SENTENCING REFORM IN NORTH CAROLINA Thomas W. Ross.

SENTENCING REFORM IN

NORTH CAROLINA

Thomas W. Ross

PROBLEMS IN THE CRIMINAL JUSTICE SYSTEM

• JUDICIAL SENTENCES LOSING MEANING

• FELONS SERVING ONLY A FRACTION OF SENTENCE

40%

25%

18%

12%

0%5%

10%15%20%25%30%35%40%

Per

cen

t S

erve

d

1986 1991* 1993 1998**

Selected Years

PERCENT OF SENTENCE SERVED FOR FELONS

* Sentencing Commission created** Projected with cap and no new prisons

PROBLEMS IN THE CRIMINAL JUSTICE SYSTEM

• JUDICIAL SENTENCES LOSING MEANING• FELONS SERVING ONLY A FRACTION OF

SENTENCE• MISDEMEANORS SPINNING THROUGH SYSTEM• PROBATION VIOLATIONS ESCALATING• OFFENDERS REFUSING ALTERNATIVES TO

PRISON• PUBLIC CONFIDENCE ERODING

THE FIRST STEP

• CREATION OF SENTENCING COMMISSION

• 23 INITIAL MEMBERS

• LEGISLATIVE DIRECTIVES

LEGISLATIVE DIRECTIVES

• CONSTRUCT CORRECTIONAL SIMULATION MODEL

• CLASSIFY CRIMINAL OFFENSES

• RECOMMEND STRUCTURE FOR SENTENCING

• DEVELOP COMPREHENSIVE COMMUNITY CORRECTION STRATEGY

• CONSIDER OTHER POLICY ISSUES

GOALS OF REFORM• SET PRIORITIES FOR PRISON SPACE• RESTORE TRUTH IN SENTENCING• PROVIDE UNDERLYING RATIONALE FOR

SENTENCING• ENHANCE CONSISTENCY IN SENTENCING• ENHANCE CERTAINTY IN SENTENCING• MAKE EFFICIENT USE OF RESOURCES• BALANCE SENTENCING POLICIES WITH

RESOURCES

PROCESS FOLLOWED

• COMPONENTS OF SENTENCING DECISION

COMPONENTS OF STRUCTURED SENTENCING

OFFENSE

STRUCTURE DEFENDANT’S

PRIOR RECORD

DURATION

DISPOSITION

PROCESS FOLLOWED

• COMPONENTS OF SENTENCING DECISION

• SUBCOMMITTEES DEVELOPED PROPOSALS

FELONY CLASSIFICATION CRITERIA*

CLASS CRITERIA

A Reserved for First Degree Murder

[Reasonably tend to result or does result in]: B Serious debilitating long-term personal injury

C Serious long-term personal injury

Serious long-term or widespread societal injury

D Serious infringements on property interest which also implicate physical safety concerns by use of a deadly weapon or an offense involving an occupied dwelling

E Serious personal injury

* Personal injury includes both physical and mental injury. Societal injury includes violations of public morality, judicial or government operations, and/or public order and welfare. Note: The criteria were not used in the classification of the homicide offenses or drug offenses.

FELONY CLASSIFICATION CRITERIA*

CLASS CRITERIA

F Significant personal injury Serious societal injury

G Serious property loss: Loss from the person or from the person’s dwelling

H Serious property loss: Loss from any structure designed to house or secure any activity or property

Loss occasioned by the taking or removing of property Loss occasioned by breach of trust, formal or informal Personal injury Significant societal injury

I Serious property loss: All other felonious property loss

Societal injury

M All other misdemeanors

* Personal injury includes both physical and mental injury. Societal injury includes violations of public morality, judicial or government operations, and/or public order and welfare. Note: The criteria were not used in the classification of the homicide offenses or drug offenses.


OFFENSE


PRIOR RECORD

DURATION

DISPOSITION

SCORING PRIOR RECORD/FELONY SENTENCING (For offenses committed on or after December 1, 1997)

NUMBER TYPE POINTS

Prior Felony Class A Conviction x 10

Prior Felony Class B1 Conviction x 9

Prior Felony Class B2 or C or D Conviction x 6

Prior Felony Class E or F or G Conviction x 4

Prior Felony Class H or I Conviction x 2

Prior Misdemeanor Class A1 or 1 Conviction*,

Prior Impaired Driving Conviction, or Prior

Impaired Driving in a Commercial Vehicle

Conviction x 1

SUBTOTAL

If all the elements of the present offense are included in any

prior offense, whether or not the prior offense was used in

determining prior record level + 1

If the offense was committed:

(a) while on probation, parole, or post-release supervision; or

(b) while serving a sentence of imprisonment; or

(c) while on escape + 1

TOTAL

*Class 1 misdemeanor offenses under Chapter 20 are not assigned any points except for misdemeanor death by vehicle [G.S. 20-141.4(a)(2)]

CLASSIFYING PRIOR RECORD LEVEL

POINTS LEVEL

0 I

1 – 4 II

5 – 8 III

9 – 14 IV

15 – 18 V

19+ VI

PRIOR RECORD LEVEL _____

FELONY PUNISHMENT CHART

PRIOR RECORD LEVEL

I0 Pts

II1-4 Pts

III5-8 Pts

IV9-14 Pts

V15-18 Pts

VI19+ Pts

A

B1

B2

C

D

E

F

G

H

I

OF

FE

NSE

CL

ASS


OFFENSE


PRIOR RECORD

DURATION

DISPOSITION

TYPES OF PUNISHMENTS UNDER STRUCTURED SENTENCING

ACTIVE INTERMEDIATE COMMUNITY

Unsupervised Probation Fines Day Fines Treatment Alternatives to

Street Crime (TASC) Outpatient Substance

Abuse and Mental Health Treatment

Victim Restitution Community Service

Work Regular Supervised

Probation

Intensive Supervision Probation

Electronic House

Arrest Day Reporting Center Residential Facility Drug Treatment

Court Split Sentence/Special

Probation

Prison Jail


PRIOR RECORD LEVEL

I0 Pts

II1-4 Pts

III5-8 Pts

IV9-14 Pts

V15-18 Pts

VI19+ Pts

A Death or Life Without Parole

A A A A A A

B1

A A A A A A

B2

A A A A A A

C

A A A A A A

D

I/A I/A A A A A

E

I/A I/A I/A A A A

F

I/A I/A I/A I/A A A

G

C/I/A I/A I/A I/A I/A A

H

C C/I I I/A I/A I/A

I

Note: A – Active Punishment I – Intermediate Punishment C – Community Punishment* Numbers shown are in months and represent the range of minimum sentences.

OF

FE

NSE

CL

ASS

SOURCE: NC Sentencing and Policy Advisory Commission, FY 2007/08 Felony Statistical Report Data

DISTRIBUTION OF FY 2007/08 CONVICTIONS WITHIN THE FELONY

PUNISHMENT CHART

Prior Record Level Offense Class I

0 Pts II

1-4 Pts III

5-8 Pts IV

9-14 Pts V

15-18 Pts VI

19+ Pts Total

A 45 28 9 9 3 2 96 B1 69 40 23 8 1 3 144 B2 107 97 44 41 6 2 297 C 111 180 238 294 115 92 1,030 D 292 228 140 80 21 20 781 E 469 434 153 96 29 23 1,204 F 622 714 469 312 71 45 2,233 G 715 1,270 994 714 146 98 3,937 H 2,794 3,654 2,331 1,877 567 479 11,702 I 1,724 3,064 1,267 1,053 268 299 7,675

TOTAL 6,948 9,709 5,668 4,484 1,227 1,063 29,099

DISTRIBUTION OF FELONS BY OFFENSE CLASS

H40%

A-E12%

G14%

F8%

I26%


(7,675)

(3,937)

(11,702)

(3,552)(2,233)

A=0.3% (96)

B1=0.5% (144)

B2=1.0% (297)

C=3.5% (1,030)

D=2.7% (781)

E=4.1% (1,204)

24%

33%

20%15%

4% 4%0%

5%

10%

15%

20%

25%

30%

35%

I II III IV V VI

FELONY CONVICTIONS BY PRIOR RECORD LEVEL


DISTRIBUTION OF FELONY CONVICTIONS BY CRIME TYPE

Other14%

Property34%

Non-Trafficking

Drug34%

Person18%



OFFENSE


PRIOR RECORD

DURATION

DISPOSITION

*** Effective for Offenses Committed on or after 12/1/95***


PRIOR RECORD LEVEL

I0 Pts

II1-4 Pts

III5-8 Pts

IV9-14 Pts

V15-18 Pts

VI19+ Pts

A Death or Life Without Parole

A240-300

A288-360

A336-420

A384-480

ALife Without

Parole

ALife Without

Parole

DISPOSITIONAggravated Range

192-240 230-288 269-336 307-384 346-433 384-480 PRESUMPTIVE RANGEB1

144-192 173-230 202-269 230-307 260-346 288-384 Mitigated Range

A157-196

A189-237

A220-276

A251-313

A282-353

A313-392

125-157 151-189 176-220 201-251 225-282 251-313B2

94-125 114-151 132-176 151-201 169-225 188-251

A73-92

A100-125

A116-145

A133-167

A151-188

A168-210

58-73 80-100 93-116 107-133 121-151 135-168C

44-58 60-80 70-93 80-107 90-121 101-135

A64-80

A77-95

A103-129

A117-146

A133-167

A146-183

51-64 61-77 82-103 94-117 107-133 117-146D

38-51 46-61 61-82 71-94 80-107 88-117

I/A25-31

I/A29-36

A34-42

A46-58

A53-66

A59-74

20-25 23-29 27-34 37-46 42-53 47-59E

15-20 17-23 20-27 28-37 32-42 35-47

I/A16-20

I/A19-24

I/A21-26

A25-31

A34-42

A39-49

13-16 15-19 17-21 20-25 27-34 31-39F

10-13 11-15 13-17 15-20 20-27 23-31

I/A13-16

I/A15-19

I/A16-20

I/A20-25

A21-26

A29-36

10-13 12-15 13-16 16-20 17-21 23-29G

8-10 9-12 10-13 12-16 13-17 17-23

C/I/A6-8

I/A8-10

I/A10-12

I/A11-14

I/A15-19

A20-25

5-6 6-8 8-10 9-11 12-15 16-20H

4-5 4-6 6-8 7-9 9-12 12-16

C6-8

C/I6-8

I6-8

I/A8-10

I/A9-11

I/A10-12

4-6 4-6 5-6 6-8 7-9 8-10I

3-4 3-4 4-5 4-6 5-7 6-8Note: A – Active Punishment I – Intermediate Punishment C – Community Punishment* Numbers shown are in months and represent the range of minimum sentences.

OF

FE

NS

E C

LA

SS

AVERAGE PERCENT OF SENTENCE SERVED

17% 15%

109%

19%22%24%29%32%36%38%41%

11% 9% 8%

95%

27%35%39%

0%

20%

40%

60%

80%

100%

86 87 88 89 90 91 92 93 SS*

End of Fiscal Year

Felonies Misdemeanors

*FY 2007/08 Structured Sentencing Data

SOURCE: NC Sentencing and Policy Advisory Commission and NC Department of Correction

AVERAGE* MONTHS SERVED IN PRISON

25 23 2321

1916

5 4 3 2 2 2 2

16

24

38

5 4

05

10152025303540

86 87 88 89 90 91 92 93 SS*End of Fiscal year

Mon

ths

Felonies Misdemeanors

*FY 2007/08 Structured Sentencing Simulation data

SOURCE: NC Sentencing and Policy Advisory Commission

47%

39%

28%

44%

26%

17%

0%

10%

20%

30%

40%

50%

Active Intermediate Community

TYPE OF PUNISHMENT IMPOSED FOR FELONS

Old Law*

Structured Sentencing*

* NC Sentencing and Policy Advisory Commission, FY 2007/08 Felony Statistical Report Data

** 1993 Pre-Structured Sentencing Data

PERCENT RECEIVING ACTIVE SENTENCE BY FELONY OFFENSE CLASS

Offense Class

Percent Active: FSA – 1993

Percent Active: SSA – 2007/08

A 100% 100% B1 100% 100% B2 97% 100% C 84% 100% D 93% 100% E 52% 52% F 47% 57% G 65% 42% H 45% 38% I 31% 12%

TOTAL 47% 39%


AVERAGE MONTHS SERVED* BY OFFENSE CLASS

Offense Class

Average Months: FSA – 1993

Average Months: SSA – 2007/08

B1 240 283 B2 92 189 C 55 95 D 73 74 E 25 32 F 23 23 G 22 19 H 12 10 I 7 6

TOTAL 16 38

* FSA based on CY 1993 data; SSA based on FY 2007/08 Felony Structured Sentencing Simulation data.


4,658.94,622.94,711.85,005.25,266.8

5,452.0

4,919.8 4,771.04,641.7 4,654.4

5,592.5

0

2000

4000

6000

8000

97 98 99 00 01 02 03 04 05 06 07

SOURCE: State Bureau of Investigation, 2007

NC CRIME TRENDS INDEX CRIME RATES

620.2

550.5503.8

454.7483.5 480.2478.6

649

460.9475.3498.1

597603

0

200

400

600

800

95 96 97 98 99 00 01 02 03 04 05 06 07

SOURCE: State Bureau of Investigation, 2007

NC CRIME TRENDSVIOLENT CRIME RATES

• TRUTH IN SENTENCING RESTORED

• ANNUAL PROJECTIONS TO HELP PLAN PRISON CAPACITY

• NO PAROLE FOR OFFENDERS SENTENCED UNDER STRUCTURED SENTENCING

• PRISON CAP REPEALED

• VIOLENT OFFENDERS SERVING LONGER SENTENCES

• TOUGHER COMMUNITY PUNISHMENTS

• PUNISHMENT MORE CERTAIN AND CONSISTENT

• SENTENCING POLICY FORMULATED IN CONSIDERATION OF CORRECTIONAL RESOURCES

THE N.C. CRIMINAL JUSTICE SYSTEM TODAY

NC PRISON POPULATION

AND CAPACITYUpdated January 2009

0

5,000

10,000

15,000

20,000

25,000

30,000

35,000

40,000

45,000

50,000

1994 1996 1998 2000 2002 2004 2006 2008 2010 2012 2014 2016 2018

Population Capacity

Note: Prison capacity figures reflect Expanded Operating Capacity.


DISTRIBUTION OF THE PROJECTED PRISON POPULATION BY OFFENSE CLASS

FELONIES ONLY

19.1%

26.3%

53.4%

17.5%

26.3%

55.1%

17.3%

25.7%

56.0%

0%

20%

40%

60%

80%

100%

2009 2013 2018

A-DE-GH-I

SOURCE: NC Sentencing and Policy Advisory Commission, FY 2007/08 Structured Sentencing Simulation Model


ALL FELONY CONVICTIONS

Class A-D

8%Class E-G

25%Class H-I

67%

ALL ACTIVE SENTENCES

Class A-D

21%

Class E-G

32%

Class H-I

47%

DISTRIBUTION OF FY 2007/08 CONVICTIONS AND SENTENCES

Class A-D

53%

Class H-I 19%

Class E-G

26%

DISTRIBUTION OF THE 2009 PROJECTED PRISON POPULATION BY OFFENSE CLASS

NOTE: The distribution of the 2009 projected prison population is based only on felonies and excludes offenses for which the offense class is unknown (1%).SOURCE: NC Sentencing and Policy Advisory Commission, FY 2007/08 Structured Sentencing Simulation Model

THE CRIMINAL JUSTICE SYSTEM TOMORROW

• PRISONS WILL BECOME OVERCROWDED• LAWSUITS WILL RETURN• INCREASED RISKS TO CORRECTIONAL

OFFICERS• PROPOSALS FOR PAROLE WILL RETURN• TRUTH IN SENTENCING WILL BE

COMPROMISED• HUNDREDS OF MILLIONS OF DOLLARS WILL

BE SPENT ON PRISONS AND NOT AVAILABLE FOR OTHER NEEDS

ROLE OF THE SENTENCING COMMISSION

• MONITORING

• IMPACT ANALYSIS

• ANALYSIS OF NEW LEGISLATION

• RECOMMENDING MODIFICATIONS

ADVANTAGES OF STRUCTURED SENTENCING

• PROMOTES TRUTH IN SENTENCING• SETS PRIORITIES • ALLOWS EFFICIENT USE OF RESOURCES• ENHANCES CONSISTENCY AND CERTAINTY IN

SENTENCING• PROVIDES UNDERLYING RATIONALE FOR

SENTENCING• BALANCES POLICY WITH RESOURCES

***Effective for Offenses Committed on or after 12/1/95***

MISDEMEANOR PUNISHMENT CHART

PRIOR CONVICTION LEVELSI II III

CLASS No PriorConvictions

One to FourPrior

Convictions

Five or MorePrior

ConvictionsA1 1 - 60 days

C/I/A1 - 75 days

C/I/A1 - 150 days

C/I/A1 1 - 45 days

C1 - 45 days

C/I/A1 - 120 days

C/I/A2 1 - 30 days

C1 - 45 days

C/I1 - 60 days

C/I/A3 1 - 10 days

C1 - 15 days

C/I1 - 20 days

C/I/A

A - Active Punishment I - Intermediate Punishment C - Community Punishment

Cells with slash allow either disposition at the discretion of the judge.

Offense Class

Prior Record Level

TotalI0 Points

II1-4 Points

III5-8 Points

IV9-14 Points

V15-18 Points

VI19+ Points

A

AA = 45 (100%)

(n = 45)Life/Death

AA = 28 (100%)

(n = 28)Life/Death

AA = 9 (100%)

(n = 9)Life/Death

AA = 9 (100%)

(n = 9)Life/Death

AA = 3 (100%)

(n = 3)Life/Death

AA = 2 (100%)

(n = 2)Life/Death

AA = 96 (100%)

(n = 96)Life/Death

B1

AA = 69 (100%)

(n = 69)196 min245 max

AA = 40 (100%)

(n = 40)250 min309 max

AA = 23 (100%)

(n =23)303 min372 max

AA = 8 (100%)

(n = 8)348 min427 max

AA = 1 (100%)

(n = 1)433 min529 max

AA = 3 (100%)

(n = 3)464 min563 max

AA = 144 (100%)

(n = 144)244 min302 max

B2

AA = 107 (100%)

(n = 107)136 min172 max

AA = 97 (100%)

(n = 97)169 min212 max

AA = 44 (100%)

(n = 44)201 min250 max

AA = 41 (100%)

(n = 41)227 min282 max

AA = 6 (100%)

(n = 6)263 min325 max

AA = 2 (100%)

(n = 2)277 min341 max

AA = 297 (100%)

(n = 297)172 min216 max

C

AA = 111 (100%)

(n = 111)60 min81 max

AA = 180 (100%)

(n = 180)77 min

101 max

AA = 238 (100%)

(n = 238)85 min

110 max

AA = 294 (100%)

(n = 294)95 min

123 max

AA = 115 (100%)

(n = 115)106 min136 max

AA = 92 (100%)

(n = 92)118 min149 max

AA = 1,030(100%)

(n = 1,030)89 min

115 max

D

AA = 292 (100%)

(n = 292)49 min69 max

AA = 228 (100%)

(n = 228)62 min83 max

AA = 140 (100%)

(n = 140)82 min

108 max

AA = 80 (100%)

(n = 80)97 min

126 max

AA = 21 (100%)

(n = 21)107 min138 max

AA = 20 (100%)

(n = 20)122 min155 max

AA = 781 (100%)

(n = 781)67 min90 max

E

I/AI = 319 (68%)A = 150 (32%)

(n = 469)22 min36 max

I/AI = 264 (61%)A = 170 (39%)

(n = 434)25 min39 max

AA = 153 (100%)

(n = 153)29 min44 max

AA = 96 (100%)

(n = 96)40 min57 max

AA = 29 (100%)

(n = 29)46 min65 max

AA = 23 (100%)

(n = 23)54 min74 max

I/AI = 583 (48%)A = 621 (52%)

(n = 1,204)30 min45 max

DISTRIBUTION OF FY 2007/08 CONVICTIONS AND SENTENCES WITHIN THE FELONY PUNISHMENT CHART

(CONTINUED ON NEXT SLIDE)

DISTRIBUTION OF FY 2007/08 CONVICTIONS AND SENTENCES WITHIN THE FELONY PUNISHMENT CHART

(CONTINUED FROM PREVIOUS SLIDE)

Offense Class

Prior Record LevelTotalI

0 PointsII

1-4 PointsIII

5-8 PointsIV

9-14 PointsV

15-18 PointsVI

19+ Points

F

I/AI = 391 (63%)A = 231 (37%)

(n = 622)14 min18 max

I/AI = 367 (51%)

A = 347 (49%) (n = 714)16 min19 max

I/AI = 209 (45%)A = 260 (55%)

(n = 469)18 min22 max

AA = 312 (100%)

(n = 312)20 min25 max

AA = 71 (100%)

(n = 71)27 min32 max

AA = 45 (100%)

(n = 45)31 min38 max

I/AI = 967 (43%)

A = 1,266 (57%) (n = 2,233)

18 min22 max

G

I/AI = 537 (75%)A = 178 (25%)

(n = 715)11 min14 max

I/AI = 910 (72%)A = 360 (28%)

(n = 1,270)13 min16 max

I/AI = 545 (55%)A = 449 (45%)

(n = 994)14 min17 max

I/AI = 278 (39%)A = 436 (61%)

(n = 714)17 min21 max

AA = 146 (100%)

(n = 146)18 min22 max

AA = 98 (100%)

(n = 98)25 min31 max

I/AI = 2,270 (58%)A = 1,667 (42%)

(n = 3,937)15 min19 max

H

C/I/AC = 1,474 (53%)

I = 985 (35%)A = 335 (12%)

(n = 2,794)5 min7 max

I/AI = 2,714 (74%)A = 940 (26%)

(n = 3,654)7 min8 max

I/AI = 1,300 (56%)A = 1,031 (44%)

(n = 2,331)8 min

10 max

I/AI = 698 (37%)

A = 1,179 (63%)(n = 1,877)

10 min12 max

I/AI = 120 (21%)A = 447 (79%)

(n = 567)13 min16 max

AA = 479 (100%)

(n = 479)18 min21 max

C/I/AC = 1,474 (12%)I = 5,817 (50%)A = 4,411 (38%)

(n = 11,702)10 min12 max

I

CC = 1,724 (100%)

(n = 1,724)N/A

C/IC = 1,799 (59%)I = 1,265 (41%)

(n = 3,064)N/A

II = 1,267 (100%)

(n = 1,267)N/A

I/AI = 495 (47%)A = 558 (53%)

(n = 1,053)6 min8 max

I/AI = 93 (35%)

A = 175 (65%)(n = 268)

8 min10 max

I/AI = 72 (24%)

A = 227 (76%)(n = 299)

9 min11 max

C/I/AC = 3,523 (46%)I = 3,255 (42%)A = 897 (12%)

(n = 7,675)7 min9 max

TOTAL

C/I/AC = 3,198 (46%)I = 2,232 (32%)A = 1,518 (22%)

(n = 6,948)41 min53 max

C/I/AC = 1,799 (18%)I = 5,520 (57%)A = 2,390 (25%)

(n = 9,709)32 min41 max

I/AI = 3,321 (59%)A = 2,347 (41%)

(n = 5,668)31 min39 max

I/AI = 1,534 (34%)A = 2,950 (66%)

(n = 4,484)27 min35 max

I/AI = 213 (17%)

A = 1,014 (83%)(n = 1,227)

29 min37 max

I/AI = 72 (7%)

A = 991 (93%)(n = 1,063)

31 min38 max

C/I/AC = 4,997 (17%)I = 12,892 (44%)A = 11,210 (39%)

(n = 29,099)31 min40 max

SENTENCING REFORM IN NORTH CAROLINA Thomas W. Ross.

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