1
CRIMINAL POLICY & CRIMINOLOGICAL
THEORY
INTRODUCTION
WHAT IS CRIMINAL POLICY?
PENAL AND CRIMINAL POLICY
Started to be developed in late 19th century once penal policy emerges to question ‘mechanic’
application of criminal law
Penal policy involves deliberations concerning application of criminal law, with progressive
individualization and differentiation of criminal sentences
Criminal policy is broader: "All the criminal and non-criminal measures to protect society
against crime, to determine the fate of offenders and to guarantee the rights of victims" (Council
of Europe, 1983)
o Rehabilitation of (potential) offenders + crime prevention + victims assistance
programmes + RJ
But penal component remains “hard core” of criminal policy
o As it imposes punishment on citizens, it is very peculiar type of public policy
SECURITY POLICY AND GOVERNANCE OF SECURITY
Security policy introduced in 1990s in Belgium and other countries to encompass - and further
broaden - criminal policy
o It aims to guarantee both objective and subjective security
I.e., protection from natural disasters and other non-military security threats +
promotion of security feelings
o Often part of broader national security policies
Governance of security: measures taken by private sectors, primarily businesses and
households, sometimes in partnership with public agencies, to protect their interests
NO CONSENSUS ON DEFINITIONS OF THEORY
A logically interrelated set of propositions about empirical reality (Schutt, 2009)
For positivists: these propositions are comprised of:
o Definitions: sentences introducing terms that refer to the basic concepts of the theory
o Functional relationships: sentences that relate the basic concepts to each other in casual
way
o Operational definitions: sentences that relate some theoretical statement to a set of
possible observations
For positivists, success of a theory depends on its testing
Other scholars have looser understanding of theories
o E.g. “grand theories” that cannot be tested or even mere concepts
NO CONSENSUS ON THEORY VALUE ADDED
For some theories are not necessary
,2
For others, including Bottoms (2008), some engagement with theory is necessary to practice
social science
o Constructivism, no theory-neutral facts, “theory-ladenness of observations” (Honderich),
“theory as tool” (Garland)
(Bottoms’ other key proposition: There is a world out there and we can judge which
interpretation is nearer to the truth) realism
Without commitment to realism and etiology, no crime prevention or other policy interventions
are possible!
DIFFERENT TYPES OF THEORIES
Substantive theories
o Etiological theories on crime (biological, psychological, sociological, integrated) + related
research
o (Etiological) theories on criminal policies, specific interventions or their effects + related
research
o + concepts and General Social Theories (GST)
Normative theories on criminal law/policy, punishment and alternative approaches
“Background” theories
o Theories in epistemology (philosophy of nature of knowledge)
o Theories in ontology (philosophy reflecting on being and nature of human condition)
o Theories in methodology (philosophy of scientific method)
WHAT IS THE RELATIONSHIP BETWEEN CRIMINOLOGICAL THEORY (AND RESEARCH)
AND CRIMINAL POLICY?
HOW BEST CAN CRIMINOLOGISTS CONTRIBUTE TO CRIMINAL POLICY DEVELOPMENT
AND EVALUATION?
With innovative and societally-relevant theories and solid research!
With well-designed evaluations of current policies and well-thought proposals for future ones!
o But how to evaluate?
o Is empirical analysis sufficient or are normative also necessary?
o How to set goals of policies and specific interventions and appropriate evaluation
criteria?
WHAT IS POLICY ANALYSIS?
Applied social science discipline designed for improving policymaking
o “In” and “about” policymaking
It aims at creation, critical assessment, and communication of policy-relevant knowledge
o Supporting evidence-based policy
Evidence is causally relevant knowledge of relations between 1) policies and 2)
short-term, intermediate, and long-term policy outcomes
o Challenging arguments of others
Eclectic, pragmatic and multidisciplinary
o Especially economics and political sciences but also ethics
Descriptive and normative
o What the problem/policy is and what they ought to be (for both aims and means)
It consists of five phases to address five types of questions: policy problems, expected outcomes,
preferred policies, observed outcomes, policy performance
,3
PROBLEM STRUCTURING IS ESSENTIAL
Is central guidance system of policy analysis
o Governs production and transformation of knowledge produced by other methods
Is metamethod to transform “problem situation” in “policy problem”
o Defining wrong problem (Type III error) is fatal problem in policymaking and analysis
Different theories (may) play different roles in policy analysis/process!
EVALUATION CRITERIA: FOR THE EXAM!
CHAPTER 1: THE FIVE STEPS OF POLICY ANALYSIS AND INSTRUCTIONS FOR
YOUR POLICY PLANS (NIET LEREN VOOR EXAMEN, ENKEL NODIG VOOR
PAPER!)
PROBLEM STRUCTURING
Key moment of policy analysis, metamethod
o Central guidance system that affects following phases
Starting points are usually diffuse worries and signs of stress: “problem situation”
o Transformed into “policy problems” through problem structuring
Characteristics of problems
o Interdependency: “messes”, hence holistic approach
o Subjectivity: partly subjective and partly objective
o Artificiality: socially constructed
o Instability: in constant flux
Hence possible unanticipated consequences
THREE TYPES OF PROBLEMS
Well structured, moderately structured, ill structured
o Most crime/security problems are ill structured!
o Ad hoc methods and creativity are necessary for their problem structuring
Any transition might generate type 3 errors
A VARIANT: POLICY ISSUES
Policy issues involve disagreements about actual or potential courses of action
o Reflect competing views of the nature of problems themselves
Hierarchy of issues
o Major issues: agency mission (or legislative change)
o Secondary issues: agency’s programs
o Functional issues: budgeting, finance, and procurement for both programs and projects
o Minor issues: staffing and standard operating procedures and rules
Strategic v. operational: varying degree of reversibility
o But all types of issues are interdependent
FORECASTING
, 4
Sets of procedures for creating information about future states of society, especially expected
policy outcomes
Three types: extrapolative, theoretical, judgemental
Best used in combination, sometimes limited accuracy, but still useful
o Accuracy is particularly limited for crime
Both spikes and declines poorly understood/hard to forecast
APPROACHES TO FORECASTING
Decide what to forecast (aim)
o Consequences of a) existing or b) new policies, c) contents of new policies or d) behavior
of stakeholders and thus policy feasibility
Decide how to forecast (basis)
o Set of assumptions or data: trend extrapolation, theory or expert judgement
Choose concrete method
PRESCRIBING
Transforming information about expected policy outcomes into information about preferred
policies
o Unavoidably normative: facts + values
Advocative claims
o Actionable
o Prospective
o Value laden
o Ethically complex: intrinsic + extrinsic values (e.g. security)
Multiple advocacy , i.e., comparison of options, necessary to avoid “over-advocacy trap”
CHOICE IS REASONED RATHER THAN RATIONAL
Rational choice theory reduces choice to maximization of utility but unrealistic
Reasoned choice admits that different stakeholders have different (and often conflicting)
objectives so that alternatives cannot be consistently ranked
Five types of rationality may be referred to:
o Technical rationality (effectiveness)
o Economic rationality (efficiency)
o Legal rationality (conformity)
o Social rationality (institutionalization)
o Substantive rationality (comparison of multiple forms of rationality)
WHICH DECISION CRITERIA SHOULD BE ADOPTED?
Decision criteria suggested by Dunn:
o Effectiveness (achievement of valued outcome)
o Efficiency (amount of effort/money required to produce given level of effectiveness)
o Adequacy (defined threshold of effectiveness and/or efficiency)
o Equity (distribution of outcomes and effort among different groups in society)
o Responsiveness (satisfaction of needs, preferences or interest of particular groups)
o Appropriateness (simultaneous consideration of two or more criteria)
LP: Sufficient for criminal and especially penal policy?
CRIMINAL POLICY & CRIMINOLOGICAL
THEORY
INTRODUCTION
WHAT IS CRIMINAL POLICY?
PENAL AND CRIMINAL POLICY
Started to be developed in late 19th century once penal policy emerges to question ‘mechanic’
application of criminal law
Penal policy involves deliberations concerning application of criminal law, with progressive
individualization and differentiation of criminal sentences
Criminal policy is broader: "All the criminal and non-criminal measures to protect society
against crime, to determine the fate of offenders and to guarantee the rights of victims" (Council
of Europe, 1983)
o Rehabilitation of (potential) offenders + crime prevention + victims assistance
programmes + RJ
But penal component remains “hard core” of criminal policy
o As it imposes punishment on citizens, it is very peculiar type of public policy
SECURITY POLICY AND GOVERNANCE OF SECURITY
Security policy introduced in 1990s in Belgium and other countries to encompass - and further
broaden - criminal policy
o It aims to guarantee both objective and subjective security
I.e., protection from natural disasters and other non-military security threats +
promotion of security feelings
o Often part of broader national security policies
Governance of security: measures taken by private sectors, primarily businesses and
households, sometimes in partnership with public agencies, to protect their interests
NO CONSENSUS ON DEFINITIONS OF THEORY
A logically interrelated set of propositions about empirical reality (Schutt, 2009)
For positivists: these propositions are comprised of:
o Definitions: sentences introducing terms that refer to the basic concepts of the theory
o Functional relationships: sentences that relate the basic concepts to each other in casual
way
o Operational definitions: sentences that relate some theoretical statement to a set of
possible observations
For positivists, success of a theory depends on its testing
Other scholars have looser understanding of theories
o E.g. “grand theories” that cannot be tested or even mere concepts
NO CONSENSUS ON THEORY VALUE ADDED
For some theories are not necessary
,2
For others, including Bottoms (2008), some engagement with theory is necessary to practice
social science
o Constructivism, no theory-neutral facts, “theory-ladenness of observations” (Honderich),
“theory as tool” (Garland)
(Bottoms’ other key proposition: There is a world out there and we can judge which
interpretation is nearer to the truth) realism
Without commitment to realism and etiology, no crime prevention or other policy interventions
are possible!
DIFFERENT TYPES OF THEORIES
Substantive theories
o Etiological theories on crime (biological, psychological, sociological, integrated) + related
research
o (Etiological) theories on criminal policies, specific interventions or their effects + related
research
o + concepts and General Social Theories (GST)
Normative theories on criminal law/policy, punishment and alternative approaches
“Background” theories
o Theories in epistemology (philosophy of nature of knowledge)
o Theories in ontology (philosophy reflecting on being and nature of human condition)
o Theories in methodology (philosophy of scientific method)
WHAT IS THE RELATIONSHIP BETWEEN CRIMINOLOGICAL THEORY (AND RESEARCH)
AND CRIMINAL POLICY?
HOW BEST CAN CRIMINOLOGISTS CONTRIBUTE TO CRIMINAL POLICY DEVELOPMENT
AND EVALUATION?
With innovative and societally-relevant theories and solid research!
With well-designed evaluations of current policies and well-thought proposals for future ones!
o But how to evaluate?
o Is empirical analysis sufficient or are normative also necessary?
o How to set goals of policies and specific interventions and appropriate evaluation
criteria?
WHAT IS POLICY ANALYSIS?
Applied social science discipline designed for improving policymaking
o “In” and “about” policymaking
It aims at creation, critical assessment, and communication of policy-relevant knowledge
o Supporting evidence-based policy
Evidence is causally relevant knowledge of relations between 1) policies and 2)
short-term, intermediate, and long-term policy outcomes
o Challenging arguments of others
Eclectic, pragmatic and multidisciplinary
o Especially economics and political sciences but also ethics
Descriptive and normative
o What the problem/policy is and what they ought to be (for both aims and means)
It consists of five phases to address five types of questions: policy problems, expected outcomes,
preferred policies, observed outcomes, policy performance
,3
PROBLEM STRUCTURING IS ESSENTIAL
Is central guidance system of policy analysis
o Governs production and transformation of knowledge produced by other methods
Is metamethod to transform “problem situation” in “policy problem”
o Defining wrong problem (Type III error) is fatal problem in policymaking and analysis
Different theories (may) play different roles in policy analysis/process!
EVALUATION CRITERIA: FOR THE EXAM!
CHAPTER 1: THE FIVE STEPS OF POLICY ANALYSIS AND INSTRUCTIONS FOR
YOUR POLICY PLANS (NIET LEREN VOOR EXAMEN, ENKEL NODIG VOOR
PAPER!)
PROBLEM STRUCTURING
Key moment of policy analysis, metamethod
o Central guidance system that affects following phases
Starting points are usually diffuse worries and signs of stress: “problem situation”
o Transformed into “policy problems” through problem structuring
Characteristics of problems
o Interdependency: “messes”, hence holistic approach
o Subjectivity: partly subjective and partly objective
o Artificiality: socially constructed
o Instability: in constant flux
Hence possible unanticipated consequences
THREE TYPES OF PROBLEMS
Well structured, moderately structured, ill structured
o Most crime/security problems are ill structured!
o Ad hoc methods and creativity are necessary for their problem structuring
Any transition might generate type 3 errors
A VARIANT: POLICY ISSUES
Policy issues involve disagreements about actual or potential courses of action
o Reflect competing views of the nature of problems themselves
Hierarchy of issues
o Major issues: agency mission (or legislative change)
o Secondary issues: agency’s programs
o Functional issues: budgeting, finance, and procurement for both programs and projects
o Minor issues: staffing and standard operating procedures and rules
Strategic v. operational: varying degree of reversibility
o But all types of issues are interdependent
FORECASTING
, 4
Sets of procedures for creating information about future states of society, especially expected
policy outcomes
Three types: extrapolative, theoretical, judgemental
Best used in combination, sometimes limited accuracy, but still useful
o Accuracy is particularly limited for crime
Both spikes and declines poorly understood/hard to forecast
APPROACHES TO FORECASTING
Decide what to forecast (aim)
o Consequences of a) existing or b) new policies, c) contents of new policies or d) behavior
of stakeholders and thus policy feasibility
Decide how to forecast (basis)
o Set of assumptions or data: trend extrapolation, theory or expert judgement
Choose concrete method
PRESCRIBING
Transforming information about expected policy outcomes into information about preferred
policies
o Unavoidably normative: facts + values
Advocative claims
o Actionable
o Prospective
o Value laden
o Ethically complex: intrinsic + extrinsic values (e.g. security)
Multiple advocacy , i.e., comparison of options, necessary to avoid “over-advocacy trap”
CHOICE IS REASONED RATHER THAN RATIONAL
Rational choice theory reduces choice to maximization of utility but unrealistic
Reasoned choice admits that different stakeholders have different (and often conflicting)
objectives so that alternatives cannot be consistently ranked
Five types of rationality may be referred to:
o Technical rationality (effectiveness)
o Economic rationality (efficiency)
o Legal rationality (conformity)
o Social rationality (institutionalization)
o Substantive rationality (comparison of multiple forms of rationality)
WHICH DECISION CRITERIA SHOULD BE ADOPTED?
Decision criteria suggested by Dunn:
o Effectiveness (achievement of valued outcome)
o Efficiency (amount of effort/money required to produce given level of effectiveness)
o Adequacy (defined threshold of effectiveness and/or efficiency)
o Equity (distribution of outcomes and effort among different groups in society)
o Responsiveness (satisfaction of needs, preferences or interest of particular groups)
o Appropriateness (simultaneous consideration of two or more criteria)
LP: Sufficient for criminal and especially penal policy?
