devel-

opment (0.7), Interorganizatio-

nal skills (0.6), Clerical/paper-

work/record-keeping (0.4), In

formation processing and sys-

tems

(0.1)

Law Enforcement

. À e À .

0.5 (30/61)

Police training (0.6), Firearms

(0.4), Safety and security (0.3)

Community Resources

04 (15/34)

Utilization (0.5), Job placement/

vocational counselling (0.3)

TOTAL

1.6 (859/528)

Source : Survey of Probation Officers, 1979.

— 200 —

In examining the table, it is clear that two subject areas — drug and

alcohol treatment and law — are substantially more popular with probation

officers in small agencies in terms of the ration of ’’most beneficial” to

’least beneficial” mentions than are the twelve other general subject areas.

Other areas considered particularly valuable are: counselling knowledge and

techniques, pre-sentence investigation, supervision methods, and counselling

targets. The least valuable areas in the aggregate opinion of these officers

are community resources and law enforcement followed by general work

skills and general knowledge/orientation.

We can readily observe from the right-hand column in Table 4 that

there is quite a bit of variation in beneficiality ratios among sub-types

within a given subject area. For example, while reality therapy is rated very

highly (7.0), transactional analysis training is assessed quite poorly (0.8), far

below the average (2.8) for the general subject area of counselling know-

ledge and techniques within which both it and reality therapy are catego-

rized. Recognizing the deviations of some sub-types from the score for the

general area will be important in any attempt to use these findings for train-

ing in interviewing (3.1) or communication skills (2.0) because of the 1.0

ratio for the general work skills subject area would be foolish when the

ratio has been suppressed by survival techniques (0.7), recordkeeping (0.4)

»

and other poorly rated sub-types. Of particular interest is the poor rating

for alcohol-only treatment (7.0) and combined alcohol-and-drug treatment

(8.3). This seems consistent with our field visits in which probation officers

have alluded to the prevalence of alcohol involvement and the less serious

involvement with drugs alone.

These variations suggest a more fundamental limitation of these data.

Even at the sub-type or individual subject level, the only thing uniting

training experiences under a give category is the label for the category.

There can be, and no doubt are, wild fluctuations in the content and format

Of training experiences classified under the same label. The reader is thus

cautioned to recognize the aggregate character of this analysis, and its objec-

tives of describing in a global sense what exists and providing general direc-

tions for future training initiatives.

In addition to asking what training was provided and which of those

experiences were most and least beneficial, we also inquired as to what

training should be provided. In Table 5, we display findings regarding what

probation officers believe constitutes an ideal training curriculum for

experienced probation officers.

Again we observe the ”usual suspects” being mentioned. Probation

officers in small agencies think that the ideal curriculum for experienced

probation officers would emphasize general work skills, counselling know-

ledge and techniques, and law. Other subjects mentioned with frequency

(more than 6% of the total) are: supervision methods, community

— 201 —

resources, administrative policies and procedures, drug and alcohol treat-

ment, and the presentence investigation. The reader will observe in the right-

hand column the subject sub-types which are frequently nominated for

inclusion in the ideal curriculum.

In summary, major findings of this assessment include the following:

Table 5

Number of Mentions for Subjects to be included in Ideal Inservice

Training Programs Designed by Probation Officers (N equals 3955)

% (Number)

Subject Area

of Mentions

Some Frequent Sub-Types

as One of Five

(Number of Mentions

Subjects

General Work Skills .

17% (672)

Communication skills (288), Sur-

vival techniques/staff develop-

ment (187), Interviewing (182),

Inter-organizational skills (107),

Management/supervisory techni-

ques (79), Information process-

ing and systems (55)

Counselling Knowledge

16% (622)

Dealing with difficult human

and Techniques

behavior (73), Crisis interven-

tion (53)

Law

12% (464)

New legislation/court decisions

(98),

Correctional/probation

and parole law (94)

Community Resources

9% (345)

Utilization (101), Program infor-

mation (40)

Supervision Methods

9% (353)

Relationship to probationer

(170)

Administrative Policies

7% (273)

Caseload management (175)

and Procedures

Drugs and Alcohol Abuse

7% (267)

Drugs and alcohol/chemical de-

Identification/Treatment

pendency (192), Drugs (50)

Pre-Sentence

7% (266)

Report

writing/preparation

(110), Undifferentiated/format

(95), Investigation (58)

Court/Legal Skills

S% (210)

Court etiquette and

rocedure

(70), Investigation (40

General Knowledge/

4% (155)

Orientation

Law Enforcement

4% (154)

Police training (76), Safety and

Security (73), Firearms (S7)

Counselling (Whom)

3% (113)

Family/marital (76)

Juvenile

2% (61)

Residual

1% (44)

TOTAL

° . À . ° . À e . À . À

100% (3955)

Source : Survey of Probation Officers, 1979

— 202 —

e drug abuse and alcohol treatment and law were the most beneficial

recently experienced training topics:

e community resources and law enforcement were the least beneficial

recently experienced training topics;

e according to STSPA respondents, an ideal curriculum for experienced

probation officers would include training in general work skills, counseling

knowledge and techniques, and law;

e incorporating these findings regarding beneficiality and desirability

with findings regarding exposure to particular topics (Thomson and Fogel,

1980: 163, 247), we suggest the following general guidelines for training

development and delivery:

— training in the general work skills and community resources areas

should be improved;

— law and counseling training are ”safe bets”;

— training in drug and alcohol treatment, supervision methods, and

presentence investigation should be expanded ;

— law enforcement training should be de-emphasized.

Recommendations for Small Agency Probation Training Development

Based on analysis of the training data, three sets of training recommen-

dations were advanced (Thomson and Fogel, 1980: 236+7). They are

briefly summarized below in ascending order of priority.

Model Curriculum Guidelines

We do not advocate an exemplary training program for small probation

agencies. The heterogeneity of the field and of previous and current training

provisions argue persuasively against such an approach. However, the

findings of the Staff Training for Small Probation Agencies project can be

useful in providing general guidance and orientation in the continued

development of training in this area. Thus, summary implications about the

difficult task of improving training in general work skills and community

resources, about the likelihood of receptivity to training in law and legal

issues and counseling knowledge and techniques, and about the desirabilty

»

to expanding training in the areas of drugs and alcohol, supervision methods

and presentence investigations can be considered in the initial planning

stages of large scale staff development efforts. While trainers will eventually

Want to target needs assessments to the population ‘being addressed, the

STSPA data and report can be a low-cost place to start.

Targeting Training

Three types of targeting are suggested by our analysis and interpreta

tion of the data: by geographic region, by locus of administration, and by

timing of training. Concerning the regional approach, our analysis revealed

— 203 —

geographic clustering of small agency probation officers who reported

receiving no training in the preceding two years. Thus, ten states accounted

for two-thirds of all such officers in the nation at the state and local levels,

six states for a mojority, and two states for almost a quarter. That these last

two states are also adjacent to each other, and lack a state-administered

probation system, yet have central offices for monitoring and guidance, and

appear to have compatible training needs (particularly in the areas of law

and legal issues, court and legal skills, and supervision methods), would seem

to constitute an ideal area for festing a regional approach to training.

One of the hallmarks of the small probation agency field is isolation.

Moreover, training is disproportionately lacking in small agencies admi-

nistered at the local level. À means of dealing with both of these problems

is to work through professional associations in states or regions in which

locally-administered agencies are concentrated. Another approach is to aid

small agencies in developing their own training programs or to provide

stipends for probation officers who work alone or with a few others to

attend training sessions elsewhere.

Finally, small probation agencies which are part of state probation

systems need not be ignored in the targeting of training. The general prin-

ciple here would be that in working with state probation systems in impro-

ving their staff development programs, NIC staff or NIC grantees would

ensure that the requirements of small agencies and their officers be taken

into account.

The third area for targeting is the timing of training, particularly the

provision of entry-level programs. Over a third (36%) of all responding

small probation agencies reported they do not have a training program for

new officers. Moreover, such agencies constitute a majority (57%) of those

administered at the local level. When one stops to consider that for as many

as a third of small agency probation officers, probation work is their first

paying civilian career, the gaps in entry-level training become even more

impressive. Mechanisms suggested in the preceding paragraphs could also

be used in ameliorating this problem.

Alternative Means of Providing Training

The approaches suggested thus far share the potential liabilities of lack

of comprehensive coverage and lack of continuity. Four alternative ap-

proaches to providing training are thus worthy of consideration. First, there

is the possibility of correspondence course development. This effort could

build on the substantial experience of the NIC Jail Center. This option poses

significant logistical problems and suggests perhaps that certain prior policy

questions must be dealt with first, e.g., whether NIC (or anyone else) has

any interest in establishing a National Probation Center which among other

— 204 —

responsibilities could be charged with the various administrative respon-

sibilities associated with the correspondence courses. Second, a network

of continuing education arrangements could be established. The place to

start on such a complex venture might be to convene a conference of

appropriate educational and correctional administrators to discuss its feasi-

bility. Third, the accreditation process could be publicized as a training and

staff development opportunity. This would seem to be an inexpensive

effort which could tie in advantageously with American Correctional

Association efforts in this area (Weber, 1980), Fourth, the combining of

reference materials with instructional responsibilities for local experts seems

to be a quite promosing approach (Newberger, 1980). It would not require

the administrative machinery necessitated by correspondence courses, it

would facilitate getting training materials directly into the hands of proba-

tion officers in the remotest areas of this country, and it would permis con-

tributions by a variety of grantees working on an array of subject areas.

Again, the amount of funding required to test this approach would be

modest and presumably could easily be adjusted up or down depending

on the findings of initial evaluations.

IIT. THE NATURE OF PROBATION WORK

IN SMALL AGENCIES

In the preceding section of this report, we have examined what types

of training probation officers in small agencies have recently received, how

they assess it, and what thypes of training they think should be provided.

This information gives us a good idea of what subject areas are popular with

small probation agencies and the officers who work for them. We now want

to examine the rationales by which probation training is and should be pro-

vided. Implicit in this approach are our opinion that there are normative

bases for probation training and our notions about what these should be.

Our approach is quite simple. We posit that determinations of what

training probation officers should receive requires prior consideration of

two other matters. First, it should be determined what the role of the pro-

bation officer should be. From this one should then discern what skills are

incumbent on the identified role or roles. Presumably such a process could

be conducted as a deductive exercise. This, however, is a research effort in

which we are attempting to work back and forth between the inducive and

the deductive, between the empirical and the normative. Continuing in this

manner then we work back from training exposure and popularity to skills

and then to role orientations.

Education and Prior Work Experience

Probation officers in small agencies tend to be a well-educated group of

individuals. Although 11% (124) of the responding probation officers

— 205 —

reported that they had not finished college, 29% (323) had earned their

baccalaureate degree only, 32% (353) had also received some education

beyond the undergraduate, without earning an advanced degree, and 27%

(301) had received a graduate or professional degree. Although we do not

have information about undergraduate major fields of these probation

officers, we assume that they tended to concentrate in the behavioral and

social sciences. Some support for this notion comes from the data on areas

in which they earned master’s degrees; besides the 4% (46) who earned

master of social work degrees, the great majority of the other 22% (247)

received advanced degrees in such behavioral/social science or human

services fields as corrections, criminal justice, counseling, communications,

psychology, or sociology. Ît seems then that the education received by

probation officers is quite congruent with the kinds of skills they deem

important and with conventional opinions in the field about what pre-

service education should be. It should be noted that we do not know what

proportions of educational experience came after entering probation work

and thus may have been even more directly tied to job requirements Or

career advancement incentives.

To get an idea of how probation officers in small agencies are prepared

by their prior experience for probation work, we asked what their main

occupation was before entering the field. À slim majority of respondents

report that their previous main occupation was in a field traditionally con-

sidered akin to probation work, i.e., employment in criminal justice agencies

(23%) or in the human services field (28%). Prominent in the former area

are law enforcement (11%) and social work/counseling in a correctional

setting (5%) jobs. Frequently mentioned prior human services positions

were in social work/counseling (17%), presumably in an non-correctional

setting, and teaching (10%). Prior experience in criminal justice or human

services would seem to be what administrators have in mind in preferring

related prior work experience of recruits.

We do not know whether the 49% of probation officers in small

agencies who did not have prior experience in a closely related field (at least

as their main occupation) before entering probation work is high or low

compared with their counterparts in larger agencies. But it does suggest

rather clearly the need for both entry-level and in-sevice training programs.

In the next sub-section, we consider whether the amounts of training being

provided are sufficient. Particularly striking is that for as many as 28%

— previous probation/parole work, student, none, and homemaker/parent —

of these persons, probation work is their first paying job.

What Probation Officers Do AIl Day

Table 6 indicates the distribution of their work time as reported by pro-

bation officers in small agencies. The first column to the right of the work

activities reports the arithmetic mean and the third column the median.

- 206 —

The middle column containing the standard deviations provides a measure

of the extent of variation in the sample around the average for a given cate-

gory. The greater the ratio of the standard deviation to the mean, the more

variation there is in the sample. We observe then that there is the greatest

concentration around the mean for face-to-face supervision/counseling of

clients in the office and the least concentration around the mean for admi-

nistrative duties. This suggests that the former is the most prototypical

small agency probation officer activity, particularly given the size of the

mean, and that the latter is the least prototypical small agency probation

officer activity. Similarly, client contact activities and community agency

related activities in general seem to be more prototypical than duties rela-

ting to investigation, court responsibilities, or the maintenance of the

agency.

These findings can be compared with previous time studies. Allen,

Carlson, and Park (1979: 80-2) have summarized the results of seven time

studies at the Federal, state, and local levels. While it is not clear what pro-

portion of the probation agencies involved were small, we assume that these

findings, representing what is known generally about probation officers’

allocation of time, reflect a cross-section of agencies of varying sizes. Allen

et al. report (1979:81):

…the evidence suggests that probation officers devote approximately

one-third of their working time to pre-sentence investigations, from

two-fifths to one-half of their working time to supervision, and the

remainder of their time to activities classified as ’other”, which in-

cludes, among other things, administrative duties…

Given the differences in methodologies and categories used, our fin-

dings appear sufficiently close to these previous studies to be considered

equivalent. The comparable percentage allocations for probation officers

in small agencies are 26% for pre-sentence investigations (defined as acti-

vities e, f, g, and i), 43% for supervision (defined as activities a, b, c, d), and

31% for other (defined as h, j, k, |, m, and n) activities.

The second set of job demand indicators to be examined is caseload

distributions. Data regarding the types of cases for which probation officers

are responsible reveal that most probation officers in small agencies do pre-

sentence investigations, supervise primarily adult probationers, and have a

mean supervision caseload of almost 80 (with a median of almost 60). (The

preponderance of adult probation cases reflects the operational definitions

Of this project in selecting for study only probation agencies which deal

With adult offenders, consistent with the mandate of NIC). If we use a tra-

ditional workload determination formula of one unit for each supervision

case and five units for each pre-sentence investigation, the gross mean work-

load figure is 103 work units (with a gross median of 74.4).

— 207 —

Table 6

Hours Spent in 14 Work Activities Per Average Week as Reported by

Probation Officers in Small Agencies

Number of Hours in an

Average Week Spent In

Work Activities

Standard

Mean

Deviation | Median

Face-to-face supervision/counseling of

clients in the office

8.1

6.3

6.9

clients in the field

. À . ° ® . . ° ° . ° . . °

5.3

4.8

4.2

Supervision/counseling of clients by

telephone or mail

° ° » ° ° . ° ° . ° ° . . .

3.1

2.7

2.3

Advocating with agencies and other

organizations on clients’ behalf

2.0

1.7

1.6

Working with and making referrals

to community agencies

2.0

1.7

1.6

Information gathering for presen

tence investigation reports

. ° .… À . À ° . .

4.5

4.3

3.7

Other investigative duties

2.5

2.6

1.9

Writing presentence investigation and

other reports to the courts

° . ® ° ° . À .

4.0

3.9

3.3

4.1

3.9

3.3

Other paperwork

Making presentations in court

° . . . À .

1.5

2.0

].1

1.3

1.7

0.9

Waiting to appear in court

. . ° . ° ° . * °

Traveling

. » ° e » . À ° ° ° . . À . . . À . . °

4.0

3.8

3.1

Staff meetings

. » . ° . À ° ° . ° ° . . ° . » °

0.9

1.1

0.8

Administrative duties

° ° . À ° . À . ». . À .

3.2

6.0

1.2

pgarTr->=

°

Other activities (please specify)

1.0

0.0

TOTAL HOURS

473

164

42.5

Source: Survey of Probation Officers, 1979

These caseload figures can be compared with those generated by the

LEAA/Bureau of Census 1976 survey of state and local probation and

parole agencies (U.S. Department of Justice, 1979). According to this

national study, counselors in agencies with adult probation responsibilities

had an average client caseload of 55.4 (1,121 350 clients divided by 20,229

counselors) on September 1, 1976 (U.S. Department of Justice, 1979: 70).

The mean supervision caseload of adult probation officers in small agencies

— 208 —

at 79.5 is suÈstantially larger (44% larger) than that of adult probation

officers in general. Similarly, probation officers in small agencies are as-

signed more presentence investigations per month than are probation of-

ficers in general. The respective figures are 4.5 and 2.8 or 61% more pre-

sentence investigations for probation officers in small agencies (U.S. Depart-

ment of Justice, 1979: 29, 70).

In summary, the caseload demands on probation officers in small

agencies appear heavy ; they appear even heavier when consideration is given

to the informal caseload which we are told is a significant part of some smail

probation agency workloads. The caseloads are also differentiated fre-

quently in terms of age and legal status of clients and sexual and racial/

ethnic composition. This situation is sometimes reflected in the interest of

probation officers in training about dealing with probationers with pers-

pectives or needs associated with gender or racial/ethnic status.

À Partial Typology of Probation Officers in Small Agencies

A number of researchers and commentators have focused on the con-

flict between the probation officers’s responsibilities for (legal) control of

the probationer and for (social service) assistance to the probationer. À

popular strategy has been to develop typologies of probation officer role

conceptions and behaviour based on the emphases they place on these res-

pective responsibilities. Hence, Pownell (1963) and Glaser (1964), for

example, proposed a four-fold classification consisting of probation officers

characterized as paternal (high on the control dimension, high on the assis-

tance dimension), welfare (low, high), punitive (high, low), or passive (low,

low) agents.

In the present study, while we have reviewed previous research in the

control/assistance tradition (Thomson and Fogel, 1980: 72-7) and have

framed some of our discussion and data analysis in these terms (Thomson

and Fogel, 1980: 223-35), we also have inductively developed new partial

typologies. These characterizations of probation officers and agencies

emerged from our field visits to small agencies and interviews with proba-

tion officers staffing them, as well as from our own work experiences in

probation and probation-related agencies. We consider first five types of

probation officers encountered in the visits. Fach of these vignettes con-

cerns the officer(s) of one agency encountered in our field visits across the

country. They are presented to provide a sense of the range of probation

officer behaviour and opinions rather than as a complete typology. (AII of

the names in this section are fictitious).

The Small Town Streetworker

George is the supervisor of a five person agency in a country of about

30,000 population. He is in his mid-30’s and has been doing probation work

— 209 —

for 8 years following a series of shop and factory jobs presumably inter-

spersed with his military service and college career. His office is on the

second floor of a commercial building facing the town square in which the

town’s version of ’’street people”’ hangs out. Many of them apparently have

been or are on probation. George appears well-known to them and to other

persons encountered on the street.

His orientation to his job is nicely captured in his statement ’These

kids are yours for life”’. Four points are made here: 1) he works primarily

with young people (through the early 20°s) irrespective of whether they are

classified officially as juveniles or adults, 2) probationer grow up in trouble

with the law — but generally not for offenses of great magnitude, 3) they

have no other place to go or choose not to leave, and 4) close dependency

relationships develop. The situation is reminiscent of the ”state-raised kids”

identified by John Irwin (1970).

Although about 80% of the caseload consists of adults, most of the day

of the field visit was spent with juveniles or with young adults. Many have

been involved with the probation department for years. The most frequent

offense, however, according to George is ”stealing”, i.e., burglary and

larceny. There is little serious personal violence. Youth from all over the

country hang out in this regional city although only about 60-70% of them

actually reside there.

The relationships between George and the young probationers are

cordial and comfortable, at least ’’with those you don’t have to see” who

stop in daily or at least two or three times a week. George sometimes leans

out the window of his office and calls in young people loitering in the town

square; sometimes they just drop in of their own accord. He emphasized

that this is not merely a personal thing but that the relationship is with the

entire office with each probation officer knowing all of the cases. He gave

the illustration of a girl coming into the office distraught and not wanting

to talk with George but goling out with the secretary instead. George aiso

sometimes takes kids home when they need a place to stay and occasionally

hires them to do some work when they need money.

The indeterminate nature of District Court probation, and in particular

the fact that the indeterminacy policy was suggested by the probation

agency, suggests something about role orientations. Yet, George informed us

that they terminate these probationers after an average of about six to eight

months on probation. He admitted that indeterminacy did sometimes pose

some supervisory problems in that officers sometimes kept probationers on

too long but that this was easily rectified by his monthly case reviews.

George indicated that the actual work week for the full-time probation

officer is about 60-70 hours. Going over some of his hours for that week, he

mentioned a 14 hour day and ”10 hours so far today”, a day which began

— 210 —

with an early morning drive with a student intern to a large city about 100

miles away to pick up a runaway girl. An hour or so after his return, he took

off for the hearing concerning the girl. After we returned from the hearing,

our interview was frequently interrupted by probationers stopping in and by

telephone calls.

The Presentence Investigation Specialist

Jim, a probation officer in a rural area, particularly enjoys his presen-

tence investigation assignments. Although the agency for which he works

employs only five probation officers, as part of its layered specialization

approach, it accommodates Jim’s wishes and assigns most of the presentence

investigations to him. Nevertheless, in addition to approximately 7 presen-

tence investigations he is assigned per month, he also carries a supervision

caseload of about 75.

Not only does Jim prefer doing presentence investigations to super-

vising probationers, but the press of court deadlines, and presumably the

visibility they imply, contribute to the priority the accords his investigation

cases. He knows that ’as the PSI’s increase, my caseload is going to go to

hell’’. Although he is confident that he ”can do an adequate job of super-

vision’”, he says that he does not have the time to make field contacts as

often as he should, to check that his probationers are reporting as often as

they should, or to monitor whether they are keeping up with court-ordered

payments. He says that ”it’s not fair” and seems to feel badly about it.

He perceives the presentence investigation as playing a very important

role in the disposition of cases and construes the probation officer inves-

tigator’s function as a unique one:

…I don°t feel l’m in a position to have to rubber stamp or support what

I think they’re going to do. I feel that the object for the PSI is for

somebody on the outside who doesn’t have any bones to pick, who

doesn’t have to have the responsibility for prosecution or for defense.

They’re not there to build the guy up or put him away. l’m just there

to make a subjective judgment. I don’t have an ax to grind. Lood at the

man. I think that’s one of the values of the presentence investigation.

The judge doesn’t know a goddam thing about the guy when he’s

accepting the plea. And it’s not really fair or reputable either to the

community or the judge or to the defendant to pass sentence without

knowing some of the stuff that is presented in the presentence inves-

tigation. Because you know damn well the District Attorney has a res-

ponsibility to prosecute and… things might be colored. And you know

very well what the responsibility for the defense attorney is and you

know very well what he’s going to present in terms of litigation or his

evaluation of his client or why the judge should do this or do that. So

l’m the only guy on the bill that doesn’t have either responsibility.

—211 —

This theme of the tensions between the interests of the community and

the interests of the defendant is played out as Jim in doing his presentence

investigations attempts to balance conflicting information and sentiments

and develop an evaluation and a recommendation which make sense to him.

Another consideration in this mix of interests in that the state corrections

authority ”’says the utmost priority … is the safety of the community” and

that ”’(r)ehabilitation of the offender comes out about number three or

four…’ Of course, Jim notes, probably most cases are straightforward

enough that arriving at a recommendation is not that difficult. For the

routine case involving a 19-year-old charged with second-degree burglary, no

serious prior offenses, and living at home or going to school, the problems

of decision-making are not that great and these situations can be readily

normalized in the sense of Sudnow’s

’normal crimes” (1965). However,

from his experience over the last few years of doing presentence investi-

gations, Jim seems to have an ample supply of accounts of problematic

cases. And he acknowledges that he enjoys these ”little more complicated”

cases more, that he likes the ’’heavy cases because that makes you work”,

and that actually he does not like ”’mundane cases”.

Whatever Jim eventually chooses to recommend, there is always the

possibility that it will be rejected by the court. This does not bother him

since he is content to know personally that he has given it his ”best shot’

and has supported the recommendation with ’’adequate information”.

He also notes that he can work with an offender who has been placed on

probation despite Jim’s recommendation that he be sent to prison.

Sometimes discrepancies can be in the other direction with the pro-

bation officer recommending probation but the court sentencing the of-

fender to prison. Jim recently had a case in which this type of discrepancy

might well have occurred except for a fortuitous event highlighting in a

peculiar way the vagaries possible in small town probation work. Jim was

working on a difficult presentence investigation concerning a case of cri-

minally negligent homicide (vehicular) in which several persons had died.

Although the expectation was that the offender would be sentenced to

prison, Jim had decided to recommend probation until another probation

officer reported what he had observed while waiting to cross the street.

The defendant had leaned out of a pickup truck passing through an inter-

section and said to a group of pedestrians, ’Next time, we’ll run over you”.

Jim recommended incarceration. The defendant was sentenced to prison for

five years on each count.

The process by which Jim conducts his presentence investigations is

thoroughgoing. Thus, he notes that he always interviews a person at least

twice. He also makes a point of not taking the police report with him to the

first interview with an offender but just listens to his/her story. By the

second time, however, he has not only read the police report but has talked

— 212 —

with the victim and perhaps the police officer and the district attorney.

Then he can confront the offender. As noted, Jim interviews victims as well,

asking what they think about what has happened, perhaps explaining to

them some of the background of the offenders and how they were selected

as victims, and emphasizing that what they say will go into the report and

be read by the judge.

The Outreach Social Worker

In the mountains of a rural region is a chief probation officer unusual

among our small agency sample for two reasons. First, he has a master’s

degree in social work, a credential he shares with only 4% of small agency

probation officers dealing with adult offenders. Second, he — and his staff

of three — view probation work as an opportunity, even a mandate, for

doing aggressive social work on an outreach basis. In large measure, Fred

attributes the agency’s outreach approach to the service needs of a sprawling,

sparsely settled, and economically depressed country.

Fred is in his mid-30°s and was selected as the chief probation officer

after a stint as a line officer at another small agency in the state, in which

he has lived all of his life. His approach to probation work reflects his

educational background, with the heavy emphasis on counseling and out-

reach. Field offices have been established not only to deal with the problem

of physical distances to traverse, but also to be drop-in places for residents

without access to other social service agencies. Fred notes that ’’we’re the

only mobile agency in the county” and that they do not impose the time-

consuming and distracting formal application procedures of the state social

services bureaucracy:

That’s about a thirteen page application, and all that kind of stuff. So

this is a real no-hassle deal, you come in, you say you need some help,

we give you some help.

In a sense, this agency is similar in its emphasis to the small town street

worker agency described earlier. But the operationalization of the philo-

sophy is different in that in the first agency the approach is more one of an

informal, matter of fact embracing of the town’s ”state raised children” in

a kind of crash pad fashion, while in the present agency the approach is

perhaps more deliberate, more self-conscious, and flows from a professional

social work agency model, albeit a rural one and one emphasizing outreach

and getting out of the central office. Fred states the underlying philosophy

in these terms:

See we kind of do things a little bit differently here in small rural pro-

bation departments. It’s my feeling …that you really can’t work well

with most people in the artificial environments of this office. So ! want

the people out in the community. So every officer has to be out of the

office. You only see one here, as a matter of fact. Everybody else is

out on the road. And then we have one that stays here for intake.

— 213 —

Establishing the outreach offices was facilitated by community coo-

peration with office space donated by city government or a veteran’s organ-

ization. Fred has also been aided in the implementation of the outreach

model by the recent high degree of turnover in the agency and consequent

opportunity to hire new — and young and counseling-oriented — probation

officers.

The approach the chief probation officer and his staff are pioneering

in this agency seems to be something of a mixture of traditional social work

treatment/individualized juvenile court philosophy (Goffman, 1965) to the

bureaucratic burdens imposed by a faraway central authority. It seems that

formal requirements fit uncomfortably in this town characterized by one

new resident as a place in which there is nothing to do but ”drink and

brawl”, and in which a less recent newcomer identifies a tripartie division of

the populace into the town people, the university people, and the new

people. The agency also benefits from the nature of rural life, e.g., with area

professionals and academicians providing training and consultation services

free of charge, and with excellent cooperation and problem-sharing with

the probation agencies in adjoining counties.

The Probation Officer as Potential Victim

In a small city, two probation officers recounted their fears for their

personal safety. They work out of a branch office which is part of a large

centrally administered system. In this system, training is designed and

offered by the central and regional offices; hence, it is considered inad-

equate by Frank and Ron since things have changed since the administrators

were in the field, i.e., conditions are more dangerous. It is not only a matter

of probationers or parolees being dangerous — although that is one mani-

festation of the problem with threatening situations arising even in the of-

fice — but also of bystanders, notably teenagers, in the areas probation of-

ficers must visit, being brazen. For this reason, the probation officers feel

that they need training in safety for themselves. Ron noted, for example,

that he would like training in self-defense, search and seizure, and firearms.

Since they are subject to suit, they also need training in how to be liability

free as well as phusically safe.

When probation officers have raised their demand for safety training,

the central office has responded that such training is provided. Frank and

Ron complain, however, that they have to request it and go through the

paperwork ; their experience in a branch office has led to cynicism about the

utility of such requests.

The concern of these officers about safety and security extends beyond

their personal physical well-being. Thus, the failure of the department to

provide this agency with a paper shredder, despite its request, is mentioned

— 214 —

as a security threat. The need for this device became apparent to Ron when

he was going home one night and observed his presentence investigation

notes sitting in the wastebasket on the apparently unattented elevator.

Since, as a branch office, this agency rents space and uses non-governmental

janitorial services, Ron expresses apprehension about the possibility of a

leak.

Second Career Probation Officers

For the most part, the probation officers depicted thus far have been

individuals who seem to have made choices fairly early in their working

lives about becoming probation officers. While they are typical in this

regard, it should be noted that there is a substantial minority of small

agency probation officers for whom probation work is a second career.

Indeed, one thing that struck us about the field visits was the frequency

with which we encountered individuals who apparently entered probation

as an afterthought after having spent some years doing other things with

their lives. Also, these individuals seemed to be disproportionately concen-

trated in one-person agencies and in part-time positions.

Thus, there was the former college athletic trainer who had also been

his town’s recreation director before taking over as probation officer in

addition to his principal responsibilities as clerk of the court, the former

minister who operated an electronics store full-time and had no other office,

another former minister who had chosen a simpler life in a small town as the

county’s only füull-time probation officer, and an attorney who became

another county’s part-time probation officer because of the unfavorable

ratio of attorneys to resident population on the island to which he had

retired from his career as a Federal law enforcement agent. Likewise, there

were three women who, after raising their children, were recruited as proba-

tion officers, one as the full-time chief in a two person agency and the other

two as their respective counties’ only probation officer, one part-time, one

full-time. Similarly, there was the man who became a probation officer in

his 50°s after retirement from the state highway patrol, and the woman who

took up probation work at the age of 70 after retiring from the state welfare

department.

The frequency with which these second career situations were encoun-

tered in field visits caused us to wonder whether this was a feature of small

agency probation work nationally, or an accident of sampling. As a partial

test we examined the ages at which probation officers in the small agency

sample entered probation work. While most (63%) entered probation work

before the age of 30, substantial proportions entered during their 30°s (24%)

or after (13%). Possible implications of this dynamic for training, for the

professionalization movement, and for attempts to enhance probation

nationally should be considered.

— 215 —

Characteristics of Small Probation Agencies

To understand probation work, it is necessary to appreciate the organ-

izational context in which it is conducted. While our original research

focuses only on small agencies, these vary in the ways they are organized,

administered, and managed, in their powers, responsibilities, influences,

and resources, in caseload size and characteristics, and even in the number

of probation officers staffing them. We consider next some of the ways in

which small probation agencies can thus be characterized.

One striking finding is that these small agencies are usually very small;

56% (307) consist of 1 or 2 officers. Only 9% (50) have 7, 8, or 9 officers.

In general, there are fewer agencies with each increase in the number of of-

ficers.

Most (63%) of the sampled agencies are rural (349), i.e., are located

outside of any Standard Metropolitan Statistical Area. The relationship

between urban/rural location and agency size is nearly monotonic with 74%

(276) of the 1-3 officer agencies located in rural areas but only 46% (58) of

the 4-6 officer agencies and 30% (15) of the 7-9 officer agencies. This

relationship between size and location results in 48% (534) of the probation

officers being based in an urban county.

In addition to agency size and urban/rural location, locus of adminis-

tration is a variable suspected of being associated in important ways with

the capabilities and shape of probation, resources available to probation of-

ficers, and most pertinent to this investigation, training provided and needed.

Debate continues about the relative merits of administering probation at

the state or local level, and within the executive or judicial branch of

government.

Our survey provided a good mix of agencies along each of these dimen-

sions. Federal agencies comprised 16% (90) of the sample, state agencies

49% (271), and local agencies 34% (190). Probation agencies administered

out of the executive branch of government accounted for 39% (217) of the

sample with the remaining 61% (334) administered out of the judicial

branch. Most of the Federal probation agencies (72%) are located in urban

areas while most of the state (75%) and local agencies (64%) are located in

rural areas. Another important difference among Federal, state, and local

small probation agencies concerns branch office status. Most of those in the

Federal system are branch offices (70%), while those in state systems are

virtually equally split between branch (51%) and main offices (49%), and

those in locally administered systems are overwhelmingly main offices

(83%). In addition, the three levels of agencies differ with respect to type

of workload. A much larger share of the Federal supervision workload con-

sists of adult parolees (25%) than is true at either the state (11%) or local

(2%) levels. Conversely, local agency supervision workloads include larger

— 216 —

proportions of juveniles (27%) than is true at either the state (7%) or

Federal (2%) levels. There are also noticeable urban/rural differences with

respect to juvenile caseload, a difference which is found at each level of the

Federal/state/local trichotomy with significantly higher proportions of

juveniles in the rural agencies. That only 59% of local rural agency supervi-

sion caseloads consist of adult probationers augurs well with the observation

made by a number of probation officers in the course of the surveys and

field visits about the diversity of their duties.

Prominent among external constraints on or enablements of probation

officer behavior are policies concerning arrest powers and use of firearms.

These are of interest not only in themselves but also in terms of what they

imply about role expectations and about training. We found that in 80%

(427) of the reporting agencies probation officers have arrest powers and in

42% (223) they are authorized to carry firearms. There are no statistically

discernible differences between urban and rural small agencies with respect

to either variable. There are locus of administration differences, however,

Wwith state (89%) and Federal (84%) probation officers more likely than

local probation officers (66%) to have arrest powers. State probation of-

ficers are also more likely (47%) to be authorized to carry firearms than

either Federal (33%) or local (37%) probation officers.

Professional Efficacy : The Small Probation Agency as ’Unwanted Stepchild”

Thus far, we have considered varieties of small probation agencies as

reflected in the surbey of such agencies. Survey data have provided us with

a broad understanding of some of the structural characteristics of these

organizations. Now we consider variations in the dynamics of these agencies

as revealed in our field visits. Although the field visit interviews and obser-

vations lend themselves to a number of dimensions along which small pro-

bation agencies could be classified, we select as a core theoretical category

(Glaser and Strauss, 1967) for discussion at this time, professional efficacy.

This is appropriate in terms of both the frequency with which this category

is indicated in the field visit materials and its importance in explaining the

current condition of probation in this country and in suggesting corrective

actions.

Training — the focus of this study — is of interest as a resource contri-

buting to professional development and through resource contributing to

professional development and through it to improvements in the adminis-

tration of justice. Clearly, however, training provided to probation officers

is not enough in itself for the fostering of professional development. There

must also be supportive organizational and community contexts. Ît is

important therefore to consider the professional efficacy of small probation

agencies in terms of the prestige accorded them in their localities, the auto-

nomy they enjoy, and the influence they exercise.

— 217 —

Problems with regard to professional efficacy was a recurrent theme in

the field visits. These problems were manifested in three analytically distinct

forms: anomie, embattlement, and complaceny or resignation. In addition,

we identified three sub-types of embattlement. Although strains of more

than one type of professional efficacy problem could perhaps be identified

in some agencies, in the descriptive analysis which follows, we present

agencies in terms of the type or sub-type they most clearly represent. Thus,

these empirical manifestations are treated as approximations to theoretical

ideal types.

Anomie describes the state of affairs in those probation agencies in

which the probation officer(s) perceive a lack of attention or concern by

other important actors in the criminal justice system or in the community.

The pervasive feeling is that no one cares what the probation officer does or

does not do. The probation officer experiences deficiencies in reinforce-

ment, either positive or negative, for the work performed. Most fundamen-

tally, perhaps, the probation officer thinks that not only is his/her work not

appreciated, but his/her professional existence is barely recognized.

While anomie is the lack of norms, an absence of regulations and

external expectations or constraints, it does not mean that individuals op-

erating within this context are characterized by anomia, or powerlessness.

An anomic one-person probation agency is described below by the officer:

…Ôâas far as [ come in Monday and Wednesday, ! could come five days a

week, ! could not come at all, and Ï don’t know who really would care

to tell the truth. I said that if I ever got sick, | wouldn’t know who to

call to say that l’m not coming, other than I would be responsible if

I had appointments to notify them. So there has been no rules or

regulations that I have to follow, other than every once in a while the

judge keeps coming in, saying, When you’re employed, you’re sup-

posed to sing at weddings’. He comes out with all these things; that’s

nothing, ! have to witness the weddings, I have even acted as the

bailiff.…. I just kind of figured that the probation office is a stepchild

as far as the county is concerned and nobody has ever gone to them or

asked for anything or probably even defined the office, so they just

ignore it. So l’m working on it, when l’m finished with (the) school

(board), l’Il start on the county…. I thought that they should be made

aware of this office. Nobody ever comes to visit, nobody knows what

we do and what we don’t do, and I thought that I would just go down

there and tell them one of these days. We don’t have mail delivery here ;

half of my mail comes here, half of it goes to my home. I mean, they

could afford a mailbox…

We observe then that this probation officer clearly intends to generate some

external expectations. Obviously, she already has her own but she does not

consider them alone to be sufficient.

— 218 —

In the embattled agency, the probation officers are very much rec-

ognized, but are not appreciated nor perhaps sometimes even respected.

Embattlement can take three forms: (1) disputes with local criminal justice

agencies and community elites regarding the alleged leniency of probation,

(2) perceived depreciation by local government officals of the professional

capabilities of probation officers and of the worth and efficacy of their

work, and (3) perceived harassment or bungling in-intervention by a parent

agency. The first situation was readily apparent in a five-person agency.

After observing a session in which one of the probation officers informally

placed an 11 year old boy on supervision with the requirements that he do

25 hours of community service and make $65 restitution for the store

window he had broken, the visitor remarked that he was impressed with the

high level of accountability demanded. The probation officer found this

ironic since she noted that many people in the town thought that probation

was too lenient. She observed that the town is heavily conservative with

the orientation being, ”put them in juvenile hall’”’. The chief probation

officer also reported that one of the county supervisors had called the

probation agency an ”unwanted stepchild”, and observed that while other

departments could get permission to hire someone simply by mentioning

it casually to a county supervisor on the street, the chief probation officer

has to actually submit a formal request.

The chief probation officer has learned ways of countering these

attitudes. One strategy is to hand-deliver restitution payments to victims.

He recounted one particularly gratifying incident when he was able to make

such a delivery to a merchant in the presence of several local notables

gathered in his establishment. This chief probation officer also takes advan-

tage of public speaking opportunities. His approach is highly visible and

aggressive.

The embattlement can also come from the other direction; other

human services workers are sometimes reticent to recognize the probation

officer as one of their own. Thus, a probation officer in an Eastern state

observed that the local day treatment center for juveniles ’’views us as

cops”, refusing to release information even with a signed consent (’he may

not understand that he might be sent to jail as a result of this’), or even to

return telephone calls.

The second sub-type of embattled agency is perhaps the most difficult

for the individual probation officer to deal with, and the most potentially

damaging to the probation officer’s professional self-image. One clear-cut

example of this sub-type is a two-person Midwestern agency in which the

chief recounted interactions with the president of the county board in

which he told her that he did not consider her work to be very important

nor to demand professional skills, and recalled the laidback style of her

predecessors for support of his contentions. We recognize, qf course, that in

— 219 —

any halfway complex work situation involving interactions with other

organizations and low-level visibility to some important actors, relationships

are problematic and negative evaluations by outsiders of insiders’ work

abound. Nevertheless, for the individual probation agency confronting this

problem, there can be very tangible consequences. Thus, the chief probation

officer mentioned above reports working long hours (about 70 a week) at

low pay (about $9000 a year), and faces considerable resistance to hiring

new staff. Fortunately for this chief probation officer, the opinion of the

late county board president does not seem to be shared by the individuals

in the town who have discovered that they can obtain family counseling

from the chief probation officer when they run into her in the hardware

store, or can track her down in the movie theatre to deal with an emergency.

The third sub-type of embattlement, harassment or interference by a

parent agency, is also a frequent occurence in fields other than probation

work. To the extent, however, that probation is construed to be a pro-

fession, or that its advocates strive for it to be one, this type of embattle-

ment can be viewed as a threat. In larger scope, it is part of the general pro-

blem faced by any professional employed by a formal organization, and

confronted with competing demands by the profession and by the bureau-

cracy. The ramifications can be far-reaching. In a state in which the central

probation department either provides training directly or selects which pro-

bation officers will receive training from extra-departmental sources, a chief

probation officer reports that his agency is passed over because he is ill-

favored by the department due to his outspokenness. The same chief pro-

bation officer also showed the interviewer a memorandum from head-

quarters wanting to know what our field visit involved. At the same time,

the state department has provided this several-officer agency with only one

telephone line. The chief is now attempting to keep a complete log of

telephone calls for budget negotiation purposes since the lines is frequently

busy. He recounted an incident of a sheriff?s deputy coming to the office

after having been unable to get through for over an hour, and then someone

else having to come get him because the phone was still busy.

Perhaps the most serious, and insidious, professional efficacy problem

is that of complaceny or resignation. This is the negative reflection of the

independent/self-sufficient characteristic of small agency probation officers.

Complacency appears as satisfaction with the current state of affairs even

when that state is seriously flawed. Conspicuous examples of complaceny

involve those situations in which local jail populations are at or near ca-

pacity, in which relationships among criminal justice agencies and service

providers threaten confidentiality, and in general, where probation officers

are content to accept prevailing definitions of local criminal justice reality

by others rather than challenging them when they are an affront to law and

justice. Resignation is a variation on this theme, different from complaceny

in the attitude of the probation officer but equivalent in behavioral

— 220 —

consequence. As the flip side of independence and self-sufficiency, com-

placency also seems to be quite widespreat in small probation agencies.

Sometimes, of course, it is difficult for the outsider operating without a

sistematic evaluative framework to differentiate between confidence and

complacency.

Two summary observations are in order. The first concerns agency/

officer differences; the second concerns the possible sources of professional

efficacy problems in small probation agencies.

The reader will perhaps have noticed that some of the case examples

focus as much on officer behavior as on agency characteristics. This is a

function of the defining features of small probation agencies. In these

agencies, particularly of course in the one-person agency, there is often a

near-identity between the officer and the agency. This characteristic im-

poses on the probation officer a heavy responsibility to represent the

agency but also affords him/her significant power to affect agency policy.

This then is one way in which our interpretation of the problem of pro-

fessional efficacy and of its implications for actions may require some

modification if applied to medium and large agencies.

There remains the question of why small probation agencies experi-

ence professional efficacy problems of the types identified. We suspect

that they are shaped by three factors which may be found disproportion-

ately in small agency rural settings. First, small agency probation officers

tend to be isolated from others of their occupation. Second, we suspect

that despite the perceived informality and familiarity of small towns, there

is a tendency to take something like the local probation department for

granted, to not understand what it does, what it is supposed to do, despite

its visibility. Third, there is perhaps substantial front stage (Goffman, 1964)

interaction with other criminal justice agencies and local community in-

fluentials which together with the probation agency’s subjugation to these

other actors, contributes to the policy and programmatic impotence of the

probation enterprise. These small agency factors may contribute in special

ways to what is perceived as a general problem of professional efficacy in

probation nationally.

IV. NEW ROLES FOR AN OLD OCCUPATION?

THOUGHTS ABOUT PROBATION’S MISSION

In this study of small probation agencies, we found considerable

diversity in what probation officers do. Diversity is desirable to he extent to

which it reflects appropriate responses to differing community circum-

Stances. Diversity can, however, suggest an absence of direction, leadership,

Or sense of mission. As we assessed our findings in light of probation’s

— 221 —

history and current developments in correctional law and practice, we

realized that training is not enough. Ît is not enough for either the smail pro-

bation agency or the large one. To be efficacious, training presupposes both

supporting structures and purpose. Probation however, is structurally weak.

Moreover, loss of confidence in the rehabilitation rationale has fueled con-

fusion about the purpose of probation. Confronted with this situation, we

suggest some steps for beginning to address these larger issues.

In varying degrees, all of the problems mentioned in this report are

ameliorable by an increased national solidarity and a sense of professional

identity among probation officers. Unfortunately, however, probation is

historically, and continues to be, organizationally weak and timid at the

local, state, and national levels. At all three levels, fears of probation officers

and administrators that strong independent action will lead to reprisals

from other elements of the criminal justice network — be they local judges,

state departments of corrections, or professional associations — both justify

and perpetuate inaction. What is very desirable at this point is support,

guidance, leadership, and assistance by a strong national partnership. We

recommend that a national alliance of interested partners advocate both for

probation as a desirable and promising safe alternative sentence to incarcera-

tion, and for probation workers as criminal justice/corrections professionals

worthy of substantial state and local support.

The need for such advocacy is apparent when we consider how much

more fully and effectively probation could be used when recognized as a

sanction and a means of enhancing public safety. At the same time, it

should be used as a mechanism to reduce the contamination of the minor

offender which can follow from incarceration. Although one of the impor-

tant functions of probation is to reduce reliance on incarceration, it also can

be used to provide sentencing resources for judges. If probation is to assume

this difficult and ambitious role — rather than continuing as a default

option, a symbol of leniency, an ”unwanted stepchild” — there must be

pragmatic ingenuity in sentencing and commitment to ensuring that pro-

bation officers are able to do a difficult job. Enhancing probation is one

of the most important tasks challenging the corrections field.

To follow through on findings and recommendations of the Staff

Training for Small Probation Agencies Project, NIC has provided for a

supplemental effort to examine fundamental issues in probation policy. This

effort — the Probation Mission Project — is presently addressing these issues

through research, formulation of position papers, and development of an

action plan. We intend to provide impetus for a national assessment of what

probation should do and be, and to suggest means by which it can pursue its

mission.

The need for such an effort arises from the absence of a common direc-

tion and the consequent emergence of several missions for probation

— 222 —

depending upon ephemeral factors such as the charisma of changing leader-

ship. Because probation practice lacks a coherent normative focus it seems

as if an accommodation seeks operationalistic answers for deeper unans-

wered moral dilemmas. Unable to define what probation should be, a

literature has grown on how we can do it better.

If probation’s mission was conceptualized as the pursuit of justice

rather than the treatment or surveillance of clientele, new opportunities

for understanding, engagement, and service might arise. We propose a recon-

ceptualization, based upon theories of justice (Fogel, 1975), which will

simultaneously collapse the treatment-surveillance parameter while it builds

into the mission a concern for society generally and the victim, for example,

specifically. This can be accomplished by pursuing justice-as-fairness in

administering probation and pursuing justice-as-equity in delivery of proba-

tion services.

The pursuit of justice as a mission for probation does not mean the

aimless search for balance between opposing priorities. The pursuit in the

pursuit of justice mission is never completed.

With regard to what such a mission would mean for doing probation

work, our position is that the most appropriate role for the probation of-

ficer has moved beyond that of enforcement orientation and of treatment

orientation to a role of compliance orientation. The probation officer thus

is neither a cop nor a counselor; he/she is an officer of the court. As such,

he/she is responsible for monitoring compliance with the demands of jus-

tice, but at the same time is permitted, even encouraged, to aid the proba-

tioner in ways in which the probationer would like to be aided and in which

the officer is competent to provide aid. In effect, the probation officer is

the representative of the court in ensuring that the sentence of probation is

carried out, and at a more abstract level, that justice is served.

Our suggestion that the probation officer should primarily be an of-

ficer of the court is both a move beyond recent conceptions of the proba-

tion officer’s role and a return to some original prescriptions. What we are

suggesting actually entails a return to much of what John Augustus did in

originating probation services in the middle of the 19th century. While his-

torical, organizational, occupational, and ideological developments will

have an obviously large impact on this translation, the notion of probation

as an occupation in itself is central. Moreover, and at least as important, the

idea of probation as a sentence in itself remains. This does not eliminate or

resolve the tensions between control and assistance requirements. Hope-

fully, however, in the light of the law, and with the imagery of the proba-

tion officer as a special officer of the court charged with ensuring com-

pliance by all parties with the conditions of the sentence, and of the of-

fender as a person with volition, required only to serve an explicit sentence

— 223 —

recorded by the court and to refrain from further unlawful behavior, expec-

tations of both probation officer and probationer will be clearer and per-

haps more realistic.

In an attempt to frame the debate concerning the mission of probation,

we ask if a shift of emphasis from managing clients to public safety (con-

cerned with the victim, communities at risk, and reform groups) would not

create a much greater degree of public confidence (and resources?) Our data

suggest that smaller probation agencies, despite the problems they suffer in

terms of professional efficacy, i.e., deficiencies in prestige, autonomy, and

influence, appear to already be alert to a broader mission for probation with

a conception of clientele not limited to probationers.

REFERENCES

Allen, Harry E., Eric W. Carlson, and Evalyn C. Parks (1979) Critical Issues

in Adult Probation: Summary. Washington, D.C.: U.S. Department of

Justice.

Fogel, David (1975) ”...We Are The Living Proof.…’” The Justice Model for

Corrections. Cincinnatti: Anderson.

Glaser, Barney and Anselm Strauss (1967) The Discovery of Grounded

Theory: Strategies for Qualitative Research. Chicago: Aldine.

Glaser, Daniel (1964) The Effectiveness of a Prison and Parole System.

Indianapolis: Bobbs-Merrill.

Goffman, Erving (1964) The Presentation of Self in Everyday Life.

(1965) Asylums. New York: Anchor.

Irwin, John (1970) The Felon. Englewood Cliffs, New Jersey: Prentice-Hall.

Newberger, Jay M. (1980) Personal correspondence.

Pownall, George À. (1963) An Analysis of the Role of the Parole Officer.

Unpublished doctoral dissertation. University of Ilinois, Urbana.

Rosenberg, Morris (1968) The Logic of Survey Analysis. New York: Basic.

Sudnow, David (1967) ”Normal crimes: sociological features of the penal

code in a public defender’s office”’. Social Problems 12: 255-76.

Thomson, Doug and David Fogel (1980) Probation Work in Small Agencies:

A National Study of Training Provisions and Needs. (In two volumes)

Chicago: Center for Research in Law & Justice, University of Ilinois at

Chicago Circle.

U.S. Department of Justice (1978) State and Local Probation and Parole

Systems. Washington, D.C.: U.S. Government Printing Office.

Weber, J. Robert (1980) Personal correspondence.

— 224 —

HUNGARIAN PUBLIC POLICY IN RELATION TO ITS

CRIMINAL JUSTICE SYSTEM

Katalin Gôncezôl*

[. THE HISTORICAL DEVELOPMENT AND PERSPECTIVES

OF CRIMINAL SANCTIONING IN THE PUBLIC POLICIES

OF SOCIALIST COUNTRIES

At the beginning of the 20th century, the classical philosophy of

punishment in Western Europe underwont a crisis. Repressive punishment,

intended to be proportinate with the crime committed, proved to be an

ineffective deterrent against crime. This was particularly true in the cases of

recidivists and juvenile offenders. Consequently, then the contemporary

concept of fairness and faith in just retribution wers shaken. New philo-

sophical and sociological ideas entered public thinking and it was realized

that the increase in the crime rate stemmed from contradictions in the

socio-economic power structure. The overwhelming majority of offenders

belonged to the lowest social strata who were so negatively affected by the

great forces of developing capitalism. It was the malfunctions of this devel-

opment/unemployment, lack of social welfare and health programs, etc./

which forced this lower strata to the fringes of society. When these new

causes of crimes were acknowledged it seemed, in the light of non-deter-

minist philosophy, the search for proportionality and justice in the spheres

of criminal responsibility became more and more illusory. The school of

sociology, which emerged an alternate philosophy, unfolded a banner

bearing the old Aristotle thesis, ’to treat inequale as equals, is the breatest

injustice”. The determinist responsibility-concept of the new trend, with its

conceptions about the social nature of crime, and corresponding criminal

policy, especially the special preventive protective system, provided far

greater possibilities for a socialist policy, then taking shape, than the theory

of classical responsibility and system of institutions did. In Western Euro-

pean countries, this new concept of criminal-policy managed initially to

break through the barriers of the classical system to enter into practice with

juvenile and recidivist offenders. Early experiences with these two categories

of offenders were favourably received in Western European countries.

Subsequently, the first socialist state, the Soviet Union, born in revo-

lution, adopted the determinist responsibility concept as a basis for its

* Eôtvôs Lorand University, Dept. of Criminology, Egyetem Ter 1-3,

H - 1364 Budapest, Hungary.

— 225 —

earliest criminal policy. ”The thesis that the offender is the product of the

social milieu and that this actions or motives depend neither on him, nor on

his ’will’ is for us, axiomatically deterministic”. /Kozlovski, 1918./ Criminal

responsibility has been focussed on the perpetrater himself, his dangerous-

ness to society, while the offense served only as legal grounds for the crimi-

nal proceeding. Criminal legal consequences, however, were to be adjusted

to the personal characteristics of the offender. Accordingly, the purpose of

the punishment was to ensure the defense of society, through the preven-

tion of further crime. They wanted to accomplish this by differentiated

means, by court admonition, reformatory and educative work or by the

deprivation of the offender’s liberty thus preventing the commission of

another crime. According to this concept, criminal consequences have gene-

ral educative and deterrent effects on non-criminals, though perhaps uns-

table members of society. /Monysagin, 1951./ After having based the

system of responsibility on this ideology, the Basic Principles, issued for the

criminal legislation of the Soviet Federal Republics in 1924, pushed guilt

into the vackground and, instead of punishment, proclaiming the criminal

law to be ’’measures for the protection of society”. Three types of measures

were mentioned: reformatory, remedial sanctions and sanctions of special

education for the defective. For extraordinarily exceptional cases, there

remained capital punishment. /Menysagin, 1951 and Sargorodsky-Smirnov,

1957/.

In the first half of the 1930s, the concept of the repressive character

of the criminal law began to gain strength. Amidst efforts at economic and

social transformation, isolated from the outside world, the Soviets held the

view that under the circumstance of the socialist society, punishment must

be of offensive character, ’a weapon in the fight against crime”. At the

same time, punishment as a consequence of criminal behaviour, had to

express reprehension against crime. All previously mentioned measures

taken on behalf of the defense of society, however, were silent on the idea

of social defense. /Sargorodsky, 1960/. The accentuation of reprehension

and condamnation were necessary both for special and general provention.

There emerged a new power with a new political system; proprietorship had

been transformed; there had been created objective conditions for distribu-

tion of wealth according to work, and efforts were made to mobilize the

most disadvantaged strata of society in a positive direction. With criminal

sanctions reflecting the majority’s condamnation of a minority criminals

deliberately opposing society, the socialist criminal policy thought to

exercise power, too. At the same time, however, Soviets did not give up the

reformatory aim of punishment. À 1938 decree on the Soviet judicial

system specified that punishment and education were linked. ”The Soviet

court is not merely meting out punishment, but it also aims at reforming

and re-educating the offender”’. /Horvath, 1981/. Historically, this was the

first socialist source of criminal law to explicate the complex aims of

punishment. More or less, it continues to be embodied in current concepts

— 226 —

of socialist criminal responsibility. Later, this general definition of purpose

of criminal law has, for countries in different stages of their development,

been given different interpretation in various socialist nations. The emphasis

on the repressive character of punishment, now and then overshadowed the

reformatory and re-educational aspects. The system of sanctions and their

implementation, too, developed differently, until the prevailing systems and

trends recognizable today, were established. At the same time, the scientific

conception about the nature of the crime, became more and more domi-

nant. In the socialist theory, actions requiring criminal sanctions, have been

increasingly reserved for behaviour judged to be dangerous to society. Crime

stems from the contradictions within society, threatening the existing socio-

economic-political order. All this meant a new scientific stand against the

modern bourgeois sociology, which while admitting the social determination

of crime, denied its correlation with the existing and historically determined

basic structure of society. Also it meant a position against the formalist

trend in sociology, which denied that social effects are inherent in the sub-

stance and contents of the crime and, while it failed to recognize its danger

to society, it considered crime, simply as an infringement of norms, or as an

abstract ’anti-social behaviour’’. The interpretation of crime as a social

symptom, opposed to such a psycho-genetic theory which considered crime

to be a ’”manifestation of the special dynamism of psycho-mechanisms”.

According to the socialist concept, crime is activity which has the same

structure as any other volitonal action. /Szabo, 1961/.

The concept concerning the social nature of crime, might have, in prin-

ciple, led to a deterministic philosophy for criminal policy, in which,

reprisal might have continued to be denied a place. The fact that subsequent

development deviated from this trend — though it followed it roughly —

as an ultimate goal only, can be explained by several reasons. This question

of policy leads us back to the socio-political influence of criminal legisla-

tion. Criminal law legislation required that anti-social conduct, dangerous to

society, be identified and criminal sanctions applied. — Kulcsar, 1961 —

This means two things. Criminal law is of a ”secondary and follow-up

nature”’ in the sense that everything protected by criminal law, exists in

other spheres of social life ; thus, criminal law makes a selection of values to

be safeguarded as determined by existing power-relations. — Kiraly, 1981 —.

In other words that political considerations are being used to defend

society, is a highly important question, a question of guarantees, directly

related to the basic civil rights of the citizen. Criminal law cannot be the

means either of arbitrariness or of ’ad hoc’ judgement of values. To be able

to create permanent security and to prevent anarchy, criminal law must

have comparative stability and generalizability. For this reason, the law

represents actions against defended values, dangerous actions circumscribed

in an abstract way, which has become the basis for criminal responsibility

and the penal consequences which ensue. ’’Punishment must be finite to be

real and must be circumscribed in accordance with certain legal principles,

— 227 —

to be just. The task is to make punishment to become an actual conse-

quence of the crime. The one punished must realize that punishment is an

inevitable consequence of the crime committed, thus the one punished must

see his own action. The limit of the punishment thus, must be the limit of

his action”’. — Marx, 1957 —.

In this sense, in socialist criminal philosophy too, criminal legal conse-

quences developed from the principle of responsibility proportionate to the

offence. The repressive character of the punishment continues to be ex-

pressed in the legal practice since the person is being punished on the basis

of a criminal act committed in the past, proportionate to the dangerousness

of the offence itself. Still, the use of the repressive element against the of-

fender is not antagonistic with the determinist concept, since both the pros-

pect of duress and the duress implemented have a mind framing effect, sup-

posing of course, that these are accepted as just and equitable by both the

offender and public opinion.

The use of the repressive element is, at the same time, a tacit avowal

of the fact that, at present, there are not yet such scientific results at the

disposal of socialist criminal philosophy, which are fit to replace the exis-

ting system. Sciences concerned with Man, failed, up to now, to come for-

ward with any. such real aternatives that would secure, with protective

measures, the defense of the society. Neither can these sciences offer any

means which would make the diagnosis and subsequent treatment of people

with an inclination to crime, possible. This is one of the reasons why

socialist criminal policy cannot foresake the crime-proportionate responsi-

bility system, which provides guarantees and comparative legal security.

Accordingly, an action, dangerous to society, continues to be at the centre

of the socialist criminal responsibility. Criminal consequences, first of all,

must be adjusted to this.

AII this however, does not mean that the personality of the offender or

the objective and subjective causes of the crime are to excluded from consi-

deration. Nor does this mean that there are no possibilities for re-socializa-

tion in theory or in practice, since the main aim of the punishment remains

the protection of society, and this cannot be accomplished without special

prevention. The prevention of recidivism can in the majority of the cases be

achieved by the expression of society’s outrage, i.e. by repressive punish-

ment. But in the case of a comparatively large number of offenders, efforts

must be made to control dangerous personal characteristics. This can be

realized in the framework of punishment proportionate to the crime, for

instance by deprivation of liberty. Criminal policy also permits even ”dan-

gerous” acts to be dealt with through attempts to influence the offender’s

character. An example is the juvenile justice system which primarily aims at

reeducation. Within a differentiated criminal responsibility system, there is

also possibility to employ additional measures of treatment of those deamed

— 228 —

to be of special dangerousness to society. Such measures are, for instance,

preventive detention for dangerous recidivists, or parole supervision diring

after-care.

As it can be seen from the above, a highly differentiated sanction-

system is needed in order to achieve the complex aim of punishment. In

certain cases it is the repressive element, while in other cases, it is the edu-

cation or complex resocialization, which gots prominence.

In accordance with the above mentioned highly complex ultimate aims,

the sanction systems of socialist countries, developed according to different

historical traditions, in defferent ways. In those countries, where at the turn

of the century, the Franz List’s school had a strong influence on criminal

policy, the sanction system was separated into punishments — principal or

supplementary — and measures. As it is known, punishment intentionally

Wwanted to be a malum, while measures — either security or educative —

served special prevention first of all. — Vambéry, 1913 —. Such trends could

be seen in the systems of the criminal legal consequences of Hungary and

Slovakia, later Czechoslovakia. There are socialist countries, where this was

the traditional sanction system, but has subsequently been transformed and

enriched by legal consequences qiming at special prevention and resocializa-

tion. Examples are the system of criminal responsibility in Poland and

Bulgaria. Although protective measures are known is these countries, they

contain treatment of a remedial character for offenders who are not accoun-

table for their actions, or offenders with limited liability, or against alco-

holics and drug addicts. Finally there are also systems, for instance that of

the GDR, where the expression of ’’punishment”’ has bee replaced by the

term ’’measures implemented in the course of criminal responsibility”.

These include punishment in the traditional sense of the meaning and also

measures of an educative or remedial character. Today, however, these dif-

ferences no more signifiy any basic difference either in the conception or

in goals of the punishment or in legal trends.

In the socialist countries, the criminal sanctioning systems have under-

gone a highly differentiated development. Deprivation of liberty however

continues to be the centerpiece of penal sanctions. There is a general ten-

tendy to limit the application of short-term imprisonment, thereby limi-

ting the absolute number of prisoners. This is being achieved partly through

the wide application of suspended prison terms and probation — karpec,

1978 — and, partly by the introduction of punishment which do not involve

actual deprivation of the liberty: only a limitation of liberty. — Skupinski,

1980 —. The application of supplementary punishments as principal punish-

ments e.g. interdiction from driving a motor vehicle as a principal punish-

ment, has gained importance. With the introduction of the day-fine, for

instance, there is a similar tendency in the development of the system of

fines. Similarly, there is a trend to make the application of reformatory and

— 229 —

educative work more. éffectivè. In order to promote the increase of the

effects of resocialization upon the deprivation of liberty, and, to decrease

the absolute period of punishment, significant efforts are being made to

widen the logal scope of parole. — Zlobin, Kelina, Jakovlev, 1978 —. In the

socialist countries capital punishment is metod out in extraordinary excep-

tjonal cases only.

- Considering the character of the offence and the character of the per-

sonality manifest in the former life of the offender, in the case of a signi-

ficant majority of the offenders, education and resocialization is needed.

This, depending on the punishment metod out, can be realized inside of

institutions or outside. In the former case, such measures are taken which

limit liberty. These are enforced by rules of behaviour and, if need be, pro-

bation is ordered, or some similar measures, for example the patronage by

the workplace or by workmates or, patronage by the place of domicile.

Patronage is being assisted by full-time probation officers and volunteers.

À significant part of medium and long-term imprisonment is followed by

after-care. Here, the point of departure is that even if ideal prison conditions

were assumed, the best that can be done is to create subjective conditions

for reintegration. Even under optimal conditions, help is needed to create

objective conditions too, for reintegration into the society; to secure job

and place of domicile, among others. Socialist penology, at the same time,

also reckons with the possibility that the desired aim cannot be reached

during the course of imprisonment, because of the harmful effects of

prisonization. Release from prison is frequently followed by restrictions

of liberty, which are aimed at the prevention of recidivism.

Presocialization in any form of punishment — as agreed upon by

scholars of criminal sciences of the socialist countries — is being done to

prevent recidivism. Neither the total transformation of the personality of

the convicts nor the restructuring of the moral values, can be considered to

be realistic aims. — Karper, 1978 —. Resocialization is realistically sought

through education and socio-psychology programmes. These, in general,

are aimed at filling the gaps in the process of socialization, thus for instance,

making the convict complete his schooling, providing him professional

training or favourably influencing his work habits, etc. In the socialist

countries, it is the right as well as the obligation of the convict to work,

while serving the sentence. Work opportunities in the penitentiaries corres-

pond to the technical and legal conditions of work outside the prison with

wages corresponding to outside prevailing rates. In the past years, efforts

to subordinate work to education have been gaining ground. — Gyôrgyi,

1979 —. Psychiatric treatment, psychotherapy or forced treatment are

applied in the penitentiaries in exceptional cases only, at the decision of the

court and even then, in the majority of cases, only as supplementary mea-

sures instead of punishment intended as remodial measures.

— 230 —

Today, in the socialist countries, there is no one disputes the fact that

the means of the criminal law are sucessful in only a limited extent in the

fight against the many-fold social problems and contradictions reflected in

crime. Ît would be a naive to think that the criminal law is able to change

the effects of the forces of economy, society, or of social processes. ’’Crimi-

nal law here can only do what a dam can do against flooding, it can hold it

within the banks, it cannot however stop it’’. —Kiraly, 1981 — À —. Society

must recognize and avow its own responsibility. Such comprehensive econo-

mic, socio-political and education policy plans are needed which are able to

decrease deviant behaviour, including crime. Consequently, a primary pre-

condition of' further development is the intensification of the effectiveness

of socio-political programs. — Kudrjavoov, 1982 —

The development of the penal sanctions can, in the narrower sense of

the meaning, be outlined as follows. First of all, there is need to further

differentiate between the punishments that can be metod out and, there is

need to introduce such new forms of punishment, which do not entail social

isolation for the convict. Resocialization programs must be increased during

the period of deprivation of liberty. To this effect, there is a need for a

more differentiated system of insitutions, better adjusted to the real needs

of the convicts. In this regard, it is inevitable to explore both the objective

and subjective causes of offences, at all the stages of the procedure. Kudr-

javcev summarizes this as follows: ”We must organize the constant psycholo-

gical diagnostics, living circumstances, needs and range of interests of the

individual, which in the course of resocialization and re-education, might be

used as a field of influence” — 1982 —. The system of criminal sanctions has

been undergoing a significant change ; special preventive effects has come to

the fore, with resocialization as the primary means. In those national legal

systems, where punishments and meausres are separated, the dividing lines

are growing indistinct , and now overlap both in content and aim. — Horvath,

1981 —. As Andras Szabé writes, the domination of the law-centric con-

ception which considers the infringement of the norms to be the substance

of the crime, is slowly coming to an end. The new concept replacing the

formalist normativist concept, considers the infringement of the existing

norms as one of the forms of manifestations of the conflicts between man

and society. Accordingly, the social reactions regulated by the law change

too: the measures aim, first of all, at the settlement of the conflicts. Legal

means are becoming the framework for conflict solving programmes of

actions, while penal sanctions are turning into measures with positive pro-

grammes ceasing to be exclusively repressive sanctions, which in the past, in

the overwhelming majority of the cases, have meant negative programmes

only. The concept of prevention is increasingly gaining ground. — 1966 —.

Punishment of a repressive character, however, can be left behing only if we

are able to differentiate in accordance with the character of the personality

Wwith the aim of preventing recidivism. This differentiation, in accordance

with the character of personality, can be solved only with a parallel

— 231 —

development in science, focussing on man, and with the introduction of

experimental methods. This is the only way to avoid anarchy, arbitrariness,

or unscientific approaches in criminal practices. There are preconditions for

the social, economic and political development of the criminal policy of the

future. For my part, | would put the orgation of scientific methods on an

equal footing with the latter.

II[. PENAL SANCTIONS AND THEIR IMPLEMENTATION IN

THE HUNGARIAN CRIMINAL POLICY

The sanctioning system Hungarian society inherited after the Second

World War had been a conservative system by European standards. The first

Hungarian criminal code had, since its birth in 1878, been based on classical

principles. Reformist efforts started right after the code entered into force

— chiefly under the influence of the schools of sociology. Following several

amendments, by the end of the 1920s, conditions developed for a more

differentiated system of responsibility. The range of the sanctions applicable

in the cases of offenders of lesser offences has been enlarged by the possibi-

lity of suspension of punishment. In order to educate vagrants to work, the

institution of the workhouse was created entailing indeterminate loss of

liberty. In order to achieve a stronger defence of society against habitual

criminals, preventive detention centres were introduced again with indeter-

minate loss of liberty. The most progressive legal form, beyond doubt, was

the creation in 1908, of special criminal responsibility provisions for

juvenile offenders. Such amendments to the criminal law had undoubtedly

been, inspired by those seeking to reinforce the effects of special preven-

tion. When such reforms came to an end in 1928, the remaining system was

still Dbasically conservative with a comparatively small number of types of

criminal sanctions, as Hungary entered onto the path of fascism. — Kiraly,

1981/B —.

In the course of the period, which followed the social and economic

changes after 1945, some criminal sciences scholars, while getting closer to

sociological concepts made efforts to outdo the school of formalistic crimi-

nal law. Social conditions, however failed to provide conditions for the

realization of the so-called offender-oriented criminal law. The only product

of this trend had been protective custody for the insans not liable for their

offence. Such a decree went into force in 1948. — Gyôrgyi, 1980 —.

In the 1950s, it was repressive sanctions which came to the fore again.

In the difficult economic situation of the post-war period and later during

the years of the ’’cult of personality”, criminological researches were not

in demand. The social determination of crime as a concept could not assert

itself. Punishment did not serve the education of the offender but was used

as a reprisal for actions against the existing social order. The law on the

— 232 —

General Part of the Criminal Code that went into force in 1950 reflected

this fact only to the extent that it left the sanctioning system of the 1878

Criminal Code basically unchanged and as principal punishments, it con-

tinued to recognize capital punishment, imprisonment, life in prison Or

prison for determined term and the fine. The only preventive measures

entailing deprivation of liberty were those which prescribed forced remedial

treatment for the mentally deranged. The General Part introduced however,

and in this respect it proved to be progressive, reformatory educative labour.

It could be considered as reformatory and educative measures replaËing

short and medium prison terms not exceeding 5 years. The provision of

the law, which considerably widened the possibilities of suspending punish-

ment was, too, aimed at decreasing the number of deprivations of liberty.

Though it was not in the law itself it was used in practice to deal with the

dogmatic criminal policies and the distortions of power which manifested

themselves in that era. In 1952, the number of those convicted, increased to

an alltime high of 144,000. This meant a 53.4 per cent increase as compared

to the year of 1938. — Vigh, 1964 —. Very high proportions of crimes at

that time were of the economic type. Deprivation of liberty continued to be

most frequently used punishment. In 1953, for instance, 75 per cent of

those convicted, were handed prison terms. Though the law provided for

it, suspended prison terms were used comparatively rarely. Between 1952-

54, the implementation of prison terms had been suspended in 29-39 per

cent of the cases only. Reformatory and educative work as a new type of

sanction, has been applied in a narrow range of offences only. It was at its

highest level in 1954, when it made up 114 per cent of total punishments.

Between 1952-55, capital punishment was meted out in 14 to 19 cases

annually. — Gyôrgyi, 1980 —.

By the second half of the 1950s and the beginning of the 1960s, more

consolidated conditions of social development have been created for the

development of criminal policies. Under better balanced economic develop-

ment, social mobility and urbanization living standards gradually increased.

It was in 1961, when the first comprehensive socialist Hungarian Criminal

Code was born. Although codification work began as early as in the mid-

1950s, there were no criminological research of merit, either during the

codification work or at the time of the Criminal Code’s implementation.

This explains the fact why the Code failed, in many aspects, to provide any

realistic crime causation concepts. Up to the early 1960s, crime as a social

mass phenomenon, has been considered to be alien to socialist social struc-

ture. The objective causes behind crime had been attributed to the socio-

economico relations of capitalism ; the subjective causes had been attributed

to ’the remnants of the capitalist way of thinking”. — Kadar, 1961 —

After 1956, in the early period of consolidation following the counter-

revolution, criminal sciences scholars made efforts to strengthen, first of all,

— 233 —

the human righùts in criminal law and in criminal procedure, secondly, to

advance scientific research in order to counter the distortions of the crimi-

nal policy of the ’’cult of personality” years. — Viski, 1959, Kiradly, 1962 —.

These concepts, together with its consequences in practice, inevitably

resulted in the reinforcement of the classical responsibility principles and its

effects are still feilt in the sanctioning system of the Criminal Code of 1961.

In addition to education and general deterrence, reprisal also figured among

the aims of punishment. Deprivation of liberty continued to occupy the

central place among the principal punishments. The general maximum of

imprisonment had been set at 15 years and, at the same time, life sentences

had been abolished. By enlarging the scope of measures, the new Criminal

Code made an effort to create possibilities for a more differentiated system

of punishment and, in this regard, it can be called progressive. In addition to

introducing the concept of criminal responsibility, the new Code introduced

the admonishment and coercive treatment of alcoholics. After the new Code

went into force, actual practice became more balanced. The number of

executions decreased — in 1971 there were only three —. Deprivation of

liberty, the most frequently applied type of punishment, made up nearly

half of the total punishments, however implementation was suspended in

every second case. In 1971 the number of those sentenced to reformatory-

educative work and had been around 13-15 per cent, and those fined,

areund 30 per cent — Gyôrgyi, 1980 —.

In the early 1960s, roughly at the time of the implementation of the

new Criminal Code criminology, sociology and psychology research projects

were launched. From this time on, more and more social science scholars

became convinced by the concept that the socialist industrialization and

subsequent social mobility increased the number of conflicts that burst into

the open in the form of deviant behaviour, including crime. When a trans-

formation in social structure is taking place in a comparatively short time,

and it effects wide strata of society, it is inevitably accompanied by an

increase in crime rate. This does not mean, however, that basic changes in

a society would automatically leat to increases in crime rate. Factors influ-

encing the cultural level of a given nation also play a role as do the nation’s

traditions, chances of stable survival under now conditions, the moral stan-

dards of the population, as well as the remnants of former habits and

morals. — Kulcsar, 1980 —. Since the period mentioned and in the light of

the above, no one denios the fact that in the socialist society crime is a

complex mass phenomenon which accompanies, as a rule, a nation’s current

period of development. In socialist society, too, crime continued to be the

price to be paid for inequalities and unequal opportunities. — Kiraly, 1978 —.

Employing conscientious and effective social policies the success of the

fight against crime depends on the extent to which society is able to de-

crease social injustice under the existing economic conditions, the political

power structure and on the extent to which society can secure more equal

— 234 —

opportunities leading to better social integration. — Gônezôl, 1982 —

Initially this concept affected only a limited sphere of social policies in

the course of its development. The polemics about the determinist inter-

pretation of responsibility first focussed on criminal responsibility in the

case of juveniles — Szabo, 1961, Vigh, 1964 — later it developed into a

scientific debate, embracing the entire concept of criminal responsibility.

— Vigh, 1980, Szabo, 1980 —. The development of the current concept

was proceeded by research based on wide-ranging empirical experiences into

the different manifestations of criminal offences committed by juvenile,

recidivist, female and gypsy offenders; crimes against property; violence,

parasitic, and traffic crimes and crimes against the national economy. The

results of such research, initially addressed criminal policies only. In regards

to penal sanctions experts were unanimous in their conclusions that pre-

vention can be more effectively achieved by a wider reliance on special pre-

vention. This in turn, presupposes the classification methods to implement

resocialization. Consequently. criminal practice must pay far greater atten-

tion than ever before to the personality of the offender, to the tendency of

the person’s dangerousness to society and to the depth and intensity of

such dangerousness. — Bocz, 1975, Gônezôl, 1980/A —. With the growth of

social experiments and with parallel developments in sociology and psy-

chology, such criminological concepts are gaining ground. This will demand

more direct contacts with disciplines outside traditional criminal policy,

such as for instance with sociology and political science. This must embody

the concept which does not consider prevention of crime to be the exclu-

sive task of criminal justice personnel or policies — Vermes, 1971 —. While,

at the beginning this has been a scientifically supported wish only; by now

it has been promoted to the status of social-policy.

If we focus our analysis into the effects of criminal research on the

actual penal sanctions and practices, we will see characteristics of parallel,

reciprocal development. It is to be noted that legislation proved to be some-

what more open towards the results of criminological research rather than

sentencing practice or implementation.

It was not long after the start of criminological research, when the first

Hungarian Law Enforcement Code came into being in 1966, setting the

’re-education of the convict into a law-abiding citizen” as the main of depri-

vation of liberty — not in the least due to the effect of criminological con-

cepts. — $ 2, Law Enforcement Code —.

Outstanding among the supplementary provisions of the Penal Code

of 1961, is statutory rule N° 9, 1974, which introduced the concept of

exceptionally dangerous recidivists and decreed their preventive detention.

This much debated rule has been included in the codification programme at

the initiation of a couple of criminologists. — Vigh-Gardai, 1969 —. In the

case of a relatively wide section of habitual recidivist, this made it possible

— 235 —

for the courts to inflict additional deprivation of liberty of relatively inde-

terminate periods of time, between 2-5 years, besides the actually imposed

prison term. In spite of the fact that early analyses revealed that the respon-

sibility system of the Criminal Code of 1961 was not effective against reci-

divism, the majority of the criminologists opposed the introduction of the

institution of preventive detention. — Vermos, 1963 —.

The criminal justice system has started to make increasing efforts,

especially since the early 1970s, to limit the range of prison sentences to

a greater extent than ever before. By the second half of the 1970s, in three-

quarters of the total cases, criminal courts imposed punishments, i.e. sus-

pended prison terms, reformatory and educative labour or fines, none invol-

ving deprivation of liberty. Capital punishment has been imposed in extra-

ordinary exceptional cases only. In recent years only one on the average

annually. As a result of a Presidential Council decree of the People’s Repu-

blic in 1973, entitled ”About the legal policy principles of the criminal

justice system”, criminal policy has been differentiated. The decree

reflected a very progressive concept, which directly utilizes the results of

criminology. It emphatically called attention, among other things, to the

need for differentiation in the course of the proceedings in accordance with

the crime and the degree of dangerousness of the offender to society. It of-

fered directives concerning the types of crime and criminals to be regarded

as increasingly dangerous to society under existing social circumstances. It

provided for milder consideration in the case of first offenders in cases of

comparatively mild offences whose previous behaviour had not been objec-

tionable. Weighing all the circumstances, in the case of the latter type, the

decree called for punishments not involving the deprivation of liberty.

The legal agency for the after-care of those released from prison,

established in 1975, serves the interest of more effective and differentiated

special prevention. This provision of the law assists the resocialization of

these released from prison. The after-care agency also creates the social con-

ditions for resocialization — accommodation, jobs —. The decree also pro-

vided for the supervision and control over a limited member of those

released from prison, in order to prevent a repetition of crime. This same

law created the institution of the probation within the court system which

continues present-day function. This means, that a complex resocialization

system is now in place to help those released from prison in social reintegra-

tion. Following the cration of the 1978 Penal Code, this system has been

further perfected.

Earlier partial reforms created a greater demand for comprehensive

criminal law codification. Work started as early as in the 1970s, aimed at

reforming the Penal Code, the Code for Criminal Procedure and the Law

Enforcement Code. In this manner, the realization of a fully comprehensive

concept in the sphere of criminal law policies, came within reach. New legis-

lation was adopted in 1978 and in 1979, respectively:

— 236 —

In regard to the reform of sanctions, it can be stated that a great

advance had been made towards a properly differentiated system which we

believe lives up to modern sicentific thinking. The tendency of the earlier

years, when the general preventive and repressive aspects were strongly

enforced, has to a great extent been replaced by a new system with em-

phasis upon special prevention and individualization. The basis of criminal

responsibility continues to be the crime. However, in the course of the legal

process, greater attention is now paid to the personality of the offender, to

his conduct and life conditions preceeding the crime and to the objective

and subjective causes of the crime. Accordingly, the sanctionning system has

been differentiated as well. New alternative punishments and measures have

been introduced to further limit the scope of punishments especially affec-

ting the deprivation of liberty. This became necessary, because in earlier

judicial practices there had been a predilection for imposing short-term sen-

tences even in cases when the aim of punishment did not seem to justify it.

In the period between 1976 and 1978, for instance, the number of prison

terms below one year, made up 30 per cent of total prison terms imposed.

Effective resocialization under conditions of isolation could not be realized

during such a short term especially if we subtract the time spent in custody

from the prison sentence itself. — The time spent in custody is always

included as a credit toward the prison sentence — Ât the same time, with

the majority of lesser offenders resocialization behind bars is not now con-

sidered necessary. In case of milder crimes, under the new law, sanctions

which were used as supplementary punishments exclusively, can be meted

out as principal punishments. — Thus, for instance interdiction from practis-

ing a profession or from driving a motor vehicle, can be meted out as prin-

cipal punishments —. The reform of the fine system, too, aimed at widening

the scope of punishments and to achieve granter individualization. The law

introduced the penalty of the so-called ’’day-fine”, which had already been

operating well in the Scandinavian countries, the Federal Republic of

Germany and Austria — Bard, Gyôrgyi, 1978 —. Reformatory and educative

work continue to be principal punishments. The number of measures, which

can be used exclusively to replace prison terms, has been widened. Proba-

tion has been introduced for adult offenders. It has been assumed that in

the case of lesser offences by occasional offenders, the threat of punish-

ment has a greater deterrent effect than the actual prison term itself. In the

course of probation, if need be, resocialization may be stressed. The Crimi-

nal Code made it possible to order probation supervision. The court has the

power to order certain rules of behaviour for those on probation with com-

pliance supervised by the probation officer. Even under the previous Crimi-

nal Code, it was possible to suspend a prison sentences not surpassing two

years. The new Criminal Code in turn, provides for probation supervision

for those under suspended prison terms. With this provision, the effective-

ness of such punishments which do not involve deprivation of liberty,

increased. The new Law provides for forced treatment of alcohol addicts.

— 237 —

In cases, where the prison term is for more than six months, forced treat‘-

ment of alcoholics is accomplished within the framework of a prison sen-

tence. If the offence does not carry a prison sentence exceeding six months,

the alcoholic can be remanded to work therapy treatment in a special insti-

tution, instead of a normal prison.

Both the system of prison punishment liberty and its implementation,

underwant a basic reform. The general minimum of 30 days has been raised

to 3 months. This, too, has been done with the intention of encouraging the

application of alternative to prison. When the Law entered into force, the

Minister of Justice emphatically underlined that ”deprivation of liberty

should be applied only in cases where it is really justified”. — Markoja,

1979 —. It became clear as early as the codification era, that deprivation of

liberty cannot however be made a singular or exceptional form of punish-

ment. ”Against the more severe offences, prison continues to be indis-

pensable and necessary. This is first of all due to the fact that it prison

which has the strongest deterrent effect of all punishments, and with its

isolating function it has a security effect as well. Besides, prison provides

rich possibilities of variation”. — Ficsor-Laszlo, 1976 —.

There are three types of institutions for the execution of prison sen-

tences. They are the penitentiary, the common prison and the house of

detention. Which of the three to be used, is decided by the cognizant crimi-

nal court. The above three differ from each other as to the extent of the

isolation from the free world, the restrictive rules and thus prison life itself.

The new Law Enforcement Code however provided that the civil rights and

the responsibilities of convicts could be limited only to the extent the sen-

tence or the law sets out or to the extent the exercise of such rights are not

in contradiction with the aim of punishment. This, interpreted into the

language of insitutional life in the above mentioned institutions, means that

the convict can be isolated from the outside world only to the extent

necessary for the defence of society. This may be stated as the principle of

’the least restriction consistent with social defence”’. — Prisoners are al-

lowed to keep in touch with their families. Furloughs are granted too; from

the common prison in exceptional cases and from the house of detention

regularly. In the latter type of institution, the prisoner is even allowed to

work in workplaces outside the insittution —. In order to help the gradual

acclimatization to the conditions of the outside life, the new law introduced

the institution of the transitional group. The benefit of the transitional

group may be granted toward the end of the prison term, for convicts in

penitentiaries and for those sentenced to prison terms longer than five

years. — While in a transitional group, the convict may be granted short

leaves and can be employed outside the institution, or may allowed free

movement within the institution or is permitted to have unlimited contacts

with a probation officer, etc. —.

— 238 —

The most important principle of the new law is that the entire institu-

tion of the deprivation of liberty, together with the coordinated activity of

all these participating in it, is now dedicated to the aim of the reeducation

of convicts. Educational activity must obviously be suited to the edu-

cational and social level of the convict. The majority of the convicts are

adults. À significant proportion of them are recidivists who have committed

serious crimes. Their level of education is well below the average. Under

such conditions, the basic task of a resocialization program is to make up

for the gaps in elementary knowledge, i.e. elementary schooling. — Under

the age of 40, elementary school is compulsory, for those over 40 oppor-

tunities are made available —. Resocialization is made considerably ensier by

the fact that the convicts are given training in such skills that are in demand

in the free world. Depending upon the length of punishment, there are

training programs for semiskilled or skilled workers. — Convicts may con-

tinue secondary or higher education studies as well —. In the course of the

resocialization process, in addition to centrally organized forms of edu-

cation, there are also specialized forms for the individual or groups. The

purpose of these programs is to accustom the convict to forms of free life

which will help him survive on the outside in a socially acceptable manner.

The new law left intact the rules of employment permitting convicts to

enter in industrial or agricultural work programs at prevailing wages. With

the creation of prison work programs stops was also taken to secure ex-

convicts jobs related to what was learned during his prison stay. If need be,

accommodation may be seccured for him at workers’ hostels.

Based on the aforesaid, it is obvious that in the case of Hungarian peni-

tentiaries, we cannot talk about treatment programs in the classical sense of

the concept. What is being done in these institutions can better be defined

as resocialization in tune with modern criminological thought. In our insti-

tutions, no attempt is made at the complete transformation of the convict’s

personality. The main task is to correct those traits which made the person

unfit for integration into society and to try to get him to accept and respect

the basis principles of lawful existence in society. — Vincze, 1982 —. The

penal institutions employ full-time pedagogists, wjo are assisted by one or

two psychologists. Besides, teams of doctors, psychologists and teachers

specialized in the treatment of the defective care for psychopathic con-

victs in special institutions Or in separate parts of other institutions. À large

number of psychopaths are incarcerated because of their addiction to

alcohol and have been sentenced to forced treatment. Resocialization is

augmented by parole opportunities which are widely available. Under the

law, in certain cases, the test periêod — parole — is done under the super-

vision of probation officers. — The general minimum of three months in

prison must be served by all convicts. In the case of penitentiaries, parole

may be granted after serving 4/5 of the sentence, while in common prison

3/4 and in the house of detention 2/3 of the sentence must be served. In

the case of life terms, parole can be granted after 20 years in prison —

— 239 —

The Criminal Code of 1978, created new regulations governing pre-

ventive detention centre. The law clearly defines the concept and structure

of recidivism. It qualifies as especially dangerous recidivists only those, who

repeatedly commit the most severe crimes. Consequently, the range of those

who come under this now definition has considerably narrowed. — Excluded

from this category were for instance such multiple offenders who regularly

commit lesser crimes against property —. Preventive detention programs

have been considerably improved to comfort with the concept of resocia-

lization. During the time of preventive detention, convicts enjoy greater

liberty than during their sentence in a prison. — For example, they can be

granted short community leaves of up to 14 days, or they can be employed

in workplaces outside the institution or are allowed to spend their leisure

time as they prefer —. After two years, they are eligible for probation under

supervision. Parole consideration is mandatory every year after two years

spent in preventive detention. Preventive detention is limited to a maximum

of five years.

The new Criminal Code entered into force at the beginning of June,

1979. Not enough time has elapsed since then to sufficiently draw any final

conclusions concerning its actual effects. There are already certain tend-

encies recognizable for a comparison with its intentions. Since the new

Criminal Code entered into force, the proportion of prison sentences did

not decrease, on the contrary it was slightly increased. Prison sentences

make up for somewhat more than one-fourth of the total punishments. The

proportion of the comparatively short-term sentences i.e. under one year,

increased from an earlier annual average of 30 per cent to 37.2 per cent in

1982. The number of suspended prison terms remained practically the same,

and, the proportion of reformatory and educative work sentences decreased.

The number of fines, however, decreased considerably. — In 1977, fines

made up 46.1 per cent of total punishments while in 1982 it dropped to

39.6 per cent —. Thus, the introduction of new, alternate punishments and

measures, did not bring about desired decreases in short-term prison sen-

tences; it only decreased fines and reformatory-educative work sentences. In

1982, supplementary punishments implemented to replace principal punish-

ments, made up 7-8 per cent total punishments, with probation figuring

high among these supplementary punishments.

There might be several reasons behind these non-desirable tendencies.

In the period past, crime rate might have developed so unfavourably that it

made wide use of milder sanctions impossible. The data about the Crime

rate data however, does not support this assumption. For a long period, the

volume of crime has hardly changed; between 1965 and 1981, it increased

by only 10.6 per cent. The proportion of the offenders however, decreased

by 9.1 per cent in the same period. Neither were there any essential changes

in the structure of the crime itself. More than half of crime was against pro-

perty; the proportion of traffic crimes was 11-13 per cent, that of violent

— 240 —

crimes 6-11 per cent, while crimes of economic character, 2.5-4.5 per cent.

Between 1965 and 1981, the proportion of crimes against property de-

creased by 5 per cent, while traffic crimes increased by 2.5 per cent. The

proportion of violent crime and crimes committed against the national econ-

omy, also increased by 5 and 2 per cent respectively. There were no signi-

ficant changes either in volume, trend or type of crime but certain un-

favourable tendencies can be seen. For example, certain types of violent

crimes, like robbery, has shown a permanent increase in the last three years.

None of these changes could however justify sentencing practice which

would restore prison punishment to its former leading role.

The reasons cited in the new Criminal Code for short-term prison sen-

tences are more obvious than those mentioned above. The Criminal Code

of 1978 carried out a certain measure of decriminalization, i.e. it excluded,

as a crime, the offence of defamation of character. — The new sentence for

defamation of character carries a fine only in an administrative procedure —

Since this type of offence is no longer considered to be a crime, but an

administrative offence it obviously brought a decrease in fines. The new

Law makes court mitigation of punishments exceptional and declaire more

severe sanctions against recidivists. These new law resulted in the more fre-

quent application of deprivation of liberty.

It seems however that there are certain differences in approach. This, in

turn hinders the proper application of a differentiated system of sanctions.

It is now a pre-condition for efficient implementation of special prevention

that, in addition to the dangerousness of the criminal action to society, the

personality of the offender, his life style, and both the objective and subjec-

tive causes of the crime must be explored in the course of the criminal pro-

cedure. — Gônczôl, 1980/B —. Experiences thus far show however that

prosecution authorities fail to give due consideration to the factors cited.

The Ministry of Justice made a cpmprehensive survey to determine the

obstacles to a wider use of punishments which do not entail deprivation of

liberty. In the majority of the cases, according to the findings of this survey,

punishments not entailing prison terms had been applied only in cases where

the weight of the criminal action was very mild and where the offender’s

personality could be qualified as nearly ”non-objectionable” without any

thorough examination. The survey has emphatically stated that probation

may be applied even in the case of persons with several previous convictions

might not be considered ”recidivists” if the conduct of the offender since

the time of the last sentence served, leads to the assumption that the pur-

pose of the instant punishment can be achieved by the threat of new punish-

ment alone. Probation can also be ordered in the case of an offender with

’objectionale” conduct, if in the period that has elapsed between the of-

fence and the court procedure the offender gave evidence that he wants to

change his basic life style. — For instance, if he volunteers for alcoholic

treatment —. These efforts on behalf of the convict must then be ofﬁçially

— 241 —

reinforced by placing him under the control of probation supervision and

by prescribing rules of behaviour for him. ”For a well-grounded judgement,

the court must have sufficient information at its disposal about the of-

fender’s personality, his conduct of life in general, and about his behaviour

in the workplace and in his private life in particular. Procedures, in the

majority of cases however, fail to explore these aspects in necessary depth.

Even the report from the workplace is often missing’’, the survey states.

— Anonyme, 1982 —

Similar shortcomings were also found in probation practice. Probation

could be expected to operate successfully if the conditions it sets for of-

fenders adequately consider both the personality of the latter and to the

circumstances of the offence. Experience showed however, that neither the

police investigation nor the court procedure and subsequent sentencing

threw any light on these factors. Consequently, probation as means of

punishment lags far behind what was expected of it. And, even when

applied, the rules of behaviour are neither properly founded nor are they

particularly suited to the personality of the offender. — Pécsvaradi, 1982 —

The exploration of the personal characteristics of the offender is a pre-

condition for the application and effective implementation of any punish-

ment.

In this regard, criminal procedure forms a complex entity: information

gathered at a given stage of the procedure should not merely serve as a basis

for the next stage of the procedure, but should serve the general goal of the

ultimate sanction as well. Thus, in the course of the police investigation not

only those facts should be gathered which help the court procedure, but

attention must also be paid to the requirements of the eventual resocializa-

tion programme to be implemented in the course of sentencing. At the same

time, however, prison officials cannot disregard the dangerousness of the

offence to society or the evidence pertaining to the degree of the seriousness

of the offence and they cannot say that as executers they have to deal with

the personality only. Neither can they say that personality factors have

already played their role in earlier stages of the procedure. — That is to say,

the offence itself usually reflects the character of the personality — In this

way, resocialization programmes can be used with the offender-as-a-person

rather than simply inferring personality from a particular offence. Judges in

the penitentiary-system and full-time parole officers must work under the

guidance of the above principles. The results achieved during the implemen-

tation of the punishment must be evaluated in the light of evidence gathered

by court and in the light of the characteristics of the personality of the

offender. The measures to be taken to secure the convict’s reintegration to

society must be selected with due consideration to all these elements.

— Gônczôl, 1980/B —. The foregoing can only be realized by a change in

approach, namely if all the authorities participating in the procedure come

to the responsible realization of the fact that punishment must not only be

— 242 —

just but it must also be effective. Accordingly, punishment must be meted

out and implemented in a way that leads to the prevention of a repetition of

crime in the case of the offender they are dealing with. In addition to the

criminal offence itself, the personality of the offender and the circum-

stances of the offence must be made the basis of individualization. — An-

onyme, 1982/B —. In order to bring the different approaches nearer to each

other, certain practices must be changed, for example the court practice

where requirements are based upon qualitative aspects almost alone. Changes

are needed also in methods of criminal investigations.

I cannot, here, elaborate fully practices that followed the period of

the Criminal Code’s implementation. The fact that there had been ex-

periences worthy of attention should however be noted here. Among others,

there was a significant decrease in the application of preventive detention

as a form of punishment. While in 1978, it has been applied in 12.6 per cent

of cases to those sentenced to a minimum of two years in prison, this pro-

portion dropped to 2.6 per cent in 1981, as a result of the new law. — An-

onyme, 1981/A —. In the case of juvenile offenders, similar favourable

tendencies were realized. While in the period preceeding the new Criminal

Code, reformatory and educative measures with juvenile offenders had been

hardly more than one-third of the total of cases, in 1981, it rose to 55 per

cent. — Anonyme, 1982/A —.

The effectiveness of the punishment must also be considered. In the

past decade, in Hungary, some outstanding research projects have been

carried out on this subject. These researches have clearly shown that from

the point of view of recidivism alone, one cannot draw any clear-out conse-

quence as to the effectiveness of prevention or punishments applied. That is

to say, punishment can, at best, influence the personal character of the

offender. The influence of punishment on the actual social circumstances of

the criminal actor however, is far more limited. There were experiments to

analyse the prisoners’ will for reintegration into society and their behaviour

following release from prison. In 40 per cent of the cases of those sentenced

to prison for the first time, the effect of this punishment had been favour-

able; in SO per cent of cases it was found to be indifferent, while in 10 per

cent of the case a new crime was committed. — Vigh, 1976 —. Similar

analyses had been carried out in connection with suspended prison sen-

tences and probation. Probation under supervision for instance, proved to

be effective in 99 per cent of the cases and in 95 per cent of suspended

prison term cases. Similarly positive results were found with parole when

applied to prisoners released either from prison or from preventive deten-

tion. The remaining term of the prison sentence had to be served in only 6.4

per cent of the cases, while the temporary leave from preventive detention

had to be cancelled in 13.5 per cent of the cases. — Vermes, 1982 —.

The above survey of the system of the Hungarian criminal sanction

policies and experiences provides a new perspective for prevention. In the

— 243 —

light of the above, the question whether it is treatment or punishment

which serves the aim of special prevention may be answered as follows: In

Hungary resocialization is realized within the framework of punishment. Al!

those efforts which serve the education of the offender, his reintegration

into society can only be realized within a framework of crime-proportionate

punishment. This concept attempts to guarantee the human rights of the

offender on the one hand while it offers a reasonable defence of the public

order, on the other. Criminal law can undertake the resolve socio-political

problems only if undertaken within the limitations mentioned. Criminal

law policies however can prove effective only if its sanctions are supple-

mented with such socio-political measures which lack duress, and if they

help resolve such problems and difficulties which are the social source of

the crime. Certain types of offences often reveal problems, the solution of

which, is either impossible or is only partially possible in the course of the

punishment. In such cases, either parallel with the punishment or after the

period of punishment, coordinated socio-political measures are necessary.

These measures however, are necessary not only to prevent recidivism, but

also to put a brake on repetitive criminality. This, then leads to the need for

crime prevention in a wider, socio-political sense. Of late, it has become

more and obvious, particularly as a result of a comprehensive analysis into

deviant behaviour that there are few singular social contradictions which

play an exclusive or even dominant role in criminogenic behaviour. In other

words, it is very difficult to differentiate between the social causes behind

certain deviant behaviour forms — it is rather in the individual cases, where

the differences manifest themselves.

Consequently, comprehensive socio-political measures are needed which

are targeted against the actual social causes underlying deviancy as a com-

plex social phenomenon and not against their individual forms of manifesta-

tion. In the case of alcoholics for instance it is the social problems of

alcohol addicts that must be solved. It is nearly irrelevant here whether the

consequence of alcoholism is crime or suicide. Taking another example,

society must fight against the disruption of compulsory education. Here,

it is similarly irrelevant whether the lack of school education might lead to

a criminal career or to addiction to alcohol.

This however, does not make research into the social or the individual

causes of the crime superfluous, quite the contrary it makes such efforts

emphatically more important. Complex prevention programmes can only

be called into being if there is sufficient understanding of social experience.

However, a comprehensive social programme, can be successful only if it

embodies a properly differentiated system corresponding to the existing

conditions of society and to the level of development of the social sciences.

Prevention and sanctions have to dove-tail in the community through

operating agencies. In the framework of a social system, national legislation

could be created which would very clearly specify the tasks of the given

types of social institutions. — Gôdôny, 1980 —

— 244 —

Finally, there emerges the question: is there any criminal law philo-

sophy and sanction system, which is good or bad, in the absolute sense of

the meaning’ There is no clear-cut answer to this question. We must realize

the fact that criminal policies and a system of legal consequences are of a

follow-up character. The question can be posed only in this form: to what

extent do criminal policies and criminal system live up to the economic,

social and political requirements of the era, and to what extent do they

apply the results of up-to-date scientific findings in the interest of achieving

their aims. There were times when criminologists were inclined to assume

treatment and resocialization as absolute values. Where this was done, the

system was seen as correct and useful. Since then we have realized the fact

that it is not the philosophy of the criminal policy or the quality of the

measures which decide whether the criminal policy system is effective or

not. — The success of resocialization programmes depend on conditions

after release from prison; whether society is able to secure the basic con-

ditions of life for an ex-convict or whether he must reckon with becoming a

jobless outcast —.

In regard to social conditions, the philosophy of punishment and the

sanctioning system, the socialist countries considerably differ from the

developed western nations, despite the acceptance of the two New York

Covenants of 1966 on human rights — including norms of criminal law —

and introduced by all of the socialist countries and by most of the devel-

oped western countries. The latter now seem to be turning back to neo-

classical criminal philosophy but at the same time they also utilize those

aspects of the treatment ideology which look promising under their new

circumstances. The socialist countries, after a short detour, have been fol-

lowing the classical system and in the last 15 years they further developed

the methods of resocialization. Thus, at this historic stage, there can be

highly useful exchanges of experiences between the experts of the two

group of nations having different social systems.

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Anonyme 1982/A Information about the survey into judicial practices

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Supplement, p. 8.

Anonyme 1982/B Report about the survey of judicial practices of secondary

punishment applied instead of principal punishment; probation, pro-

bation supervision. Ministry of Justice, Judicial Department 31.110/

1982/III/1. — Manuscript — pp. 8-9.

— 245 —

Bärd, K. Gyôrgyi K. 1978. Fines and Codification. Jogtudomayi Kôzlôny,

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17

Gôdôny, J. 1980 Prevention of the crime. Criminology studies, N

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Gyôrgyi, K. 1979 New laws in the GDR about the implementation of

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Gyôrgyi, K. 1980 The development of the sanction system of the Hungarian

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Edited by: Asztalos, L. -Gônezôl K. Kôzgazdasagi és Jogi Publishers,

Budapest, p. 152, pp. 160-164, pp. 176-177.

Horvath, T. 1981 An outlines of the development of punishment theories.

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Horväth, A. 1973 The penal Codes of the European socialist countries,

Academy of Sciences, Instituts of Political Sciences and Law Budapest

Kädar, M. 1961 Criminal law. General part. University lecture notes. Tan

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dasägi és Jogi Publishers, Budapest, p. 379.

Kulczär, K. 1961 The educational role of the law in the socialist society.

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Markôja, 1. 1979 The New Penal Code. Magyar Jog, N° 1 p. 11.

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L

1982 Rules of the supervision under probation, as new

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stvo i pravo N 12p

— 247 —

SEKTION / SECCION / SECTION IV

Les politiques et les pratiques de contrôle social extra-pénal et informel

(prévention).

Las politicas y las practicas de control social extra-penal e informal

The policies and practices of informal social control outside the crimi

nal justice system.

Praktische Vorgehensweisen, allgemeine Vorstellungen und Handlungs

strategien im Bereich informeller bzw. ausserjustizieller Sozialkontrolle

— 249 —

POLITIQUE ET PRATIQUE DU CONÎROLE INFORMEL

DE LA DÉLINQUANCE. LA SITUATION ITALIENNE.

Tullio Bandini*

l

Les systèmes de contrôle pénale et extra-pénal de la délinquance sont

actuellement au centre d’un vaste débat, qui essaye de mettre en lumière

leurs effets d’une façon systématique et claire.

En particulier le système de contrôle pénal a été objet de critique, en

tant qu’appareil qui n’est pas en mesure d’opérer de façon équitable, qui

inflige une souffrance non seulernent aux auteurs des crimes mais aussi à

d’autres personnes, telles que la famille des coupables et quelquefois même

les victimes des crimes, qui pour assurer le bien-être de la société, la liberté

et la dignité des citoyens a recours à des moyens qui entraînent des

contraintes des privations de liberté et des outrages à la dignité (C.EP.C.,

Conseil de l’Europe, rapport sur la décriminalisation, Strasbourg 1980).

En réponse à de telles critiques certains courants de pensée ont pro-

posé des modèles différenciés de décriminalisation ou de dépénalisation

(Hulsman, Mathisen, Christie, Baratta et autres) qui à leur tour ont été

critiqués par d’autres positions, qui ont souligné les risques d’un abandon

du système pénal comme instrument de contrôle des comportements non

acceptés et qui ont revendiqué l'importance des garanties prévues dans ce

type de système.

En réalité, souvent les propositions de modification du système pénal

ont eu la limite de négliger l’existence des systèmes de contrôle extra-

pénal, leur action, parfois extrêmement répressive, et les connexions très

étroites entre les deux systèmes.

Quelquefois ces deux types de systèmes agissent en s’excluant récipro-

quement et parfois ils se fortifient l’un l’autre, mais de toute façon des

éléments du contrôle pénal et des éléments du contrôle extra-pénal font

partie d’un système unique, qu’il est important d’étudier dans son ensemble,

à fin d’éviter que des transformations partielles de certains éléments pro-

duisent des résultats de rétroaction à la charge d’autres éléments du sys-

tème, avec des résultats imprévus ou parfois paradoxaux.

Pour une évaluation de cette problématique, il est très utile de décrire la

situation italienne en ce qui concerne l’assistance psychiatrique et la

—,

* Directeur de l’Institut de Criminologie et de Psychiatrie légale de l’Univer-

sité de Gênes, via de Toni 12,J. 16132 Genova (Italia).

— 251 —

rééducation des mineurs, puisque, pendant ces dernières années, dans ces

secteurs il y a eu de remarquables changements, qui permettent de réflé-

chir sur les potentiels effets répressifs et marginalisants des réformes, dans

le domaine du contrôle extra-pénal du comportement.

L’analyse de ces genres de système revêt une importance particulière,

puisque dans les sociétés modernes il y a une tendance toujours plus grande

à transférer beaucoup de formes de contrôle des institutions telles que la

famille et l’église, à des appareils bureaucratiques de l’État, tels que le sys-

tème sanitaire et d’assistance.

Les deux lois qui ont été approuvées, en Italie, pendant ces dernières

années, ont radicalement innové la politique et la pratique du contrôle de

la déviance des mineurs (Loi n° 382 de 1975 et Décret d’Application

n° 616 de 1977) et du trouble psychique (Loi n° 180 de 1978), représen-

tant le moment conclusif d’un processus culturel et politique, commencé

à la fin des années 60 et tendant à la critique des institutions totales et à la

lutte aux processus de marginalisation et de criminalisation.

Les deux lois, expression d’une politique sociale fortement innovatrice

dans ses valeurs, tendent à promouvoir une plus grande tolérance à l’égard

de certains types de déviance et à remplacer la répression par une tentative

de médiation au sein de la communauté.

Il est important d’analyser ces deux lois non seulement sur la base des

affirmations de principe qu’elles contiennent, mais aussi sur la base des

applications concrètes qui se sont ensuivies, applications qui sont très diffé-

renciées dans de différents contextes de la société italienne et qui souvent

n’ont pas réussi à construire une alternative adéquate à la précédente orga-

nisation.

2

La Loi n° 382 de 1975 et le Décret n° 616 de 1977 ont sanctionné

le passage du système rééducatif des mineurs de la gestion du ministère de la

Justice à celui des Communes, selon une ligne de décentralisation et de

déinstitutionnalisation.

Il est opportun de rappeler qu’une telle réglementation a été précédée

par d’autres lois qui ont attribué à l’administration locale d’importantes

interventions, et ont prévu une liaison différente entre structures judiciaires

et structures locales d’assistances.

Les lois les plus importantes à ce sujet sont représentées par le nouveau

droit de la famille, par la loi sur l’adoption spéciale, par la loi sur le divorce,

par la réforme du système pénitentiaire, par la nouvelle loi sur les toxicoma-

nies, par la loi sur l’interruption volontaire de grossesse.

Une importance particulière revêt en outre, la loi constitutive des

centres de consultation de la famille, auxquels ont été attribués d’importantes

tâches d’intervention sur la famille et sur les mineurs.

— 252 —

En général, l’on peut affirmer que ces innovations législatives ont per-

mis un changement radical dans la politique des services sociaux, en ce qui

concerne particulièrement le domaine de la protection sociale et de la pro-

motion sociale des mineurs.

Le Décret-Loi n° 616 ne constitue donc pas, un moment isolé de

réforme, mais représente la conclusion d’un processus de renouvellement du

système de contrôle de la déviance juvénile, processus commencé à la fin des

années 60.

Ces années-là l’idéologie rééducative a été l’objet d’une critique

résolue, faisant partie du bagage culturel et de l’action politique de la

contestation de la jeunesse.

Pour la première fois les problématiques relatives à la justice des

mineurs, qui dans le passé étaient réservées aux spécialistes, sont devenues

objets d’analyse et de critique de la part de bien des jeunes, de la presse et

de l’opinion publique.

On a souligné que le système judiciaire des mineurs avait toujours été

très punitif, et utilisait trop fréquemment, soit par des mesures pénales, soit

par les mesures administratives, l’internement dans les institutions fermées

et séparées du reste de la communauté.

On a observé que les instituts pour mineurs avaient toujours eu une

fonction d’étiquetage, qui renforçait et consolidait l’action de la police et de

la magistrature et qui introduisait dans le monde de la délinquance des jeu-

nes déjà marqués au sens négatif.

Il s’est donc produit une démystification sensible des institutions réédu-

catives, qui a mis en évidence comme sous prétexte de réhabilitation on

accomplissait, en réalité, une action de marginalisation, qui frappait un

grand nombre de jeunes des classes les plus défavorisées.

Au début il y a eu une délégation et un redoublement de responsabilité

d’une personne à l’autre et d’un établissement à un autre. La nouvelle orien-

tation fut acceptée de manière superficielle et, exceptée de rares cas, ne fut

pas accompagné de changements substantiels.

Avec le Décret n° 616 le système rééducatif a été au corﬁraire complè-

tement révolutionné : les maisons de rééducation, déjà en phase avancée de

déchéance, ont été abolies, et les administrations locales ont dû s’occuper

concrètement de la rééducation des jeunes déviants.

Beaucoup de communes se sont trouvées non préparées à faire face aux

nouveaux devoirs et sont restées dans une position d’impasse, sans réussir

à mettre à exécution des interventions satisfaisantes. D’autres communes

ont programmé des interventions alternatives au système rééducatif tradi-

tionnel et certains projets ont été exécutés.

— 253 —

| En général se manifesta la tendance à insérer les programmes orientés

vers la prévention et le traitement de la déviance juvénile à l’intérieur de

programmes plus vastes de politique sociale, en refusant l’optique de l’inter-

vention spécialisée et fragmentée. En ce qui concerne les structures résiden-

tielles il se manifesta la tendance à refuser l’utilisation de structures inspi-

rées du modèle de la maison de rééducation, pour privilégier, au contraire,

des structures de petites dimensions, étroitement mises en rapport avec le

territoire.

Pendant les premières années de critique et de dépassement de l’idéolo-

gie rééducative il se vérifia un net essor des mesures pénales (Bandini et

Gatti, 1979, rapportent, à ce propos, que les incarcérations préventives de

mineurs subirent un accroissement particulièrement intense entre 1969

(4538) et 1972 (10086), avec une successive stabilisation du phénomène

dans la première moitié des années 70). À partir de 1975 l’on observa une

inversion de tendance, avec une diminution constante des incarcérations des

mineurs, malgré l’abolition des maisons de rééducations de l’État et malgré

la carence globale des services pour mineurs, avec retour, dans les années 80,

à des valeurs moyennes analogues à celles des années 60.

De telles données permettent d’affirmer qu’il existe des liens très étroits

entre les différents systèmes de contrôle, même si des automatismes ou des

schémas rigides facilement prévisibles ne sont pas reconnaissables.

Tandis que l’analyse de la situation, qui s’est produite de 1968 à 1975

apparaît simple, et interprétable comme une réaction répressive contre une

réforme non acceptée, l’analyse de ce qui s’est passé pendant les années sui-

vantes apparaît plus complexe.

L’on peut penser qu’il s’est produit, avec le temps, une plus grande

acceptation d’une idéologie plus tolérante à l’égard des mineurs déviants,

ou bien l’on peut penser que le tableau général de la déviance juvénile et

de son contrôle se soit modifié.

Comme l’affirme DE LEO (1983) des phénomènes tels que le terro-

risme et la toxicomanie pourraient avoir suscité des modifications considé-

rables concernant le contrôle des mineurs déviants. En particulier le phéno-

mène du terrorisme a sans doute déplacé l’intérêt des organes de contrôle

social dans une direction différente de celle de l’intervention sur les compor-

tements déviants traditionnels, et le phénomène de la diffusion de la toxico-

manie a augmenté le recours à des formes de contrôle d’assistance et théra-

peutique.

Il est sûr, de toute façon, que les normes legislatives peuvent prendre

une valeur extrémement différente suivant l’application pratique qui en

résulte.

— 254 —

En Îtalie la nouvelle législation des mineurs a créé une situation com-

plexe, différenciée dans les différentes régions et dans les différentes réalités

sociales, par certains aspects contradictoires

La réalisation concrète de structures alternatives aux maisons de réédu-

cation a conditionné l’attitude des magistrats et des travailleurs sociaux qui

ont dû faire des choix pas tellement par rapport au comportement et à la

personnalité des mineurs, mais par rapport à la présence ou non de struc-

tures déterminées.

Dans certains ressorts cette loi n’a pas produit de grands changements

alors que dans d’autres réalités, spécialement dans le Nord de l’Italie, elle a

déterminé un profond débat, qui a porté à des résultats qui sont allés au-

delà de l’énonciation même de la loi

L’application de la nouvelle législation, en effet a produit un débat

animé à propos des rapports entre soutien et contrôle et entre éducation et

imposition, et a posé de nouveaux problèmes sur la signification que la peine

doit avoir pour les mineurs (Bandini et Gatti 1983, De Leo 1982, 1983)

3

La loi de réforme psychiatrique, n

180 de 1978, a profondément

innové les critères d’assistance des malades mentaux

Jusqu’à l’approbation de cette loi, en Italie, une précédente législation

de 1904, inspirée surtout par des critères de défense sociale, et seulement

très peu réformée en 1968, a fait texte

Cette loi prévoyait l’internement forcé en hôpital psychiatrique pour

les personnes qui étaient déclarées « dangereuses pour soi ou pourles autres »

ou qui résultaient « de scandale public »

Avec la nouvelle loi de réforme psychiatrique les critères de l’interne-

ment obligatoire en milieu hospitalier ont été radicalement transformés

En particulier actuellement les internements sont centrés sur l’intérét

du malade, et sont permis seulement dans le cas où il existe des nécessités

thérapeutiques urgentes et quand d’autres types de traitement ne sont pas

possibles

La loi de réforme psychiatrique n 180 interdit toute nouvelle admis-

sion en hôpital psychiatrique (structure qui d’après la loi accueille unique-

ment des patients déjà hospitalisés avant 1978) et prévoit l’institution de

services de psychiatrie dans les hôpitaux civils

L’on doit en outre rappeler que les innovations de la loin 180 ont été

successwement recomprises dans une réglementation plus générale (loi

n° 833) qui, toujours en 1978, a institué le «service sanitaire national » et

qui a inséré le traitement du trouble psychique à l’intérieur des structures

départementales créées par les régions

— 255 —

La loi psychiatrique de 1978, largement inspirée des modèles de la

psychiatrie critique, a voulu garantir les droits des malades mentaux, limiter

la durée de leur permanence en hôpital, mettre à leur disposition les instru-

ments de diagnostic et de traitement de l’hôpital général et éviter l’interne-

ment de ces malades dans les hôpitaux psychiatriques.

En effet les internés en hôpitaux psychiatriques sont passés de 51.853

en 1978 à 35.956 en 1981, alors que dans la même période l’on a organisé,

sur le territoire italien, 216 services psychiatriques hospitaliers, pour un

total de 2.740 lits (Areta e call., 1983).

La loi de réforme psychiatrique, toutefois, a rencontré beaucoup de

résistance et a été caractérisée par des retards considérables dans son applica-

tion et par d’excessives différentiations dans les différents régions, de telle

manière que beaucoup de personnes atteintes de troubles psychiques se sont

trouvées privées de réelles possibilités d’assistance.

En particulier ont fait défaut les structures destinées aux patients chro-

niques, ayant besoin d’hospitalisations prolongées ou bien d’hospitalisations

partielles en situations protégées.

Les services territoriaux, qui dans beaucoup de régions réussissent à

assister un nombre élevé de cas, dans d’autres régions sont pratiquement

inéxistants, ou bien opèrent de façon non intégrée et caractérisée par des

conflits entre différents modèles, techniques, capacités.

Les difficultés et les retard dans la mise en œuvre de la réforme psy-

chiatrique ont renforcé la position des forces conservatrices, hostiles à la

réforme, de telle façon que actuellement des projets législatifs qui tendent à

annuler certaines des principales caractéristiques de la réforme même sont

discutés.

La tentative de passage d’un contrôle rigide et de gardiennage à des

formes de plus grande tolérance du comportement déviant et de médiation

à l’intérieur de la communauté a donc eu un succès seulement partiel, et

risque d’être compromise avant même que la loi-puisse avoir une mise en

œuvre complète.

Il est important de rappeler, en outre, que la loi de réforme psychia-

trique n’a pas concerné directement les malades mentaux qui commettent

des crimes, pour lesquels des structures particulières sont encore organisées,

comme l’hôpital psychiatrique judiciaire, avec des caractéristiques extrême-

ment répressives.

Même si l’on n’a introduit aucune innovation dans le secteur pénal, la

loi de réforme psychiatrique a pourtant déterminé des changements qui ont

eu d’importantes conséquences dans la mise en œuvre concrète des mesures

regardant les malades mentaux qui ont commis des crimes.

256

[1 s’agit d’un autre exemple clair de l’influence que les transformations

d’un système de contrôle extra-pénal peuvent avoir sur le fonctionnement

du système de contrôle pénal.

Dans le passé le système de contrôle extra-pénal du malade mental,

réalisé surtout par l’internement forcé en hôpital psychiatrique, a géré toute

une série de situations dans lesquelles des personnes frappées par des trou-

bles psychiques enfreignaient la loi.

Les citoyens, les familiers, les organes de police, face à des délits de

gravité mineure commis par des malades mentaux, préféraient ignorer de tels

épisodes et confier leur contrôle aux asiles d’aliénés, qui garantissaient une

longue période d’éloignement du sujet du contexte social.

L’impossibilité de recourir à de nouveaux internements en hôpital psy-

chiatrique, introduite en 1978, a radicalement changé la situation, qui toute-

fois diffère profondément dans les différents milieux.

Dans certaines régions la nouvelle organisation psychiatrique, et en par-

ticulier les nouveaux services territoriaux, réussissent à prendre en charge les

cas de sujets psychiquement dérangés qui ont enfreint la loi. À ce propos

Reale et Coll., 1983, décrivent l’expérience de Trieste, où un engagement

constant et une réorganisation de la collaboration entre magistrats et corps

médical, a permis de maintenir les sujets déviants dans leur milieu.

Dans d’autres réalités la loi psychiatrique ne s’est pas traduite en une

organisation d’assistance alternative : les malades mentaux ne sont plus

internés dans des hôpitaux psychiatriques, mais il n’existe pas de services

territoriaux qui puissent les assister, ou bien de tels services sont insuffisants

et inadéquats.

Dans ces réalités le recours aux structures pénales, pour les sujets

porteurs d’un trouble psychique qui enfreignent la loi, est plus fréquent que

dans le passé.

Face à des comportements dérangeants, les familiers, les voisins, les

victimes, la police même, ne pouvant plus faire interner le sujet en institu-

tions, et ne pouvant recourir à des équipes psychiatriques qui puissent

concrètement intervenir sur le sujet et sur son milieu, font recours plus faci-

lement à la dénonciation pénale, qui peut donc conduire ces sujets à la pri-

son ou à l’hôpital psychiatrique judiciaire.

En évaluant les transformations qui se sont produites dans le système

pénal et extra-pénal de contrôle de la déviance psychique en Italie il faut

tenir compte, donc, non seulement des principes inspirateurs de la réforme

psychiatrique, mais aussi des applications concrètes qui se sont vérifiées,

dans les différentes réalités politiques et sociales, applications qui peuvent

contraster, paradoxalement, avec les principes mêmes de la loi.

— 257 —

En effet, la même loi qui dans certaines situations permet d’éviter le

recours aux institutions totales, dans d’autres situations favorise une margi-

nalisation sociale plus intense et répressive de celle préexistante.

4. Dans les sociétés modernes l’on voit se répandre toujours plus un type

de contrôle des comportements déviants qui utilise des systèmes extra-

pénaux, tels que l’appareil sanitaire et l’appareil d’assistance.

Le recours à des systèmes extra-pénaux si d’un côté évite beaucoup de

conséquences négatives propres du système pénal, de l’autre ne constitue

pas, en soi, une garantie de moindre répression et marginalisation.

L’analyse de la situation italienne est démonstrative du fait que des

lois fortement innovatrices et progressistes peuvent aussi donner lieu à des

contre-coups, non exécutions et retards, qui finissent par compromettre les

objectifs que la loi se propose.

Il est donc évident que lorsque l’on veut modifier le système de contrôle

des comportements déviants il est nécessaire d’attribuer une importance non

seulement à la réglementation, mais aussi aux pratiques de mise en œuvre

de telles normes.

Pour cette raison il est important d’examiner les aspects d’organisation

et économiques des normes, les possibilités concrètes de mise en œuvre des

structures, l’acceptation des normes mémes de la part de la collectivité.

Il est important de tenir compte, en outre, du lien étroit existant entre

système pénal et extra-pénal de contrôle.

L’analyse des deux lois de réforme à mis en évidence comment une

réglementation qui réduit la répression du système de contrôle extra-pénal

peut déterminer des effets de rétroaction qui rendent pius intense le sys-

tème de contrôle pénal.

L’analyse de la situation italienne démontre aussi, toutefois, que ce

rebondissement répressif n’est pas toujours automatique et nécessaire, et

qu’il est toujours possible d’atténuer le contrôle extra-pénal et dans le même

temps réduire l’intervention du système pénal.

Pour faire cela une action politique intense et efficace est nécessaire,

pour mobiliser non seulement les professionels et les techniciens, mais aussi

les forces politiques et les associations, de sorte que les normes législatives

ne restent pas un squelette privé de substance, mais se transforment en

actions et en structures efficaces et incisives.

— 258 —

BIBLIOGRAPHIE

ARATA A., DEL BRENNA A M., LO NANO D., SORBO S., ’The therapy

of mental disorders in Italy. The role of Hospital after the 1978 Re-

form’, Neuvième Congrès International de Psychiatrie Legale, S.

Margherita Ligure (Ge), 1983, à imprimer sur les Actes du Congress.

BANDINI T., GATTI U., ”Delinquenza giovanile. Analisi di un processo di

stigmatizzazione e di esclusione”. Giuffrè, Milano, 1979.

BANDINI T., GATTI U., ”Evoluzione e crisi del sistema della giustizia

.minorile. Una difficile scelta tra punizione ed educazione”, Dei Delitti

e delle Pene, 1983, n° 2, p. 34.

BARATTA A., ”Criminologia critica e critica del diritto”, II Mulino,

Belogna, 1982.

CHRISTIE N., ”Limits to pain”’, M. Rebertson, Oxford, 1982.

DE LEO G., ”Tramonto o eclisse della delinquenza minorile ?”, Rassegna

di Criminologia, 1983, vol. XIV, fasc. 1, p. 57.

HULSMAN L., BERNAT DE CELIS J., ”Peines Perdues”’, Le Centurion,

Paris, 1982.

MATHIESEN T., ”The politics of abolition”, M. Robertson, London, 19774.

REALI M., ”Remarks on the territorial psychiatric service within the prison

of Trieste ; from this practice, theoretical elaborations for operative and

normative-juridical proposals concerning”, Neuvième Congrès Inter

national de Psychiatrie Légale. S. Margherita Ligure (Ge), 1983, à

imprimer sur les Actes du Congress.

— 259 —

ALTERNATIVES AU SYSTEME PÉNAL :

UNE UTOPIE DE L'AN 2000.

André Normandeau*

QUELQUES OBJECTIFS SUBSTITUTIFS

le système pénal peut difficilement poursuivre efficacement des

objectifs externes, il est incontrôlé et on peut considérer qu’il constitue en

lui-même un problème social. Toute politique pénale devra tenir compte de

ces éléments. Par ailleurs, toute politique au sujet des comportements péna-

lisés ou pénalisables et du fonctionnement du système pénal doit s’inscrire

dans le cadre de la politique. Aussi, d’une part, la politique pénale ne pourra

s’élaborer en tenant compte uniquement du système pénal tel qu’il existe

actuellement ou des postulats qui président à son fonctionnement, et

d’autre part, cette politique devra poursuivre les mêmes objectifs globaux

que la politique sociale soit par exemple l’élaboration d’une société plus

juste, l’atténuation des causes et des conséquences des inégalités sociales, la

protection des droits et libertés des individus.

C’est dans ce sens que L. Hulsman écrivait récemment (1981a) :

«La question qui se pose à un preneur de décisions conscient de ses res-

ponsabilités sociales n’est pas : «Comment puis-je améliorer les sanc-

tions au sein du système pénal ? », mais :

a) «Comment puis-je promouvoir de meilleures façons de faire face aux

problèmes très différents qui sont tous actuellement définis comme

crimes ? » et

b) «Comment puis-je minimiser les problèmes créés par le système

pénal actuel ? »* (p. 154).

Mais quels peuvent être, dans cette perspective, certains grands axes

d’une politique pénale ?

1. Autres façons de définir les «situations problématiques » et d’y réagir.

En premier lieu, la politique sociale face aux «situations probléma-

tiques» qui peuvent être pénalisées doit s’affranchir, comme il en a été ques-

tion au chapitre précédent, des postulats et des conceptions reçus au sujet

de l’infraction pénale, des «criminels» et du fonctionnement du pénal. Il

} ——

* Directeur, Centre International de Criminologie Comparée, Montréal.

— 261 —

faut en effet être en mesure d’envisager toutes les façons d’aborder ces

situations. Reprenant les idées déjà présentées dans un rapport du Conseil

de l’Europe (1980) [1], on peut répartir en quatre catégories les manières

autres que pénales d’aborder les situations difficiles :

a) changement de l’environnement symbolique des événements;

b) techno-prévention ;

c) réorganisation sociale;

d) modifications des formes de contrôle social.

Dans certains cas, il est possible de réévaluer la perception du caractère

indésirable d’un comportement ou d’une situation. Des comportements qui,

encore récemment (et même présentement dans certains pays) étaient

perçus comme indésirables et pénalisés sont considérés actuellement comme

neutres et même parfois désirables. Que l’on pense par exemple à la vente de

moyens pour favoriser la régulation des naissances, la formation d’asso-

ciations ouvrières, la mixité interraciale ou même certaines formes de paris.

Dans d’autres cas, il s’agira de développer la tolérance de certains compor-

tements. Un très grand nombre de comportements sexuels, la nudité, la

consommation de certains stupéfiants ou l’inobservance du «jour du Sei-

gneur» peuvent illustrer cette augmentation de la tolérance même si l’on

peut continuer à considérer ces comportements comme non souhaitables

pour soi-même ou ses proches.

La techno-prévention ou l’utilisation de moyens techniques peut contri-

buer à réduire la fréquence ou les conséquences à court et à long termes des

situations non désirables ou problématiques. Des modifications dans la

conception des voitures ont contribué à diminuer certains types de vols. Des

modifications dans la conception et la construction des routes peuvent éli-

miner ou rendre très ditfficiles les excès de vitesse. Le marquage de la mar-

chandise peut réduire sensiblement la fréquence des vols à l’étalage. D’autre

part, on a aussi vu ces dernières années des modifications dans la conception

des voitures qui diminuent la fréquence et surtout les conséquences des

accidents de la circulation.

Des changements dans l’organisation sociale peuvent aussi influer sur

la fréquence et les conséquences d’événements regrettables. Une modifica-

tion des rapports entre hommes et femmes et entre adultes et enfants a

déjà contribué à changer les dimensions de la violence entre ces groupes. Par

ailleurs, la mise sur pied d’un système d’assurance automobile qui couvre

tous les citoyens ainsi que l’assurance maladie universelle ont certainement

contribué à atténuer l’impact négatif de certains événements.

Enfin, méême si des situations ou des comportements sont encore perçus

comme indésirables et que l’on considère qu’un ou des individus en sont res-

ponsables, il est ordinairement préférable de gérer ces comportements par

d’autres moyens de contrôle social que le système pénal. On peut en effet

— 262 —

avoir recours à d’autres styles de contrôle social : compensatoire, thérapeu-

tique ou conciliatoire (Black, 1976). Ces styles de contrôle social pourront

S’inscrire dans des cadres formels tels le droit civil, le droit administratif. le

droit du travail, ou dans des cadres plus informels au niveau de petits grou-

pes. Il est probablement souhaitable de favoriser la gestion des conflits ou

des situations problématiques par les groupes où les gens ont des relations

SuiVvies.

2. Réduire les activités du système pénal.

Les activités du système pénal engendrent directement et indirectement

de la souffrance. Elles impliquent l’utilisation de la contrainte, des priva-

tions de biens et de liberté et des atteintes à la dignité. Aussi, comme le sou-

ligne le Conseil de l’Europe (1980)

«La nature particulière de ce produit

exige que toute politique sociale visant au bien-être des membres de la

société s’emploie à restreindre au maximum l’existence et l’utilisation d’un

système qui engendre ce produit» (p. 27).

Si, dans cette perspective, ceux (2) qui préconisent l’abolition d’une

façon plus ou moins radicale du système pénal, sont encore peu nombreux,

il y a en revanche un mouvement de plus en plus généralisé pour en réduire

ses activités. C’est dans ce sens que la Commission de réforme du droit du

Canada (1976 b) insiste pour que l’on utilise le droit pénal avec le plus de

modération possible.

En premier lieu, il faut mettre fin à l’inflation pénale actuelle. Depuis

quelques années le nombre d’interdictions pénales augmente à un rythme

phénoménal. Actuellement, par exemple, un citoyen du Québec fait proba-

blement face à plus de SO 000 interdictions de ce genre. Cette énorme force

de frappe donne un très grand pouvoir discrétionnaire aux agents du sys-

tème, pouvoir qui peut s’abattre sur n’importe qui à tout moment. Aussi,

l’application des normes dépend surtout des agents du système et il n’est pas

surprenant qu’elle frappe le plus souvent et le plus durement les plus faibles,

ceux qui peuvent offrir le moins de résistance.

En plus de mettre fin à cette prolifération du pénal, il faut aussi dépé-

naliser, décriminaliser. Il ne faut pas penser ici uniquement aux domaines

dont il est toujours question à ce propos (jeux, pornographie, cannabis, etc.)

mais surtout aux très nombreux états et comportements réglementés aux

niveaux provincial ou municipal. On pense ici en tout premier lieu à des

interdictions telles «être en état d’ivresse sur la voie publique», « flâner la

nuit», etc. (3) qui touchent presqu’uniquement des populations très défavo-

risées et qui engendrent le plus d’injustices.

La modération ne doit évidemment pas se restreindre à la production

de normes pénales mais doit aussi toucher leur application. La déjudiciarisa-

tion par exemple doit être encouragée tant au niveau de la police que des

— 263 —

tribunaux. Elle ne doit pas être limitée aux infractions dites mineures ou

aux contrevenants qui en sont à leur premier contact avec le système. Même

pour des situations «gravesy, l’on devrait trouver et autoriser d’autres

modes de solution du conflit, particulièrement lorsque les parties le désirent,

lorsqu’elles ont des relations soutenues ou encore lorsqu’on a eu recours au

système pénal parce que l’on s’y croyait obligé ou parce que c’était, à un

moment donné, le seul recours possible pour faire face à la situation.

Enfin la modération doit aussi s’appliquer au niveau de l’imposition de

la peine. Il faut en particulier n’avoir recours à l’emprisonnement qu’en

dernier ressort. On peut penser ici, entre autres, à l’élimination de l’empri-

sonnement à défaut de paiement d’amende et à l’interdiction de l’emprison-

nement pour des infractions «mineures» , spécialement les infractions aux

règlements municipaux.

Dans cette perspective, la stratégie proposée dans un document du

ministère de la Justice du Québec (1981), de réduire de 92 à 72 le nombre

de places de détention pour 100 000 habitants au Québec d’ici à 1990, est

certes originale et prometteuse.

3. Contrôler les activités du système pénal.

L’utilisation modérée du droit pénal entraînerait évidemment une dimi-

nution de l’anti-bien-être et de la répartition inégale de la souffrance selon

les groupes sociaux. Cette réduction des activités du système dépend surtout

des législateurs et des responsables des premiers stages du système pénal

(police, procureurs). Mais il est un objectif où les administrateurs correction-

nels peuvent jouer un rôle très important, celui du contrôle des activités du

système pénal.

En premier lieu, il convient de contrôler et même de diminuer l’expan-

sion du système. On pense certes en premier lieu à la limitation de la popu-

lation carcérale puis à la limitation des peines elles-mêmes. Ce que Robert et

Faugeron (1980, p. 196) ont appelé la «cancérisation du contrôle social »

semble s’appliquer aussi aux sanctions pénales. «Des innovations qui

devaient être des substituts à l’incarcération en sont devenues des supplé-

ments»* écrivait récemment un historien américain (Rothman, 1980, p. 9).

Robert (1981) faisait une constatation identique : «Et quand bien même se

développe un discours de changement, on constate que l’innovation s’avère

plutôt cumulative qu’alternative» (p. 376). Simon et al. (1981) semblent

aussi discerner un phénomène semblable en ce qui concerne les travaux

communautaires au Québec. Il faudra donc être particulièrement vigilant et

ne proposer ou n’accepter des «solutions de rechange » que lorsque l’on est

absolument certain que ces nouvelles peines ne viendront pas s’ajouter aux

précédentes et que les «réformes» viendront diminuer et non pas augmenter

l’intensité et surtout l’étendue des contraintes (4).

— 264 —

D’autre part, il faudra contrôler les activités du système pénal pour qu’il

respecte les grands principes d’égalité, de justice, d’humanité, de liberté, etc.

qui ont tant de place dans le discours. Il ne s’agit pas ici de croire ou de

créer l’illusion que le système pénal peut réellement fonctionner selon le

principe de l’égalité (S) ou qu’il peut réaliser la justice, mais de faire en sorte

de limiter les souffrances, les atteintes aux droits et libertés qui, nous le

répétons, touchent surtout les plus faibles. Dans ce sens, il faudra par

exemple faire en sorte que toute personne puisse réellement conserver à

tous les stades du système pénal (y compris l’incarcération) tous les droits

des autres citoyens sauf ceux que l’on doit obligatoirement lui restreindre.

Au Québec, par exemple, il faudrait que tous les administrateurs et inter-

venants du domaine pénal entreprennent des actions pour que tous les

contrevenants jouissent réellement des droits garantis dans la charte québé-

coise des droits et libertés de la personne et dans les lois fédérales sur les

droits de l’'homme.

Il semble aussi très important que tous les justiciables soient assistés

d’un avocat à tous les stades du processus pénal. La présence des avocats

nous semble indispensable que ce ne soit que pour faire respecter les règles

légales ou informelles de la justice pénale. Nous avons vu, dans une recher-

che récente (Landreville et al., 1981) que la présence de l’avocat au poste

de police, suite à l’arrestation, peut être d’une très grande importance tant

pour empécher certaines conséquences négatives immédiates (dont la bruta-

lité policière, surtout pour «les sans-pouvoir » ) que pour garantir le droit de

ne pas faire de déclaration et diminuer ainsi certaines conséquences néga-

tives à plus long terme. Nous avons aussi constaté que dans des cas de petits

commerçants ou de petits entrepreneurs aux prises avec des procédures

pénales longues et compliquées, les coûts de la défense étaient souvent pro-

hibitifs et que plusieurs d’entre eux plaidaient coupables ou se défendaient

eux-mêmes faute de pouvoir se payer un avocat. La plupart d’entre eux ne

pouvaient bénéficier des services de l’aide juridique.

Le contrôle du système pénal et des conséquences négatives qu’il engen-

dre quant aux droits et libertés peut aussi s’effectuer par une diminution et

un encadrement du pouvoir discrétionnaire qui existe à tous les stades du

système pénal. Un trop large pouvoir discrétionnaire exercé sans directive,

sans contrôle risque, on l’a souvent répété, de devenir arbitraire et de brimer

les droits et libertés des individus. Aussi les législateurs et les administrateurs

du domaine pénal ont-ils un rôle très important à jouer pour préserver les

droits des individus et limiter les «maux» créés par le système pénal, en

diminuant, en encadrant et en contrôlant le pouvoir discrétionnaire exercé

par la plupart des intervenants.

L’emprisonnement, particulièrement s’il est prolongé, a un impact néga-

tif sur la «carrière professionnelle », les relations avec les proches et même

l’équilibre psychologique de l’individu. Aussi, il faut constater, suite à la

— 265 —

Commission de réforme du droit du Canada (1976 c) que c’est une mesure à

laquelle on ne devrait avoir recours qu’avec modération et en dernier ressort.

Cependant, à court terme, les administrateurs correctionnels peuvent atté-

nuer les conséquences négatives qu’engendre la prison, entre autres, en mul-

tipliant les programmes d’absence temporaire et en les rendant accessibles au

plus grand nombre de détenus possible, en aménageant des endroits de ren-

contres qui permettent aux détenus de rencontrer leurs proches dans les

conditions les plus normales possibles, en favorisant les interactions avec la

=

communauté soit par l’entremise du courrier, du téléphone, des visites

à

l’établissement, etc.

On a déjà soutenu que les plus démunis sont plus durement frappés par

le système pénal et ce à plusieurs stades. Le phénomène se reproduit même

lors de la décision de mise en libération conditionnelle. Parmi les critères,

plus ou moins explicites, on retrouve : la qualité du projet de sortie (6), le

milieu familial, les possibilités de trouver un emploi à la sortie. Les détenus

les plus favorisés, ceux venant d’un milieu bourgeois, peuvent se conformer

facilement à ces critères, tandis que les plus défavorisés, ceux qui n’ont ni

travail, ni famille, risquent de finir leur peine en prison. On pourrait limiter

la reproduction des inégalités et des injustices sociales en éliminant de tels

critères et en fournissant aux ex-détenus (surtout les plus défavorisés) les

moyens (logement, travail) de bien se réinsérer dans la société et en les libé-

rant le plus rapidement possible.

4. Atténuer les conséquences du fonctionnement du système pénal.

Le système pénal ne produit pas que de la souffrance, il produit aussi,

en interaction avec les médias une image du «criminel» et certaines réac-

tions telles la stigmatisation, la crainte et le rejet. Aussi dans ce sens engen-

dre-t-il des conséquences négatives qui deviennent rapidement hors de son

contrôle. Certains maux, certains «coûts sociaux» sont des conséquences

indirectement du système pénal, puisque la concrétisation du coût dépend

de l’intervention d’une instance intermédiaire, mais que fondamentalement

cette «réaction en chaîne» est amorcée par un contact avec le pénal. Les

coûts, ses conséquences, doivent être considérés avec soin dans une politi-

que sociale visant le mieux-être des membres de la société. Les gestionnaires

du pénal doivent y être particulièrement attentifs.

L’instance intermédiaire, le mécanisme de production des coûts sociaux

est parfois (7) un texte de loi. Le texte est alors et le reflet et l’instrument

de la stigmatisation, de la représentation que l’on a du « crime » et du « cri-

minel». Aussi, même s’il faut être conscient que des modifications de textes

législatifs n’entraînent pas nécessairement des changements des pratiques,

des façons de concevoir et faire les choses, il nous semble très important et

méême essentiel de modifier ces textes à cause des conséquences négatives et

directes qu’ils entraînent et à cause de l’impact idéologique et pédagogique

que peuvent provoquer leur modification ou leur abrogation.

— 266 —

On peut mentionner à titre d’exemple, la « Loi canadienne sur les droits

de la personne» (8) qui ne considère que «l’état de personne grâciée »

comme «motif de distinction illicite» (9). Nul doute qu’une modification

de cette loi par laquelle on remplacerait «l’état de personne grâciée» par

«condamnation pénale» aurait un impact très important sur la façon dont

on se représente les délinquants et sur les pratiques discriminatoires. Dans le

même sens, la « Charte québécoise des droits et libertés de la personne » (10)

devrait être modifiée pour y ajouter à l’article 10, «condamnation pénale »

ou «antécédents judiciaires» comme motif de discrimination (11). Les

modifications de ces lois devraient naturellement s’accompagner de la modi-

fication de toutes les lois fédérales ou provinciales qui autorisent le retrait

de droits politiques, le refus ou la révocation d’un permis ou d’une licence

suite à une condamnation pénale.

Parmi ces lois, on ne peut passer sous silence la « Loi sur le casier judi-

ciaire» (12) qui stipule qu’aucune formule de demande d’emploi dans un

ministère ou un département, dans une corporation de la Couronne, pour

ou relativement à l’exploitation d’un ouvrage, d’une entreprise ou d’une

affaire qui relève de l’autorité législative du Parlement du Canada, ne doit

contenir de questions qui, par leur teneur, obligent le requérant à révéler

une condamnation à l’égard de laquelle a été accordé un pardon qui n’a pas

été révoqué (art. 8). L'article suggère donc qu’une même question à l’égard

de toute autre condamnation est permise. Il faut aussi ajouter que la loi a

une portée plutôt restreinte. D’une part, elle n’a réellement d’effet que dans

le domaine des compétences du gouvernement fédéral, et d’autre part, en

pratique peu de personnes obtiennent un pardon au Canada. En effet, plus

de 1 600 000 citoyens ont un casier judiciaire (environ 350 000 au Québec

(Prévost, 1980, p. 22)), soit environ 15% des hommes de plus de 15 ans,

alors que seulement environ 20 000 personnes ont obtenu un pardon au

cours de la dernière décenie (13). Aussi, l’article 8 de la « Loi sur le casier

judiciaire» devrait-il être modifié pour s’appliquer à l’égard de toutes

condamnations pénales, l’obtention d’un pardon devrait être automatique

et devrait avoir effet dans les domaines de juridiction provinciale. De telles

modifications législatives contribueraient à limiter les conséquences néga-

tives du fonctionnement du système pénal.

On a déjà souligné le rôle très important des médias quant aux repré-

sentations sociales du «crime» et du «criminel» (14) et nous avons vu dans

une recherche récente (15) comment ce pilori moderne contribue directe-

ment à produire des coûts sociaux pour le justiciable et sa famille. S’il est

important de protéger la liberté de la presse (16) et que les procès se dérou-

lent en public, il est des pratiques qui ne se défendent par aucun de ces prin-

cipes fondamentaux. Aussi pourrait-on envisager que les agences de contrôle

et de règlementation des médias et les associations de journalistes mettent

au point des normes pour qu’il soit interdit de publier les noms, photos et

adresses des personnes (victimes et justiciables) impliquées dans une affaire

pénale, sauf si l’intérêt du public l’exige.

— 267 —

S. Redonner des droits à la victime.

On a déjà souligné (17) que le système pénal crée aussi de nombreux

coûts sociaux pour les victimes, coûts que devraient tenter d’atténuer les

politiques pénales. En premier lieu, il serait possible de réorganiser le fonc-

tionnement des tribunaux et de mettre sur pied des services pour éviter que

les victimes (et les témoins) perdent leur temps et leur argent lorsqu’ils doi-

vent se présenter devant les tribunaux.

Mais, ce qui apparaît encore plus important, c’est de redonner aux vic-

times le contrôle de leur conflit. Il faut éviter que la victime ne devienne

qu’un témoin d’un conflit entre l’agresseur et l’État et qu’elle voit ses inté-

rêts ignorés et bafoués par le système. On doit donc redonner à la victime

un plus grand contrôle sur les procédures et lui permettre, compte tenu de

ses intérêts, de retirer sa plainte, de refuser de témoigner ou de susciter une

conciliation. En ce sens, il faut favoriser la déjudiciarisation lorsqu’il y va

des intérêts des victimes, tout en instaurant des mécanismes formels de

dédommagement durant la déjudiciarisation ou comme mesure pénale

lorsqu’il a été impossible de tenir compte des intérêts de la victime avant

ce stade.

NOTES

(1)

Pour une discussion plus détaillée de cette problématique, le lecteur

est invité à lire le rapport du Conseil de l’Europe sur la décriminali-

sation, particulièrement le chapitre X.

(2)

Entre autres L. Hulsman (1981b) et T. Mathiesen (1974, 1980). Les

lecteurs intéressés par la perspective abolitionniste devraient à tout

le moins lire Mathiesen (1974), p. 13 à 28 et p. 202 à 212.

(3)

Dans d’autres pays, ce sera par exemple les législations sur les vaga-

bonds. Voir à ce sujet : Rico (1981) et Van de Kerchove (1977).

(4)

Voir particulièrement Mathiesen, T. (1974), p. 202 à 213. «On the

négative».

(5)

Comme le faisait remarquer le sociologue du droit Henri Levy-Bruhl

(1955) : «I1 n’est pas question de combattre les principes égalitaires,

mais de détruire l’illusion dangereuse qui consisterait à croire que ces

principes sont intégralement appliqués et même sont susceptibles de

l’être dans une société telle que la nôtre. En réalité, je crois l’avoir

montré, il n’y a pas d’égalité juridique sans un minimum d’égalité

économique» (p. 15). Voir aussi à ce sujet : Baratta, A. (1979).

(6)

C’est par exemple un des critères incrits dans la loi québécoise sur la

libération conditionnelle (1978, chap. 22, art. 23).

— 268 —

(7)

Ici, comme dans tous ce chapitre, nous nous contentons d’illustrer nos

propos par des exemples qui, quoique très importants pour la situa-

tion québécoise, ne représentent qu’une petite partie des consé-

quences négatives du système pénal.

(8)

Op. Cit.(176).

(9)

’Prohibited ground of discrimination”’, selon le texte anglais de la

loi.

(10)

L.Q.1975, chap. 6.

(D

Voir à ce sujet les articles du professeur Jacques Gagne « antécédents

judiciaires et conditions sociales», Le Devoir, 81-10-06, 81-10-07,

dans lesquels il rend compte de récents jugements de la Cour provin-

ciale dans lesquels les juges concluent, contrairement à l’opinion de

la Commission des droits de la personne, que des antécédents judi-

ciaires d’une personne ne pouvaient être inclus dans les termes « condi-

tion sociale ».

(12)

S.R.C. 1970, chap. 12.

(13)

Déclaration du Solliciteur général du Canada, La Presse, 80-08-07,

D.14.

(14)

Voir entre autres à ce propos : Op. Cit. (78a), chap. 5 et Lascoumes,

P., Moreau-Capdeville, G.(1976).

(15)

Op. Cit. (173).

(16)

Malheureusement, à notre avis, La Presse exerce très rarement les

devoirs associés à cette liberté : devoirs d’information sur les pratiques

des tribunaux et devoirs de critiquer les pratiques inacceptables.

(17)

Supra IV, S.

BIB LIOGRAPHIE : à demander chez l’auteur même.

— 269 —

POLICIES AND PRACTICES OF INFORMAL

SOCIAL CONTROL OUTSIDE THE CRIMINAL

JUSTICE SYSTEM (PREVENTION)

Leslie Sebba*

|. INTRODUCTION: SCOPE OF THE TOPIC

Ît is inevitable that a topic whose title incorporates the expression

«social control» will be fraught with difficulties and ambiguities, and the

topic of this panel is no exception. The space allotted for this presentation

can thus hardly do justice to the subject matter involved: learned papers

have been dedicated solely to the problem of defining the concept of

«social control» (Clark & Gibbs, 1965; Mayer, 1983). It will nevertheless

be worthwhile to devote a part of the discussion here to a consideration of

the scope of the topic as defined for the purposes of the present discussion.

For such a seemingly semantic exercise will in fact draw attention to the

most salient questions of substance involved here.

«Social Control». The meaning most probably attributed to this term

by a group of criminologists will be «the restraint of deviance» , and this is,

indeed, a widely accepted interpretation (Clark and Gibbs, Meier, 1982). In

criminological parlance, social control is to deviance what punishment is to

crime (1). (This, of course, begs the question of what is deviance). However,

early writers on social control such as Edward Ross and William Graham

Summer and later, Landis (1956), had in mind a much wider concept,

namely, the maintenance of social order or the self-regulation of the social

group.

According to this concept, all processes of socialization are incorpo-

rated in the term «social control» (2). Such a wide definition, while not

irrelevant to criminology (all socialization processes may be considered pre-

ventative of deviance) would expand our terms of reference immeasurably.

* Institute of Criminology, Faculty of Law, Hebrew University of Jerusalem

P.O.B. 24100, Jerusalem 91 905. My Thanks are due to Professor Stanley

Cohen for innumerable discussions on the topic of this paper and for his

comments on an earlier draft.

(1) This is consistent with Parsons’ (1951:298) differentiation between

social control and socialization.

(2) However, even Summer’s «folkways» and «mores», have a distinctly

normative character, sanctions (albeit informal) following from their

infringement (Coser, 1982).

— 271 —

Another issue raised in the literature (see, e.g., Coser!1982) is whether

social control refers only to purposeful conduct, i.e.. where the actors are

intending to exercise a control function, or whether it is concerned with any

social process which achieves a degree of control irrespective of prior

intentionality. The reference to «policies» in the definition of the panel

topic implies the element of purposefulness; but this interpretation of social

control is not free of difficulty (3). A related question is whether social

control processes are dependent on coercion (Janowitz, 1975) and the

exercise of power (Mayer, 1983 ; Coser, 1982).

These questions, in turn, lead to the overriding issue relating to social

control, namely, whether the forces of social control should be regarded as

benign and beneficient, inducive to social cohesion and harmony (as indi-

cated in the early writings on this topic), or whether the expression is to be

associated with the evil forces of totalitarianism and the erosion of civil

liberties. The answer to this will depend in part upon one’s socio-political

philosophy (see below, sec. V), but in part also on one’s definition of social

control.

«Informal » . This epithet appears in the definition of our subject matter

in qualification of the term «social control». For sociologists, «informal

control» generally refers to such intangible pressures as peer-groups, family,

public opinion, religious beliefs, etc., while formal controls are exercised by

more structured bodies, backed up by the sanctioning power of the machi-

nery of State (Landis, 1956; 299). This type of definition is admittedly

problematical, since the «machinery of state» may also be perceived as

reenforcing certain supposedly informal institutions such as the family, by

means of welfare benefits, divorce laws, etc. (4) However, if something

nevertheless remains of the erstwhile concept of informal modes of social

control, it is somewhat anomalous to refer to governmental policies in

respect of such modes of control.

Further, the accepted sociological terminology would classify such

structured institutions as mental hospitals and schools as formal bodies.

Yet these institutions are specifically mentioned in our terms of reference

as illustrations of the present topic. Thus «informal» in the present context

may simply mean «outside the criminal justice system». Even the term

«extra-legal» may be too limiting, since this would exclude not only civil

law alternatives to criminal justice, but perhaps also developing area of

control techniques known as «informal justice » (Abel, 1982).

(3) Meier (1982) notes that there may be difficulties in attributing inten-

tionality to a collective process.

(4) See on this topic Donzelot (1980); Piven & Cloward (1971).

— 272 —

«Prevention». The parenthetical addition to the panel title of this

qualification would seem to assist us in defining the subject matter of our

topic in the spirit of much of the delinquency literature, which focuses

upon measures operating in the community as a whole, or directed at the

so-called «pre-delinquent» rather than on persons already labelled as offen-

ders. However, this limitation will be removed when we recall that in ad-

dition to the above form of prevention — so-called — «primary» and «se-

condary» prevention — there is also «tertiary» prevention, which is con-

cerned with the prevention of recidivism on the part of the adjudicated

offender (Wall et al., 1981 ; 1). Thus correctional policies are not necessarily

excluded from our terms of reference.

This tentative exploration of the semantics of the topic under consi-

deration has not been entirely fruitful in determining the appropriate course

to be followed here. For this reason, a pragmatic solution will be adopted.

AIl a priori grounds for limiting the confines of the discussion on semantic

or ideological grounds will be rejected. Instead, an operational formula will

be invoked in order to determine the subject matter of our discussion,

namely : What are the aspects of social control outside the criminal justice

system which are of interest to criminologist ?

There are three contexts in which criminologists may be interested in

alternative modes of social control outside the criminal justice system:

1. Certain forms of conduct, albeit perceived as deviant and undesira-

ble, may be excluded from the province of the penal system and left to be

dealt with by alternative modes of social control.

2.The criminal justice system may itself be expanded beyond the

bounds of conventional forms of sanctioning, «coopting» extraneous modes

of social control.

3. Alternative modes of social control may be relied upon for the prior

prevention of deviance in general and criminality in particular.

The following pages will briefly consider each of these issues. Underly-

ing them all is the question of the relationship of social control mechanisms

inside and outside the criminal justice system. This question, in turn, is

related to some of the wider issues raised in the opening part of this intro-

duction, which will be referred to again in the concluding section.

II. THE PENAL SYSTEM AND ITS ALTERNATIVES

Forms of conduct which are at a given time labelled criminal and dealt

with by the penal system may be redefined in one of two ways. They may

be redefined as non-criminal and non-deviant, and no longer worthy of

subjection to any form of social control. An illustration of this would be

— 273 —

religious dissent (i.e. non-affiliation to the official religion of the State),

which in an earlier day was a serious crime.

À more probable alternative to this totally «abolitionist» occurs where

the conduct is seen to be deviant but better dealt with by some other mode

of social control, rather than the penal law. The accompanying Table indi-

cates some of the main alternative modes, indicating the areas of deviance

which might be considered appropriate to be dealt with by that mode of

social control rather than by the penal system.

Alternative modes of social control

Mode

Possible Type of Deviance

Family

° ° . À ° ° e À . À ° . ° .

Sexual misconduct, drugs

Religion

° ° . . ». . ° ° ° ° ° . .

Immorality, blasphemy

School

. à . ° . À . . » . . ° . °

Vandalism, status offences

DQAOw»

Factory, Trade Union,

Professional Association.

Pilfering, professional misconduct

Commune, Peer group,

Community/Neighbourhood .| Neighbourhood conflicts

Media

° ° ° ° ° ° ° e » . ° . . ° °

Corruption

. ° ° ° ° ° . °

Medical System

Sexual deviance, psychopathy,

addictions

H

Welfare System

Juvenile delinquency, status Offences

I. Administrative Law,

Regulation

. . . À . e »À . . » ° .

White-collar crime, prostitution

J. Civil Law/Mediation

(Private Dispute)

Defamation, minor assaults

The illustrations in the right hand column were selected for their

general relevance to contemporary industrial societies. In more remote

areas and locations, the illustrations would be much wider in scope. In a

theocracy, for example, almost all forms of deviance might be dealt with

within the framework of religion; following a socialist or populist revolution

they might be dealt with in a people’s commune. Similarly, the list on the

left-hand column is not exhaustive, and cultural variety will affect its com-

position. Moreover these agencies do not operate in a vacuum, but interact

with one another. The school, for example, may involve the medical or

welfare systems in endeavoring to control deviant behaviour. (The control

agencies specified here may also interact with the penal system — but that

will be discussed in the next section).

— 274 —

In spite of an inevitable inter-relationship among the institutions, they

may nevertheless be differentiated according to various criteria. One crite-

rion would be the historical role played by the agency in the control of

deviance. Thus, institutions such as family and religion are primary institu-

tions of society whose historic role is described in the sociological textbooks

including the social control literature referred to above. On the other hand,

the contemporary systems of medicalization, welfare, and to some extent

education, are an integral product of positivist thinking and technological

advance, and have served as the natural candidates for the control of de-

viance over the past century. There was indeed a conscious attempt to

«divest» the criminal law of certain types of conduct it had previously

controlled (addictions, sexual deviance, juvenile misconduct), and to replace

it by a more «scientific» behaviourally oriented control mechanism (Kittrie,

1971). In yet a third category may be placed «community» and mediation

techniques, which involved a latter-day attempt to revive bygone concepts

|

of social control (see below).

Secondly, the agencies may be differentiated by the degree of state

control involved. The welfare, medical and educational systems are largely

government sponsored, as is of course true of the legal procedures such as

administrative regulation whose very raison d’être is social control. Other

institutions, such as the family, do not owe their basic existence and struc-

ture to governmental intervention, although such influence may play a part.

The last item in the table is anomalous from this point of view. Transfer of

an area of deviance from the criminal law to the civil law is a deliberate

decision to place the initiative solely in private hands rather than relying

upon state law enforcement. This development might be caused by negative

pressure, namely, the desire of the state authorities to be rid of a particular

area of responsibility. However, it could also tie in with the current move-

ment to bring back the «forgotten victm» from his oblivion (Schafer,

1968), and to enable him to repossess «his» conflict (Christie, 1977). There

is growing support in this context for non-adversary modes of dispute

resolution (Garofalo & Connelly, 1980) wherein some radicals discern an

opportunity to alter the power structure in society (Warhaftig, 1981). This

movement, in turn ties in with item E, for it is closely linked to the advo-

cacy of «community-based» remedies (Alper & Nichols, 1981).

The degree of coercion may be seen as a differentiating factor distinct

from that of the degree of state control. For a more «informal» mode of

control, such as the family or religious unit, may exercise an intensive

degree of coercion. As regards, the medical, welfare and education systems,

where, as noted, state intervention has played a central role, the appropriate

degree of coercive powers to be invested in the control agencies is highly

controversial. The issue of involuntary medical — and in particular psychia-

tric — treatment is well known, while the U.S. courts in particular have had

to grapple with the question of freedom in education. Moreover, awareness

— 275 —

of this problem in the field of social welfare is increasing; some social

workers are concerned that their role should be one of «enabling» rather

than «controlling» (Stevenson, 1976).

The agencies of social control could be classified in other ways. More-

over, apart from such generalized attributes, each institution has its own

history, ideology and specific role in fulfilling a social control function. It

is obviously beyond the scope of this paper to discuss each institution in

detail. We will however suggest here some of the criteria which might be

adopted in order to select the appropriate social control agency for a par-

ticular area of deviance.

In order to concretize the discussion, reference will be made to a case

study, namely, the controversy which has taken place in Israel in recent

years regarding the minimum age of criminal responsibility. Generally speak-

ing, minors in Israel may only be brought before the juvenile court on a

delinquency charge (i.e., under the Youth (Trial, Punishment and Modes

of Treatment) Law, 1971) if they have committed an offence against the

penal law and are above the age of criminal responsibility. The powers of

the Youth division of the police and of the Juvenile Probation Service are

similarly limited. Since 1936, when the Criminal Code Ordinance was intro-

duced by the Mandatory government, and until recently, the age of cri-

minal responsibility was nine years old (5).

In 1978, a Knesset member introduced a private member’s bill to raise

the age of criminal responsibility to fourteen. In the version that was ulti-

mately adopted by the legislature, this was modified to thirteen. Thus, at

the time of writing (6), a juvenile under the age of thirteen cannot be guilty

of a criminal offence under Israel law.

Was this reform based upon the view that assaults and housbreaking

committed by twelve-year-old children were no longer to be perceived as

deviance ? Not at all. The motive of the Knesset member concerned, an

educational psychologist, was to prevent the stigmatization of youthful

offenders, most of whom belonged to the Oriental communities (of which

he too was a member) and were in his opinion « disadvantaged » rather than

«delinquent». His further objective — reflected in his draft Parliamentary

Bill — was to secure that the deviants in question would receive special

attention from the educational authorities. To his co-legislators (briefed by

the government’s experts) it was unclear how the schools would cope with

(Ê) However, if the child was less than 12 years old, the prosecution had to

show that he or she had the capacity to understand the nature of his/

her deed.

(6) Owing to the dissatisfaction of both law enforcement and treatment

interests (see below), legislation is now pending before the Knesset to

reduce the minimum age to twelve.

— 276 —

this problem. Instead they elected to amend the powers of the Juvenile

Court when exercising its welfare (as opposed to its delinquency) jurisdic-

tion. under the Youth (Care and Supervision) Law, 1960, which enables

the court to exercise treatment powers over minors «in need». One of the

definitions of a minor in need is a minor who has « done an act which is

a criminal offence» but has not been brought to trial. The Knesset, while

freeing minors aged 9-13 from the jurisidiction of the juvenile court setting

in its delinquency capacity, strengthened the power of this court where

excercising its welfare powers. Minors «in need» could now be « ordered

to be detained in a home or a closed home within the meaning of the Youth

(Trial, Punishment and Modes of Treatment) Law, 1971 ».

Let us now consider a number of criteria for determining the appro-

priate agency for social control, making reference to the above develop-

ment.

1.Intensity of control excercised : The selection of a particular agency

may have implications regarding the intensity of control excercised. This

while the transfer of the treatment of wayward minors from Israel’s criminal

justice system to the schools, as envisaged by the sponsor of the reform

referred to, would probably have involved a dilution of control, transfer to

the welfare system may involve control of at least equal intensity. This was

symbolized in the instant case by the formal designation of the closed

institutions formerly reserved for delinquents as now being appropriate for

minors who had been reclassified as «in need».

2.Degree of coercion exercised: This is a related but distinct issue.

The Youth (Case and Supervision) Law provides in the first instance for a

negotiated solution to the problem of the minor in need. However, by

definition, resort to the court implies the invocation of a coercive solution.

3. Legal or constitutional guarantees: À welfare solution, while not

punitive in ideology, generally involves the exercise of greater discretion on

the part of decision-makers, accompanied by the diminution on the part of

the client of such rights as assigned counsel, the right to silence etc (7).

Similarly, the civil commitment of mental patients may be more « infogmal »

than criminal commitment; in Israel it does not require judicial sanction.

Thus decriminalization may jeopardize the rights of the deviant, depending

on the mode of control selected.

4. Capacity of agency to absorb: We now move into the realm of more

pragmatic consideration. Is the designated agency able to deal with the

deviants in question: In Israel many professionals feel that the Welfare

Officers who implement the Youth (Care and Supervision) Law are not

able to perform the task previously undertaken by the police and probation

services combined, in processing juvenile deviants. Thus, a move initially

(7) This applies also in the instant case.

— 277 —

designed to transfer delinquents to a supposedly more enlightened frame-

work (the scholl), subsequently modified to a transfer to a non-punitive

but intensively controlling welfare agency, may have resulted in an effective

«abolition» of social control (8). (Such, at least, is claimed by the Israeli

police and correctional personnel, who are pressing for the age of respon-

sibility to be lowered once more).

S. Efficacy: The next question is whether the designated agency is

effective in controlling the deviance, or whether the deviant recidivates —

whether in terms of the same or another form of deviance. This question

is related to the issue of delinquency prevention, which will be dealt with

in Section IV, below.

6. Cost-benefit: If indeed the intended mode of control has some effi-

cacy, is it the most efficacious in relation to the cost involved ? Absolute

cost is also relevant; as Miller (1980: 11) remarks: « … event the most firmly

held beliefs tend to disappear under the pressore of economic forces».

7.Stigma: How far does the use of the agency in question impose a

stigma on the client — whether in his own perception or that of others ?

Minimalization of the stigma is presumably an agreed objective (labelling

theory would see this as the root problem) — unless a deterrence model is

being applied. Little research has been done in this area. Is it preferable,

in the Israeli example cited, to be a «minor in need» rather than a delin-

quent ?

8. Ideology: The fundamental question, of course, is how the parti-

cular form of deviance is perceived at the time and in the location in ques-

tion ? The increasing trend to see manifestations of deviance as medical or

welfare problems since the rise of the positivist school has already been

referred to. On the other hand, the adoption of a «just desert» philosophy

could lead to a reversal of this trend. Miller (1980) notes, however, that to

talk of such a reversal is premature. On the other hand, the domination of

say, the welfare model, may not be attributable purely to ideology, but may

involve some of the other considerations referred to — e.g. the higher cost

of incarcerating deviants in a prison, as opposed to granting them welfare

services.

The «prevailing» ideology may of course be hard to determine, depend-

ing on the degree of consensus prevailing in the society in questions with

regard to its normative values and attitudes. Drug use, for example, may be

perceved simultaneously asa crime, a sin, a medical problem, a manifestation

(8) Cf. the paradoxical development noted by Galanter (1981), whereby the

increasing complexity of the legal structure in contemporary industrial

societies in practices leads to a greater reliance on what he calls «indi-

genous law» — i.e. the customary norms of the unofficial institutions

of control.

— 278 —

of social disadvantage and welfare need, or a form of political expression.

To operationalize policy on the basis of prevailing ideology is thus highly

probiematical.

9. Socio-cultural determinism: The ideological stance adopted is by

no means free of cultural determinism. À comparison of the respective

societal attitudes to different forms of deviance was conducted by Newman

(1976). His test of the perception of the type of deviance represented by

various forms of conduct was the selection of the agency to which the

respondent would report the deviant act. While a large measure of agree-

ment was displayed among the various cultures, there were also notable

differences. Thus is was found (perhaps not surprisingly) that reliance upon

the family as an institution to confine deviance was largely — but not exclu-

sively — a function of social and economic development (Newman, 1976:

139).

10. Socio-historical determinism: The question also arises as to whether

there any «natural laws» regarding society’s use of one or all of the alter-

native mechanisms of social control. In the same way as Durkheim regarde d

deviance and its condemnation as serving a positive social function, and thus

having a certain inevitable stability, so Blumstein and his colleagues have

argued that penal sanctions may have a «homeostatic» character (Blumstein

& Cohen, 1973; Blumstein et al., 1976). If this is the case, what will be the

effect of transferring deviant populations from penal to non-penal modes of

social control ? It has been averred the closing of mental hospitals in the

United States has resulted in mentally sick persons «surfacing» in the jails

(but cf. Miller, 1980: 5). Conversely, it has been argued forcefully that the

trend from punitive to therapeutic labelling is continuing (Schrag, 1978;

Conrad & Schneider, 1980). More systematic analysis needs to be conducted

in this area, both within and between cultures.

II. THE COOPTATION BY THE CRIMINAL JUSTICE

SYSTEM OF EXTRANEOUS INSTITUTIONS

OF SOCIAL CONTROL

Dissatisfaction with the institutions obtaining within the criminal jus

tice system need not result in such radical solutions as decriminalization

There are at least two other possibilities. One is the creation of new institu

tions within the criminal justice system itself; twentieth century illustrations

of this would be probation, England’s attendance centres, or New Zealand’s

periodic detention. Institutions falling within the criminal justice system

proper are not, however, our present concern.

À second alternative is the cooptation of institutions or modes of con-

trol already existing outside the criminal justice system. Thus in 1960 the

— 2779 —

English legislature introduced the Mental Health Act, whereby offenders

who were legally responsible for their acts (but nevertheless seen to be

mentally disturbed) could be ordered to regular psychiatric institutions.

Legislation introduced in Israel in 1975 made provision for mentally han-

dicapped offenders. Those considered not responsible for their acts were

exempted from criminal liability and referred to the treatment authorities

(divestment). Yet offenders whose handicap did not exempt them from

criminal responsibility could be referred to the (civil) treatment committees

for a treatment decision. Further, drug addict offenders may be ordered by

the criminal court for treatment in a psychiatric hospital in the community ;

and the prison authorities may refer any prisoner to a community hospital

for treatment.

Cooptation of community institutions is not limited to the use of spe-

cial treatment facilities, but may result in the use of a variety of community

and private services. Probation orders, and more recently «community ser-

vice» orders and «diversion» agreements may be conditional upon the

offenders participating in innumerable schemes for employment, supervi-

sion, recreational activity etc. Moreover work release from prison and parole

may also be considered under this heading. All these are attempts to maxi-

mize the offender’s involvements in «normal» community activities rather

than immersing him in the more stigmatic institutions of the penal system

proper.

À related development is the privatization of correctional facilities and

services (9). Thus, the so-calling «closing» of the Massachusetts juvenile

institutions actually involved referral of at least some of the inmates to

private correctional facilities (Miller et al., 1977). Similarly, under Israel

law, any minor sent by the court to a residential home may be transferred

by the Superintendent of Homes to a foster family. Moreover the use of

volunteers and non-professionals — traditionally encouraged for paroles

(Johnson, 1968) — seems to be being generally encouraged (Volunteers,

1980).

These different forms of cooptation stem from a number of common

objectives, in particular disillusionment with the trend towards centraliza-

tion, professionalization and the use of «asylums» (Rothman, 1971) which

were part of the positivist ethos prevailing from the nineteenth century

until recently. This disillusionment resulted not only from the poor results

achieved and the costs involved, but also from the ideology that the off-

fender should remain (or become again) integrated as far as possible into

the regular activities of the community.

(9) À major area of privatization not dealt with here is «private policing».

E

— 280 —

In spite of the superficial attractiveness of this approach, it has met

With criticisms on various grounds. One ground is the attribution to such

developments of «netwidening». In other words, the new forms of control

in the community (in particular diversion) serve not to replace the punitive

——

sanctions of the penal system proper, but to supplement these sanctions.

enmeshing in the correctional «net» additional persons who would pre-

viously have been free of supervision. (For a rehabilitationist, of course,

this may not be seen as a criticism but an advantage). It is even suggested

that in some jurisdictions both institutional and community control may be

increasing (Austin & Krisberg, 1981).

Further criticism is directed at the notion of «community» control.

This term. while gaining in popularity in recent years, is seen by some as

merely a romantic chimera, based upon an historical longing for a « gemeins-

chaft» society, in which the kin group, tribe, guild or other parochial unit

would be the primary social, political and economic unit, responsible for

all its members. (See Janowitz, 1975; Lunden, 1968; Spergel. 1975; Alper &

Nichols, 1981; Cohen, 1982). This notion is seenby some writers to be

totally unrealistic in the latter part of the twentieth century.

A more neglected problem area here relates to the decision-making

processes, especially where both penal and non-penal institutions are in-

volved. In Israel drug offenders sent to psychiatric hospitals to be cured are

subject to the release procedures of both hospital and prison and become

entangled in a bureaucratic morass (Sebba & Ehrenfeld, forthcoming).

Similarly, insufficient attention has been given to the question of how far

welfare services «serving» the correctional system should be autonomous

(McClintock, 1981).

Perhaps the overriding issue here is how far the «dispersal» of social

control in society is a desirable phenomenon. (Is it indeed desirable, as

suggested by the National Advisory Commission on Criminal Justice Stan-

dards and Goals (1975) that the boundaries between correctional and social

service agencies disappear, and that «corrections should be perceived as part

of a larger social system ?»). This term «dispersal» was used by Cohen

(1979) to describe the process whereby the family of the future (1994 ?

2084 ?) will be besieged by control organizations and paraprofessional per-

sonnel. The somewhat surrealistic picture protrayed by Cohen of this

society, and in particular the terminology he invokes — «The Punitive

City» — strongly imply his disapproval of such developments. Ît could,

however, be argued that « dispersal » itself were beneficial if it were to mean

the elimination of punitive establishments, yet without « widening the net».

However such a constellation is perhaps unlikely, in the light of current re-

search on these trends.

— 281 —

IV. THE PREVENTION OF DELINQUENCY

The last focal area of concern within our topic (and probably the main

area which the congress organizers had in mind) is that of delinquency pre-

vention in the narrow sense. How far should various agencies outside the cri-

minal justice system be invoked in order to strive to prevent subsequent

expressions of criminality or deviance ?

This question is first and foremost an ideological one. Let us consider

the criticism of tertiary prevention, i.e., the adoption of special measures to

ensure that a convicted offender does not further endanger society. This

approach, fundamental to the Social Defence school, and commonly known

today as «predictive restraint», is condemned by many as punishing an

offender for what he has not yet done — and in the light of the limitations

on our predictive powers, for what he may never do. À fortiori, there are

strong objections to «secondary prevention», i.e. the adoption of preventive

measures regarding the «pre-delinquent» — persons considered to be in

high-risk categories for the commission of offences. Singling out such per-

sons for special measures is criticized both on the grounds of the doubtful

scientific basis of the «pre-delinquent» determination (10), and because of

the harmful (and self-fulfilling) consequences which may follow from nega-

tive labelling.

These objections would not apply to primary prevention, i.e., the adop-

tion of generalized measures on a state or community level, modifications

of the educational system, the provision for family counselling services, the

establishment of youth clubs, the creation of employment opportunities or

vocational training schemes, etc. The issue here, however, is a more subtle

one. Prevention programmes are unlikely to be directed specifically to com-

pliance with legal norms, but rather to securing a higher level of conformity

in general. Is this a legitimate aim of government ? What is the cost of such

a policy in terms of the reduction of individualism and cultural diversity ?

Further, what type of conformity will be sought by such a policy ?

O’Leary and Duffee (1971) have shown (adopting the model developed by

Herbert Kelman) that correctional staff may have varying objectives with

regard to their clients: (i) mere physical restraint; (ii) reform, whereby the

client complies with conduct expectations; (iii) rehabilitation, whereby he/

she identifies with a favourable role model; and (iv) reintegration, where the

socialy positive values are internalized by the client. The question thus arises

(10 Apart from the methodological criticisms of such predictive techniques

as those developed by the Gluecks, this approach is generally unaccep-

table to criminologists who emphasize general social processes, rather

than individual pathologies, in delinquency causation.

— 282 —

whether the conformity sought by prevention programmes place emphasis

on conformity of conduct as required by the first two models or on confor-

mity of attitudes as required by the last two ? (11) As O’Leary and Duffee

indicate, the latter attitude change is supposedly the more enlightened ob-

jective: but it has the more repugnant associations of brainwashing and

thought control (12).

This issue, however, is bound up with a related question, namely, what

is the concept of delinquency causation that the prevention programme

is seeking to neutralize ? The need to base prevention policy on a theory

is not always recognized by delinquency «practitioners» (Johnson et al.,

1979; but a theory may be subsequently superimposed by programme

analysts: Wall et al., 1981). Yet different theories give rise to different

policy implications with regard to prevention. The policy implications

following from theories would be somewhat remote from the focal areas

under discussion here. Prevention policies deriving from labelling theory

would focus primarily upon law enforcement practices. («Secondary de-

viation», according to Lemert, is caused by official reactions to «primary

deviation» ). Radical theory, on the other hand, has farreaching implications

for the socioeconomic structure of society. Neither of these theories has

direct implications for the so<alled informal modes of social control,

except in a negative sense, viz., that such measures are not calculated to

prevent delinquency, the roots of which are located elsewhere that write

the conduct of the alleged deviant. Subcultural theory, too, is somewhat

problematical in relation to the adoption of measures of prevention, which

would focus on somewhat intangible objectives such as « providing adoles-

cents with a stake in conformity» (Empey, 1978. 272).

Two theoretical approaches seem to have direct implications for poli-

cies of delinquency prevention involving the type of social agencies being

considered here. The first is so-called «strain» theory, as developed from

Merton in Cloward and Ohlins’ seminal exposition of the theory of diffe-

rential opportunity (Cloward & Ohlin, 1960). This approach implies that

the frustrations encountered by juveniles which lead them to delinquency

can be neutralized by the expansion of opportunities in society, particularly

in the areas specified in our terms of reference here — schools, neigh-

bourhood, employment, etc. The most notable attempt at providing such

(11) Kelman, however (as indicated by the little of his work-«Compliance,

Identification and Internalization:

Three Processes

of Attitude

Chante») regards the second category, too, as belonging to attitude

change: Kelman, 1958. (With the first category he was not concerned).

(12) … Cohen (1982) argues that since the rise of behaviourism, the forces

of control in society are satisfied with the more «modest» objective of

the control of conduct — this being also considerably easier to achieve;

but cf. Schrag (1978).

— 283 —

solutions was the «Mobilization for Youth» project in New-York (Empey,

1978: 295); but other examples are numerous.

Even more pertinent in the context of the present discussion is control

theory. This is a broad term, which sometimes incorporates biological and

psychoanalytical theories (Empey, 1978) as well as the social learning ap-

proach (Burnstein, 1982). The common denominator of these theories is

the view that man has antisocial instincts which must be restrained or

«contained» (Reckless, 1970) by controls, whether of an internal or ex-

ternal nature. The most notable exponent of this approach in recent times

has been Travis Hirschi (1969), who argued that the inclination to delin-

quency is determined by the strength of the «social bond», which, in turn,

comprises four elements: attachment, commitment, involvement and

belief. These elements provide indices of the individual’s relationship with

prevalent values and institutional groups in society.

Some analysts of delinquency theory have found control theory to have

a firmer basis than many of its rivals (see, especially, Kornhauser, 1978),

while «Hirschi’s version of control theory has stood the test of empirical

investigation better than any other version» (Empey, 1978: 238). Moreover

the relevance of this approach in the present context is evident. In a modi-

fied presentation of this theory, Friday and Halsey have noted «five major

types of social relationships that play a key role in socialization and in

integrating the individual into the society. These are: (1) kin relationships,

including the extended family ; (2) school; (3) community or neighbourhood;

(4) work; and (S) peer role relationships….» (Friday & Halsey, 1977) (13).

A number of scholars are now engaged in delinquency prevention pro-

grammes focusing on these areas — in particular schools. (See, e.g., Friday

& Halsey, 1977; Brusten, 1978).

Attribution of a high degree of validity to a theory of delinquency

causation does not necessarily mean that preventive measures derived from

this theory will be successful. The available evidence regarding the effec-

tiveness of prevention programmes (Wright & Dixon, 1977) casts conside-

rable doubt upon this proposition. Scientific evaluation of such programmes

is even more difficult than that of correctional programmes, and is in any

case rarely attempted; but the prevailing opinion to suggest a very limited

efficacy.

Space does not permit us a fuller exploration of the efficacy question

here. For the purposes of the present discussion, however, we shall surmise

(13) In another article Friday & Hage (1976 : 349) claim that « our approach

is quite different from that of Hirschi.….» Yet Friday & Halsey (1977)

measure the individual’s degree of integration in society in terms of

«involvement, commitment and attachment» — three of the four ele-

ments postulated by Hirschi.

— 284 —

that some interventions may be effective. In particular, if we argue the

validity of control theory, perhaps success merely depends upon the inten-

sity of the intervention ? For we should not overlook the semantic overlap

between the language of «control theory» and that of the topic under

discussion here, «social control». It is surely logical that a policy of inten-

sive application of at least certain of the mechanisms of social control

should neutralize deviant conduct occurring as a result of insufficient

controls. This leads us inevitably back to the more provocative question

raised earlier regarding the desirability of promotion by the State of social

control mechanisms outside the legal system — and to the concluding

section of this paper.

V. CONCLUSION

The view is widely held by both deviance theorists and researchers

that delinquent conduct is influenced more strongly by extra-legal modes

of social control than by the penal system (Meier & Johnson, 1977;

Kudriatsev, 1978). While it does not necessarily follow that the extra-legal

modes of control can be manipulated by official policies, it certainly

suggests some potential for a preventive capability. In the light of the

preceding analysis, however, we have to consider (a) how far the forces

'

of social control are transferable from penal to extra-penal social frame-

works; and (b) whether the deliberate pursuit of such modes of control

is a legitimate social and political objective.

The first question relates in some degree to the earlier discussion (in

secs.l! & III) regarding the choice between alternative mechanisms of

social control. On the «net-widening» hypothesis, attempts to transfer from

one mechanism to another are unsuccessful, and merely result in the expan-

sion of a social control. On the other hand, the implications of the «histo1i-

cal inevitability» hypothesis of Durkheim and Blumstein are not so clear.

Blumstein’s proposition that incarceration rates are inherently stable seems

to suggest that an attempt to switch to non-institutional mechanisms

(whether inside or outside the penal system) will indeed result in net-widen-

ing. On the other hand the Durkheimian approach seems to support the

view that the sum total of perceived deviance — and thus of societal con-

demnation — has an inherent stability. This would indicate the possible

interchangeability of modes of condemnation without « widening the net».

However it remains an open question whether on this hypothesis mere

resistance to deviant conduct as the result of the exercise of informal con-

trol mechanism would be an adequate expression of «social solidarity» —

in other words, whether preventive mechanisms could be developed in place

of reactive sanctioning.

— 285 —

Further, it may also be that deterministic societal laws apply not

merely to the extent of social control but also to its nature. Max Weber

has argued that the degree of bureaucratic formalism in society increases

with its development. Specifically, a developing society might be expected

to rely increasingly upon formal legal modes of social control (14). This

indeed was the message of Sumner and the early writers on social control.

Here we have not an immanent stability of social control measures as

suggested above, but rather a culturally determined developmental process.

Both approaches, however, are deterministic, and suggest that we may be

unable to «cheat» these processes by manipulating the ratio between legal

and extra-legal controls. Yet this is to some extent what is being attempted

by proponents of «informal justice» and «community control».It may be

a losing battle.

The second and more fundamental issue relates to the desirability or

otherwise of promoting measures of social control in society, outside the

criminal justice system, for the purpose of the restraint of deviance (15).

The answer to this will ultimately depend upon our view of human nature

on the one hand, and State power on the other. Do we adopt the Hobbesian

view of a humanity whose animal instincts need to be curbed by social

restraints ? Or do we take an Orwellian view (paradoxically shared by Wes-

tern Marxists) that the real danger is abuse of power by the State — as

against a more noble view of the individual ? Further, do we regard mani-

festations of deviance and non<conformity as precursors to crime and the

disintegration of the social fabric, or do we regard them as expressions of

cultural diversity and enrichment ? For at the preventative level it may be

impossible to restrain criminal tendencies without suppressing legitimate

forms of self-expression.

Even if it were possible to restrain criminal tendencies alone, the ques-

tion of the legitimacy of the mode of restraint would arise — just as it does

in a correctional context. The different levels of influencing conduct within

the penal system were alluded to in section IV. The variety of social control

techniques outside the penal system is wider still. Higgins (1980) has noted

nine forms of social control in social policy, some more acceptable than

others.

Since, however, space is insufficient here to explore the various ap-

proaches in detail, [ would like to suggest a general test for detemining the

(14) À microcosm of this process has been observed in the development of

the kibbutz in Israel: See Saltman (1981); but cf. Galanter’s thesis

(above, n. 8).

(15) However, one must consider in this context whether is is possible to

differentiate between measures designed to promote socialization and

those intended as social control (see above, n. 1 and Newman, 1976:

139). If so, the former would be easier to justify than the latter.

— 286 —

validity of preventive policies of social control. One of the prevention pro-

grammes referred to earlier was Mobilization for Youth, the purpose of

which, it will be recalled, was to provide opportunities for deprived youth.

The fact that this programme was not in the event entirely successful (16)

should not blind us to one of its main advantages, in comparison with some

other delinquency prevention measures. À programme designed to promote

opportunities can be supported on grounds other than delinquency preven-

tion — namely in the cause of social justice. Perhaps the answer to the

social control conundrum («Social control — good or bad») should thus

be as follows: We should support measures of social control (outside the

criminal justice system) where we can do so not as criminologists, on the

basis of their anticipated contribution to crime control, but as citizens, on

the basis of their anticipated contribution to social justice.

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— 288 —

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— 289 —

MACHEN WIR AUCH DIE SCHWERTER DER JUSTIZ

ZU PFLUGSCHAREN. WE SHOULD BEAT THE SWORDS

OF JUSTICE INTO PLOWSHARES

Klaus Sessar*

I

In einer Zeit, in der die formelle soziale Kontrolle immer mehr zu-

nimmt, die Strafnormen also anwachsen, die Polizei immer mächtiger wird,

die Justiz vielfach zur Bekämpfung der Kriminalität immer härtere Sank-

tionen verwendet und die Gefängnisse überquellen, in solcher Zeit also

mutet es utopisch an, in informellen sozialen Kontrollen eine Alternative zu

sehen. Aber vielleicht ist genau dies der Anlass. Ein Kontrollsystem, das in

einer solchen Weise seine Stärke demonstriert, gibt damit seine Schwäche

ja erst Zzu erkennen — oder was ist es anderes als schwäche, wenn jemand,

um seine Ziele zu erreichen, zu immer mehr Gewalt greifen muss ? Tatsä-

chlich steht das Strafrecht in einer erheblichen Bewusstseinskrise, weil viele

seiner Vertreter mehr und mehr begreifen, dass es weder mit seiner Philo-

sophie noch mit seinen Instrumenten in der Lage ist, die durch abwei-

chendes Verhalten entstehenden Probleme zu lôsen: die Kriminalität steigt

unvermindert an, Straftäter werden nicht gebessert, und die Unzufriedenheit

mit dem Polizei — und Justizsystem nimmt zu.

Wir vemuten, dass das Versagen des Strafrechts zunächst noch nich-

tsmit seinen Strafzielen zu tun hat, Vergeltung oder Sühne etwa oder Absch-

reckung und Besserung, sondern mit seiner Theorie selbst. Diese hat, wohl

in Übernahme religiôser \7ergeltungs — und Sühnemuster, die selbst die

weltlichste Sünde als Ungehorsam gegenüber Gott begreifen, eine eindimen-

sionale Konfliktlôsungsebene geschaffen, wonach der Diebstahl, der Raub,

de Vergewaltigung Ungehorsam gegenüber dem Staat und seinen Gesetzen

ist. Dass diese Delikte sich gegen bestimmte Personen richten und diese

schädigen, geht in dem staatlichen Strafanspruch fast vôllig unter. Die Folge

ist, dass die Straftat, die ganz konkrete Schäden verursacht, in der Termi

nologie des deutschen Strafrechts ein « Rechtsgut » verletzt; und obwohl sie

sozialen Unfrieden stiftet, ist gleichwohl zunächst einmal ein «Rechtsfriede »

gestôrt worden (in anderen Ländern môgen andere Termini verwendet

werden; wo aber die Straftat eine Schuld allein gegenüber dem Staat oder

* Seminar

für Jugendrecht und Jugendhilfe, Universitaæet Hamburg,

Schtueterstrasse 28, D 2000 Hamburg 13.

— 291 —

der Allgemeinheit entstehen lässt, ist das Problem das gleiche). Die weitere

Folge ist, dass empirische Begriffe, z. B. Vorsatz, Schuld, Affekt, welche

Kommunikationsmittel zur Bewaltigung von Problemen sein kônnen, in eine

abstrakte Begrifflichkeit transponiert und dadurch für die Konsumenten des

Strafrechts

die Offentlichkeit, den Täter, das Opfer — unkenntlich

gemacht verden. Unkenntlichmachen aber heisst, von der Problembewälti-

gung ausgeschlossen zu werden, und so ist es auch : mit Hilfe apokrypher

Rechtstechniken wird der Rechtsfriede wieder hergestellt und erst damit

auch der soziale Friede, was in dieser Sequenz ein rein gedanklicher Vorgang

oder eine Konstruktion ist, der es an einem Realitätsbezug fehlt; denn

zumindest bleibt das Opfer in aller Regel unbefriedet (hôchstwahrscheinlich

die Allgemeinheit auch).

Hier kommen wir zu den Strafzielen, um Ahnliches zu entdecken. Wo

das Strafrecht zunächst allein deshalb reagiert, weil etwas verbrochen wurde,

also um keines darüber hinausgehenden Zieles willen, bedarf dieses auch

nicht des Nachweises richtigen Handelns; es ist sich selbst genug und kann

alles um sich herum vergessen, auch die Realität. Dies gilt dann auch für die

moderneren Ziele der Prävention, denn diese wird zur Begründung der

Bestrafung in der gleichen unempirischen Weise verwendet wie die Vergel-

tung. Vielfach findet sogar nur ein Austausch von Begriffen statt, oder es

wird die Prävention der Vergeltung geopfert, sowie sie nicht mehr passt;

denn schliesslich verzichtet der Staat nicht auf Strafe gegenüber einem

Konflikttäter, der mit der Tat seinen Konflikt gelôst hat und dessen Be-

strafung mit Sicherheit niemanden davon abhalten wird, ebenso zu handein,

wenn die Situation es « verlangt ».

Daher ist es môglicherweise auch nicht so wichtig, zwischen Vergeltung

und Prävention zu unterscheiden; beide sind austauschbar, beide, dienen

dem, wie Bianchi es genannt hat, Bekämpfungsmodell, vor allem aber sind

beide auf die abstrakte Konfliktlôsungsebene zwischen Täter und Gesell-

schaft beschränkt, unter weitgehender Ausblendung des konkreten Ge-

schehens.

Ein solches Strafrecht schafft oder erhält den Unfrieden, den zu be-

seitigen es sich vomimmt. Das Opter als der primär und eigentlich Ge-

schädigte wird allein gelassen bzw. zum Instrument des Strafverfolgun-

gsanspruchs degradiert. Der Täter erleidet eine Strafe, die den Zussammen-

hang zur Tat nicht oder nur mit Mühe erkennen lässt; da er vor allem büssen

muss,weil er die Rechtsordnung, nicht weil er einen bestimmten Menschen

verletzt hat, fehlt seinem Leiden der Sinn, der es für ihn rechtfertigen kônnte.

Die Allegemeinheit schliesslich wird, wiewohl sie die sozialen Bedingungen

für die Entstehung der Straftat setzt, auf die Rolle des Zuschauers ver-

wiesen und damit entlastet; die Schuld, die sie hat, bekommt auf diese

Weise Gelegenheit, in Form von Aggressionen gegenüber dem Täter aus-

gelassen zu werden. Mit ihren Strafverständnis leistet das Strafrecht

— 292 —

ungewollt hierbei Hilfestellung (um ab und zu erschrocken zu bremsen,

wenn es begreift, was es da anrichtet). Auch dies ist Unfrieden.

II

Das Strafrecht aber kônnte, wie die Kriminologie dies seit einiger Zeit

vertritt, als Teil der sozialen Kontrolle deren Bedingungen folgen. Diese

meint zunächst nicht die Bekämpfung, sondern den privaten Ausgleich.

Private Konfliktlôsung kennt auch Schuld, Vorsatz, Affekt, usw, doch eher

als Mittel der Orientierung, der Verständigung, der Gewichtung; vor allem

aber kennt es die Berücksichtigung des sozialen und situativen Kontextes

abweichenden Verhaltens — nicht erst für das Wie sozialer Reaktion, son-

dern schon für das Ob. Das Strafrecht ist der Auffassung, genau diesen

Vorstellungen zu folgen, wenn es sich als «ultima ratio» begreift; freilich

meint es damit die Normsetzung, die Frage also nach Kriminalisierung oder

Entkriminalisierung, nicht so sehr (in Deutschland oder Osterreich fast gar

nicht) die Normdurchsetzung. Aber dieses gehôrt beides zusammen.

Es herrscht die unumstôssliche Meinung, dass das Strafrecht nôtig sei,

anders die Allgemeinheit zur Privajustiz griffe. Dies ist sicher nicht falsch,

doch liegt gleichzeitig auch ein grobes Missverständnis. Wenn unter

allen vorstellbaren Konfliktlôsungsmôglichkeiten nur die durch Bestrafung

bereitgestellt wird (Stichwort ist hier das Gewalt — und Bestrafungsmonopol

des Staates), dann wird zwangsläufig auch nur die Bestrafung im Bewusstsein

der Beteiligten präsent sein, wenn ein Problem zu lôsen ist. Die Allgemein-

heit ist mit anderen Worten auf Bestrafung konditioniert, andere Instrumente

sind längst verkümmert. Dort aber, wo, quasi gegen den Widerstand der

offiziellen Philosophien, Alternativen existieren oder für môglich gehalten

werden, werden sie auch wahrgenommen und angenommen : wenn beispiels-

weise Warenhäuser in Kenntnis von Diversionsprogrammen die Anzeigen

wegen Ladendiebstahls unterlassen und sich gleich an das Programm wen-

den; wenn ein kinderschutzzentrum Anzeigeadressat für Kindesmisshand-

lungen wird, und nicht mehr die Polizei; oder wenn man es, wie in Deutsch

land in der Reformdiskussion, für môglich hält, die Justiz für bestimmte

Bereiche der Kriminalität durch eine informelle Betriebsjutiz zu ersetzen

und den Ladendiebstahl nur noch zivilrechtlich zu verfolgen. Und wenn

Probanden vor die Frage gestellt werden, ob für das Opfer einer Straftat

die Bestrafung des Täters oder die Wiedergutmachung des Schadens wich

tiger sei, dann wird in erstaunlich hohem Ausmass die Wiedergutmachung

als alleinige Sanktion genannt.

Daher wird die Hypothese aufgestellt, dass die Bestrafung zum Zweck

des Schuldausgleichs für die Beteiligten in dem Masse Bedeutung verliert, in

dem Alternativen bestehen, die zu einem Interessenausgleich führen.

— 293 —

Es ist daher ein Strafrecht und damit eine strafrechtliche soziale Kontrolle

vorstellbar, die im Sinne eines « sozialen Ausgleichmodells » (woanders heisst

es manchmal « Versochnungsmodell», aber ob da nicht allzuviel Sozial-

romantik mitschwingt ?) die Eindimensionalität der Problembewaältigung

zugunsten einer Mehrdimensionalität aufgibt, um zum einen das Opfer als

Partner des Konflikts, zum anderen die Allgemeinheit nun nicht mehr

irgendwie abstrakt, sondern als konkrete Verursacherin und Betroffene des

Konflikts aufzunehmen. Dies bedeutete für d_ie Theorie des Strafrechts und

seine Ziele, dass :

— seine Begriffswelt empirisch gemacht werden muss,

— die Strafvoraussetzungen und der Strafanspruch entsprechend nach-

prüfbar gemacht werden müssen,

— die Legitimation der Strafe vom Wie auf das Ob vorverlegt wird und

immer dann fehlt, wenn ein Ausgleich unnôtig ist oder ein privater

oder gemeinwesenorientierter Ausgleich, also die informelle soziale

Kontrolle, ausreicht.

Es wird die weitere Hypothese aufgestellt, dass der durch die Straftat

entstandene Unfriede umso eher und besser aus der Welt geschafft werden

kann, je hôher die Anteile einer direten, den kiokreten Konflikt meinenden

Problemlôsung sind.

Ob das Strafrecht eines Tages ganz durch informelle Sozialkontrolle

ersetzt werden kann, ist ein ungemein verführerischer Gedanke, doch würde

dies wohl bedeuten, den zweiten Schritt vor dem ersten zu tun.

— 294 —

LA CRIMINOLOGIE ET SES RELATIONS AVEC

LES POLITIQUES ET PRATIQUES SOCIALES

Giacomo Canepa*

L'étude de relations de la criminologie avec les politiques et pratiques

sociales. objet central des travaux du IX Congrès International de Crimino-

logie (Vienne. 25-30 septembre 1983), exige avant tout l’approfondissement

des problèmes fondamentaux de la criminologie dans une perspective nou-

velle. concernant le statut et le rôle de la criminologie, la création des lois et

leur reception par la société, le contrôle social formel réalisé par les systèmes

pénaux en vigueur, le contrôle social informel dans le domaine extrapénal.

LE STATUT ET LES ROLES DE LA CRIMINOLOGIE

Le statut et les rôles de la criminologie doivent être considérés. avant

tout, d’un point de vue épistémologique, étant donné que l’épistémologie

est l’étude critique des principes, des hypotheses et des résultats des diverses

sciences (y comprise la criminologie), au but de déterminer leur origine

logique, leur valeur et leur portée objective.

Pour ce qui concerne l’étude critique des ’’principes” pour la crimino-

logie (en tant que science interdisciplinaire du comportement antisocial et

déviant qui se manifeste dans un contexte culturel et social bien défini), on

peut souligner, du point de vue traditionnel, l’importance de deux principes

fondamentaux:

— La ’personnalité’”’, en tant que moteur de la conduite, qui concerne

l’individu considéré non seulement comme un organisme biologique, mais

aussi et surtout comme un porteur de valeurs culturelles transmises et

comme membre d’un groupe social;

— la ”’déviance’” ou antisocialité de la conduite dans ses différentes

formes (désadaptation, conduites oppositionnelles, infractions et délits ou

crimes). L’approfondissment de ces problèmes demontre l’exigence de consi-

dérer, avant tout leurs aspects suivant une signification ”’positive”, afin

d’évaluer critiquement, par exemple, la valeur des concepts de ’’socialité”

et de ’légalité”, et notamment les critères fondamentaux qui sont à l’origine

des normes ou règles (culturelles, morales, légales), par lesquels la socialité,

la culture et la légalité se manifestent dans une société déterminée.

* Président de la Société Internationale de Criminologie, Professeur titulaire

et directeur de l’Institut de Médecine légale, Université de Gênes, Italie.

— 295 —

| Tout ça nous reconduit à la considération du concept général de ’’va-

leur””, évalué dans son sens aussi bien relatif que absosu.

Les débats sur ces sujets représentent la prémisse nécessaire à la fonda-

tion d’une criminologie nouvelle, qui, en utilisant une véritable méthodo-

logie ’’critique’’ (dans le sens Kantien du mot), tend à se qualifier comme

une science.

LA CRÉATION DES LOIS ET LEUR RÉCEPTION

PAR LA SOCIÉTÉ.

Parmi les facteurs qui peuvent influencer la création des lois il faut

signaler l’importance de la recherche criminologique. On peut imaginer plu-

sieurs situations: l’influence d’une bonne recherche (bien conduite) qui

contribue à la création d’une bonne, ou d’une mauvaise loi, suivant la

capacité des legislateurs (ou des administrateurs) de comprendre la significa-

tion des résultats d’une recherche.

On peut envisager le cas d’une recherche non valable qui va inspirer la

création d’une loi analogue, ou bien différente. Par exemple, on peut citer,

sur ce point, l’influence des recherches de Martinson, concernant la crise du

traitement aux États Unis, sur les décisions des administrateurs ou bien sur

l’orientation des legislateurs.

Pour ce qui concerne l’Italie on peut citer les exemples suivants:

1) des recherches qui soulignaient l’exigence, pour les mineurs et les

jeunes adultes, de privilégier l’attitude de réhabilitation sur celle punitive:

aucune influence sur la législation, qui reste immodifiée jusqu’à ce moment.

Le même résultat, c’est-à-dire aucune influence, pour des recherches qui

demandaient une révision totale de la mission de l’expert dans le domaine

psychiatrique, aussi que pour d’autres recherches qui demandaient une

révision globale des critères légaux de classification des délinquants;

2) au contraire, il y a le cas de recherches qui demandaient l’institu-

tion de l’expertise sur la personnalité (à côté de celle psychiatrique): de-

mande accueillie dans le projet de réforme du code de procédure pénale.

On peut citer encore d’autres recherche qui demandaient la réforme de

l’assistance psychiatrique (promulgation de la nouvelle loi). Mais la situation

après les réformes est bien critique et, dans la plupart des cas, les chercheurs

n’ont pas été consulté au moment de la création des lois (voir, surtout, la

réforme pénitentiaire et psychiatrique).

PEINE ET TRAITEMENT EN TANT QUE CONTROLE

SOCIAL FORMEL RÉALISÉ PAR LE SYSTEME PÉNAL

Au sujet du problème du traitement, aussi bien que de sa crise actuelle

(décrétée par exemple au États Unis par Martinson et d’autres), il faut

— 296 —

souligner avant tout la différence profonde qui existe entre l’ainsi-dit

‘’modèle médical” et le ’modèle clinique”

Le modèle ‘clinique”’, appliqué en criminologie, représente une appro-

che inter-individuelle qui vise à l’approfondissement des problèmes des

‘’délinquants”, c’est-à-dire d'individus qui sont qualifiés ‘’différents’’ des

autres pour des raisons juridiques et sociales, ayant commis des actions qui

sont défendues par la loi pénale.

Suivant le modèle clinique, qui considère ces individus comme les autres

(non délinquants), on va tenter de réaliser une meilleure connaissance de

leurs problèmes par l’anlyse des liens inter-individuels et des communica-

tions inter-humaines au cours de leur vie et dans leur contexte socio-

culturel, en vue de les aider à mieux se comprendre, à évaluer les raisons de

leur conduite (dont le délit est seulement un d’une série de faits au cours de

leur vie); et aussi en vue de les aider à réaliser l’autonomie de leur person-

nalité dans le respect de l’individualité et des droits des autres.

Dans cette perspective nous pouvons considérer surtout le problème de

la psychothérapie (individuelle ou en groupe), dont la licéité est sans discus-

sion admise pour les ’’clients’” en milieu libre, par exemple pour le traite-

ment des névroses.

Mais dans le domaine pénitentiaire, aussi que dans le domaine des

mesures alternatives, le sujet en réalité représente un client ’malgré lui”’.

Dans ce cas la perspective du traitement sera possible à la conduite que le

sujet spontanément (il faut souligner ça) demande les services qui lui sont

offerts pour une psychothérapie eventuelle. Cette condition est essentielle,

non seulement du point de vue morale et déontologique, mais aussi sur le

plan technique, étant donné qu’aucune psychothérapie est efficace sans

l’acceptation du sujet et sa collaboration réelle.

LE CONTROLE SOCIAL EXTRA-PÉNAL ET INFORMEL.

La recherche criminologique souligne des problèmes, dans le domaine

du traitement et de la prévention, dont la solution exige, de la part du legis-

lateur, des attitudes concrètes de compréhension et d’efficacité, qui très sou-

vent n’existent pas.

La conséquence est la production d’une attitude au ’formalisme”, qui

se manifeste avant tout dans le domaine juridique et politique par la cré-

ation de formules abstraites et incompréhensibles, qui sont très lointaines de

la réalité humaine et sociale des phénomènes. Et encore, il va se vérifier un

fait encore plus grave, c’est-à-dire le passage du formalisme juridique et poli-

tique en direction d’un ”formalisme législatif”.

«

I] s’agit d’une tendance malheureusement très évidente,

à l’heure actu-

elle, par exemple en Italie, où les lois de réforme promulguées dans les

— 297 —

dernières années (réforme psychiatrique, drogue, réforme pénitentiaire)

représentent une manifestation très claire de cette tendance au formalisme

’législatif”.

Dans ce cadre se place aussi les lois de décentralisation des services de

prévention et traitement pour les jeunes inadaptés (1975).

Il s’agit sans doute d’une innovation de grande importance et de remar-

quable intérêt, qui a décrété le passage de ces services de l’Autorité centrale

aux Institutions locales, comme les Communes. Cela pose aussi le problème

de la participation communautaire à la gestion de ces services, qui devrait

être attribuée, en principe, à la responsabilité de tous les citoyens. Mais les

citoyens, étant donnée leur faible préparation à cette tâche, démontrent

très souvent des attitudes qui, au lieu de la prévention et du traitement,

contribuent à l’étiquetage et à la stigmatisation.

Les conséquences sont évidentes: le contrôle social extra-pénal et infor-

mel, en tant qu’expression des orientations de l’opinion publique et des

’mas-média”, représente la source la plus grave d’étiquetage et de marginali-

sation; c’est-à-dire un résultat tout-à-fait contraire aux exigences du traite-

ment et de la prévention.

ORIENTATIONS NOUVELLES ET CONCLUSIONS

L’approfondissement de ces problèmes demande une réflexion préli-

minaire sur les bases théoriques qui sont à l’origine de l’activité de recher-

che, fondamentale et appliquée, en criminologie. Cette exigence est bien

évidente à l’heure actuelle, dans un moment caractérisé par une crise des

sciences humaines: une crise qui interesse particulièrement la criminologie,

science interdisciplinaire du comportement déviant et antisocial, évalué dans

le domaine de l’'homme et de son milieu, dans une perspective qui est clini-

que et sociologique en même temps.

Cette crise exprime avant tout une exigence finalisée en direction d’un

renouvellement’’ réel et profond. Il s’agit d’un phénomène que l’on peut

constater au cours de l’histoire de la criminologie et distinguer notamment

en deux phases bien définies et très importantes de son développement:

— premièrement, l’époque de la ”révolution positiviste”, au moment où

Garofalo, à côté de Ferri et de Lombroso, était convaincu de travailler

pour la fondation d’une ”’criminologie nouvelle”, libérée des abstractions

juridiques du passé;

— deuxièment, l’époque de la ”révolution sociologique”, dans un mo-

ment où Taylor visait à la fondation d’une ”criminologie nouvelle”, orientée

au delà des limites de l’homme en tant que individu biologique, suivant une

perspective nettement anti-positive.

— 298 —

Ces tendances en direction d’une ’’criminologie noùvelle”, au cours de

l’une et de l’autre des deux phases que j’ai citée, ont été l’objet de contrastes

et de conflits très vifs, parce qu’on considerait ces orientations comme l’ex-

pression de prejugés idéologiques: déterminisme biologique et déterminisme

social.

ÀA l’heure actuelle on cherche plutôt à concilier la dimension clinique et

la dimension sociologique, dans le but de mieux appréhender la dimension

juridique, vue dans une perspective nouvelle, profondément différente de

l’ancienne orientation de l’école classique (même si adaptée au moment

actuel, en tant que ’justice model for correction”).

La perspective nouvelle, en effet, vise à réaliser l’analyse des systèmes

pénaux en vigueur, comme un des objets fondamentaux de la recherche

criminologique: une analyse critique et comparative, dans une perspective

beaucoup plus large que par le passé, qui étudie les lois non seulement dans

leur formulation théorique, mais aussi dans leur application pratique et

aborde, enfin, ces problèmes au sein même des systèmes de contrôle social

formel (pénal) et de contrôle social informel (extra-pénal). C’est ainsi qu’on

se penche sur la participation communautaire et la façon, propre à l’indi-

vidu, de percevoir, par rapport aux autres et à la communauté, sa propre

identité personnelle.

Afin d’assurer le succès de ces entreprises nouvelles, le criminologue vise

à une interdisciplinarité effective et sans réserve, et débarrasse ses critères

d’évaluation de la contamination idéologique.

Nous, criminologues, comme tous les chercheurs, devrons à l’avenir

nous considérer exclusivement comme de fidèles serviteurs de l’expérience

et de l’observation empirique.

Or, la recherche exige des prémisses théoriques qui, pour la criminologie

comme pour toute autre science, font partie du domaine de l’épistémologie.

L’approfondissement des problèmes de la criminologie, au point de vue de

l’épistémologie, exige d’étudier des ”principes” (tels que la personnalité, la

socialité, la légalité, la socialisation, la rééducation), qui sont des ’’valeurs’’

concernant en même temps l’individu, son milieu, le système culturel et

légal où il vit, sa responsabilité personnelle aussi bien que civique, élargie à

la communauté dont il fait partie.

Je pense que l’on peut imaginer, suivant ces perspectives, une crimino-

logie nouvelle qui considère ses objets d’étude suivant une signification tout

à fait différente de la signification traditionnelle, c’est-à-dire dans un sens

’positif”’. J’envisage, en conclusion, une approche critique nouvelle, en cri-

minologie, fondée sur l’étude préalable du ”developpement des valeurs”

dans le domaine de la recherche fondamentale, et de la ’responsabilité civi-

que”’ dans le domaine de la recherche appliquée.

J’exprime ces réflexions, concernant les travaux du IX Congrès Inter-

national de Criminologie, soit comme une synthèse tout-à-fait personnelle

du sens de ces travaux, soit comme un point de départ pour le dévelop-

pement futur de notre activité de recherche en criminologie.

— 299 —

ANNEXE / ANEXO / ANNEX

— 301 —

LISTE DER AKZEPTIERTEN VORTRAGE / LIST OF ACCEPTED

COMMUNICATIONS / LISTE DES COMMUNICATIONS ACCEPTÉES /

LISTA DE LAS COMUNICACIONES ACEPTADAS

H.E. ALLEN, Anna F. KUHL, USA, Social Policies and Practices in Com-

munity Corrections: Issues in Criminological Prediction.

Sonia AMBROSET, I. La fonction critique de l’analyse historique de la

délinquence des jeunes et des femmes en Îtalie.

G. ANTONIU, R. Le rôle préventif de la sanction pénale.

A. ASHWORTH, GB. Aspects of the Relationship between Law-Creation

and Criminological Research in England.

G. BARAK, USA. Crime Prevention and Development Policy: À Case for

Comparative Criminology and Comprehensive Planning.

L. de la BARREDA SOLORZANO, MEX. The Democartisation of Criminal

Law (also submitted in French and Spanish).

R. BERGALLII, E. Homogeneous Traits of Both Formal and Informal

Social Control Agencies: The Case of Argentina.

Monique BEUKEN, V. RODRIGUEZ, B. Recherche — Action sur la vio-

lence familiale et régulation de la protection de la jeunesse.

V. BLANKEVOORT, NL. Abolitionisme et changement dans l’administra-

tion de la justice — la pratique du reclassement aux Pays-Bas.

C. BLOCK, USA. Patterns Description of Time Series.

R. BLOCK, USA. Resistance to Crime and Outcome: Stranger Violence.

R. BLOCK, USA. Technical, Methodological and Statistical Comparisons of

National Crime Surveys.

R. BLOCK, W.G. SKOGAN, USA. Victim Resistance and Outcome in

Nonfatal, Stranger-to-Stranger Violence.

R.L. BOOSTROM, J.H. HENDERSON, USA. The Impact of Research for

Correctional Policy.

AB. BOTTOMS, GB. Housing Policy and Crime in Urban Areas.

Ambra BRAGA, G. MACCABRANI, I. Treatment in Territorial Psychiatric

Services of Criminals Discharged from Judicial Mental Hospitals.

Ch. BRANTS, Th. de ROOS, NL. Pollution, Press and Penal Process.

Y. BRILLON, CDN. Les attitudes du public face au système pénal.

F. BRUNO, F. FERRACUTI. I. The Drug-Crime Association: À Social

Policy Problem and the Case of Italy.

M. BRUSTEN, D. Problems and Consequences of Institutionalized Crimi-

nological State-Research.

F. BUENO ARUS, E. Los aspectos criminogenos de la ley penal.

A. CARIC, YU. Tourist as a Victim in Touristic Criminality.

E. CARRANZA, M. HOUED, L.P. MORA, E.R. ZAFFARONI. CR. The

Situation of Pretrial Detainess in Latin America and the Caribbean.

E. CASTILLO, CR. Criminology, Criminal Policy and Development in Latin

America.

Stefania CERINO, I. Assistance psychiatrique en criminologie : Prévention

ou répression ?

— 303 —

G. CHAMBERS, GB. Victims of Sexual Assault in the Scottish Criminal

Justice System.

Phyilis D. COONTZ, USA. Theories and Theory Groups in American Cri-

minology from 1920 to 1980.

J. COSSON, F. À New Policy as a Response to White-Collar Crime.

J. CURBET, E. La acciôn de la policia en el ambito de prevenciôn de la

delincuencia.

M. CUSSON, CDN. Relations between Criminological Theory and Penal

Doctrine.

Ch. DAVIES, E. TRIVIZAS, GB. Legislation, Discretion and the Crimino-

logist

L.M. DEL PONT, MEX. Diversas formas de criminalidad y sanciones dife-

renciales (delitos concencionales y de cuello blanco).

P. DELTEIL, F. Évolution de la civilisation et politique criminelle.

S.M. DIAZ, IND. Public Policies and Practices Proper to the Organisations

Making up the Criminal Justice System.

J.P.J. DUSSICH, USA, H.F. JACOBSEN, D. Spaceround Integration: À

Control Theory Extension.

C. ELIAERTS, T. PETERS, B. La courte peine de prison et les sanctions

alternatives : politique et pratique des parquets, des juges de l’admi-

nistration pénitentiaire.

Hyacintne ELLIS, JA. Public Policy and Societal Reaction : A Review of

Social and Political Factors Surrounding the Legislation Against Gun

Crimes in Jamaica.

A. ERMENTINI, G. CADIOLI, G. FAZZARI, M. LESCOVELLI, I. L'’asile

criminel en Italie : Bases théoriques et prémisses historiques.

A. ERMENTINI, G. CADIOLI, G. FAZZARI, M. LESCOVELLI, I. Progrès

ou régression de l’institut de l’asile judiciaire en Italie pendant les der-

nières 40 années.

R.A. EVE (USA), J. KELLERHALS, CH. Youthful Misconduct in Swit-

Zzerland and the USA.

F. FACCIOLI, I. Origins of the New Criminology in Italy (1950-1975).

A. FAHMY, S. ABDEL MOTAAL, ET. Legislation and Social Acceptance.

M. FAMELI, I. Informatics and Literature on Criminology in Italy.

C. FARANDA, I. Diretto penale e scienze dell’uomo.

Anne-Marie FAVARD, F. La recherche clinique en Criminologie. Une

démarche spécifique ?

Z. FERENCZ, H. La situation criminelle et la prévention du crime.

C. FIINAUT, NL. Die Fiktion einer integrierten Strafrechtswissenschaft im

vergangenen Jahrhundert.

S. FISHER, USA. Victims are not Criminals.

Edith E. FLYNN, USA. The Prediction of Dangerousness and Policy Deve-

lopment in the United States.

D. FOGEL, D. THOMSON, USA. Probation Work in Small Agencies — À

National Study of Training Provisions and Needs.

_ 304 —

P.C. FRIDAY, USA. Delinquency Prevention Through Alternative Educa-

tion.

L.G. GABALDON, YU. Public Acceptance of Law:Symbolic or Instrumen-

tal ?

D. GARLAND, GB. Social Work and Criminal Justice.

D. GLASER, USA. Towards a Cost-Benefit-Assessment of National Penal

Policies.

J. GLORIE, B. Drogues : origine des tensions entre politique criminelle et

recherche.

J. GODONY, H. La place de la prévention dans la planification sociale.

T. GOSSWEINER, A. Forensische Kriminologie.

J. GORNY, PL. Les conceptions crimino-pénitentiaires d’Alexandre Molden-

hawer et leur caractère contemporain.

K.S. GRIFFITHS, USA. The Impact of Criminology Research on Correc-

tional Policy and Practice.

W.T. HAESLER, CH. Die Raubkriminalität im Kanton Aargau 1980-1982.

D. HAFERKAMP, H. G. HEILAND, Ch. LUDEMANN, D. Wohlfahrtsstaat,

Kriminalpolitik und Strafgesetzgubung.

J. HAISCH, D. Zur empirischen Begräündung rechtlicher Entscheidungen

Entwicklung und Erfolg einer Sozialtechnologie.

P. HALUZA, CS (v. PRENOSIL). The Importance and Role of Economic

Organizations in the Re-socialization of Recidivistic Perpetrators of the

Criminal Activity.

Tosca HERNANDEZ, YV. El discurso juridico penal : una nueva problema-

tica para la investigaciôn criminologica.

A.G. HESS,S. MURAYAMA, USA. Petty Offenses in Meiji Japan.

B. HOLYST, PL. The Role of Criminological Research in Shaping the Social

Policy.

B. HOLYST, PL. Barriers to Rehabilitation.

Z. HORVATIC, YU. Recidivism in Traffic Delinquency.

Z. HORVATIC, YU. Influence of Criminological Thought on Individua-

lization in Yugoslav Criminal Law.

L. HULSMAN, NL. Les politiques et les pratiques de contrôle social extra-

pénal et informal.

Joan JACOBY et al., USA. An International Study of Prosecution.

C.H.S. JAYEWARDENE, CDN. The Elderly as a Victim of Crime in Ottawa.

E.H. JOHNSON, USA. Prevention and Community: À Significant Relation-

ship for Public Policy.

K.W. JOHNSON, W.D. FRAZIER, M.F. RIDDICK, USA. A Change Strategy

for Linking: The Worlds of Academia and Practice.

S.W. JOHNSTON, AUS. U.N. Law Enforcement: À Common Sense Crimi-

nology in Revolt Against National Supremacy.

D.A. JONES, USA. The Existential Experience in Criminology.

H. JUNG, D. Die parlamentarische Anfrage als Ausdrucks — und Gestaltung-

smittel der Kriminalpolitik.

— 305 —

Z. KARABEC,. CS (v. PRENOSIL). The Study of the Criminality Dynamism

and Structure.

M. KILLIAS, CH. La politique criminelle n’estelle rien que de la politique;

l’exemple de la révision du Code pénal suisse.

RJ. KINKEL, Norma JOSEF, USA. A Social Epidemiological Model of

Misconduct.

G.F. KIRCHHOFF, D. Practical Application of the Crime Victim Compen-

sation Act in the Federal Republic of Germany.

H. KLETTE, S. The Swedish Legislative Decision Making Process in Rela-

tion to Alcohol and Traffic from 1920 to 1980.

S. KOBRIN, D. von WINTERFELDT, Elaine M. CORRY, USA. Estimating

the Pains of Imprisonment: À Decision Theoretic Approach.

Helena KOLAKOWSKA, PL. Efficacity of Measures Applied to Juvenile

Delinquents in the Prevention of Delinquency in Adults.

Ester KOSOVSKI, BR. The Psycho-Social Influence in Public Policy. À

Case Study in Brazil: The Changing Law About the Crime of Adultery.

Anna KOSSOWSKA, PL. Multiproblem Families in the Community.

R.C. KRAMER, USA. Class Struggle, State Power, and the Emergence of

Federal Regulatory Law in the United States.

G. KRAUPL, DDR. Positionen und Ergebnisse kriminologischer Persôn-

lichkeitsfroschung zum Täter als Subjekt der Tat, des Strafverfahrens

und der Strafe.

B. KRISEBERG, USA. Rethinking Juvenile Justice.

A. LAGUIA ARRAZOLA, E. LA teoria general de sistemas y su applicaciôn

a la politica criminal en España.

R. LAHTI, SF. The Utilization of Criminological Research in Finnish Crimi-

nal Law Reform.

L.L. LAMBORN, USA. International Declaration on the Rights of Victims

of Power.

S.M. LANDAU, IL. The Handling of Juvenile Offenders by the Police in

Israël : Official Norms vs. Actual Policy.

J. LAPLANTE, CDN. La criminologie québécquoise face à l’infracteur

adulte.

J. LAPLANTE, CDN, M. AMIR, IL. La non-criminalisation : l’exemple d’un

kibboutz.

J.R. LAVOINE, G. OSTAPTZEFF, Michèle OSTAPTZEFF, F. À propos des

pratiques de la criminologie.

H.C. LEDER, D. Der Stand kriminologischer Arbeit über Frauen und

Mädchenkriminalität — desorientierend für Kriminalpolitik, Sozialar

beitspraxis und Wissenschaft ?

G. LEHMANN, DDR. Die Teilnahme der Bürger in den gesellschaftlichen

(ehrenamtlichen) Organisationsformen der sozialistischen Demokratie

an der Kriminalitätsvorbeugung in der Deutschen Demokratischen

Republik.

JR. LILLY, R.A. BALL, USA. Home Incarceration: An Alternative to

Total Instituticnalization.

— 306 —

K. LITHNER, S. Gypsy Criminality in Sweden.

F. LOSEN, D. Bemerkungen zur Kriminalprävention aus Psychologischer

Sicht.

A. MAREK, B. GRONOWSKA, PL. Victim of Crime in the System of Jus-

tice Administration Regarding Criminal Actions.

R.I1. MAWBY, GB. The Victim in a Mixed Economy of Welfare.

N. MAILLOUX, CDN. Le criminel : Triste méconnu de la criminologie

contemporaine.

Joan McCORD, USA. A Longitudinal Appraisal of Criminal Sanctions.

W. McDONALD. In Defence of Inequally: The Legal Profession and Crimi-

nal Defence.

D. MELOSSI, USA/I. Is «Critical Criminology» in Crisis ? On the Present

State of a Critical Criminology.

L.S. MISRA, U.S. AGNIHOTRI, IND. The Community Practices of Infor-

mal Social Controls in Rural India.

K. MIYAZAWA, J. Policies and Practices of Informal Social Control Out-

side the Criminal Justice System in Japan.

P.F. NARDULLI, J. EISENSTEIN, R.B. FLEMMING, USA. À Contextual

Analysis of Decision-maker Influence on Judicial Decisions: A « Best

Case» Analysis of Criminal Sentencing.

J. NEZKUSIL, CS. On the Position and Role of Criminology and Its Rela

tion to Practice.

K.J. NYKFRK, NL. Studying the Police. Some General Remarks About the

Field, Recent Developments and Needs.

M. PAVARINI, I. Controllo sociale e decentramento administrativo.

M.G. PICCA, F. La prévention du crime : exigences et limites actuelles.

A. PIRES, CDN/BR. Criminology Today: Relations between the New

Perspectives and Social Action.

G. PISAPIA, I. Notes pour une criminologie de la vie quotidienne.

T. PITCH, I. Critical Criminology: The Construction of Social Problems

and the Question of Rape in Italy.

T. PLATT, USA. Criminology in the 1980's.

K. POKLEWSKI-KOZIELL, PL. The Creation of Laws and Their Reception

by Society in the Light Polish Experience.

L. PORTERO GARCIA, E. Objectivos de la ley penal : causas de su inapli

cation en el derecho Espanol.

G. PRENOSIL, CS. Topical Questions of the Czechoslovak Criminological

Research.

G. PRENOSIL, CS. The Participation of the Society in the Prevention and

the Possibilities of the System of Justice in the Initiation and Increase

of this Participation.

Barbara PUECHLER, USA, Janet REIS, D. Kindesmisshandlung : Fors

chung als erste Phase zur Prävention.

J. RABOW, USA. The Regulation of Public Welfare : The Failure of Balanc

ing Interests in Alcohol Licenning in California.

— 307 —

G. RAHAV, IL. On Theory and Circular Explanation in Criminology.

V.N. RAJAN, IND. Victimology in India.

Claire M. RENZETTI, D.J. CURRAN, USA. Female Circumcission; The

Trumph of Custom over the Rule of Law.

K.H. REUBAND, D. Fear of Crime in West Germany and the USA.

L. RODRIGUEZ MANZANEIRA, MEX. El criminôlogo, factor de desar

rolo.

W. RUTHER, D. Normgenese und Umweltschutz.

F. SACK, D. Kriminologie im Dienste der « Verarbeitung» politischer Kri

minalität : Erfahrungen im Dreieckverhältnis von Politik, Staat und

Wissenschaft : Erforschung der Ursachen des Terrorismus.

S. SCHEERER, D. Towards Abolitionism.

H. SCHÜLER-SPRINGORUM, D. Criminal Policy: An Introduction to a

Reader.

A. SERRANO GOMEZ, E. Evoluciôn social, criminalidad y cambio politico

en España.

L.W. SHERMAN, USA. The Scientific Practice of Police Work.

D. SHICHOR, D. RANISH, USA. Combatting White Collar Crime — The

Case of ABSCAM.

I. SINGH, IND. Criminology and Public Policy: À Third World View.

W.SKOGAN, USA. Disorder and Criminality.

Gerlinda SMAUSS, D. The Population’s Everday Awareness of Criminal

Law and Criminality.

R.L. SMITH, USA. Research Utilization: Translating Findings Into Criminal

Justice Policy.

1. SPERGEL, USA. Violent Gangs in Chicago: Data and Policy Implications.

G. SPIESS, D. Kriminalisierung und Entkriminalisierung durch informelle

Verfahrensregeln : Das Dunkelfeld informeller Verfahrensweisen im

westdeutschen Jugendstrafrecht und seine Auswirkungen auf das Ers

cheinungsbild der «Offiziellen» Jugendkriminalität.

S. SPORER, D. Allgemeinwissen zur Psychologie der Zeugenaussage : Was

man weib, oder vielleicht wissen sollte.

W. STANGL, A. Criminology as Apology of Power — the Traditions of the

Austrian Criminology.

Rodica-Michaela STANOLU, R. Quelques aspects de la contribution de la

recherche scientifique au processus de création des lois pénales en

Roumanie.

W. STEFFEN, D. Kriminologische Forschung und polizeiliche Praxis in der

Bundesrepublik Deutschland.

G. STEINHILPER, D. Limits and Possibilities of Criminological Service.

J.W. STEVENS, USA. Victimization Studies in North Central Texas Com

munities: À Review of Recent Methodological Applications and Inno

vations.

G. STILLER, DDR. Die Kriminologie in der DDR und ihr Einflub auf die

Strafgesetzgebung.

O. SUCHY, CS. The Personality of the Recidivistic Offender.

— 308 —

R.D. TESAL, TR. La création des lois et leur réception par la Société en

Turquie.

R. TESKE, Jr., USA, H.R. ARNOLD, D. À comparative Analysis or Factors

Related to Criminal Victimization in Texas and Baden-Württemberg.

H. TIMM, USA. The Role of Forensic Behavioral Science Laboratory

Research and its Relationship to Public Policy and Practices.

J.W. TOMLIN, USA. Victimization Within International Setting.

MARY TUCK, GB. The British Crime Survey.

G. TYRNAUER, Ch. STASTNY, CDN. The Politics of Prison Reform.

Helena VALKOVA, CS. Czechoslovak Criminological Investigations in the

Sphere of Juvenile Criminality Prevention.

V. VELJKOVIC, YU. Prisoner’s Attitudes towards Work in Self-financing

Penal-correctional Institutions.

Nicole VETTENBURG, L. WALGRAVE, B. Des jeunes en marge du marché

du travail et au centre de l’attention judiciaire.

E. VIANO, USA. Violence, Victimization and Social Change: À Socio-

Cultural and Public Policy Analysis.

J. VIGH, H. The Task of Criminology and the Public Policy.

P. VOJNA, CS (v. PRENOSIL). The Investigations of the Legal Cognizance

in Relation to Criminality and Some Possibilities of Their Exploitation

de lege ferenda.

J. VONKOVA, CS (v. PRENOSIL). The Intervention of Society in the

Sphere of the After-care.

C. VOUYOUCAS, GR. Relation de la criminologie avec les politiques et

pratiques sociales.

I. WALLER, CDN. The Declaration on the Protection and Assistance of

Victims of Crime.

P. van der WALT, ZA. Types of Criminal Statistics.

D.A. WARD, USA. Punishment by Imprisonment — A Comparative Study

of Seven Countries.

Dobrochna WOJCIK, PL. L’inadaptation sociale des élèves et l’école.

Y. YOUNG, GB. From New Criminology to Left Realism: Recent Trends

in Radical Criminology.

J. ZAPLETAL, CS (v. PRENOSIL). On the State and Possibilities of Victi-

mological Investigations in the Czechoslovak Criminology.

L. ZIGO, CS. À Contribution to the Victimologyofrape.

D. van ZYL SMIT, ZA. Public Policy and the Punishment of Crime in a

Divided Society — An Historical Perspective on the South African

Penal System.

— 309 —

IMPRIMERIE ADMINISTRATIVE DE MELUN

3425 — 1984