Effective principles of punishment

Abstract

Principles of punishment refer to the organizing philosophies that guide responses to deviant behavior. Traditionally, four dominant penological principles influence sentencing and sanctioning in the criminal justice system: retribution, deterrence, incapacitation, and rehabilitation. These principles each propose different ideas regarding why a person commits crime and what consequences it has for society; therefore, each principle recommends different mechanisms for responding to an offense. While occasionally correctional sanctions can retrospectively influence our the understanding of these principles, it is more often the case that forensic practitioners and criminal justice agencies begin with a theory and then aim to manifest those ideas into practice and policy.

In estimating the effectiveness of these principles of punishment, it is important to note that the usefulness of any of these theories is dependent on the goal (which may in fact be specified by the principle itself). Thus, whether a punishment “works” is a matter of the principle’s blueprint for punishment; is the punishment meant to get even with the criminal (retribution), discourage the decision to commit crime (deterrence), limit the ability to commit crime (incapacitation), or minimize the propensity to commit crime (rehabilitation)? Each of these leading principles of punishment is effective in some ways but not in others, as punishments are generally not designed to embody multiple penological ideals simultaneously. However, it is quite common for correctional practices (such as e.g., imprisonment) to exhibit some degree of overlap in these punishment principles, meeting different goals in different ways and at different times.

This entry describes the four central principles of punishment: retribution, deterrence, incapacitation, and rehabilitation. The section for each of these principles provides an overview of the foundational concepts, a brief description of any relevant theoretical advances, a few illustrations of how the principle is applied in the criminal justice system, and an overview of the research evidence that supports or moderates the use of that principle.