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Using simulation modeling to evaluate sentencing reform in California: choosing the future

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Abstract

Criminal sentencing reforms that have as their ostensible goal the protection of the public through the mechanism of selective incapacitation have proliferated in recent years. The most prominent of these types of reforms are the “Three Strikes” laws. Because these changes to sentencing policy work by extending the term of incarceration for affected offenders, rather than by changing the rate of incarceration, many years must pass before the effects of these kinds of changes can be measured and evaluated by conventional statistical methods. Data-validated dynamic systems simulation modeling offers the analyst an opportunity to evaluate prospectively the effects of such changes on prison populations. In addition to providing descriptive and evaluative information about the likely consequences of these reforms to the compositional dynamics of prison populations, dynamic systems simulation modeling also affords the analyst the opportunity to experiment upon the system to examine prospectively the likely effects of policy changes. In this paper, simulation models of the California criminal justice system are created and validated with historical data in order to provide a plausible baseline upon which to base future projections. Different policy scenarios are simulated to the year 2030 to assess experimentally the likely consequences to prison populations and to evaluate how well these policies target the “dangerous offenders” proponents that these policies promise to remove from society via incarceration.

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Notes

  1. The vast majority of these (over 80,000 offenders) were sentenced under the “Second Strike” provisions of the law. Third Strikers have thus far comprised fewer than 10% of affected offenders (LAO 2005).

  2. Zimring et al. (2001) assert that the broad impacts of the law were intended, not unintended (p. 23). I interpret the coming of the Three-Strikes law differently from these authors (see Auerhahn 2003: Chap. 3), though I do agree with the assertion of these authors that Three Strikes is “a penal practice without a theory” (Zimring et al. 2001: 7).

  3. It is important to note that most of the empirical research on selective incapacitation has evaluated the concept of selective incapacitation rather than specific policies that manifest this objective (e.g., Greenwood and Abrahamse 1982; Sherman et al. 1997: 9–17).

  4. Dynamic systems models have also been used to simulate various aspects of illicit drug use. Some of these models focus on large scale drug-distribution networks (Childress 1994a, b; Dombey-Moore et al. 1994), while others model populations of drug users (Jacobsen and Hanneman 1992; Homer 1993). This technique has also been applied to the evaluation of drug-control policy (Tragler et al. 2001; Rydell et al. 1996).

  5. The proceedings of this conference can be viewed at http://www.ojp.usdoj.gov/nij/ events/or/agenda.htm.

  6. This perspective derives, in part, from Thomas Schelling’s (1978) observation that any number of different processes may, in fact, lead to similar outcomes.

  7. Berkeley Madonna software (available for demonstration and purchase at www.berkeleymadonna.com) was used to create the simulation models.

  8. In modeling the system, a remarkable amount of consistency was observed in the timing of these changes. The ‘switching point’ for many of the rate modifiers—at all levels of the system, from arrest through incarceration—lay in the time period between 1985 and 1987. This should not come as a terrific surprise to anyone with even a cursory understanding of the history of American criminal justice policy reform as relates to sentencing.

  9. Explaining these differences, while a worthwhile endeavor, is beyond the scope of this analysis. Many researchers do attempt to explain them (e.g., Bridges and Steen 1998; Irwin 1985; Myers 1987; Swigert and Farrell 1976; Farrell and Holmes 1991), and the reader interested in the reasons such differences exist is referred to these authors For my purposes, these differences are merely noted as ‘social facts’ and incorporated into the modeling strategy in an effort to reproduce system dynamics as accurately as possible.

  10. The model is structured such that the ‘arrested’ population state clears on each iteration of the model. This means that 100% of the arrested population at t1 occupies a different state or leaves the model at t2. The general (non-criminal justice system involved) population is set up as a source/sink, as indicated here by the ellipse. In dynamic systems modeling, sources and sinks can be thought of as the boundaries of the model, in that they represent unlimited supplies of a particular input or resource (individuals who may become involved with the criminal justice system), and also serve as ‘absorbers’ of resources as they exit the model (individuals leaving the criminal justice system by varied mechanisms, such as charge dismissal, acquittal, or completion of probation or other sentences). Because of this, the equation generating the arrested system state takes a slightly different form from that of the other population states. A new arrested population is generated at each time-step by taking the initial value of the arrested population, in each of the 450 sub-models, and applying a multiplier to simulate growth or decline over time.

  11. Chaiken and Chaiken’s (1984) interpretations of the Rand data are occasionally contradictory and confusing. At times, they indicate a belief that there is a life-course progression of seriousness on the part of offenders (pp. 205–206); however, they note that the violent predators tend to be younger than other offenders (p. 209). Similarly, these authors emphasize, at various points, that several of the identified types of criminals do appear to be highly specialized in their modes of criminal behavior. However, the ‘violent predators,’ who commit the greatest proportion of crimes in the sample do not show such evidence of specialization. I find Wright and Rossi’s interpretation of similar findings in their research (1986: 76) a much more satisfying explanation of the patterns that emerge in the Rand data.

  12. The CDC was re-named the California Department of Corrections and Rehabilitation in July 2005.

  13. Some estimation was required for the prison and parole population subgroups, due to differences in the way in which offender criminal history information is tracked at the CDC and the requirements of the model. The CDC classifies offenders into one of four status categories: offenders who are not under the jurisdiction of the CDC at the time of offense commission (A); returned to custody for a new offense while on parole (B); returned to custody for technical violations (C); and returned to custody while in the process of mounting legal challenges to this return (D). For the purposes of the simulation model, all of these offenders are equivalent insofar as they occupy a model population state (e.g., prison, parole). The difficulty arises in that offenders designated as A status have no recorded criminal history information in the CDC system. This may be misleading, as while they are treated as a new entrant to the system, this is not necessarily the case. Offenders who have completed a term of parole or a prison sentence and are thus no longer under the supervision of the CDC would be classified as A status if arrested for a new crime. For this reason, offender criminal histories for Astatus offenders were estimated from the proportions of equivalent offenders (with respect to age, gender, race, and conviction offense) in the data provided by the CDC for offenders in other statuses (B, C, and D).

  14. In simulation modeling terms, this state functions as a sink. See note 10.

  15. This period spans the earliest and latest dates for which detailed complete electronic validation data were available from California state criminal justice agencies at the time of programming the simulation models.

  16. All system populations in the complete model specification met this standard; space limitations prevent me from reproducing them all here (see Auerhahn 2003: 105–107)

  17. Other researchers have reached similar conclusions. Caulkins (2001) found little substantive difference between different “strike-zones,” concluding that costs associated with incarceration far exceeded benefits for different variants of California’s Three-Strikes law. Blokland and Nieuwbeerta (2007) concluded much the same in their study of selective incapacitation scenarios in the Netherlands.

  18. Because the data are presented in 5-year intervals, it may appear at first glance to be a rapid jump from the previous data point. However, the proportional representation of women in the California prison population maintains a steady increase over the entire period under study, both retrospectively and prospectively.

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Auerhahn, K. Using simulation modeling to evaluate sentencing reform in California: choosing the future. J Exp Criminol 4, 241–266 (2008). https://doi.org/10.1007/s11292-008-9056-2

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