Essential Criminology PDF

ESSENTIAL
CRIMINOLOGY
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ESSENTIAL
CRIMINOLOGY
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Fourth Edition
Mark M. Lanier
University of Alabama
Stuart Henry
San Diego State University
Desiré J. M. Anastasia
Metropolitan State University of Denver
A Member of the Perseus Books Group
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Library of Congress Cataloging-in-Publication Data
Lanier, Mark.
Essential criminology / Mark M. Lanier, University of Alabama, Stuart Henry, San
Diego state University, Desire J. M. Anastasia, Metropolitan State College of Denver.
— Fourth edition.
pages cm
Includes bibliographical references and index.
ISBN 978-0-8133-4885-8 (pbk. alk. paper) — ISBN 978-0-8133-4886-5 (e-book:
alk. paper) 1. Criminology. I. Henry, Stuart, 1949– II. Anastasia, Desire J. M. III. Title.
HV6025.L25 2015
364—dc23
2014035659
10 9 8 7 6 5 4 3 2 1
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Contents
List of Tables and Figures ix

Preface and Acknowledgments xi
1 What Is Criminology? The Study of Crime,

Criminals, and Victims in a Global Context 1
Globalization 2
What Is Criminology? 6
What Is Victimology? 10
Criminology and Public Policy 11
Summary and Conclusion 12
Discussion Questions 12
2 What Is Crime? Defining the Problem 13

Legal Definition 15
Consensus and Conflict Approaches 16
Hagan’s Pyramid of Crime 21
Crime Prism 24
Application of the Prism to the Problem
of School Violence 26
Crimes of the Powerless 35
Crimes of the Powerful 36
3 Classical, Neoclassical, and Rational-Choice Theories 39

The Preclassical Era 41
The Classical Reaction 43
Neoclassical Revisions 48
Criminal Justice Implications:
The Move to “Justice” Theory 49
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vi Contents
Redefining Rational Choice: Situational Factors

and Routine-Activities Theory 58
Conceptual and Empirical Limitations:
What the Research Shows 62
Summary Chart: Classical, Rational-Choice,
and Routine-Activities Theories 68
4 “Born to Be Bad”: Biological, Physiological,

and Biosocial Theories of Crime 71
Biological and Positivistic Assumptions 73
The Born Criminal 75
Early US Family-Type and Body-Type Theories 77
Contemporary Biological Perspectives 80
Biosocial Criminology: A Developmental
Explanation of Crime 82
Conceptual and Empirical Limitations 90
Criminal Justice Policy Implications 91
Summary Chart: Biological Theory 93
5 Criminal Minds: Psychiatric and

Psychological Explanations for Crime 96
From Sick Minds to Abnormal Behavior 99
Shared Psychological Assumptions 100
The Psychoanalytic Approach 101
Trait-Based Personality Theories 105
Behavioral, Situational, and Social Learning
and Modeling Theories 111
Cognitive Theories 114
Ecological Psychology 117
Evolutionary Psychology 118
Summary Chart: Psychological Theories of Crime 121
6 Learning Criminal Behavior: Social Process Theories 124

Common Themes and Different Assumptions 130
Sutherland’s Differential Association Theory 131
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Contents vii
Cognitive Social Learning Theory 137

Neutralization Theory: Learning
Rationalizations as Motives 139
Summary Chart: Social Process Theories 149
7 Failed Socialization: Control Theory,

Social Bonds, and Labeling 152
Control Theory: Learning Not to Commit Crime 154
Labeling Theory: A Special Case of Failed Socialization? 165
Summary Chart: Control Theory and Labeling Theory 175
8 Crimes of Place: Social Ecology

and Cultural Theories of Crime 179
The Historical Roots of Social Ecology Theory 181
Common Themes and Assumptions 182
The Chicago School 183
The New Social Ecology Theories 190
Cultural Theories of Crime and Deviance 195
Summary Chart: Social Ecology Theory
and Culture Conflict Theory 204
9 The Sick Society: Anomie, Strain,

and Subcultural Theory 207
Founders of Anomie and Strain Theory 212
Recent Revisions to Anomie and Strain Theory 228
Summary Chart: Anomie and Strain Theory 238
10 Capitalism as a Criminogenic Society:

Conflict and Radical Theories of Crime 243
Common Themes and Assumptions and
Some Key Differences 246
The Roots of Conflict Criminology 248
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viii Contents
Contemporary Conflict Criminology 252

The Roots of Radical Theory: Marx’s Analysis
of Capitalist Society 256
Contemporary Radical Criminology 261
Summary Chart: Conflict Theory and Radical Theory 271
11 Patriarchy, Gender and Crime:

Feminist Criminological Theory 273
Liberal Feminism 280
Radical Feminism 283
Marxist Feminism 286
Socialist Feminism 288
Gendered Theory 292
Epistemological Issues and Postmodern Feminism 293
Summary Chart: Feminist Theory 295
12 New Directions in Critical Criminological Theory 297

Critical Criminologies 297
Summary Chart: Left Realism, Postmodern/Constitutive
Theory and Abolition/Peacemaking/Restorative Justice 322
Note 325
13 Conclusion: Toward a Unified Criminology 326

Integrative Criminologies 326
Reciprocal Integrative Criminology 330
Robert Agnew’s Unifying Criminology 333
Note 339
References 341
Index 397
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List of Tables and Figures
Tables
2.1 Victimizations Not Reported to the Police
and the Most Important Reason They Went Unreported,
by Type of Crime, 2006–2010 30
2.2 Percent of Victimization Reported to Police,
by Type of Crime, 2003, 2011, and 2012 37
5.1 Psychological Theories Compared 102
5.2 Core Traits of an Antisocial Personality
(Sociopath or Psychopath) 105
5.3 Antisocial Personality Disorder 111
7.1 Grasmick’s Characteristics of Low Self-Control 159
9.1 Merton’s Individual Modes of Adaptation 221
Figures
2.1 Hagan’s Pyramid of Crime 22
2.2 The Crime Prism 25
3.1 Cornish and Clarke’s Reasoning Criminal 60
8.1 Concentric Zone Theory 185
8.2 Bellair’s Systemic Crime Model 193
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Preface and Acknowledgments
The idea that “the only constant is change” has been around at least since the time
of Heracleitus in 500 B.C. Since we first wrote this book in 1997 and subsequent
editions in 2004 and 2010, the world has certainly changed. It has become increas-
ingly globalized and we appear more interconnected with others. The Internet, social
media, and cybercrime have altered the traditional criminal justice landscape. These
changes also include the nature of crime, environmental and financial harms from
multinational corporate crimes, global political terrorism and violence at home,
work or school—all of which have become more significant than the threat from
strangers on the street. The threat of terrorism affects everyone, everywhere. New
vulnerabilities have appeared. The means we use to communicate and converse have
changed and opened up opportunities for new types of white-collar fraud, sexual
predatory practices, and cybercrime. The business community has been wracked by
one scandal after another, eroding confidence in our economic and political sys-
tems, and even by challenges to the capitalist economy. The nature of war has also
changed. Rather than nation-to-nation, wars have become endless and ongoing con-
flicts between ethnic and sectarian groups, though in 2014 we are seeing strains to-
ward old European war tensions with Russia’s annexation of Ukraine’s Crimea and
threats by NATO that it will defend Latvia, Estonia, and Lithuania should they be
threatened by Russian expansionism. These changes, coupled with many suggestions
from the readers and users of the first, second, and third editions, led us to revise
and update Essential Criminology. As with the third edition, we revised this book in
the spirit of social philosopher Eric Hoffer (1902–1983), who said that “in times of
profound change, the learners inherit the earth, while the learned find themselves
beautifully equipped to deal with a world that no longer exists.”
On the surface, this is still a book about crime and criminality. It is about how
we study crime, how we explain crime, how we determine who is—and who is
not—criminal, and how to reduce the harm caused by crime. It is also a book about
difference. Crime is something we know all about—or do we? You may see crime
differently from the way it is seen by your parents and even by your peers. You may
see your own behavior as relatively acceptable, apart from a few minor rule violations
here and there. But real crime? That’s what others do—criminals, right? You may
change how you view crime and criminals after reading this text.
xi
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xii Preface and Acknowledgments
As authors, we also reflect difference; Stuart was raised in working-class South

London, England; Mark was a “military brat” living in England, California, Florida,
and Alabama during his formative years. Stuart was educated to traditional, long-
tested, yet very narrow British standards; Mark studied in a unique multidisciplinary
US doctoral program. Stuart seriously questions the utility of scientific methods
(positivism); Mark relies on them daily. Stuart rarely does anything outdoors, except
watch an occasional rock concert; Mark builds custom motorcycles and jeeps, is an
active wake boarder and surfer, and loves the outdoor life.
With this fourth edition we have added a third author, Desiré J. M. Anastasia,
who brings an additional dimension of diversity and had the unenviable task of up-
dating much of the text from the third edition. Desiré has a master’s degree in wom-
en’s studies from Eastern Michigan University and a doctorate in sociology from
Wayne State University in Detroit. Desiré’s dissertation was on extensively tattooed
women, which should alert you to her different roots and perspective. She considers
herself to be a postmodern feminist who blends a love for science with an interest
in the spiritual. Desiré is a reiki practitioner and yoga teacher, as well as an assistant
professor of sociology. Yet, despite these differences, we found common ground for
our analysis of crime and criminality.
We see crime as complex, political, and harmful to victims and perpetrators. We
also acknowledge the difference between people, gender, race/ethnicity, culture, and
beliefs. Thus, we embrace conflict as not only inevitable but a positive force. Con-
flict promotes contemplation and understanding of others, including their cultures,
education, experiences, and worldviews. Conflict also prompts change and thus pro-
vides the opportunity for improving our social world. It presents the opportunity to
confront our dissatisfactions and search for a better way.
Most people throughout the world are dissatisfied with how we handle crime
and criminals. This dissatisfaction raises questions. Is crime caused by individuals—
criminals? Is it caused by the way society is organized? By rule makers? By poverty?
By drugs? Is it simply some people expressing power over others? All of the above?
Something else? Is crime even caused at all?
We also must question how to deal with crime. Should crime be handled by the
criminal justice system? By social policy? By public health officials (did you know
that the Centers for Disease Control and Prevention [CDC] track homicides)? By
you and other citizens (“take back the streets” and “neighborhood partnership” pro-
grams have become a significant part of community crime control)?
Conflict over these issues and the need for a good (relatively) short criminology
text contributed to our desire to write and rewrite this book. At first, we decided to
write Essential Criminology as a concise introductory text, aimed at examining the
nature and extent of crime and surveying the main theoretical perspectives on crime
causation and their criminal-justice-policy implications. We believe the book is writ-
ten in a clear and straightforward style, yet progressively builds students’ knowledge.
Much to our surprise, an analysis of programs adopting the text ranged from grad-
uate programs to freshman courses at community colleges. But as we progressed
through editions the book expanded and became more encyclopedic than essential!
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Preface and Acknowledgments xiii
Thus, in this fourth edition, we have tried to return to the roots and cut many of the
elaborations of theory to reduce the detail of the text.
Many users of the text have suggested that we begin by discussing globalization,
which is followed by a discussion of the scope of the subject. Essential Criminology
guides students through the diverse definitions of crime and provides a brief treat-
ment of the different ways crime is measured. It then turns to the major theoretical
explanations for crime, from individual-level classical and rational choice through
biological, psychological, social learning, social control, and interactionist perspec-
tives. It explains the more sociocultural theories, beginning with social ecology,
and moves on to strain/subcultural theory and conflict, Marxist, and anarchist ap-
proaches. We reorganized the few final chapters to better reflect feminist contribu-
tions and the exciting new changes in postmodernism, left realism, and integrative
theories. We conclude the book with a brief review of the trend toward integrating
criminological theory. Background information is provided on major theorists to
demonstrate that they are real people who share the experiences life offers us all. We
have also tried to cover the theories completely, accurately, and evenhandedly and
have made some attempt to show how each is related to or builds on the others. But
concerns about length mean that the student wishing to explore these connections in
greater depth should consult the several more comprehensive theory texts available.
Ours provides the essentials.
Essential Criminology has several unique, student-friendly features. We begin each
chapter with examples of specific crimes to illustrate the theory. The book includes
an integrated “prismatic” definition of crime. This prism provides a comprehensive,
multidimensional way of conceptualizing crime in terms of damage, social outrage,
and harm. Our “crime prism” integrates virtually all the major disparate defini-
tions of crime. Throughout the text, we provide “equal time” examples from both
white-collar (“suite”) and conventional (“street”) crime, with the objective of draw-
ing students into the realities of concrete cases. We make a conscious effort to in-
clude crimes that are less often detected, prosecuted, and punished. These corporate,
occupational, and state crimes have serious consequences but are often neglected in
introductory texts. We present chapter-by-chapter discussions of each perspective’s
policy implications, indicating the practical applications that the theory implies. Fi-
nally, summary concept charts conclude each chapter dealing with theory. These
provide a simple, yet comprehensive analytical summary of the theories, revealing
their basic assumptions.
The book is primarily intended for students interested in the study of crime and
its causation. This includes such diverse fields as social work, psychology, sociology,
political science, and history. We expect the book to be mainly used in criminol-
ogy and criminal justice courses, but students studying any topics related to crime,
such as juvenile delinquency and deviant behavior, will also find the book useful.
Interdisciplinary programs will find the book particularly helpful. Rarely is any book
the product of one or two or three individuals. We drew on the talents, motiva-
tion, and knowledge of many others. We jointly would like to thank all our teachers
inside and outside the classroom: friends (Reginald “Reg” Hyde), students (most
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xiv Preface and Acknowledgments
recently, Jonathan Reid, Emily Ciaravolo Restivo, Sameer Hinduja, and Jessica
Rico), deviants (bikers, surfers and professors mostly), criminals, and law enforce-
ment professionals who broadened and sharpened our view of crime. We would like
to commend the external reviewers of this, and the first editions, Mark Stafford of
Texas State University, and especially Martha A. Myers of the University of Georgia,
who provided a thoroughly constructive commentary that made this book far better
than what we could have written without her valuable input. We always appreciate
Gregg Barak, René van Swaaningen, Eugene Paoline, John Sloan, Robert Langworthy,
Dragan Milovanovic and several anonymous reviewers for helpful suggestions. Fi-
nally, Cisca Schreefel and John Wilcockson from Westview Press did an outstanding
job of copyediting—and prodding us to finish!
Mark M. Lanier, Stuart Henry, Desiré J. M. Anastasia

March 20, 2014
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1
What Is Criminology?
The Study of Crime, Criminals,
and Victims in a Global Context
“There is so much good in the worst of us,

and so much bad in the best of us, that it hardly
becomes any of us to talk about the rest of us.”
—Thornton Wilder, Pullman Car Hiawatha
The horrendous events of September 11, 2001, in which the World Trade Cen-
ter in New York City was totally destroyed, and the Pentagon in Washington sub-
stantially damaged, by hijacked commercial airliners that were flown into them,
killing 2,982 people, have proved to be the defining point of the past decade, and
perhaps for decades to come. Clearly, the nature of war, the American way of life,
what counts as “crime,” and how a society responds to harms, internal or external,
changed on that day. This act of terrorism was undoubtedly aimed at the American
people. The terrorist organization al-Qaeda, whose members were predominantly
from Saudi Arabia and Afghanistan, claimed responsibility. As recently as April 15,
2013, two pressure-cooker bombs exploded during the Boston Marathon, killing
three people and injuring an estimated 264 others. The suspects were identified as
Chechen brothers Dzhokhar and Tamerlan Tsarnaev, who were allegedly motivated
by extremist Islamist beliefs as well as the wars in Iraq and Afghanistan. Interestingly
enough, both men were residents of the state of Massachusetts at the time.
The purpose of this introductory chapter is to show how the changing geopo-
litical landscape and other factors shape our renewed discussion of crime and its
causes, as well as possible policy responses. Six fundamental changes can be iden-
tified that demonstrate the changed nature of our world. These changes all move
toward increasing interconnection and interdependence. They are: (1) globalization;
(2) the communications revolution, particularly the Internet; (3) privatization and
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2 Essential Criminology
individualization; (4) the global spread of disease; (5) changing perceptions of con-
flict and national security; and (6) the internationalization of terrorism.
Globalization
Globalization is the process whereby people react to issues in terms of reference
points that transcend their own locality, society, or region. These reference points
include material, political, social, and cultural concerns that affect the planet, such
as environmental challenges (e.g., global warming or overpopulation) and com-
mercial matters (e.g., fast food, in particular so-called McDonaldization [Ritzer,
2009; Pieterse, 2009], which describes the rationalization of culture along the
lines of fast-food restaurants depicted by the spread of McDonald’s throughout
the world’s economies). Globalization is a process of unification in which differ-
ences in economic, technological, political, and social institutions are transformed
from a local or national network into a single system. Globalization also relates to
an international universalism, whereby events happening in one part of the world
affect those in another, none more dramatic than the collapse of world financial
markets (Stiglitz 2002, 2006), which went global in September 2008. Indeed, the
emergence of worldwide financial markets and under- or unregulated foreign ex-
change and speculative markets resulted in the vulnerability of national economies.
In short, “‘Globalization’ refers to all those processes by which peoples of the world
are incorporated into a single world society, global society” (Albrow 1990, 9). Con-
versely, while globalization relates to the way people in different societies identify
with values that cut across nations and cultures, it also relates to the recognition
of different cultures’ diversity of experience and the formation of new identities.
As globalization integrates us, these new identities and our sense of belonging to
differentiated cultures are also driving many of us apart (Croucher 2004, 3). We
argue that globalization is particularly pronounced in the areas of communications,
privatization, and individualization, health, conflict, and terrorism; each of these
has relevance for the study of crime and deviance.
Prior to 1985 global communication was largely restricted to the affluent. The
advent of the personal computer and the development of the Internet transformed
the way we communicate. Now people connect daily with others all over the world
at little or no expense. At the same time, the development in global communi-
cations has led to a massive shift of jobs from manufacturing into service, com-
munications, and information (called the postindustrial society), and because the
latter jobs require higher education and training, increasing numbers of people the
world over are underemployed or unemployed. Increased global communication
has also brought a rush of new crimes that are perpetrated on and via the Internet,
such as fraud and identity theft, drug smuggling, and bomb making. The grow-
ing dependence on global communications has also made national infrastructures
and governments vulnerable to Internet terrorism through hacking and computer
viruses. Consider the case of Aaron Swartz. Swartz was a cofounder of the news
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1: What Is Criminology? 3
website Reddit, which aims to make online content free to the general public and
not the exclusive domain of the affluent. In 2011, he was charged with stealing
millions of scientific journal articles from the Massachusetts Institute of Technol-
ogy (MIT) to make them freely available. Just weeks before his federal trial began
the twenty-six-year-old hanged himself in his Brooklyn apartment. Swartz faced
thirteen felony charges. David Segal, the executive director of Demand Progress, an
Internet activist organization founded by Swartz, stated, “It’s like to put someone
in jail for allegedly checking too many books out of the library” (www.usatoday
.com/story/tech/2013/01/13/swartz-reddit-new-york-trial/1830037).
Related to globalization and global unemployment are two trends: a decline in
collective social action and increased economic polarization. Increasingly, we are
seeing the “death of society,” that is, the decline in collective action and social
policy requiring some to give up part of their wealth to help the less fortunate
or to increase the public good. The 1980s and 1990s saw massive deregulation
and privatization, from transportation, communications, and energy to finance,
welfare, and even law enforcement. We have also seen the increasing tendency for
family members to stay at home, not as families but as appendages to technol-
ogy, such as televisions, computers, and video games. The result is an impersonal
society, one where we are living in isolation from other real people, “bowling
alone” (Putnam 1995), where media images and game characters become in-
terspersed with real people who are seen as superficial objects, like caricatures.
Moreover, because of the impact of globalization on the economic structures of
societies, there has been a polarization of rich and poor, with numerous groups
excluded from opportunities (J. Young 1999). In their relatively impoverished
state, these groups are vulnerable to violence, both in their homes and in their
neighborhoods.
Although epidemics such as the black death, smallpox, and polio have demon-
strated that throughout human history disease can be a global phenomenon, the sys-
temic use of hygienic practices, including clean water and effective sanitation and
sewerage, and the discovery and use of antibiotics, vaccines, and other drugs meant
that for much of the twentieth century the global spread of disease was seen as a thing
of the past, or at least occurring only in underdeveloped countries. But by the end of
the twentieth century, through the advent of increased global travel, the terror of dis-
ease on a global scale was given new meaning, first with HIV/AIDS, then with mad
cow disease, West Nile virus, SARS (severe acute respiratory syndrome), and resis-
tant strains of tuberculosis. In 2014 Ebola became a threat. Worse was the fact that,
unlike times past, groups could potentially introduce disease, such as smallpox or
anthrax, on a global scale as part of a terrorist operation against individuals or govern-
ments. Like the previous developments, the dual effect was, on the one hand, to ren-
der people increasingly fearful of contact, especially intimate contact with strangers,
tending to undermine interpersonal relations, while, on the other, demonstrating just
how interconnected we have become. Disease pathogens can now be used as criminal
attack tools or threats.
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The single most feared event, and according to surveys of public opinion the
“crime” considered most serious, is a terrorist attack. Events such as the September
11, 2001, suicide airliner bombings and the Mumbai hotel takeover in December
2008 illustrate that the threat of terrorism on a global scale has become part of the
daily fear of populations around the world, not least because of the ways these events
are instantly communicated to everyone, everywhere, as they happen. No longer
restricted to the tactics of a few extreme radical or fringe groups in certain nations,
terrorism has become the method of war for any ethnic or religious group that does
not have the power to succeed politically. It has been facilitated by developments in
communication, transportation, and technology that have enabled explosives and
other weapons to become smaller and more lethal. Whether there is an intercon-
nected web of terrorism around fundamentalist Muslim religious extremism (such
as that claimed by followers of Osama bin Laden and al-Qaeda), an Arab-led ter-
rorist movement opposed to Western culture, more specific actions such as those in
Northern Ireland by the IRA (Irish Republican Army) and splinter groups against
Protestants and the British government, or in Indonesia or Bali against supporters of
the West, it is clear that terrorism has become a global threat. Data assembled by the
Center for Systemic Peace show that, since 2001, both the number and the severity
of terrorist incidents have increased.
However, what is less heralded, but which presents an even greater and more
realistic threat, is the threat posed by cyber terrorists and cyber criminals. Com-
puters, cell phones, and things such as electronic banking now dominate virtually
every aspect of modern society. The use of cyber devices has far exceeded the law
and technology required to combat and prevent this type of crime. Nation-states,
such as China, reportedly devote considerable resources to infiltrate computer
systems in other countries; corporations engage in corporate espionage on an un-
precedented scale; and terror organizations rely on the Internet to recruit, raise
funds, and organize. Other countries such as Iran and the United States have
already been successfully targeted by cyber attacks. So far, many governments
have been slow to adapt to this emerging and present crime threat. Criminolo-
gists have also been slow to develop theories to explain the characteristics of peo-
ple likely to engage in cybercrime or cause harm from within—so-called insider
threats.
So how do societies reconfigure their vision of crime to deal with its global dimen-
sions? Should acts of terrorism and acts of war be considered crimes? What about
the actions of states that abuse human rights? Are there new criminologies that can
deal with these more integrated global-level forms of harm creation?
What do these various crimes have in common? What kinds of cases grab media
attention? Which do people consider more criminal? Which elicit the most concern?
How does the social context affect the kind of crime and the harms suffered by its
victims? How are technology and the media changing the face of crime? What do
these events have to do with criminology? How does globalization affect the way we
conceive of crime, punishment, and justice? (See Box 1.1.) After reading this book,
you should have a better understanding of these issues, if not clear answers.
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BOX 1.1 The Global Market Context of US Crime and Punishment

ELLIOTT CURRIE
The United States was distinctive among the advanced nations in the extent to
which its social life was shaped by the imperatives of private gain—my definition
of “market society”—and it was not accidental that it was also the nation with by
far the worst levels of serious violent crime because a market society created a “toxic
brew” of overlapping social effects. It simultaneously created deep poverty and wid-
ened inequality, destroyed livelihoods, stressed families, and fragmented communi-
ties. It chipped away at public and private sources of social support while promoting
a corrosive ethos of predatory individualism that pitted people against each other in
a scramble for personal gain. . . . The empirical research of the past seven years . . .
confirms the importance of inequality and insecurity as potent breeding grounds
for violent crime, so does the evidence of experience, as the spread of these prob-
lems under the impact of “globalization” has brought increased social disintegration
and violence across the world in its wake. . . . Violence has been reduced in many
other advanced capitalist societies, without resorting to correspondingly high levels
of incarceration, to levels that seem stunningly low by US standards. The variation
among those societies in street violence remains extraordinary, and I’d argue that it
is largely due to the systematic differences in social policy that can coexist within the
generic frame of modern capitalism. It is true that some of these differences in levels
of crime (and in the response to crime) are narrowing, especially to the degree that
other countries have adopted parts of the US social model. But it also remains true
that the United States isn’t Sweden, or even France or Germany, when it comes to
violent crime, or rates of imprisonment. And this difference isn’t merely academic. It
translates into tangible differences in the risks of victimization and the overall qual-
ity of life. . . . Social policy in the United States, and in many other countries too,
has, if anything, gone backward on many of the issues raised by this line of think-
ing about crime. We continue to chip way at our already minimal system of social
supports for the vulnerable while pressing forward with economic policies that, by
keeping wages low and intensifying job insecurity, foster ever-widening inequality
and deepen the stresses on families and communities that many of us have singled
out as being crucial sources of violence. We continue to rely on mass incarceration
as our primary bulwark against crime despite an abundance of evidence that doing
so is not only ineffective but also self-defeating. . . . These tendencies are especially
troubling because they are increasingly taking place on a worldwide scale. What we
somewhat misleadingly call “globalization”—really the spread of “market” principles
to virtually every corner of the world—threatens to increase inequality, instability,
and violence wherever it touches, while simultaneously diminishing the political ca-
pacity for meaningful social change. Formerly stable and prosperous countries in
(CONTINUES)
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BOX 1.1 (CONTINUED)
the developed world are busily dismantling the social protections that traditionally
helped to keep their rates of violent crime low: parts of the developing world that
were once relatively tranquil are becoming breeding grounds for gang violence, of-
ficial repression, and a growing illicit traffic in drugs and people. The world will
not be able to build enough prisons to contain this volatility. The future under this
model of social and economic development does not look pretty. Fortunately, it is
not the only future we can envision.
Source: Extracted from Elliott Currie, “Inequality Community and Crime,” in The Essen-
tial Criminology Reader, edited by Stuart Henry and Mark M. Lanier (Boulder: Westview
Press, 2006), 299–306.
Elliott Currie is a professor of criminology, law, and society in the School of Social
Ecology at the University of California-Irvine.
What Is Criminology?
Criminology is mostly straightforwardly defined as the systematic study of the na-
ture, extent, cause, and control of law-breaking behavior. Criminology is an applied
social science in which criminologists work to establish knowledge about crime and
its control based on empirical research. This research forms the basis for understand-
ing, explanation, prediction, prevention, and criminal justice policy.
Ever since the term criminology was coined in 1885 by Raffaele Garofalo (1914),
the content and scope of the field have been controversial. Critics and commenta-
tors have raised several questions about its academic standing. Some of the more
conventional questions include the following: Is criminology truly a science? Does
its applied approach, driven predominantly by the desire to control crime, inher-
ently undermine the value-neutral stance generally considered essential for sci-
entific inquiry? Is criminology an autonomous discipline, or does it rely on the
insights, theory, and research of other natural and social science disciplines, and
increasingly the media and public opinion? Which, if any, of the several theories
of criminology offers the best explanation for crime? Should the different theories
of crime causation be integrated into a comprehensive explanation? As we expand
the definition of crime to include harms of commission or omission that are not
defined by law as crime (such as harms by powerful interests and state agencies),
is criminology equipped to study these phenomena, or do we need to abandon
criminology for a more encompassing analytical framework? Answers to these
questions are complex, and they are further complicated by criminology’s multi-
disciplinary nature, its unconvincing attempts at integrating knowledge (though
see Agnew’s Toward a Unified Criminology, 2011, for a rebuttal of this argument),
its relative failure to recommend policy that reduces crime, and its heavy reliance
on government funding for research. The complexity of these issues has been fur-
ther compounded by increasing globalization, which has spawned crimes across
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national boundaries, and the failure of national enforcement agencies to prevent

crime’s global effects.
Although criminology’s subject matter is elastic, or flexible, the categorical core
components include: (1) the definition and nature of crime as harm-causing be-
havior; (2) different types of criminal activity, ranging from individual spontaneous
offending to collective organized criminal enterprises; (3) profiles of typical offend-
ers and victims, including organizational and corporate law violators; (4) statistical
analysis of the extent, incidence, patterning, and cost of crimes, including estimates
of the “dark figure” of hidden or unreported crime, based on surveys of victims and
self-report studies of offenders; and (5) analysis of crime causation. Less agreement
exists about whether the scope of criminology should be broadened to include soci-
ety’s response to crime, the formulation of criminal laws, the role of victims in these
processes (which is a focus of victimology, discussed later in this chapter), and the
extent to which criminology needs to adopt a comparative global perspective.
In the United States, the inclusive term criminal justice generally refers to
crime-control practices, philosophies, and policies used by the police, courts, and sys-
tem of corrections (in Europe “corrections” is called penology). Those who study such
matters are as likely to identify themselves, or be identified by others, as criminolo-
gists, however, as are those who study criminal behavior and its causes. Criminology,
by contrast, concerns itself with the theoretical and empirical study of the causes of
crime. The two areas are obviously closely related, but a distinction is necessary.
Is Criminology Scientific?
Criminology requires that criminologists strictly adhere to the scientific method.
What distinguishes science from nonscience is the insistence on testable hypotheses
whose support or refutation through empirical research forms the basis of what is
accepted among scientific criminologists as valid knowledge. Science, then, requires
criminologists to build criminological knowledge from logically interrelated, theo-
retically grounded, and empirically tested hypotheses that are subject to retesting.
These theoretical statements hold true as long as they are not falsified by further
research (Popper 1959).
Theory testing can be done using either qualitative or quantitative methods. Qual-
itative methods (Berg and Lune [1989] 2012) may involve systematic ethnographic
techniques, such as participant observation and in-depth interviews. These methods
are designed to enable the researcher to understand the meaning of criminal activity
to the participants. In participant observation, the researcher takes a role in the crime
scene or in the justice system and describes what goes on between the participants.
Criminologists using this technique to study crime and its social context as an anthro-
pologist would study a nonindustrial society. These methods have produced some
of criminology’s richest studies, such as Laud Humphreys’s study of homosexuality
in public restrooms, Tearoom Trade (1970), and Howard S. Becker’s study of jazz
musicians and marijuana smoking in his book Outsiders (1963). Indeed, some such
studies are done by anthropologists, such as Philippe Bourgois’s and Jeff Schonberg’s
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Righteous Dopefiend (2009), which is a gripping ethnography of homelessness and

addiction to heroin and crack cocaine on the streets of San Francisco.
Quantitative methods involve numbers, counts, and measures that are arrived
at via a variety of research techniques. These include survey research based on rep-
resentative random samples and the analysis of secondary data gathered for other
purposes, such as homicide rates or corporate convictions for health and safety vi-
olations. Criminologists using quantitative techniques make up the mainstream of
academic criminology. Perhaps one of the most illustrative examples of quantitative
research is the series of longitudinal studies of a cohort of 10,000 boys born in Phil-
adelphia in 1945 and followed through age eighteen with respect to their arrests
for criminal offenses (Wolfgang, Figlio, and Sellin 1972) and a second cohort of
27,000 boys and girls born in 1958 (Tracy, Wolfgang, and Figlio 1990). Each study
seemed to indicate that a small proportion of offenders (6 percent), called “chronic
offenders,” accounted for more than half of all offenses. Other quantitative research
methods include the use of historical records, comparative analysis, and experimen-
tal research. Unfortunately, most quantitative research is not theory driven; in other
words, it does not involve theory testing. So, whether criminology is a science has
less to do with whether it tests theory, and more to do with what the Czech crim-
inologist Miroslav Scheinost (2013) calls adhering to the responsibilities of crimi-
nology as a profession. This involves engaging in empirical research on phenomena
that produce victims, the results of which should contribute solutions to prevent or
reduce the harms suffered, and that we see such “scientific work as a faithful effort to
obtain new valid knowledge by the reliable and verifiable methods and techniques,
as a serious and well-founded interpretation of findings.” However, Scheinost also
points out that the criminologist’s responsibility has to be measured in that he or she
must engage the policy implications of research findings, assessing both their posi-
tive and potentially negative effects: “the criminologist should be fair to himself, be
aware of his thought foundations and he should make an effort not to change these
thought principles into a priori conclusions or even prejudices. . . . Simply said, the
matter is whether any science (and especially social science) should only find the
facts or also to evaluate them.”
This leads to the related question, that even if it is agreed that empirical crimi-
nological research should make a difference, does it? Ten years ago longtime crim-
inologist James Austin echoed the somewhat cynical view that it doesn’t. Indeed,
reflecting on his then thirty-year career in criminological research, Austin laments
on the irrelevance of criminology to influence public policy: “Despite the annual
publication of hundreds of peer-reviewed articles and textbooks proudly displayed
at our annual conventions, policy-makers are paying little attention to us” (Austin
2003, 557). Why is this? Is it because, as Austin argues, criminologists are deficient
in the amount of scientific evidence they have to offer policy makers, disagree among
themselves about their own theories, methods and findings, or are simply ineffective
communicators? The answer is probably something to do with all of these, although
the question of whether the subject is a unified discipline or a cluster of fragments
from other disciplines in an uneasy alliance may lie at the heart of the issue.
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Is Criminology a Discipline?
Although strongly influenced by sociology, criminology also has roots in a number
of other disciplines, including anthropology, biology, economics, geography, his-
tory, philosophy, political science, psychiatry, psychology, and sociology (Einstadter
and Henry 2006). Each of these disciplines contributes its own assumptions about
human nature and society, its own definitions of crime and the role of law, its own
preference of methods for the study of crime, and its own analysis of crime causation
with differing policy implications. This diversity presents a major challenge to crim-
inology’s disciplinary integrity. Do these diverse theoretical perspectives, taken to-
gether when applied to crime, constitute an independent academic discipline? Are
these contributing fields of knowledge merely subfields, or special applications of
established disciplines? Alternatively, is criminology interdisciplinary? If criminol-
ogy is to be considered interdisciplinary, what does that mean? Is interdisciplinarity
understood as the integration of knowledge into a distinct whole? If so, then crim-
inology is not yet interdisciplinary. Only a few criminologists have attempted such
integration (see Messner, Krohn, and Liska 1989; Barak 1998; M. Robinson 2004;
and Agnew 2011). There is sufficient independence of the subject from its constitu-
ent disciplines and an acceptance of their diversity, however, to prevent criminology
from being subsumed under any one of them. For this reason, criminology is best
defined as multidisciplinary. Put simply, crime can be viewed through many lenses.
This is well illustrated through an overview of its component theories, discussions of
which form the bases of subsequent chapters. There is, however, a caveat that sug-
gests a question: because globalization makes us interdependent, is integrated theory
more necessary in the future to capture this complexity?
What is Comparative and Global Criminology?

Comparative criminology has been defined as the systematic study of crime, law,
and social control of two or more cultures (Beirne and Hill 1991). In other words,
it is the cross-cultural or cross-national study of both crime and crime control, ap-
plying the comparative scientific method in criminology. As Winslow has argued,
“The global approach to the study of crimes recognizes its growing international
nature and, in time, may become the primary focus of criminology in a world
rapidly being unified by technological improvements in transportation and com-
munication” (1998, 6). Winslow and Zhang’s Criminology: A Global Perspective
(2007) includes a website that provides a window on global crime (www.rohan
.sdsu.edu/faculty/rwinslow/index.html). Beirne and Messerschmidt have argued
that comparative analysis of crime enables criminologists to overcome their eth-
nocentric tendencies and sharpen their understanding of key questions: “Indeed,
one reason why the United States has experienced such relatively high crime rates
is that policy makers have relied on limited parochial theories regarding the causes
of crime” (2000, 478). They show the value of looking at cross-national data on
crime and victimization and countries and cities with low crime rates. Increasingly
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important is the ability of corporations to evade the regulatory policies of one coun-
try by moving their operations to other countries. Clearly, this applies to regulatory
attempts to control environmental pollution. However, it also applies to the ways
that deliberately contaminated food, such as the Chinese production of milk prod-
ucts containing melamine that injured many babies, can be distributed globally.
What Is Victimology?
The scientific study of victimology is a relatively recent field, founded by Hans von
Hentig (1948) and Benjamin Mendelsohn (1963)—who claims to have coined the
term in 1947. It is almost the mirror image or “reverse of criminology” (Schafer
1977, 35). Criminology is concerned mainly with criminals and criminal acts and
the criminal justice system’s response to them. Victimology, on the other hand, is
the study of who becomes a victim, how victims are victimized, how much harm
they suffer, and their role in the criminal act. It also looks at victims’ rights and their
role in the criminal justice system.
Victimology has been defined as “the scientific study of the physical, emotional,
and financial harm people suffer because of criminal activities” (Karmen 2001, 9).
This interrelationship has a long history. Prior to the development of formal social
control mechanisms, society relied on individualized informal justice. Individuals,
families, and clans sought justice for harms caused by others. Endless feuding and per-
sistent physical confrontation led to what has been called the “Golden Age” (Karmen
2001), when restitution became the focus of crime control (see Chapter 5). With the
advent of the social contract, individuals gave up the right to retaliation, and crimes
became crimes against the state—not the individual. The classicist social contract,
simply put, says that individuals must give up some personal liberties in exchange for
a greater social good. Thus, individuals forfeited the right to individualized justice,
revenge, and vigilantism. This creed is still practiced today. Advanced societies relying
on systems of justice based on the social contract increasingly, though inadvertently,
neglected the victims of crime. In the United States, “Public prosecutors . . . took
over powers and responsibilities formerly assumed by victims. . . . Attorneys decided
whether or not to press charges, what indictments to file, and what sanctions to ask
judges to invoke. . . . When the overwhelming majority of cases came to be resolved
through confessions of guilt elicited in negotiated settlements, most victims lost their
last opportunity to actively participate” (Karmen 1990, 17).
Since the founding of victimology, there has been controversy between the broad
view (Mendelsohn 1963) that victimology should be the study of all victims and the
narrow view that it should include only crime victims. Clearly, if a broad definition
is taken of crime as a violation of human rights (Schwendinger and Schwendinger
1970; S. Cohen 1993; Tifft and Sullivan 2001), this is more consistent with the
broad view of victimology.
It is only since the early 1970s that victimization has been included in mainstream
criminology. This followed studies by Stephen Schafer (1968, 1977) and a flurry of
victimization studies culminating in the US Department of Justice’s annual National
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Crime Victimization Survey, begun in 1972. There are numerous texts in the field (see
Elias 1986; Walklate 1989; and Karmen [2001] 2006; Doerner and Lap 2011).
Victimology has also been criticized for the missionary zeal of its reform policy
(Fattah 1992; Weed 1995) and for its focus on victims of individual crimes rather
than socially harmful crimes, although there are rare exceptions to this in French
victimology studies (Joutsen 1994). The more recent comprehensive approach con-
siders the victim in the total societal context of crime in the life domains of family,
work, and leisure as these realms are shaped by the media, lawmakers, and interest
groups (Sacco and Kennedy 1996).
In the twenty-first century, a version of victimology appears in the context of restor-
ative justice in which victims and the community are brought together with offend-
ers to seek to restore the relations that produced the harm, typically through trained
mediators and facilitators. It has long been evident that neither traditional punitive/
retributive approaches to criminal justice, nor rehabilitative approaches that focus on
the offender, offer little for the victim. In contrast, as Achilles and Zehr (2001) argue,
restorative justice promises more since harm to the victims is a central tenet of its ap-
proach, and empowering victims through restorative practices brings victims back into
the justice equation. (We discuss more about restorative justice in Chapter 12.) These
developments push the boundaries of criminology toward recognition of the global
impact of harm and toward a human rights definition of crime.
Criminology and Public Policy

Criminology is clearly also policy oriented. The criminal justice system that imple-
ments the law and policy of governments itself is a significant source of employ-
ment and expenditure. Considering only corrections, in 1997 the combined US
states spent $10.6 billion from their general funds on corrections. In 2007, they
spent more than $49 billion—a 362-percent increase. Moreover, “State spending
for corrections reached $52.4 billion in fiscal 2012 and has been higher than 7.0
percent of overall general fund expenditures every year since fiscal 2008” (NASBO
2013). Moreover, in 2008, 7.3 million (or 1 in 31) Americans were under some
supervision by the US corrections system, including people on probation and pa-
role (Pew Charitable Trusts 2009). The long-term implications of this decreased
emphasis on education and increased focus on punishment and incarceration are
disturbing and the subject of much debate. Several states have taken steps to reduce
prison expenses. California has taken the lead, reducing its prison population by
4,068 in 2007 (Pew Charitable Trusts 2008). Indeed:
[by] 2012, the number of state inmates declined for the third consecutive year, marking
a shift in the direction of long-standing incarceration trends. The number of state pris-
oners declined by 2.1 percent in 2012 compared to 2011 with much of the decrease at-
tributable to California’s Public Safety Realignment program. Eight other states (Texas,
North Carolina, Colorado, Arkansas, New York, Florida, Virginia and Maryland) also
decreased their prison population by over 1,000 inmates in 2012. (NASBO 2013)
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Regardless of one’s theoretical inclinations, preferred research tools, or policy

preferences, dissension demands a clear articulation of one’s position. Such articula-
tion requires considerable thought in order to make convincing arguments and the
insight to appreciate other positions. The end result is that criminology as a whole is
strengthened.
Summary and Conclusion

Criminology has evolved and will continue to expand to provide improved methods
of study and more comprehensive explanatory theories for understanding crime. The
current direction is moving toward a more inclusive and expansive criminology that
considers crime as deprivation and harm—regardless of legislated law. It also is be-
ginning, through comparative and global criminology, to move toward recognizing
the interconnectedness of people across countries and cultures, and so needs to be
both integrated and comparative in its approach.
We have also seen that criminology has a much broader scope than simply study-
ing criminals. If nothing else, the reader should have developed a sense that there are
few definitive “truths” in the study of crime. Controversy and diverse views abound.
This is not without good reason. Criminology is perhaps the most widely examined
(by the public, media, and policy makers) of the social sciences. As a result of the
nightly news, talk shows, newsmagazine programs, and popular television dramas,
such as Law and Order, CSI, and Criminal Minds, crime and its control are topics in
which everyone’s interest is engaged and everyone has an opinion.
In the next chapter, we turn to the first building block of the criminological en-
terprise and examine how crime is defined. We look at how what counts as crime
varies depending on who defines it, where it is defined, and when. We see how the
definition is shaped by our personal experiences (whether we are victimized or vic-
timizer), our social standing (whether we stand to benefit or lose from crime), and
many other factors, such as the media, family, and friends as well as those who are in
a position to influence the way laws are created.
Discussion Questions
1. What is globalization and why is it important to criminology?
2. What does it mean to refer to criminology as an “applied social science”?
3. What are the core components of the field or discipline of criminology?
4. What does the term “criminal justice” mean and how does it differ from
criminology?
5. What makes criminology scientific?
6. What is/are the difference(s) between quantitative and qualitative research
methods?
7. Victimology has been referred to as the mirror image or “reverse of criminol-
ogy.” Why?
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2
What Is Crime?
Defining the Problem
“There are crimes of passion and crimes of logic.

The boundary between them is not clearly defined.”
—Albert Camus, The Rebel
Most people recognize and agree that a physical attack with injury on a school play-
ground is a serious event, and may be criminal. However, what if mocking com-
ments are made on Twitter or Facebook? Cyber bullying is now a major concern
for youth but is often ignored by citizens (and lawmakers) who were raised prior
to the advent of widespread Internet use (Patchin and Hinduja 2006; Hinduja and
Patchin 2009). Indeed, what is crime seems obvious until we question the harms
that some people inflict on others. What was the crime here? Who was the criminal?
Who was the victim? What was the harm committed? What are the suicide results?
Does the public agree that harm occurred, and does society’s reaction, reflected in
the sentence given, convey the indignity of the public against the harm committed?
These are precisely the kinds of questions that we need to ask when considering
whether an act is a crime. This chapter is intended to help answer these questions.
Most people have a sense of what is criminal, but deciding precisely what is—or is
not—criminal is not as obvious as it may seem. What for one person is deviance, or
shrewd business practice, may for others be crime. What is morally reprehensible to
one group may be a lifestyle preference to another. Like deviance, crime is a concept
with elusive, varied, diverse, and oft-changing meanings.
As we argued previously (Henry and Lanier 2001), if the definition of crime is too
narrow, harms that might otherwise be included are ignored. This was the case for
years with domestic violence, racial bias, and corporate and white-collar crime. Con-
versely, if the definition is too broad, then almost every deviation becomes a crime.
This was the case with the old concept of sin, where anything that deviated from the
13
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sexual mandates (i.e., the missionary position for procreation purposes only) could
be prosecuted by the Church—and the state—as an offense against God. But even
when harm looks obvious, is it a crime?
Is the obvious solution to the question “What is a crime?” to find out what the
law says is criminal? Again, this is more complicated than it seems, and “going to
the law” as a solution leaves many unanswered questions. As a matter of fact, since
publication of the third edition of this text there have been significant changes in the
way both criminologists and the “law” look at what counts as “crime.” As indicated
above, what used to be schoolyard “bullying” has now expanded to include Internet
crime. Edward Snowden’s revelations about the US government’s gathering of data
raised questions about who exactly was the offender, Snowden or the National Secu-
rity Administration? The written law might seem to provide an answer, but laws are
open to interpretation.
An important consideration when defining crime is the observation that crime is
contextual. Criminal harm takes different forms depending on the historical period,
specific context, social setting, location, or situation in which it occurs. In this chap-
ter, we look at the various definitions of crime, ranging from the legal definition to
definitions that take into account crime’s changing meaning as social harm.
The definitions of crime arrived at by law, government agencies, and criminolo-
gists are used by others to measure the extent of crime. Put simply, if crime is the
problem, then how big is it? How much of it exists? Is there more of it in one part of
the country than another, more in cities than in rural settings? Do different societies
have different rates of the activities we have defined as crime? The reason that the
definition and measurement of crime are necessary is that several policy decisions
concerning social control are made based on a particular definition of crime. These
include the selection of priorities in policing and what (or who) to police, budget
allocations for measures such as crime-prevention programs, how to “handle” of-
fenders, and what a “crime-free” neighborhood actually looks like. For example, is
a crime-free neighborhood one where there are low rates of crimes known to the
police, or one where there is a low incidence of serious harm? Is a crime-free neigh-
borhood one where the public streets are safe but fraud in businesses is rampant?
What is the real level of crime when the incidence of serious crime, such as homi-
cide, burglary, rape, and aggravated assault, is low but the level of crimes that disturb
the public, such as prostitution, vandalism, public drunkenness, and panhandling,
is high? Should the public or community define crime, or should this be a matter
for legislators or the police? Does a “crime-free” neighborhood allow freedom of
expression and personal liberty, or does it seek uniformity? This chapter addresses
these issues first, in particular looking at how different entities see crime from their
perspective. In considering these different “takes” on crime it is worth considering
that not only have criminologists been debating this topic for much of the past cen-
tury (Henry and Lanier 2001) but, as one commentator observed, “An appropriate
definition of crime . . . remains one of the most critical unresolved issues in criminal
justice today” (Bohm and Haley 1999, 24).
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2: What Is Crime? 15
Legal Definition
Since the eighteenth century, the legal definition of crime has referred to acts prohib-
ited, prosecuted, and punished by criminal law (Henry and Lanier 2001, 6). Most
commentators have agreed with Michael and Adler that “criminal law gives behavior
its quality of criminality” (1933, 5). In other words, criminal law specifies the acts or
omissions that constitute crime. Tappan’s classic definition is illustrative. He defined
crime as “an intentional act or omission in violation of criminal law (statutory and
case law), committed without defense or justification, and sanctioned by the state as
a felony or misdemeanor” (1947, 100). Tappan believed that the study of criminals
should be restricted to those convicted by the courts. In fact, “most criminologists
have traditionally relied on the legal conception, which defines crime as behavior in
violation of criminal law and liable for sanctioning by the criminal justice system”
(R. Kramer 1982, 34). And “most criminologists . . . act as if the debate is settled in
favor of a ‘legal’ definition” (Bohm 1993, 3).
Other criminologists argue, however, that the legal definition is too limited in
scope. First, it takes no account of harms that are covered by administrative law and
are considered regulative violations. This is not a new debate. More than sixty years
ago, Edwin Sutherland (1949) first argued that a strict legal definition excluded
“white-collar crime.” Cruise passengers who suffer from cruise-related illnesses as a
result of poor cleaning practices is no less criminal than being robbed in the street.
Both injure human life in the interest of profit. Sutherland argued for extending the
legal definition of crime to include all offenses that are “socially injurious” or socially
harmful.
A second problem with a strict legal definition of crime is that it ignores the cul-
tural and historical context of law. What is defined as crime by the legal code varies
from location to location and changes over time. For example, the recreational use
of marijuana is now legal in the states of Colorado and Washington. Prostitution,
which is generally illegal in the United States, is legal in some states such as Nevada
and Rhode Island. Gambling is also often illegal, yet an ever-increasing number of
states now conduct lotteries to increase their revenue, and today many cities have
legal casinos. Tappan (1947) acknowledged the cultural and historical variability of
crime in society’s norms but said this is why the law’s precision makes it the only
certain guide. Others have claimed that the law offers only a false certainty, for what
the law defines as crime “is somewhat arbitrary, and represents a highly selective
process” (Barak 1998, 21). Indeed, Barak notes with regard to crime, “There are
no purely objective definitions; all definitions are value laden and biased to some
degree” (ibid.).
Who Defines Crime?

A related issue is who defines the kinds of behavior labeled crime. Crimes are not
produced by legislation alone. Judicial interpretation also determines what is or is
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not crime. Judicial decisions can also be appealed, overturned, and revised. Consider
Roe v. Wade, the 1973 Supreme Court case that legalized abortion during the first
three months of pregnancy (Fiero 1996, 684), and the more recent limitations that
recriminalize certain aspects of abortion. Even where legislators make laws, a signifi-
cant problem is whose views they represent.
Some critical criminologists argue that criminal actions by corporations often go
unrecognized because those who hold economic power in society are, in effect, those
who make the law. Legislators are influenced through lobbyists and through receiv-
ing donations from political action committees set up by owners of corporations
and financial institutions (Simon and Eitzen 1982). Their influence minimizes the
criminalization of corporate behavior. This was at the heart of Edwin Sutherland’s
original concern (1949) to incorporate crimes defined by administrative regulations
into the criminological realm.
In short, relying on a strict legal definition for crime may be appropriate study
for police cadets but is sorely inadequate for students of criminology or the thinking
criminal justice professional. The contextual aspects of crime and crime control re-
quire serious reflective study. A more comprehensive approach to accommodate the
range of definitions is to divide them into one of two types depending on whether
they reflect consensus or conflict in society.
Consensus and Conflict Approaches

The consensus approach refers to definitions of crime that reflect the ideas of the
society as a whole. It assumes that all members of society agree on what should
be considered crime, such as homicide and rape. Consensus definitions constitute
a set of universal values. In contrast, the conflict approach refers to definitions of
crime based on the belief that society is composed of different interest groups. These
various groups are in competition with one another, and the competition is most
pronounced between the powerful and powerless. If power is defined in economic
terms in American society this gap has been widening in the past thirty years (CBO
2011) and has accelerated since the Great Recession of 2008–2009, which is divid-
ing American cities (Heavey 2013).
Consensus Approaches
Consensus theorists try to get around the problem of variations in the law by link-
ing the definition of crime to what was once called “social morality.” They draw on
the seminal ideas of nineteenth-century French sociologist Émile Durkheim ([1893]
1984), who believed that in the kind of integrated community that preceded in-
dustrialization, people were held together by common religious beliefs, traditions,
and similar worldviews. The similarity between people acted as a “social glue” that
bonded them to each other in a shared morality. Thus, the consensus position states
that crimes are acts that shock the common conscience, or collective morality, pro-
ducing intense moral outrage in people. Thus, for Ernest Burgess, “A lack of public
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outrage, stigma, and official punishment, attached to social action indicates that
such action is not a violation of society’s rules, independent of whether it is legally
punishable” (1950, quoted in Green 1990, 9). More recent supporters of this po-
sition claim there is a “consensus,” or agreement, between most people of all eco-
nomic, social, and political positions about what behaviors are unacceptable and
what should be labeled criminal. Indeed, echoing Durkheim, some commentators,
such as Roshier, define crime “as only identifiable by the discouraging response it
evokes” (1989, 76). Even this definition has problems, however. What at first ap-
pears as an obvious example of universally agreed-upon crime—the malicious, in-
tentional taking of human life—may appear less malicious, or even justified, when
we take into account the social or situational context. Closer inspection reveals that
killing others is not universally condemned. Whether it is condemned depends on
the social context and the definition of human life. For example, killing humans
is regrettable yet acceptable in war; it is even honored. Humans identified as “the
enemy” are redefined as “collateral,” and their deaths are described as “collateral
damage.” Those governments that employ massive violent force to overthrow other
governments that they define as “oppressive” consider themselves “liberators.” The
deaths are not described as murder, even though intended. Instead, the killed are
described as “regrettable” but “legitimate” targets. Soldiers have followed “illegal”
orders, taken lives, and avoided punishment and the stigma associated with crime.
Another major problem with the consensus view is the question of whose morality
is important in defining the common morality. If the harm affects a minority, will
the majority be outraged? Is the conduct any less harmful if they are not outraged?
Although empirical research in the 1970s claimed “there is widespread consensus
both within and across cultures concerning the relative gravity of various criminal
acts” and that “the ubiquitous agreement on seriousness rankings is often cited in
support of a consensus as opposed to a conflict model of criminal law,” commen-
tators have since argued that this may be more a reflection of the methods used
to measure consensus than evidence of an underlying normative agreement on the
seriousness of crime (Cullen et al. 1985, 99–100; see also Miethe 1982, 1984; and
Stylianou 2003).
Social Context
Clearly, understanding the social context is the first step toward defining crime.
Consider sexual behavior as an example. Sexual intercourse with a minor, or statu-
tory rape, is universally agreed to be a crime in the United States—that is, until we
consider the social context. On closer inspection, legally defined rape is not univer-
sally condemned. For example, sexually active boys and girls under the age of legal
consent often do not consider themselves raped. In previous historical eras, adoles-
cents of the same age were often married and shared the rights of adults. In this same
historical era, husbands could not “rape” their spouses, though they could force
themselves on unwilling wives. Whether the physical act is condemned depends
on the social and historical context and on the definition of rape. For example, if
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parents give permission to marry, two sexually active teens are no longer committing
“rape,” though their physical actions (intercourse) and circumstances (age) are the
same. Rape laws have historically had a gender bias as well. Young girls have tradi-
tionally been treated much more harshly “by the law” than are young boys (Edwards
1990). The social reaction to sexual activity and prowess continues to reflect gender
bias. However, this gender bias has also been found to harm males.
Furthermore, whether an issue becomes a public harm depends on a group’s
ability to turn private concerns into public issues (Mills 1959) or their skills at
moral entrepreneurship (Becker [1963] 1973). This is the ability to whip up moral
consensus around an issue that affects some individuals or a minority and to recruit
support from the majority by convincing them it is in their interest to support the
issue too. Creating a public harm often involves identifying and signifying offensive
behavior and then attempting to influence legislators to ban it officially. Becker ar-
gued that behavior that is unacceptable in society depends on what people first label
unacceptable and whether they can successfully apply the label to those designated
“offenders.” For example, prior to the 1930s, smoking marijuana in the United
States was generally acceptable. Intensive government agency efforts, particularly
by the Federal Bureau of Narcotics, culminated in the passage of the Marihuana
Tax Act of 1937. This type of smoking was labeled unacceptable and illegal, and
those who engaged in it were stigmatized as “outsiders.” In this tradition, Pavarini
(1994) points out that what becomes defined as crime depends on the power to
define and the power to resist definitions. This in turn depends on who has access
to the media and how skilled moral entrepreneurs are at using such access to their
advantage (Barak 1994; Pfhul and Henry 1993). As the following discussion illus-
trates, for these and other reasons the consensus position is too simplistic.
Conflict Approaches
Conflict theory is based on the idea that, rather than being similar, people are dif-
ferent and struggle over their differences. According to this theory, society is made
up of groups that compete with one another over scarce resources. The conflict over
different interests produces differing definitions of crime. These definitions are de-
termined by the group in power and are used to further its needs and consolidate
its power. Powerless groups are generally the victims of oppressive laws. In 2012,
Denver, Colorado, passed a law banning “camping” in downtown areas. Violation
of the controversial ordinance could potentially result in a $999 fine and a year in
jail (Whelley 2013). Presumably, businesspersons will not be subjected to this law,
but many homeless people will.
In addition to being based on wealth and power, groups in society form around
culture, prestige, status, morality, ethics, religion, ethnicity, gender, race, ideology,
human rights, the right to own guns, and so on. Each group may fight to dominate
others on issues. Approaches to defining crime that take account of these multiple
dimensions are known as pluralist conflict theories. Ethnic or cultural conflict is a
good example. From the perspective of cultural conflict, different cultures, ethnic
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groups, or subcultures compete for dominance. According to Sellin’s classic cultural

conflict theory (1938), criminology should not merely focus on crime but also in-
clude violations of “culture norms,” that is, behaviors that are considered standard
for a specific cultural group, such as Arab Americans or Asian Americans. Sellin de-
scribes two forms of conflict. The first, primary conflict, occurs when a person raised
in one culture is transposed into a different one. As an immigrant, the person may
follow traditional cultural norms, such as the assumption by those of the Islamic
faith that women revealing bare skin are sexually promiscuous and can be propo-
sitioned for sex. But acting on such assumptions may violate the norms of the host
country. Where these norms are expressed in law, criminal violations occur.
Secondary conflict occurs between groups of people who live in the same geo-
graphic area but create their own distinct value systems. Where these clash, conflict
and norm violations occur. An example of secondary cultural conflict as crime is
when the behaviors of subgroups of society are targeted by laws. For example, some
places specifically ban skateboarding and in-line skating that others consider harmless
recreational activities (Orlando City Council 2006, Sec. 18A.09). Of course, some
police reactions to skateboarders should be considered criminal, as one Baltimore
police officer showed us (see youtube.com/watch?v=1hxOr3q7nrk&feature=related).
In other places, skateboarders are permitted and even encouraged.
When power is determined by wealth, the conflict is considered class based. Anal-
ysis of this type of conflict is founded on principles outlined by nineteenth-century
social philosopher Karl Marx. In Marxist conflict theory, the definition of crime
focuses on conflicts that arise in capitalist society. Crime is rooted in the vast dif-
ferences of wealth and power associated with class divisions. Groups that acquire
power through political or economic manipulation and exploitation place legal con-
straints on those without power. A definition of crime based on economic interests
emphasizes that “crime and deviance are the inevitable consequences of fundamental
contradictions within society’s economic infrastructure” (Farrell and Swigert 1988,
3). Crime is defined as the activities of those who threaten the powerful. Such a view
explains why the crimes of “street” offenders are considered serious, whereas those of
corporate or white-collar “suite” offenders are considered less serious, even though
the financial losses from such white-collar crimes amount to at least ten times the
cost incurred from street crimes (Timmer and Eitzen 1989; Friedrichs 2009). Forty-
five years ago Richard Quinney expressed this position: “Crime is a definition of
human conduct created by authorized agents in a politically organized society. . . .
[It describes] behaviors that conflict with the interests of the segments of society
that have the power to shape public policy” (1970, 15–16). In other words, the
definition of crime is a political tool used to protect power, wealth, and position in a
society. Not surprisingly, this power-and-wealth version of conflict theory has been
termed critical criminology (I. Taylor, Walton, and Young 1975). This is because it
criticizes the overall kind of society in which we live and suggests we replace it with
a socialist system.
Critical criminologists also suggest that the harm of crime should become the
main reason for law. Following Edwin Sutherland’s ideas, they assert that the
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definition of crime should be expanded to include the socially injurious activities

of powerful groups against the powerless as well as behavior that violates or intrudes
upon others’ human rights (Schwendinger and Schwendinger 1970; see also S. Co-
hen 1993, 98–101; Lea and Young 1984, 55; Michalowski 1985; Reiman [1979]
2007; and Von Hirsch and Jareborg 1991). Thus, they argue that criminal harm
can come not just from individuals but also from the social contexts of conditions
such as imperialism, racism, sexism, and poverty. The idea of crime as a violation
of human rights has become a major theme of critical humanist criminologists. As
Quinney and Wildeman note, “The notion of crime as social injury, social harm,
or a violation of human rights is, in effect, basic to those who strive to improve the
human condition, for it provides the intellectual and practical tools for the recon-
struction of society” (1991, 5; see also S. Cohen 1993).
Marxist conflict theorists are furthest away from the view that law should define
the content of crime. Instead, they argue that any behavior that causes harm is a
crime (Reiman [1979] 2007). Expanding Sutherland’s definition (1949), Micha-
lowski (1985) used the term analogous social injury, which includes harm caused by
acts or conditions that are legal but produce similar consequences to those produced
by illegal acts. For example, promoting and selling alcoholic beverages and cigarettes
(described as “drug delivery systems”), though legal, still produce considerable so-
cial, health, and psychological problems. Other substances that are illegal, such as
marijuana, may produce less-negative consequences. The insidious injuries produced
by the Johns-Manville asbestos company’s knowing exposure of millions to deadly
asbestos dust, in spite of the company’s own research evidence that showed asbestos
has carcinogenic effects (Calhoun and Hiller 1986), would be a good example of
producing “analogous social injury.”
Beyond Consensus and Conflict

Going beyond consensus, pluralist conflict, and critical Marxist theorists, other
criminologists have begun to redefine crime more broadly. One such approach has
pluralist leanings, but instead of seeing established groups as significant, it sees the
situational context and its constituent players as important. Crime is defined as a
social event, involving many players, actors, and agencies. Thus, crimes “involve not
only the actions of individual offenders, but the actions of other persons as well. In
particular, they involve the actions of such persons as victims, bystanders and wit-
nesses, law enforcement officers, and members of political society at large. A crime,
in other words, is “a particular set of interactions among offender(s), crime target(s),
agent(s) of social control and society” (Gould, Kleck, and Gertz 1992, 4; see also
2001). This broader view of crime highlights the complexities associated with defin-
ing crime by recognizing its socially constructed nature.
Another recent reassessment of the definition of crime, which takes into ac-
count the total context of powerful relations and the situational context, comes
from postmodernist-influenced constitutive criminologists (Henry and Milova-
novic 1996, 2001; Arrigo and Young 1996). Postmodernism is a perspective that
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rejects claims that any body of knowledge is true or can be true. Instead, its advo-
cates believe that “claims to know” are simply power plays by some to dominate
others. For example, consistent with the important place given to power, Henry
and Milovanovic see constitutive criminology as “the framework for reconnecting
crime and its control with the society from which it is conceptually and institu-
tionally constructed by human agents. . . . Crime is both in and of society” (1991,
307). They define crime as an agency’s ability to make a negative difference to
others (1996, 104). Thus, they assert, “Crimes are nothing less than moments in
the expression of power such that those who are subjected to these expressions are
denied their own contribution to the encounter and often to future encounters.
Crime then is the power to deny others . . . in which those subject to the power of
another suffer the pain of being denied their own humanity, the power to make a
difference” (1994, 119).
Perhaps the most dramatic call to expand the definition of crime comes from
Larry Tifft and Dennis Sullivan (2001), who argue that the hierarchical structure
and social arrangements of society produce harm that evades the legal definition and
that these harms must be brought back in. They recognize that doing so will render
many contemporary legal modes of production and distribution criminal, as will
many of our criminal justice system’s responses to crime, based on the harms that
they produce. They call for a “needs-based” system of justice that focuses on the con-
cept of equality of well-being as the objective.
It is clear that criminological approaches to crime have come a long way from the
simplistic idea that crime is behavior defined by law. Recent ideas suggest that far
more is involved than law. These ideas resurrect the central role of harm, the victim,
and the context. Importantly, they even suggest that law itself can create crime, not
merely by definition but by its use of power over others. Together, these definitions
express the increasingly broad range of conceptions of crime that criminologists now
share. Even though the division between consensus and conflict theory is helpful
to gain an overall sense of different definitions, it does not present an integrated
approach. But there is one attempt to define crime that, with modification, helps us
overcome many of the difficulties so far identified.
Hagan’s Pyramid of Crime

From the previous discussion, it is clear that there is little agreement among crim-
inologists about what constitutes crime. One very useful conception of crime was
provided by Canadian criminologist John Hagan in his notion of crime and devi-
ance as “a continuous variable” (1977, 1985). Explaining this concept, Hagan notes
that rule breaking ranges from minor deviance from accepted standards of behavior,
such as public drunkenness or dress-code violations, to highly offensive acts that
involve serious harm, such as urban terrorism or mass murder. He defines crime as
“a kind of deviance, which in turn consists of variation from a social norm that is
proscribed by criminal law” (1985, 49). His definition includes three measures of
seriousness, each ranging from low and weak to high and strong.
9780813348858-text.indd 21 10/17/14 9:42 AM

FIGURE 2.1 Hagan’s Pyramid of Crime
Very High
harmful agreement
Severe
es
im
Consensus Cr High
disagreement
s
me
Somewhat Cri
Mode
harmful Conflict Confusion
or apathy
s
rate
on
viati Agreement
De about the
Social norm
Relatively s
harmful rsion
D ive
Mild
Evaluation of Social
social harm
Severity of societal response
Source: Hagan 1977, p. 14.
First is the degree of consensus or agreement, the degree to which people accept an
act as being right or wrong. All crimes can be ranked on a scale of seriousness between
these extremes. Hagan offers as the first measure of seriousness the degree of consensus
or agreement about the wrongfulness of an act, which “can range from confusion and
apathy, through levels of disagreement to conditions of general agreement” (1985, 49).
A second dimension of Hagan’s approach is the severity of society’s response in
law. This may range from social avoidance or an official warning, through fines and
imprisonment, to expulsion from society or ultimately the death penalty. Hagan
argues, “The more severe the penalty prescribed, and the more extensive the support
for this sanction, the more serious is the societal evaluation of the act” (ibid.).
Hagan’s third dimension is the relative seriousness of crime based on the harm
it has caused. He argues that some acts, like drug use, gambling, and prostitution,
are victimless crimes that harm only the participants. Victimless crimes, or crimes
without victims, are consensual crimes involving lawbreaking that does not harm
anyone other than perhaps the perpetrator (Schur 1965). Many crimes harm others
and some crimes harm multiple victims at one time.
Hagan illustrates the integration of these three dimensions in his “pyramid of
crime” (see figure 2.1). On the consensus dimension is the degree of agreement
among people about the wrongfulness of an act. On the societal response dimension
is the severity of penalties elicited in response to the act. Finally, on the harm dimen-
sion is social evaluation of the harm an act inflicts on others. This can range from
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crimes of violence such as murder or terrorism at the peak down to victimless crimes
at the base. Hagan claims:
The three measures of seriousness are closely associated. . . . The more serious acts of
deviance, which are most likely to be called “criminal,” are likely to involve (1) broad
agreement about the wrongfulness of such acts, (2) a severe social response, and (3) an
evaluation of being very harmful. However, the correlation between these three dimen-
sions certainly is not perfect, and . . . in regard to many acts that are defined as crimes,
there is disagreement as to their wrongfulness, an equivocal social response, and uncer-
tainty in perceptions of their harmfulness (1985, 50).
Although Hagan goes further than most criminologists in attempting an inte-

grated definition of crime, we believe that his analysis can be improved by adding
three more dimensions and by configuring the pyramid display into a “crime prism.”
From Hagan’s Pyramid to the Prism of Crime

We suggest that Hagan’s pyramid is incomplete because it neglects public aware-
ness of crime—that is, the realization that one has been a victim. Crime takes many
forms, all of which involve harm, but not all of those harmed necessarily realize they
have been victimized. We have already seen that participants in victimless crimes
may claim that the criminal label is wrong. In the case of victims of government and
corporate crimes, it is often a long time before the victims become aware that they
have been harmed, and many never realize it! Thus, we argue that crime can range
from being “obvious” or “readily apparent” to “relatively hidden” and, finally, so
“obscure” that it is accepted by many as normal, even though it harms its victims
(e.g., environmental crimes, racism, and patriarchy). Hagan acknowledges this but
does not include the measure of obscurity as one of his dimensions.
A second missing, though implied, part of the pyramid of crime is the number of
victims. If only one person is affected by a crime, this is certainly tragic and serious. But
this crime is qualitatively different from, say, the deliberate terrorist act of Islamic fun-
damentalists on 9/11. These two additional dimensions, visibility and numbers harmed,
are implied in surveys that depict the perceived seriousness of various acts. Absolute
numbers of victims influence a society’s perception as to the seriousness of crime.
A third limitation of Hagan’s pyramid relates to his dimension of seriousness of
response. This dimension fails to capture the probability or likelihood that a con-
victed offender will receive a serious response even when the law sets such a penalty.
Crimes of the powerless are far more likely to receive the full weight of the law than
are crimes of the powerful.
Another limitation of Hagan’s analysis is its visual structure. The way that it is laid
out does not allow other elements (such as the ones we have noted) to be included.
The pyramid suggests that crimes for which conflict exists about their criminality are
only somewhat harmful. Some crimes may be extremely harmful yet still not be seen
as harms by society, perhaps because the media present them in a way that favors the
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perpetrators. Until recently, this was the case with crimes of gender, such as sexual
harassment and date rape, in which the male offender was shown as having poor judg-
ment but not intending harm. It is clear to us that there is not always consensus about
the seriousness of such actions as corporate crimes (including pollution from toxic
waste, deaths from avoidable faulty product manufacture, and deliberate violations of
health and safety regulations). Indeed, the majority of individuals in one recent sur-
vey “perceived that white-collar crimes were as serious—if not more so—than street
crimes” (Piquero, Carmichael, Piquero 2008, 306). This is in spite of the moderate so-
cietal response to such acts and the conflict between interest groups in society over the
need for health and safety regulations and whether their violation constitutes a crime.
Crime Prism
To solve the problems with Hagan’s pyramid, we have redesigned the visual structure
of this depiction of crime by making it a double pyramid or what we call the “crime
prism” (see figure 2.2). A further refinement of this concept appears in Henry and
Lanier (1998). In our schema, we place an inverted pyramid beneath the first pyramid.
The top pyramid represents the highly visible crimes that are typically crimes of the
powerless committed in public. These include crimes such as robbery, theft, auto theft,
burglary, assault, murder, stranger rape, and arson. The bottom, inverted, pyramid
represents relatively invisible crimes. These include a variety of crimes of the powerful,
such as offenses by government officials, corporations, and organizations, as well as
crimes by people committed through their occupations, such as fraud and embezzle-
ment, and even some crimes such as date rape, sexual harassment, domestic violence,
sexism, racism, ageism, and crimes of hate. These are crimes typically conducted in pri-
vate contexts, such as organizations and workplaces, that involve violations of trusted
relationships (Friedrichs 2009). Together, crimes of the powerless and crimes of the
powerful constitute the visible and invisible halves of our prism of crime.
We use the term prism not only because of the visual appearance of the figure. Just
as a prism is used to analyze a continuous spectrum, in our case the crime prism can
be used to analyze the spectrum of important dimensions that make up crime. We
provide new variables: social agreement, probable social response, individual and so-
cial harm, and extent of victimization. Each of these varies by degrees, depending on
the particular crime in question. The prism, like a lens, also means that two people
may view the same act quite differently. For example, a person’s life experiences may
cause him or her to have a different worldview. A crime victim may view an act more
seriously than would a nonvictim, and age and education have been found to affect
perceptions of seriousness (Piquero, Carmichael, Piquero 2008). Our prior exposure
to events enables us to filter and view them differently from one another.
Integrating the Dimensions

Now that we have briefly illustrated the dimensions of the crime prism, we will
discuss the spatial location of a few examples. Take the earlier example of terrorism.
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FIGURE 2.2 The Crime Prism
Highly
Visible
Directly High
Crimes Extremely Agreement
a
of the Harmful Co
ns b
Sev
arm
Powerless en Moderate
su
ere
al H
s Agreement c
Mo
Exten
du
d
dera
Moderately
ivi
t
Ind
Harmful
te M
Apathy e
of Victim
Soci
ild elect
f
al
Social Relatively
S
Deviance Harmful g
ization
Res Moder
i
h
v e
pon
ict
Moderate
ly
Indirectly
nfl
So
Disagreement i
se
Co
Moderately
cia
j
lH
Harmful
ate
arm
Crimes k
Indirectly High
of the l
Extremely Disagreement
Powerful Harmful
Obscured
Here, crime is obvious, highly visible, extremely harmful, and noncontroversial with
regard to the measure of consensus and conflict. Smith and Orvis (1993) indicate
that this kind of crime can be horrifying to the sensibilities of virtually all people,
though directly harming relatively few (e.g., the Boston Marathon bombing). So-
cietal response and outrage to this type of crime are immediate and pointed. Law
enforcement agencies devote all available resources and form special task forces to
deal with these crimes. Punishment is severe and can include the death penalty. As a
result, such crimes would be placed on the top or very near the apex of the prism, at
point a. The more people harmed, the greater the government and social response.
If fewer were harmed, and if the act is less visible, then the rank of the crime on the
extent of victimization scale moves down.
Toward the middle of the prism, but still in its upper half, are violent acts of
individual crime. These are also readily apparent as being criminal. They were tra-
ditionally called mala in se, meaning “acts bad in themselves,” or inherently evil;
they are universally recognized as being crimes. Crimes of this type would include
homicide, rape, incest, and so on. Relatively few people are hurt by each act, yet so-
cietal reaction is severe and involves little controversy. Law enforcement considers
these crimes its top priority. Sanctions are very severe, ranging from lengthy penal
confinement to death. Beneath these come acts of robbery, burglary, larceny, and
vandalism, perhaps at location b or c.
At the very center is where social deviations and social diversions would fall. De-
viance, the higher placed of the two, includes acts such as public drunkenness and
juvenile-status offenses (acts that if committed by an adult would be legal). It should
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be noted, however, that these are small-scale or low-value violations. Beneath social
deviations are norm violations that Hagan calls social diversions of unconventional
lifestyles or sexual practices, and so on. These offenses are relatively harmless and are
met with confusion or apathy, a lack of consensus about their criminal status, and
little formal law enforcement response. These will be located at f on the prism.
As we move into the lower section of the prism, the obscurity of the crime in-
creases. Its harm becomes less direct. Conflict over its criminal definition increases,
and the seriousness of society’s response becomes more selective. Acts that have
been called mala prohibita are positioned here. Mala prohibita crimes are those that
have been created by legislative action (i.e., they are bad because they have been
created or legislated as being bad). Mala prohibita definitions of crime necessarily
involve a social, ecological, and temporal context. As we have seen, these acts may
be criminal in one society but not criminal in another. Likewise, an act that is crim-
inal in one county or state may be legal in another (e.g., prostitution). Such crimes
also change over time. Crimes that do not reflect a consensus in society move to-
ward the lower inverted part of the prism. Often, fines and “second chances” are
given to violators of these laws. At a lower level, crime is unapparent (hidden) and
indirect, yet hurts many people over an extended time period. Prison sentences are
rarely given in these types of crimes; the more common sanctions are fines, resti-
tution settlements, censure, and signs of disapproval. Regulatory agencies rather
than conventional police agencies are responsible for law enforcement. Unless the
offense is made public, corporations and their trade associations often handle these
problems through their own disciplinary mechanisms. These offenses will be lo-
cated at point i on the prism.
At the final level, crimes are so hidden that many may deny their existence and
others may argue as to whether they are in fact crimes. Sexism, for example, is an
institutionalized type of crime. It is patriarchal, subdued, and so deeply ingrained
into the fabric of a society as to often go unnoticed, yet the impact is very influential.
The law enforcement community generally scoffs at consideration of these harms
as criminal. These acts are rarely, if ever, punished as crimes. Those sanctions that
occur generally involve social disapproval (some organized groups will even voice
approval) and verbal admonishment, although occasionally symbolically severe sen-
tences are given.
It is clear that a vast range of different crimes can be located on the crime prism.
To better understand the prism, attempt to identify some different types of crimes
and consider where they would be positioned. In the next section we consider how
the prism of crime concept would apply to school violence, a category of crime that
covers a wide range of levels and locations on the prism.
Application of the Prism to the Problem of School Violence

In analyzing school violence, the tradition has been to focus on interpersonal vio-
lence: students versus students, students toward their teachers, or aggressors against
both students and teachers. In terms of our prism, a focus on the visible harms of
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violence between students would be located in the top half of the prism but fail to
recognize the broader dimensions of the crime that extend into the lower levels of
the prism. We argue that the complexity of crimes like school violence defies such a
simplistic framing. It fails to address the wider context of school violence, the wider
forms of violence in schools, and the important interactive and causal effects arising
from the confluence of these forces. What is demanded is an integrated, multilevel
definition of the problem that will lead to a multilevel causal analysis and a compre-
hensive policy response that takes account of the full range of constitutive elements
(Henry 2009). It is our view that the prism provides us with a conceptual framework
to define the full dimensional scope of the problem.
The Paucity of the School Violence Concept

Public analysis of social problems tends to be framed very narrowly. Violence is vis-
ible and manifest among school students, so it is assumed that they constitute the
scope of the problem. Yet any analysis of school violence that looks at simply one
factor, such as human fallibility, gun availability, or cultural toxicity, is in grave dan-
ger of missing the wider constitutive elements.
Violence is generally defined as the use of force toward another that results in
harm. Simplistic versions limit the concept to “extreme physical force” (Champion
1997, 128; Rush [1994] 2000, 54), which may include intimidation by the threat of
force (Bureau of Justice Statistics 1998). Omitted here are several critical elements
of harm: (1) emotional and psychological pain that results from domination of some
over others; (2) harms by institutions or agencies to individuals; (3) the violence
of social processes that produces a systemic social injury, such as that perpetuated
through institutionalized racism and sexism; and (4) the “symbolic violence” of
domination (Bourdieu 1977) that brings coercion through the power exercised in
hierarchical relationships.
In the school context, studies of violence typically refer to student-on-student and
student-on-teacher acts of physical harm or interpersonal violence: “Violence refers
to the threat or use of physical force with the intention of causing physical injury,
damage, or intimidation of another person” (Elliott, Hamburg, and Williams 1998,
13–14). This definition clearly refers to acts located in the upper half of our prism.
However, considering the lower half of the prism is suggestive because it draws our
attention to other dimensions of the problem that we have described as the hidden
crimes of the structurally powerful in society (Henry and Lanier 1998). It also sen-
sitizes us to the symbolic social harms that deny humanity through violating human
rights. In the school context, these harms, located in the lower half of the prism,
include harms committed by teachers on students and by school administrators on
both students and teachers. They also include the organization of schooling when it
creates harm to both student creativity and the educational process. Conventional
definitions of school violence, located in the upper half of the prism, neglect harmful
institutionalized social and educational practices. These include acts and processes
of institutionalized racism (Welch and Payne, 2014) and sexism, discrimination,
9780813348858-text.indd 27 10/17/14 9:42 AM

labeling, and tracking (Yogan 2000), authoritarian discipline, militaristic and zero-
tolerance approaches to school security (Kupchik and Catlaw 2014, Addington
2014, Rich-Shea and Fox 2014), sexual harassment, and predation—all of which
would be located in the lower half of the prism.
For example, gender discrimination has been shown to create harmful effects on
female students’ learning experience. When teachers favor male students over fe-
males, because of their seemingly extroverted classroom participation, they disad-
vantage females and oppress their potential development, which can lead to feelings
of inadequacy, anger, and long-term depression. Such practices are not defined as
violence, but they are symbolically violent with long-term harmful consequences.
Consider, as further examples, a school administration that exercises arbitrary,
authoritarian discipline or teachers who “get by” without their best effort and lack
commitment to their students’ education, or the message conveyed to students
about “trust” and “freedom” of educational thought when we deploy metal detec-
tors, video cameras, identity tags, drug-sniffing dogs, and guards to “secure” that
freedom (Kupchik and Catlaw 2014, Addington 2014). This “hidden curriculum”
can have a significant negative impact on students’ moral and social development
(Yogan and Henry 2000). Yet these strategies are at the forefront of recent discus-
sions of the many school massacres.
At a broader level, consider the harm of inequitable school funding, such that one
school will receive better funding due to its location in a wealthy area compared to a
school located in a poverty-stricken urban setting. Finally, consider the harm created
by celebrating competitive success in sports while condemning academic failure;
is it any wonder that “children who do poorly in school, lack educational motiva-
tion, and feel alienated are the most likely to engage in criminal acts”? (Siegel 1998,
197–198). And this analysis does not even begin to address how competitive success
corrupts the morality of the successful, driving them to win at all costs, regardless of
the harm they cause to others in the process.
Toward an Expansive Integrated Concept of School Violence

Since the publication of this book’s first edition in 1998, the term school violence
has taken on a whole new meaning. The list of shocking tragedies now referred to
as “rampage school shootings” (K. Newman et al. 2004) involving what the me-
dia describe as “crazed” killers who turn on their teachers, classmates, and others
continues to grow: Columbine High School in Colorado, Virginia Polytechnic
Institute and State University, Northern Illinois University, Sandy Hook Elemen-
tary School in Connecticut. Other tragedies will likely follow. All of them arouse
shock and outrage. As we argued above, a critical issue in understanding crime is
the role of the media in framing and communicating crime news. News events
are now displayed, sometimes in “real time” as they happen, everywhere at once.
The media have also contributed to the proliferation of “copycat” crimes. Today’s
social media, coupled with globalization, make instant “celebrities” out of the
9780813348858-text.indd 28 10/17/14 9:42 AM

disturbed shooters. Other misguided and troubled youth may identify with the
killers. Closely related, some websites have made martyrs and celebrities out of
those individuals who shoot up our schools and universities. In addition, we have
become somewhat desensitized to these actions due to their frequency. We are no
longer as shocked by a school shooting as we were when the Columbine tragedy
occurred in 1999.
Because of the omission of these broader dimensions of school violence, we are
also missing much of the content and causes of violence in schools. We are blind to
the part played by this wider context of violence in shaping the more visible forms
of interpersonal physical violence manifested by some students. A more inclusive
integrated concept of school violence is necessary. With regard to the perpetrators
of harm, the concept of “offender” used for those who exercise the power to harm
others, is limiting because it assumes that only individuals offend. Yet harms can op-
erate at many levels, from individual, organization, and corporation to community,
society, and nation-state. Further, the exercise of the power to harm, as mentioned
earlier, can also be accomplished by social processes—such as sexism, ageism, and
racism—that go beyond the individual acts of people. The exercise of power to harm
others by some agency or process also takes place in a spatial social context. Even
though the term school violence implies that the spatial location is the “school build-
ing, on the school grounds or on a school bus” (Bureau of Justice Statistics 1998),
such a limited definition denies the interconnections between the school context
and the wider society of which it is a part. It ignores the ways in which these acts of
violence permeate social and geographical space.
In short, existing fragmented approaches to school violence fail to recognize that
what may appear as an outburst in the school is merely one manifestation of more
systemic societal problems. These may begin in, or be significantly impacted by, ac-
tivities in other spatial locations such as households, public streets, local neighbor-
hoods, communities, private corporations, public organizations, national political
arenas, the global marketplace, or the wider political economy. As such, the social
and institutional space of the school is merely one forum for the appearance of a
more general systemic problem of societal violence (Henry 2009).
The Pyramidal Analysis Revealing

the Dimensions of School Violence
In this section we will relate school violence to the dimensions of the prism. How
does the acknowledgment of multiple dimensions of defining school violence affect
our analysis? First is the dimension of the relative seriousness of the crime based on
the harm it has caused. Some acts, including alcohol use and truancy, are victimless
crimes in that they harm only the participants; others, such as high-profile shoot-
ings in schools, harm more than one person at a time, and that pain can extend to
the victims’ relatives, friends, and even their community. Second is the degree of
moral consensus or agreement as to whether an act is right or wrong that “can range
9780813348858-text.indd 29 10/17/14 9:42 AM

30
TABLE 2.1 Victimizations Not Reported to the Police and the Most Important Reason They Went Unreported, by Type of Crime,
2006–2010
9780813348858-text.indd 30
Most important reason victimizations went unreported
Type of crime Average Percent not Dealt with Not Police Fear of Other
annual reported in another important would not reprisal reason
number not way/ enough to or could or getting or not
reported* personal victim to not help offender in one most
matter report trouble important
reason
Total crime 13,998,600 58% 20% 27% 31% 5% 17%
Violent 3,382,200 52% 34% 18% 16% 13% 18%
Serious violent 1,016,000 46 25 13 21 19 21
Rape/sexual assault 211,200 65 20 6 13 28 33
Robbery 297,100 41 20 13 34 10 23
Aggravated assault 507,700 44 31 16 17 22 15
Simple assault 2,366,200 56 38 21 14 11 17
Personal larceny 69,200 41% 17% 24% 43% 2% 14%
Household property 10,547,200 60% 15% 30% 36% 3% 16%
Burglary 1,584,700 45 12 27 40 4 17
Motor vehicle theft 140,600 17 16 26 30 7 21
Theft 8,821,900 67 16 31 35 3 16
*Rounded to the nearest hundred.
Source: Bureau of Justice Statistics, National Crime Victimization Survey, 2006–2010.
10/17/14 9:42 AM
from confusion and apathy, through levels of disagreement, to conditions of gen-

eral agreement” (J. Hagan 1985, 49). Thus, although there is consensus that drugs
should not be in schools, the consensus is much greater against heroin and cocaine
than marijuana and against all three compared to alcohol and cigarettes. The third
dimension is the severity of society’s formal response. Severity may range from social
ostracism by school peers toward their fellow students to informal reprimands by
teachers, official warnings, expulsion and exclusion from school, prosecution, im-
prisonment, and ultimately to the death penalty.
As we have seen, school violence takes many forms, all of which involve harm,
but not all of those harmed necessarily realize they have been victimized. This relates
then to the visibility dimension of the crime prism, which is important because it
is partly a reflection of the force of existing legal definitions, themselves shaped by
powerful economic, political, and class interests. These interests, in turn, partly re-
flect the commercial interests of the mass media, which limit their framing of the
crime. In part, they reflect the popular culture’s trivialization and sensationalization
of direct interpersonal “true crimes” in preference to complex, diffuse social harms
and injuries that have become institutionalized, compartmentalized, privatized, and
justified via the legitimate goals of the organization.
In light of the pyramid discussion and analysis, an expansive integrated definition
and reconception of school violence allow us to reframe our analysis of types of
school violence. Types of school violence can be distinguished by the level of their
perpetrators within the social structure, and these in turn reflect their positioning
at different levels within the prism. Five levels of violence are identified, though the
accuracy of the distinction between levels is less important than that the range of
levels be addressed:
Level 1: Student-on-student; student-on-teacher; student-on-school.

Level 2: Teacher-on-student; administrator-on-student; administrator-on-teacher;
teacher/administrator-on-parents; parent-on-teacher/administrator.
Level 3: School board-on-school/parent; school district-on-school/parent; community-
on-school/parent; local political decisions-on-school/parent.
Level 4: State and national educational policy-on-school; state and national juvenile
justice policy-on-student; media and popular culture-on-student/administrator; corpo-
rate exploitation-on-student; national and state policies on guns and drugs.
Level 5: Harmful social processes and practices that pervade each of the above levels.
Here, social processes are the patterns of interaction that over time take on the appear-
ance of a natural order or social reality existing above the individuals whose actions
constitute that structure. (Henry 2000, 25–26)
Discussion of school violence tends to be restricted to level 1 and some aspects of

level 4. Even within level 1, some important distinctions can be made. In contrast
to the excessive discussion of level 1 and some of level 4, there has been virtually no
discussion of levels 2, 3, and 5, which, given the interrelations among these types,
represents a glaring deficiency.
9780813348858-text.indd 31 10/17/14 9:42 AM

Causal Implications of the Prismatic Analysis of School Violence

This expansive integrated approach to defining school violence allows us to better
identify different types of school violence. But it also raises the question of whether
the different levels of violence manifested in the school setting are interrelated. In other
words, are the different levels of violence in school causally interrelated, such that in-
visible institutional violence at the level of, say, administrators and teachers is gener-
ative of visible violence among school students? There is growing evidence that lethal
school violence is the result of multiple causes. In his book Lost Boys, Garbarino says,
“The origins of lethal violence lie in a complex set of influences. . . . No single fac-
tor . . . can provide the answer to the question of why kids kill” (1999, 13). Similarly,
as Newman and colleagues state in Rampage: The Social Roots of School Shootings, “Any
particular episode arises from multiple causes interacting with one another. . . . This
approach is useful because . . . it combines elements at the individual, community and
national levels, providing a more realistic understanding of how each one contributes
to these explosions of rage. Take away any one of these elements, and the shootings . . .
would not have happened” (2004, 229). More recently, Muschert maintains, “School
shooting incidents need to be understood as resulting from a constellation of contrib-
uting causes, none of which is sufficient in itself to explain a shooting” (2007, 68).
Most recently, Henry (2009) and Hong et al. (2014) show how the roots of school
violence are operative at micro-, meso-, and macrolevels of society.
Therefore, if we are going to comprehensively examine school violence, or any
one form of it, such as school shootings, we need an expansive, not a restrictive,
definition; we need to see school violence as the outcome of several processes, and
we need to look beneath the obvious “factors” to see them as points on a contin-
uum. Although in some senses it is valuable to distinguish between types of school
violence, such as the rampage school shootings perpetrated by white male teenagers
in suburban and rural communities that target the school as a symbol of the com-
munity and the inner-city urban violence that escalates through interpersonal and
gang-related disputes over time (K. Newman et al. 2004), it is also important to rec-
ognize that these may be different manifestations of a similar confluence of violent
and subviolent themes that permeate our society. In Violence and Nonviolence: Path-
ways to Understanding, Gregg Barak has argued that in spite of clear evidence that
violence is cumulatively interrelated across a range of societal levels, most analyses of
it are “un-reflexive”:
Since violence takes many forms—individual, interpersonal, family, groups, mass, col-
lective, organizational, bureaucratic, institutional, regional, national, international and
structural—it makes sense to study the interrelations and interactions between these.
Most analyses of violence, however, tend to focus on one particular form of violence,
without much, if any, reflection on the other forms. In turn, these fragmented and
isolated analyses seek to explain the workings of a given form of violence without trying
to understand the common threads or roots that may link various forms of violence
together. (2003, 39)
9780813348858-text.indd 32 10/17/14 9:42 AM

Although individuals contribute to these interrelated social processes, and analysis

of cases of school violence has demonstrated that key factors involve depression and
suicidal thoughts, the majority of such offenses have also involved the offender suf-
fering marginalization and bullying over time (K. Newman et al. 2004). Indeed, it
is the collective and cumulative repetition of actions by different people that creates
harm to others. In the context of school violence, these harm-producing processes
comprise not only individual and group actions by other students but also the prac-
tices and policies of the school, or what Welsh calls the “school climate” (2000).
They can include the policies and practices of school boards and their detrimental ef-
fects on school districts and the local politics of communities. At a broader level, the
collective actors can operate on the state and national level to include educational
policy. Thus, the prismatic definitional framework outlined above suggests that we
need to take a much broader approach to examining the causes of school violence.
Rather than operating simply on the individual analytic level that looks to psycho-
logical and situational explanations for why students act violently, we need to address
the context of students’ lives—their families, race, ethnicity, gender, and social class.
We need to explore how these dimensions interconnect through social processes to
shape and structure human thinking, moral development, and individual choices.
We need to examine how these social forces shape school curricula, teaching prac-
tices, and educational policies. Thus, at a deeper level, we should be concerned with
identifying the ways parents and schools themselves harm the lives of students, and
the ways they shape the content of young people’s lives. Finally, at the wider level,
we need to examine the ways the culture and the economic, social, and political
structure of American society are both reproduced and reproduce harmful processes.
Although it may seem that this level has been addressed through the discussions,
analysis, and attempt to legislate against “toxic culture,” this is an inadequate ap-
proach to macrolevel analysis. Discussion of cultural causes of school violence has
focused on the role of violence in the media—in movies, in video games, and on
the Internet—and on gun culture. The argument is that cultural violence amplifies
young male aggressive tendencies. It devalues humans into symbolic object images
of hate or derision, trains youth to use violent skills, celebrates death and destruction
as positive values, and provides exciting and colorful role models who use violence as
the solution to problems, glorifying the most powerful and destructive performances
via news media infotainment. Although these points may be true, it is not enough
to simply blame toxic culture for poisoning kids’ minds without also looking at the
ways in which corporate America invests in the exploitation of violence for profit
that feeds this cultural industry. A macroanalysis of “culture,” therefore, has to con-
nect that culture to the political economy of the society in which it is generated.
Policy Implications of the Prismatic Analysis of School Violence

The use of the prismatic analytical framework to defining crime may allow us to
identify the multiple interrelated causes of such violence, but this also has implica-
tions for policy and practice. Indeed, it affects the societal response dimension of the
9780813348858-text.indd 33 10/17/14 9:42 AM

prism. Such an analysis is likely to provide for a more comprehensive approach to

policy that reaches deeper into the roots of systemic violence than superficial quick-
fix responses. It allows us to see the interconnections between different types or lev-
els of school violence and develop integrated policies designed to respond to them.
An adequate policy response must be comprehensive, dealing simultaneously with
each of the causes identified at each of the levels of definition. It must penetrate the
built-in protections of systems that conceal their own practice from analysis and
change. It must be reflexive enough to recognize that policy itself can be part of the
problem rather than the solution; policy should be self-critical and self-correcting.
Although this chapter does not allow us to expand on the immensity of the policy
question called for by such an analysis, the question of “dispute resolution” can be
indicative in illustrating how a restrictive versus an expansive definition of school
violence would operate (see Muschert, Henry, Bracy, and Peguero, 2014).
Dispute Resolution and Restorative Justice

A narrow approach to school-violence-prevention policy would begin by assuming
a level 1 definition of the problem. For example, kids are violent in schools because
they are taught to use violence to solve their problems or, at best, are not taught
nonviolent ways of dealing with conflict. The simplistic restrictive policy response
would suggest that dispute-resolution training in techniques of nonviolent problem
solving would be appropriate.
In contrast, an expansive definition and an integrated causal analysis would tie
the use of violence by students to the use of symbolic and other forms of violence by
adults, whether these are parents, teachers, administrators, or politicians. Instead of
just implementing such training for students, it would argue for all school person-
nel, at every level, to undergo and practice nonviolent problem solving. Further, the
school organization, curricula, and educational processes would be subject to the
same “violence-cleansing” scrutiny to be replaced by what Pepinsky calls “educating
for peace” rather than “educating about peace” (2000). Hillyard and McDermott
(2014) discuss how both peacemaking and feminist perspectives seek to change “get
tough” policies based on domination of some groups by others with restorative ap-
proaches in which talking replaces suspension and expulsion.
In short, viewed through the prism of crime, the issue of school violence is not
just about kids in schools; it is about the total coproduction of harm in our society
by each of its constituent elements. To approach school violence another way is not
merely shortsighted, it is to do more violence to those who have already suffered so
much pain.
Other Implications
Considering the location of crimes on the prism makes three things apparent. First,
the positioning varies over time as society becomes more or less aware of the crime
and recognizes it as more or less serious. Second, as our application of the crime
9780813348858-text.indd 34 10/17/14 9:42 AM

prism to school violence has shown, harm created at different levels within an orga-
nization and across society is not isolated and unrelated. Rather, it has interrelated
and cumulative effects. This means in any analysis of crime we need to be aware of
the reciprocal effects of harm production in society and critical of attempts that treat
them as isolated instances. Third, the upper half of the prism (Hagan’s pyramid)
contains predominantly conventional crimes, or “street crimes,” whereas the lower
half of the prism contains the greater preponderance of white-collar crimes, or “suite
crimes.” Some have suggested that the characteristic of offenders committing the
majority of the former crimes is that they are relatively powerless in society, whereas
those committing the majority of the latter hold structural positions of power (Bal-
kan, Berger, and Schmidt 1980; Box 1983). We will conclude our examination of
definitions of crime by looking a little more closely at these two broad spheres of
crime and what the criminological research about them reveals.
Crimes of the Powerless

Power can be considered in several dimensions, including class, gender, race, and
ethnicity (Barak, Leighton, and Flavin 2011). Consider social class as an illustration
as captured in Reiman (1979) and Leighton’s book The Rich Get Richer and the Poor
Get Prison (2012). The original conception of crimes of the powerless was based on
the accumulated evidence from data gathered by the criminal justice system. This
showed that those predominantly arrested for conventional criminal activities were
from lower- or working-class backgrounds. It seemed clear that these street crimes
of theft and personal violence, such as homicide, rape, aggravated assault, robbery,
burglary, larceny, and auto theft, were committed by people holding relatively weak
legitimate economic and political positions in society. For example, Balkan, Berger,
and Schmidt argued that street crime, “conventionally considered the most serious
form of crime, is committed primarily by working-class persons” (1980, 340).
But the findings from numerous self-report surveys in which people are asked to
anonymously report to researchers the kinds of crimes they actually commit rather
than those they are arrested for suggest that this view is inaccurate. Except for the
most serious crimes, it was found that the proportions of street crimes committed by
middle-class and lower-class youths are similar (E. Currie 1985; Elliott and Huizinga
1983). However, it was further found that the lower-class offender is more likely to
be arrested, charged, and convicted by the criminal justice system (Liska and Cham-
lin 1984; Sampson 1986). Other dimensions of power, such as race or gender, are
interlocked with the class dimension and can be subject to a similar analysis. Take
race as an illustration. Self-report surveys found that African American and white
offense rates were similar except for serious offenses, but African American arrest and
conviction rates were higher (Elliott and Ageton 1980; Huizinga and Elliott 1987;
Reiman and Leighton 2012). Thus, poor African Americans are more likely to be
arrested than wealthy whites.
These findings show the importance of criminological research in shaping our
thinking about crime. They suggest that we need to revise our conception of crimes
9780813348858-text.indd 35 10/17/14 9:42 AM

of the powerless. Taking account of these data, the phrase “crimes of the powerless”
refers to crimes for which those in relatively weak economic and political positions
in society are predominantly arrested. In other words, powerlessness reflects qualities
affecting not so much the commission of crimes but the ability to resist arrest, pros-
ecution, and conviction.
Crimes of the Powerful

Crimes of the powerful are those crimes committed by people who are in relatively
strong legitimate economic and political positions in society (D. Simon 2002; Rei-
man and Leighton 2012). Again, let us illustrate the argument on the social-class
dimension of power. Such crimes include offenses by those in powerful occupational
or political positions, such as business executives, professionals, lawyers, doctors,
accountants, and politicians. Here, we see crimes such as insider trading, tax eva-
sion, bribery and corruption, Medicare fraud, price-fixing, pollution, occupational
hazards, dangerous consumer products, and so on. Crimes of the powerful include
much of what are called white-collar crimes (Sutherland 1949) because of the occu-
pational position of those who carry them out. They are also called “suite crimes”
because of where they occur—typically in offices, corridors of power, and corporate
boardrooms.
As with crimes of the powerless, it helps to understand the range of crimes com-
mitted. These are offenses not only by individuals but also by corporations, organiza-
tions, and agencies of government (Ermann and Lundman [1992] 1996; Schlegel and
Weisburd 1994) and government policies (Barak 1991). Thus, we need to include the
following: (1) corporate crimes such as faulty-product manufacture, dangerous work
conditions, price fixing, and consumer fraud; (2) government agency crimes, such as
systemic police corruption, subversion of regulatory enforcement, and violence; and
(3) state crimes resulting from government policy such as violations of privacy rights,
involuntary medical experimentation (e.g., radiation tests on unwitting subjects and
the Tuskegee syphilis study), state monopolies and government subsidies, and crimes
against other states.
It is also important to note, as with crimes of the powerless, that power shapes
not only the opportunity to commit crime but also the ability to resist arrest, pros-
ecution, and conviction: “Crimes committed by the powerful are responsible for
even greater social harms than those committed by the powerless. The former have
escaped public attention precisely because, given the individualistic political-legal
framework of capitalist society, it is difficult to identify and prosecute the persons
who are responsible for crimes that take place within organizations” (Balkan, Berger,
and Schmidt 1980, 145).
Considering our crime prism, the power of some to influence the government,
the law, and the media, to obscure their harms, to resist arrest and prosecution, and
to minimize sentences is why such crimes are located in the bottom segment. They
are very harmful but obscured, and they harm their victims indirectly and diffusely,
often without the victims realizing who the offender is or perhaps even that they
9780813348858-text.indd 36 10/17/14 9:42 AM

TABLE 2.2 Percent of Victimization Reported to Police, by Type of Crime, 2003,

2011, and 2012
Type of Crime 2003 2011 2012

Violent crimea 48% 49% 44%
Rape/sexual assault 56 27 28
Robbery 64 66 56
Assault 45 48 44
Aggravated assault 56 67 62
Simple assault 43 43 40
Domestic violenceb 57 59 55
Intimate partner violencec 60 60 53
Violent crime involving injury 56 61 59
Serious violent crimed 58% 61% 54%
Serious domestic violenceb 61 58 61
Serious intimate partner violencec 63 59 55
Serious violent crime involving weapons 59 67 56†
Serious violent crime involving injury 64 66 56
Property crimee 38% 37% 34%†
Burglary 54 52 55
Motor vehicle theft 77 83 79
Theft 31 30 26†
† Significant change from 2011 to 2012 at the 95% confidence level.
a Includes rape or sexual assault, robbery, aggravated assault, and simple assault.
b Includes victimization committed by intimate partners (current or former spouses, boyfriends,
or girlfriends) and family members.

c Includes victimization committed by current or former spouses, boyfriends, or girlfriends.
d Includes rape or sexual assault, robbery, and aggravated assault.
e Includes household burglary, motor vehicle theft, and theft.
Source: Bureau of Justice Statistics, National Crime Victimization Survey, 2003, 2011, and 2012.
have been victimized. The victims of these crimes are blamed for being stupid, care-
less, or unfortunate (as in the savings-and-loan fraud, injury and death in the work-
place, and pollution and food poisoning). Only in recent years has social reaction
begun to respond to these offenses and then only feebly, through selective regulatory
control rather than criminalization. Until victims are clearly identified, crimes of the
powerful are brought to public awareness, and governments are more democrati-
cally representative of the people rather than industry lobbyists, the location of these
crimes on the crime prism will be low.

We began this chapter by showing the difficulties that exist when trying to define
crime. Clearly, one’s definition is ideologically based. In this chapter, we have seen
9780813348858-text.indd 37 10/17/14 9:42 AM

that although harms against others can be quantified, this alone does not enable us
to draw conclusions without considerable caution.
We then continued discussing the legal definition of crime and its limitations in
accounting for the variability of crime across time and cultures. We looked at how
consensus theorists had tied crime to societal agreement about universal morality.
We went on to discuss the criticisms of this approach by those who saw division and
conflict in society. We saw how conflict theorists disagreed in their ideas about the
basis of division in society and how their differences produced definitions of crime
highlighting different issues, not least of which is the nature of harm itself.
After exploring some social constructionist and postmodernist alternatives, we ex-
plained Hagan’s crime pyramid and then offered a modified version through our
prism of crime. The prism aimed at integrating the range of different approaches
previously discussed. This was followed by showing how the crime prism can be
applied to school violence. We demonstrated through this application that such an
approach allows us to see the interrelatedness of several levels of harm that can each
cumulatively build over time to more serious crime.
We concluded by briefly outlining crimes of the powerful and crimes of the
powerless and how these too can be interrelated. We noted that empirical research
suggests that power shapes not only the opportunity to commit crime but also a
person’s likelihood of getting arrested and convicted for one kind of crime rather
than another.
1. What are the key issues to consider when defining crime?
2. Define and discuss the differences between the legal, consensus, conflict, and
pluralist definitions of crime.
3. What does Henry and Lanier’s Crime Prism add to Hagan’s Crime Pyramid as
a theory to define crime?
4. Distinguish between Consensus and Conflict approaches to defining crime.
5. Apply the Crime Prism to a crime of your choice and outline/discuss each
dimension.
6. What is more harmful, crimes of the powerful or the powerless? Use examples
and data to substantiate your answer.
9780813348858-text.indd 38 10/17/14 9:42 AM

3
Classical, Neoclassical, and

Rational-Choice Theories
“When a man is denied the right to live the life he believes in,
he has no choice but to become an outlaw.”
—Nelson Mandela
Classical theory was prevalent prior to “modern” criminology’s search for the
causes of crime, which did not begin until the nineteenth century. Classical theory
did not strive to explain why people commit crime; rather, it was a strategy for ad-
ministering justice according to rational principles (D. Garland 1985). It was based
on assumptions about how people living in seventeenth-century Europe, during
the Enlightenment, began to reject the traditional idea that people were born into
social types (e.g., landed nobility and serfs) with vastly different rights and privi-
leges. Classical thinkers replaced this foundation of the feudal caste system with the
then-radical notion that people are individuals possessing equal rights.
Prior to the Enlightenment, during a period of absolute monarchies, justice was
arbitrary, barbarous, and harsh. Rulers used torture to coerce confessions as well as
corporal punishments such as whipping, flogging, and pillorying. The death penalty
had also been expanded to apply to numerous offenses, including petty theft, de-
ception, and poaching. However, even by 1520, reformers began to recognize that
not all who violated society’s norms should be subject to harsh and arbitrary pun-
ishments. Although the poor and unemployed who stole to survive were still treated
harshly by today’s standards, in England and Belgium, for example, a distinction
was made between the “deserving” and “undeserving poor.” Though both were to
be punished for wrongdoing, the deserving poor, who were “poor through no fault
of their own” and included vagrants, discharged soldiers, women, and children, were
39
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sent to workhouses. The first “house of correction,” London’s Bridewell, was es-
tablished in 1556 and was designed to train the poor to work through discipline.
“Bridewells,” eventually numbering some two hundred in England, would subse-
quently form the basis of what would become a cornerstone of the American system
of corrections.
A major transformation took place by the seventeenth century, and utilitarian
philosophers recognized the gross injustices of the legal and political system of the
time. They saw much of the problem as resulting from the extent of church and
state power. Their resolution was legal and judicial reform, which was consistent
with emerging ideas about human rights and individual freedom, and they sought
philosophical justification for reform in the changing conception of humans as free-
thinking individuals. People were reinvented as rational and reasoning beings whose
previously disparaged individuality was now declared exceptional. These ideas about
the “new person” built on the naturalist and rationalist philosophy of Enlighten-
ment scholars such as Hutcheson, Hume, Montesquieu, Voltaire, Hobbes, Locke,
and Rousseau. Classical theory was originally a radical, rather than conservative,
concept because it opposed traditional ways, challenged the power of the state, devi-
ated from the orthodoxies of the Catholic Church, and glorified the common people
(F. Williams and McShane 1988). However, it was in some ways also conservative
in that it sought to expand the scope of disciplinary punishment (not its severity),
having it apply to everyone, while ignoring the social conditions of the crime prob-
lem (Beirne and Messerschmidt 2000, 72; D. Garland 1997).
The original concepts and principles presented by social philosophers Cesare Bec-
caria and Jeremy Bentham included such ideologies as innocent until proven guilty,
equality before the law, procedural due process, utilizing rules of evidence and tes-
timony, curbs on judges’ discretionary power, the right to be judged by a jury of
one’s peers, individual deterrence, and equal punishment for equal crimes. These
ideas were incorporated into both the US Declaration of Independence and the US
Constitution and laid the basis of the modern US legal system, shaping the practices
of law enforcement as well as the operation of the courts. Consequently, anyone
working in the criminal justice system is required to understand the origin of these
principles and why they were considered necessary.
In this chapter, we outline the fundamental theoretical notions of classical the-
ory and illustrate how classicism applies to contemporary crime and justice. Later
in the chapter, we discuss theoretical extensions of classicism. These include early-
nineteenth-century French neoclassicism, which revised the original ideals to take
into account pragmatic difficulties, and the late twentieth-century postclassical de-
velopments of the justice model, together with criminology’s theories of rational
choice, situational choice, and routine activities. Finally, we reflect on the empirical
support for classical and rational-choice assumptions and whether or not research
indicates that classical ideas are effective in practice. In our evaluation of this per-
spective, we examine the empirical support for three key areas: (1) research on the
deterrent effect of legal punishments, including the death penalty; (2) the extent
to which offenders make rational-choice decisions prior to committing crimes; and
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3: Classical, Neoclassical, and Rational-Choice Theories 41
(3) the extent to which rational-choice precautions by potential victims reduce the
probability of subsequent victimization.
The Preclassical Era

To fully grasp and value classical thought, it is necessary to understand the his-
torical context in which it developed and, in particular, how humans regarded
each other before the advent of classical thought. By the sixteenth century, sev-
eral European societies had endured considerable transformation since the feudal
era. Political power was consolidated in states whose monarchical rulers aspired
to complete domination. Many rulers claimed to have special relations with the
Deity, and they conducted their affairs with limited interference from representa-
tives of the people (L. Smith 1967). People were born into statuses of wealth and
power, positions that they claimed as their natural right. The law was the will of
the powerful applied to the subordinate members of society. The administration
of justice was based on exacting pain, humiliation, and disgrace to those accused
of offenses. This occurred in spite of a growth in scientific knowledge throughout
Europe and was substantiated by the Church.
Although the political and religious order of life in pre-seventeenth-century Eu-
rope appears fundamentally different from US society today, some similarities were
beginning to emerge. If still a class-based society, post-Renaissance Europe had
broken from the rigid feudal order of the ancien régime, in which a person’s birth
determined his or her place in life. By 1650, many governments adopted the new
mercantile system of trade, especially colonial trade monopolies, and this paved the
way for upward (as well as downward) mobility. Humans (meaning men) were now
seen as capable of making a difference in their lives and situations through acts of
will. The concept of “the individual” was thus born, with the highly esteemed quali-
ties of rationality and intelligence.
In sixteenth-century England, for example, the middle classes benefited from
considerable economic and social advancement. The state had stripped feudal fam-
ilies of their land, and middle-class land speculators were rewarded with property
for their loyalty to the monarchy. As a result, the emerging middle class, or bour-
geoisie (those beneath the aristocracy), of merchants and traders rose to form a new
power elite. This was at the expense of farmers, artisans, laborers, and the poor,
many of whom became beggars and thieves. This division between riches and pov-
erty was caused by a combination of events, including government-decreed fixed
wages for the lower classes at a time of massive price inflation; the decline of arable
farming and the shift to animal husbandry, particularly sheep farming; and the
enclosure of common lands, which converted cropland to pasture, enabling quicker
profits. “Acts of Enclosure” deprived common people of their traditional right to
use the land and declared such use to be the crimes of poaching and theft. At the
same time, urbanization was accelerating and cities were growing but also becom-
ing crowded with the dispossessed poor. Several families were often forced to share
single-room houses.
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Those newly urban dwellers that could not survive the lack of work, hunger, and
insecurity roamed from town to town as homeless vagabonds; others were forced,
by sickness or misfortune, into an impoverished life of debauchery, begging, and
theft. Consequently, a population that the rising merchant class and gentry referred
to as “savages,” “beasts,” and “incorrigibles” in need of harsh discipline grew. This
attitude contrasted to, and indeed conflicted with, the nonpunitive relief policies of
the medieval monasteries (Jansson 2001, 32–33).
The problem of vagabondage as a constant feature of social life all over England
had significantly existed since 1520, but was especially endemic in the towns (Sal-
gado 1972, 10). During this time the “idle and dangerous classes” flocked into the
towns in search of food and shelter. Hospitals and houses providing relief to the
poor were seen as breeding grounds for those who became beggars, thieves, and
drunkards. Thieves’ rookeries in the slums threatened to shroud the metropolis in
vice and crime: “Citizens found themselves besieged in their streets by the leper with
his bell, the cripple with his deformities and the rogue with his fraudulent scheme”
(O’Donoghue 1923, 137).
The growth in street crime was not slowed by the ubiquitous corruption in the
criminal justice system. Officials whose job was to control common crime actually
encouraged it by accepting bribes. The absence of effective, organized law enforce-
ment at a time when informal social and kinship network ties had been broken was
another factor expediting the crime problem. The lax manner in which laws were
enforced compounded the problems associated with the existing laws. “Justice” was
questionable, as the judicial system operated arbitrarily and unpredictably. Juries
could be corrupted, and witnesses would sell their evidence. Secret accusations and
private trials were not uncommon. Justice was anything but blind, and the econom-
ically and socially disadvantaged were held accountable to different standards, since
the legal system reflected the interests of the wealthy.
Concern for the poor soon became mixed with fear of a threat to public order.
“Respectable” citizens—and especially the new merchant classes—wanted “to pro-
tect themselves from the unscrupulous activities of this vast army of wandering para-
sites” (Salgado 1972, 10) and demanded that something be done to make city streets
safe for the conduct of business. In response to the rising fear of crime, European
parliaments passed additional and harsher penalties against law violators. During the
sixteenth century, in England alone, more than two hundred crimes warranted the
death penalty, and many persons died during the torture used by governments to
extract their confessions. Yet there were already stirrings of change. By the middle of
the sixteenth century English reformers were calling for a clear distinction between
the respectable, deserving poor and the unrespectable, undeserving poor.
The “respectable poor” included those suffering from sickness and contagious dis-
eases, wounded soldiers, curable cripples, the blind, fatherless and pauper children,
and the aged poor. They were seen as the responsibility of the more fortunate and
would be segregated by their class and condition and given immediate assistance,
including shelter, treatment, adequate maintenance, and, in the case of the children,
education and training, in a variety of houses and hospitals around the country.
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Such “respectable” citizens, who had fallen on hard times through no moral fault of
their own, by reason of failure in business, ill health, or other misfortunes, were to
be given weekly pensions and might be employed in doing such tasks as clearing the
church porches of beggars.
In contrast, the “unrespectable poor,” which included vagabonds, tramps, rogues,
and dissolute women, were described as worthless, and were to be punished with
imprisonment and whipping before being trained for honest work (O’Donoghue
1923, 139–140). A prison was recommended for this group, the Bridewell, which
should also be a house of work, with opportunities for the adjustment of character.
Most denigrated was the “robust beggar,” whose presence among beggary was seen
as a choice for a soft and easy life. The “stubborn and foul” would make nails and do
blacksmiths’ work; the weaker, the sick, and the crippled might make beds and bed-
ding. Bridewell was intended “to deal with the poverty and idleness of the streets,
not by statute, but by labor. The rogue and the idle vagrant would be sent to the
treadmill to grind corn, but the respectable poor—whether young, not very strong,
or even crippled—would be taught profitable trades, or useful occupations” (ibid.,
151–152). The justification was that compulsory labor would permanently cure beg-
ging and thievery where laws had failed. By the middle of the eighteenth century,
the target of reform was the law and justice itself.
The Classical Reaction

The combination of both a rising landowning middle class as well as an escalating
crime rate led the philosophical leaders of the classical movement to demand dou-
ble security for their newfound wealth. They needed protection against the threat
from the “dangerous” classes, symbolized by the growing crime rates. They also cov-
eted protection against threats from above, the aristocracy that still held the reins of
government power and legal repression. The middle classes saw a solution to their
dilemma in a reformed legal system that “would defend their interests and protect
their ‘rights and liberties’ against the arbitrary power hitherto wielded exclusively
by the landed classes and the Crown” (J. Young 1981, 253). In reality, to be free to
move up the class hierarchy, reformers needed a new legal concept of humans that
would limit the power of the old, aristocratically run state and liberate the freedom,
safety, and security of the individual to create and keep wealth. This emerged in the
concept of universal rights to liberty and freedom that would apply equally to all
people (though many classes beneath the middle classes were excluded). Universal
rights demanded predictability and calculatedness, neither of which was present in
the existing system of arbitrary justice.
Thus, the primary focus of utilitarian philosophers was to transform arbitrary
criminal justice into a fair, equal, and humanitarian system. They sought to do this
by aligning the law and its enforcement and administration with both logical and
rational principles. These principles were harmonious with the emerging concept of
humans as individuals and were most eloquently expressed by the philosophers Ce-
sare Beccaria and Jeremy Bentham, along with several other contributors.
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Cesare Beccaria
Perhaps the most influential protest writer and philosopher of the period was the
Italian marquis Cesare Bonesana Marchese di Beccaria (1738–1794), or as he is
more popularly known, Cesare Beccaria. Beccaria’s ideas were shaped by his friends,
the Milanese political activist brothers, Pietro and Alessandro Verri. These intellec-
tuals formed a radical group called the “Academy of Fists,” which was “dedicated
to waging relentless war against economic disorder, bureaucratic petty tyranny, re-
ligious narrow-mindedness, and intellectual pedantry” (Paolucci 1963, xii). With
considerable prodding and much editorial help from Pietro Verri, in 1764, Beccaria
published a small book on penology translated into English as On Crimes and Pun-
ishments at the age of twenty-six. It gained much notoriety after the pope banned
it for what he alleged to be highly dangerous, heretical, and extreme rationalism
(Beirne 1991). Anticipating just such a reaction, Beccaria had originally published
the book anonymously. His modest work became highly influential, first in Paris,
then worldwide. The book justified massive and sweeping changes to European jus-
tice systems. The founding fathers of the United States relied on it and Thomas
Jefferson used it as “his principal modern authority for revising the laws of Virginia”
(Wills 1978, 94). The writers of the US Constitution and the Bill of Rights utilized
it as a primary source. In addition, its impact remains distinct in contemporary US
judicial and correctional policy.
There was so much reaction to Beccaria’s book because his motivation for writ-
ing it was rooted in the resentment he felt toward the authoritarian aristocracy into
which he was born. Unquestionably, it was fueled by his friends’ radical ideas about
the state of Italian society and particularly the abuse and torture of prisoners. Argu-
ably, the book drew together, in a readable, poetic way, all the main intellectual ideas
of the era, providing a standard for change. Expressed alone, these ideas had little
power. Expressed together, as part of a logical framework, they were revolutionary.
Beccaria challenged the prevailing idea that humans are predestined to fill par-
ticular social statuses. Instead, he claimed, they are born as free, equal, and rational
individuals having both natural rights, including the right to privately own property,
as well as natural qualities, such as the freedom to reason and the ability to choose
actions that are in their own best interests. Drawing on the ideas of Hobbes’s and
Rousseau’s “social contract” and Locke’s belief in humans’ inalienable rights, Becca-
ria believed that government was not the automatic right of the rich. Rather, it was
created through a social contract in which free, rational individuals sacrificed part of
their freedom to the state to maintain peace and security on behalf of the common
good. The government would use this power to protect individuals against those
who would choose to put their own interests above others’. As a modern-day exam-
ple, we give up the right to drive where and whenever we want at whatever speed
we want and submit to government traffic laws designed to promote rapid and safe
transportation. Some individuals are tempted to disregard these laws. When they do
so, the government, through its agents of enforcement, punishes or removes these
individuals so that we may all travel with relative predictability and peacefulness.
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Undeniably, part of the government’s role in maintaining individual rights is to en-

sure that governing itself does not become excessively powerful and that citizens’
voices are always represented.
Taken together, these assumptions led to the principle of “individual sovereignty”
(Packer 1968). This means that individual rights have priority over the interests of
society or the state. This was especially important in the exercise of law to protect in-
dividuals. Thus, Beccaria was opposed to the practice of judges making laws through
the interpretation of their intent. Instead, he insisted that lawmaking and resolving
legal ambiguities should be the exclusive domain of elected legislators who repre-
sented the people. He believed that the wisest laws “naturally promote the universal
distribution of advantages while they resist the force that tends to concentrate them
in the hands of the few.” Beccaria argued that laws should always be designed, like
government itself, to ensure “the greatest happiness shared by the greatest number”
([1764] 1963, 8).
Beccaria also altered the focus of what counted as crime. Rather than defining
crimes as offenses against the powerful, he saw them as wrongdoings against fellow
humans and thus against society itself. He believed that crimes offended society be-
cause they broke the social contract, resulting in an infringement on others’ freedom.
It was in the administration of justice that Beccaria saw individual sovereignty
most at risk, so he sought reforms that would guarantee justice. He argued that the
law, the courts, and especially judges have a responsibility to protect the innocent
from conviction and to convict the guilty, but to do so without regard to their sta-
tus, wealth, or power. The only basis for conviction was the facts of the case. This
led to the principle of “the presumption of innocence” (Packer 1968), designed to
protect individual rights against excessive state power or corrupt officials. Several
procedural elements were necessary for a system of justice to ensure this protection,
including procedural restraint over arbitrary power, protection of the accused de-
fendant against abuses and error, and minimizing discretion or arbitrariness by rules
that limit police power and govern what constitutes acceptable evidence.
Beccaria also believed that individuals would be best protected through an ad-
versarial trial in which the accused had the right to be represented and was ensured
equality of inquiry and equality before the law. Moreover, this trial should be judged
not by the government but by a jury of the accused’s peers (with half of the jury
made up of the victim’s peers), and the procedures should provide the accused the
right to appeal to an independent body.
When it came to crime prevention, Beccaria did not believe that the best way
to reduce crime was to increase laws or increase the severity of punishment, since
doing so would merely create new crimes and “[embolden] men to commit the very
wrongs it is supposed to prevent” ([1764] 1963, 43). Instead, he argued, laws and
punishments should be only as restrictive as necessary to just deter those who would
break them by calculating that it would not be in their interests to do so.
To maximize the possibility of justice and deterrence, Beccaria believed that
punishments should be proportionate to the harm caused; thus, the severity of the
harm determines the level of punishment. Punishment should not affect others or
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influence their future offending. According to Beccaria, “general deterrence,” which

means using the punishment of one individual to discourage others from commit-
ting crime, should be replaced by individual or “specific deterrence,” which encour-
ages each individual to calculate the costs of committing the crime. The level of
punishment would be assessed by relating punishment to what an offense warranted.
This is the principle of “just deserts,” which means that convicted offenders deserve
punishment that is proportionate to the seriousness of the harm they caused. This
punishment is sentenced for the specific offense they committed and not for any
other reason, such as to teach others a lesson or because they had committed other
crimes in the past and so might be more likely to in the future.
In order for deterrence to work, three things must occur: certainty, severity, and
celerity. Beccaria argued that if punishments are to be an effective deterrent in indi-
vidual calculations, they must be certain, since “the certainty of punishment, even
if moderate, will always make a stronger impression than the fear of another which
is more terrible but combined with the hope of impunity” (ibid., 58). “Certainty”
refers to a high chance of apprehension and punishment. Beccaria believed that it
was more important that potential offenders know certain punishment would follow
a crime than that they merely associate crime with severe sanctions. If the severity of
punishment is high but the likelihood of apprehension and punishment low, then
people are still likely to commit the act.
“Severity” of punishment means that the level of punishment must be appropriate.
In other words, the severity of the punishment should outweigh the benefit derived
from the crime. If the punishment is too severe (e.g., death for minor offenses), it is
counterproductive and results in a lack of respect for the law. If the punishment is too
lenient, it will not serve as a deterrent. The optimum punishment is a combination of
sufficient certainty (that people calculate they are more likely than not to get caught)
and sufficient severity (that the punishment seems impartial rather than excessive).
Finally, for punishment to appear as a deterrent to potential offenders in relation
to the offense committed, then it must also occur swiftly after apprehension, that is,
with “celerity.” As Beccaria wrote, “The more promptly and the more closely pun-
ishment follows upon the commission of a crime, the more just and useful will it be”
(ibid., 55).
Jeremy Bentham
An influential social philosopher and a supporter of Beccaria’s ideas was the En-
glishman Jeremy Bentham (1748–1832). Bentham expanded on Beccaria’s initial
contribution by offering the notion of the “hedonistic, or felicity, calculus” as an ex-
planation for people’s actions. This calculus states that people act to increase positive
results through their pursuit of pleasure and to reduce negative outcomes through
the avoidance of pain. Bentham’s conception of pain and pleasure was complex,
involving not just physical sensations but also political, moral, and religious dimen-
sions, each of which varied in intensity, duration, certainty, and proximity ([1765]
1970; Einstadter and Henry 2006, 51). Bentham believed that people broke the
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law because they desired to obtain money, sex, excitement, or revenge. Like Becca-
ria, Bentham saw law’s purpose as increasing the total happiness of the community
by excluding “mischief ” and promoting pleasure and security. He believed that for
individuals to be able to rationally calculate, laws should ban harmful behavior, pro-
vided there is a victim involved. Crimes without victims, consensual crimes, and acts
of self-defense should not be subject to criminal law, because they produce more
good than evil. Laws should set specific punishments (pain) for specific crimes in
order to motivate people to act one way rather than another. But since punishments
are themselves evil mischief, the utility principle (the idea that the greatest good
should be sought for the greatest number) justifies their use only to exclude a greater
evil, and then only in sufficient measure to outweigh the profit of crime and to bring
the offender into conformity with the law ([1765] 1970). Bentham argued that
punishments should be scaled so that an offender rationally calculating whether to
commit a crime would choose the lesser offense. For example, if rape and homicide
were both punished by execution, the rapist might be more inclined to kill the vic-
tim. Doing so would reduce the risk of identification and execution. But if harsher
punishment resulted from murder than rape, the offender would be more likely to
refrain from the more harmful crime.
In contrast to Beccaria, Bentham believed that, in the case of the repeat offender,
it might be necessary to increase the punishment to outweigh the profit from of-
fenses likely to be committed. Also, Bentham introduced the notion that differ-
ent offenses required different types of punishment, ranging from confinement for
failure to conform to the law, such as nonpayment of taxes, to enforced labor in
a penal institution for those guilty of theft. Like Beccaria, he rejected the death
penalty because it brought more harm than good and therefore violated his util-
ity principle. Instead, Bentham preferred fines and prison. Judges could equalize
fines and stage them in progressive severity as well as vary the time served and set
terms at different levels for different offenses. Indeed, Bentham was responsible for
designing the ultimate disciplinary prison, the Panopticon (meaning “all seeing”),
designed “to control not only the freedom of movement of those confined but their
minds as well” (Shover and Einstadter 1988, 202; Foucault 1977; Semple 2003).
Bentham’s prison was a circular structure organized so that a guard in the center
could see into each cell without being seen by the prisoner, with the result that pris-
oners would believe they were under constant surveillance. Pennsylvania and Illi-
nois constructed Panopticon-type prisons, but England did not. Bentham believed
that this disciplinary system should also extend to factories, hospitals, and schools.
Limitations of Classical Theory

Although radical and influential at the time, the ideas discussed here were not with-
out certain contradictions. First and foremost was the assumption that people were
equal. Would individuals be treated equally based on intellectual ability, age, mental
capacity, and gender at this time? Second, how could a system designed to allow
some people to create more wealth than others, and therefore to become materially
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unequal, maintain that in law all persons were formally equal? How could there
be equal punishments for equal crimes without taking into account differences in
wealth? Third, why do some people commit more crimes than others, if they are all
equally endowed with reason? It soon became necessary to revise classical ideas to fit
emerging realities.
Neoclassical Revisions
The first significant legislation based on classical concepts was the famous French
Code of 1791. Following the successful French Revolution of 1789, the victors
focused on equality and justice. In seeking fairness and the elimination of dis-
criminatory misuses of justice, the French Code of 1791 treated all offenders
equally—regardless of individual circumstances. But the French soon recognized
that justice required some discretion and latitude. Pure classicism took no account
of individual differences.
In 1819, the French revised the code to permit judges some discretion. This
neoclassical position recognized “age, mental condition and extenuating circum-
stances” (Vold and Bernard 1986, 26). Despite these changes, the basic underlying
assumptions—that humans are rational, calculating, and hedonistic—remained the
cornerstone of criminal justice policy.
Thus, fifty-five years after Beccaria first presented his original thesis, an actual jus-
tice system incorporated the new revisions. These changes have remained virtually
the same ever since. But the growth of scientific criminology in the nineteenth and
early twentieth centuries led to a considerable slippage, since the focus of criminal
justice shifted away from the criminal act and how equal individuals chose it toward
what kinds of individuals would choose such acts and why other kinds would not.
We shall discuss the rise of scientific criminology in the next chapter, but it is im-
portant here to recognize certain parallel histories that led to the resurrection of a
version of neoclassicism, or postclassicism, that has become known as contempo-
rary rational-choice theory. This is the notion that scientific laws, the development
of rational thought, and empirical research could help society progress to a better
world. Channeling the forces of science and the incorporation of its discourse into
government policies served to legitimate government domination and control. The
application of scientific methods to all fields, including criminal justice, combined
with a political climate in which government grew in its responsibility to serve the
public, soon translated into more power for the state and more discretion for its
institutions and agencies. There was a growing observation that modern (i.e., sci-
entific) solutions, while producing massive changes in technological development,
also brought human suffering and increased (rather than reduced) social problems,
resulting in a questioning of faith in science. Nowhere was this more apparent than
in the failure of scientific principles applied to the problems of crime and justice.
They had brought a considerable abandonment of the principles of equality of the
individual before the law, as increased discretion was used in courts and by judges to
adjust sentences to fit the particular circumstances of individual offenders.
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It was against this background, then, that by the 1970s a familiar call was being
heard from those challenging the power and growing discretion of the state in mat-
ters of justice. These postclassicists were calling for a return to equality standards,
protesting that discretion based on the dubious claims of science and social science
had gone too far. Two developments in this regard were particularly important.
The first is justice theory and related developments toward a conservative “law-and-
order” approach to crime control; the second is rational-choice theory and its exten-
sion, routine-activities theory.
Criminal Justice Implications: The Move to “Justice” Theory

In the decades following 1859, Darwinist evolutionary ideas, science, and technol-
ogy promised to liberate humankind from the philosophical speculations of the En-
lightenment era. The scientific search for the causes of crime (which we discuss in
detail later) displaced the armchair philosophers of rationality and reason. The new
scientific method relied on the manipulation of variables, observation, and mea-
surement and employed specific rules that had to be followed. It changed criminal
justice policy to take into account both individual and social differences, especially
in sentencing practices. Instead of arbitrary justice, scientific evidence justified dis-
parate sentences based on offender “needs.” Offenders were diagnosed as having
specific problems and were deemed to need sentences (treatment) based on their di-
agnosed problems. Thus, because of a reliance on the scientific method, diagnosis,
and rehabilitation, the emphasis shifted from deterrence to treatment under what
was termed “rehabilitative justice.”
The outcome, however, was the same as before. Convicted offenders received
different sentences for similar crimes and different treatments depending on the di-
agnosis of cause. By the 1970s, critics raised two central problems. First, for all the
effort at rehabilitation, did it prevent recidivism, or reoffending? The answer from
the rehabilitation skeptics was: “Nothing works.” Martinson concluded that with
few and isolated exceptions, “rehabilitative efforts have had no effect on recidivism”
(1974, 25).
The second charge against rehabilitative justice was that it was unfair. In the
context of the slide from classical principles, some called for the “rehabilitation of
punishment.” Justice theorists pointed to a tendency for rehabilitation and treat-
ment to drift toward discretion and inconsistency. They claimed that in spite of its
advocates’ emphasis on understanding and concern, rehabilitation often inflicted
more cruelty than the punitive approach. They despised the “discriminatory use
of penal sanctions” and the “wide margins of discretionary power in the hands of
police, district attorneys, judges, correctional administrators, parole boards, and pa-
role agents” (American Friends Service Committee 1971, 124).
In response to these problems, a move back toward policies based on classical
principles developed. From the ashes of rehabilitation skepticism rose the justice, or
“just deserts,” model (Fogel 1975). This model was a reflection of many of the origi-
nal principles presented by Beccaria and Bentham. The justice model contained four
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key elements: (1) limited discretion at all procedural stages of the criminal justice
system, (2) greater openness and accountability, (3) punishment justified by the last
crime or series of crimes (neither deterrence goals nor offender characteristics justify
punishment), and (4) punishment commensurate with the seriousness of the crime,
based on actual harm done and the offender’s culpability. The move back to justice
gave priority to punishment “as a desirable value and goal in its own right”; this was
different from the traditional justification of penal goals, such as deterrence or reha-
bilitation (Bottomley 1979, 139; Haist 2009).
An application of these revised classical principles was a renewed emphasis on
equal punishment for equal crimes. This required replacing the broad range of sen-
tences available for particular classes of felonies with a “tariff system” of determinate
sentences. Each punishment was a fixed sentence with only a narrow range of ad-
justments allowed for seriousness or mitigating circumstances (Fogel 1975, 254).
Perhaps the best example of a tariff system is the parking fine or speeding ticket for
which each offender, regardless of circumstances, receives the same penalty and the
penalties increase by fixed amounts for offenses of increasing seriousness.
The Conservative Law-and-Order Turn

Combined with a conservative or “law-and-order approach” to crime control, the pre-
vailing just deserts model holds that crime is freely chosen and rewarding, and, there-
fore, it demands both deterrent and retributive responses. This is not only because of
the harm done but also because the offender knew the consequences before commit-
ting the crime. Although this position fudges the original classical principles (see Ein-
stadter and Henry 2006, 47, for a discussion of the differences between classical theory
and conservative theory), it is popular with politicians and, as Schmalleger points out,
“is now in its ascendency” ([1999] 2002, 163). When combined with other law-and-
order elements such as “boot camp” for juvenile offenders, “incapacitation” (removing
an offender’s ability to commit further offenses), mandatory sentencing (which fixes
the minimum sentence for various crimes), truth in sentencing (requiring judges to
state the actual sentence that will be served), three-strikes-and-you’re-out laws (re-
quiring three-time felons to serve long sentences, typically life without the possibility
of parole), and the death penalty as a general deterrent, the conservative distortion
of neoclassical thought provides a formidable and popular election platform. How-
ever, the reality of criminal justice is often different from the rhetoric and the result
of failed conservative policies, and the accumulated evidence on the ineffectiveness
of some of the key elements is beginning to lead to a rethinking during the opening
part of the twenty-first century. Below we look at four of these elements: determi-
nate sentencing, incapacitation, three-strikes laws, and the death penalty.
Determinate or Mandatory Sentencing

Determinate sentences are designed to make justice “fair” and to make potential
offenders aware of what sentences they can expect for committing specific crimes.
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Several questions remain, however. Does determinate sentencing reduce the sen-
tencing disparity between those sentenced for similar types of crimes? Does it
increase levels of incarceration? Does any increase in incarceration from determi-
nate sentencing result in early release of more serious offenders? Does determi-
nate sentencing undermine the role of judges and juries? Finally, does determinate
sentencing increase the tendency for alternative systemic discretion, such as plea
bargaining?
Evidence from research on state-level sentencing reform shows that the policy of
determinate sentencing both reduces sentencing disparity (Blumstein et al. 1983;
Tonry 1988) and increases prison populations at both state (Kramer and Lubitz
1985; Goodstein and Hepburn 1986; Hepburn and Goodstein 1986; Bogan 1990;
Pew Charitable Trusts 2008) and federal institutions (Mays 1989; Pew Charitable
Trusts 2008). These conclusions, though, are “largely based on evidence, much of
it from state sentencing commissions, that judges generally comply with guidelines
and that indicates small or negligible disparities associated with offenders’ race or
ethnicity” (Engen 2009, 324). Likewise, as observed by Wooldredge (2009), re-
search under sentencing guidelines regularly finds that legal variables are the greatest
predictors of sentencing outcomes. “Although many studies also find significant ef-
fects of race, ethnicity, age, or gender, these effects are highly variable and typically
are modest. In other words, the findings of research under determinate or presump-
tive sentencing do not differ much from those in states with indeterminate sentenc-
ing” (Engen 2009, 324).
BOX 3.1 Michigan Abandons Mandatory Sentencing for Drug Offenses

after a Twenty-Three-Year Experiment
On Christmas Day 2002, in one of his last acts before leaving office, Governor
John Engler signed a bill that brought an end to Michigan’s inflexible mandatory
minimum-sentencing laws for drug convictions.
During the 1970s, following New York’s lead, several states, including Michi-
gan, enacted tough laws that mandated a minimum sentence for people convicted of
major drug offenses. A 1978 law mandated minimum sentences of twenty years to
life without parole, even for a first offense, for possession of 650 grams (23 ounces)
of certain “hard” drugs such as cocaine and heroin. The laws were passed during a
time when there was much concern about crack cocaine epidemics in the nation’s
cities and fear that well-organized armed and violent gangs, such as Detroit’s Young
Boys Inc., were overtaking the streets. The tough mandatory sentencing laws were
seen as a way of removing “drug kingpins.” The effects of the law were to incarcerate
lower-level young offenders. The prisons became overcrowded, and there seemed to
be little effect on the drug problem.
(CONTINUES)
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BOX 3.1 (CONTINUED)
In response, the judicial system began to look for ways around the sentencing
laws. “Many prosecutors now reduce charges through plea-bargaining to avoid what
they see as excessively harsh penalties, said Michigan Department of Corrections
spokesperson Russ Marlan. Judges also use an option that permits them to depart
from mandatory-minimum sentences if they can find compelling reasons to do so”
(Heinlein 2002, A9).
By 1998 Michigan’s lawmakers slightly relaxed the mandatory minimums for
nondrug offenses, but by December 2002 the Michigan legislature repealed the
mandatory drug sentencing laws completely, allowing judges full discretion. Under
the new law tough sentences are possible, but judges will be able to use their discre-
tion to not only order shorter sentences but also give alternatives to punishment,
such as drug treatment. The Michigan legislation leads the nation in reforming drug
laws, placing the sentences for drug offenses back in the indeterminate-sentencing
guideline structure.
Source: Adapted from Heinlein 2002.
At the federal level, Lanier and Miller (1995) found several other problems with
determinate sentencing. Most of them have to do with plea bargaining, which re-
sults in more than 90 to 95 percent of criminal defendants pleading guilty to lesser
charges in exchange for having the more serious charge (and therefore sentence)
reduced (Siegel 2010; Savitsky 2012). Any plea bargaining necessarily circumvents
the principles of classical theory and the intentions of determinate sentencing guide-
lines. A major question therefore becomes: does determinate sentencing increase
the use of plea bargains? Several commentators predicted that when judges could
no longer select from a wide variety of sanctions, prosecutors’ discretion would
increase (Siegel 2010; Sarat 1978; Horowitz 1977). Research has confirmed that in
spite of formal compliance with mandatory laws, when both judges and prosecu-
tors consider the required penalties to be too harsh they circumvent the guidelines.
Thus, they can avoid mandatory minimum sentences by dismissing charges or ac-
quitting defendants (J. Cohen and Tonry 1983, Tonry 2006). The logical solution
seems to be to eliminate plea bargains, which would also prevent any tendency for
police to “overcharge” on the assumption that a plea bargain will occur. Numerous
jurisdictions throughout the United States have experimented with eliminating the
plea-bargaining process, but so far only Alaska has implemented it (in 1975). Ari-
zona, Delaware, Iowa, and the District of Columbia have all pursued limiting the
use of plea bargaining.
Simply put, policies that mandate justice and equity do not guarantee equal
justice unless the realities of the system as a whole are taken into account. These
total-system effects are further complicated by the fact that sentence length is also
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affected by other considerations such as probation officers’ presentence reports (see

Lanier and Miller 1995).
In conclusion, it appears that the introduction of mandatory sentencing, al-
though theoretically consistent with the ideals of classical theory, is ultimately faced
with the realities of a system that is so vast and so encumbered with the institu-
tional practices associated with other correctional ideologies that changes to any
part of it that do not take into account the whole are unlikely to succeed. The
existence of judicial discretion, whether through plea bargains, reduced sentences
for circumstances, or early release from parole, seriously undermines neoclassical
principles, but so too does the selection of some dimensions of the classical prin-
ciples, such as certainty of punishment and deterrence, without also incorporating
the others, such as minimal and proportionate punishment. Nowhere is this more
evident than the politically popular extension of the mandatory prison sentence
idea known as the “three-strikes law.”
Three-Strikes Laws
It might seem peculiar that a nation as complex and sophisticated as the United
States would formulate a corner of its criminal justice policy on a baseball analogy,
but that is precisely what three-strikes-and-you’re-out laws offered. As another at-
tempt to embody the classical principle of “certainty of punishment,” three-strikes
laws (also known as habitual-offender laws) were introduced in the early 1990s,
largely in response to the drug problem. A year after Washington State passed its
Initiative 593 in 1993, California passed its Proposition 184 “Three Strikes and
You’re Out” law, with 72 percent voting in favor of the measure to incarcerate fel-
ony offenders on convictions for their third offense, with no parole ( J. Simon 2007).
As Henry (2012c) points out:
Unfortunately we tend to enact legislation and make serious changes to our criminal
justice system when there have been major incidents. . . . A more reasoned approach
would be to do so at a time when there’s no major issues going on with incidents. And
the two incidents that occurred at the time that three strikes went through in 1994 . . .
were that the daughter of Mike Reynolds . . . was kidnapped after a slumber party and
subsequently strangled. So emotions across those few months prior to this law were
huge. And Mike Reynolds, who was a very peaceful guy, got really engaged in writing
this Act. Second, the issue coincided with one of the highest crime rates that California
had witnessed. So you’ve got these elements that were so important that they drove the
vote supporting Proposition 184.
More consistent with Bentham’s idea that repeat offenders should receive higher
sentences to outweigh the profit from offenses likely to be committed, this concept
resulted in long and harsh sentences for persons convicted of three felonies, even
if the crimes were nonviolent drug offenses and even if the third offense was less
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serious than the previous two. These laws, a variation of the mandatory minimum
sentence laws, imposed rigid penalties for the third conviction, such as twenty-five
years to life, under the 1994 California law. Moreover, the California law does not
require the third offense to be a felony if the previous two were serious. Thirteen
states had three-strikes laws in 1995, and Georgia even had a two-strikes law that re-
sulted in a life sentence without parole (Rush [1994] 2000, 321). By 2007, twenty-
six states had three-strike laws (J. Walsh 2007).
Here again we see the distortion of classical principles, which exaggerates one el-
ement (higher punishment for repeaters) at the expense of the others (such as pro-
portionate punishment for the crime related to the harm committed). The objective
again was deterrence; the reality was, again, different. Consider the case of Jona Rot-
tenberg, arrested for possession of less than 1 gram of cocaine, who under California
law faced twenty-five years to life (Pape 1999), or the case of Leandro Andrade, who
shoplifted $153 worth of children’s videos from Kmart, imprisoned until 2046, or
the theft of three golf clubs worth $400 that convicted Gary Ewing for life. Crit-
ics argued that not only is three-strikes punishment excessive and unnecessary, but
it also contributes to the problem of clogged courts and prison overcrowding, as
well as increasing the determination of third-time offenders to avoid being caught
(Schmalleger [1999] 2002, 138–139). The likely effect is quite the reverse of the
classical principle that offenders choose the lesser offense; rather, the existence of
three-strikes laws means they will likely calculate that it is in their interests to choose
additional and more serious offenses to avoid apprehension and conviction, increas-
ing the risk to police officers. Moreover, the policy was seriously questioned by the
empirical evidence on its effectiveness at incapacitating the most serious offenders
(see Iyengar 2008). Regardless of its high costs, both Republicans and Democrats
have credited the “Three-Strikes” law with reducing crime in California (Chen
2008). However, national crime trends show that crime has been declining in every
region of the United States regardless of incarceration practices since the early 1990s
(Males 2011).
In 2000 a California amendment to the three-strikes law, supported by voters
(Proposition 36), allowed drug offenders to be given drug treatment rather than
prison sentences. Then in 2002 the Supreme Court considered the case of a court of
appeals ruling that California’s three-strikes law was unconstitutional due to its viola-
tion of the Eighth Amendment ban on cruel and unusual punishment, which ruled,
consistent with original classical principles, that “the punishment for a third-strike
crime cannot be grossly disproportionate to the offense committed” (ibid.). How-
ever, by a five-to-four majority, in 2003 the Court ruled that three-strikes sentences
do not violate the “cruel and unusual punishment” ban of the Eighth Amendment.
A subsequent attempt to amend the California law to make the third conviction
a felony (Proposition 66) also failed in 2004. Similarly, Georgia’s two-strikes law
remains in effect, and in the United Kingdom a two-strikes law first introduced in
1997 was further strengthened in 2003 by limiting judicial discretion because judges
had been using their discretion of “unjust” punishment and not imposing harsh life
sentences for a second serious offense. In 2004 an attempt to repeal three strikes was
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defeated by voters. By 2008 the original position granting judicial discretion had
been restored by statute as a result of increasing concerns about prison overcrowd-
ing. In 2012 voters in California voted to amend three-strikes law by removing its
more extreme elements. This resulted in those with a nonviolent third strike being
eligible for release. Passage of Proposition 36 did not mean an automatic release of
incarcerated nonviolent third strikers, but they are eligible for resentencing. How-
ever, anyone with a prior conviction of murder, rape, or child molestation is not
eligible for release. Passage of Proposition 36 means that life sentences are only im-
posed for serious or violent felony convictions, which includes certain nonserious,
nonviolent sex or drug offenses or involved firearm possession. One of the main
justifications for three-strikes laws is their incapacitation effect: criminals who are
locked away for twenty-five years are not going to victimize their communities. In-
deed, writing for the majority of the Supreme Court justices in the case of Ewing v.
California, Sandra Day O’Connor stated, “To be sure, Ewing’s sentence is a long
one. But it reflects a rational legislative judgment, entitled to deference, that offend-
ers who have committed serious or violent felonies and who continue to commit
felonies must be incapacitated” (538 U.S. 11 [2003]). Let us examine this element
in the conservative distortion of classical thought.
Incapacitation
Incapacitation, or “containment,” is the penal policy of taking the offender “out
of circulation” through a variety of means. The most common means is the use of
incarceration in prison, which is designed to prevent criminal conduct by restraining
those who have committed crimes. “Criminals who are restrained in jail or prison . . .
are incapable of causing harm to the general public” (Hall 2009, 29). Some critics
see this “actuarial” approach as a “new penology” that is less interested in the lives of
offenders than in risk management and case processing—in short, with “techniques
of identifying, classifying and managing groups sorted by levels of dangerousness”
(Carrabine 2001, 147; see also Feeley and Simon 1992). For others, incapacitation is
an illusion for its claim of removing offenders from the rest of the population, since,
as Arrigo and Milovanovic (2009) point out, there are not only the costs of prison
that affect everyone but also the impact of imprisonment on the family lives of the
convicted, their communities, and race relations, as a disproportionate number of
those convicted are African American. They point out that we pay the economic cost
of the massively expanded prison programs, 2 million incarcerated in US state and
federal prisons and jails in 2002, and 2.3 million by 2009 compared to fewer than
200,000 in the 1970s. About 6.98 million people were under some form of adult
correctional supervision in the United States at year-end 2011: the equivalent of
about 1-in-34 US adults (or about 2.9 percent of the adult population) in prison
or jail or on probation or parole (Glaze and Parks 2012). Moreover, Arrigo and
Milovanovic (2009) argue that the “new penology” of incapacitation has accen-
tuated the issue of race in American society, since 20 percent of African American
males are under correctional supervision (Walker, Spohn, and DeLone 2012). This
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permeates the minority mind-set of those African Americans outside of prison who
withdraw sentiment for the society’s formal institutions, especially government and
law enforcement.
Deterrence and the Death Penalty

From the criminal justice policy perspective, unless offenders think rationally be-
fore committing their crimes, there is little point to the deterrence argument. A
second related issue is that unless we know the meaning of the gain or satisfactions
to the offender, there is no precise way to design punishments that will counter the
potential benefit. A third issue in deterrence theory is the extent to which potential
offenders using rational thought processes perceive the same risks and severity in
punishments set by the legal system and how well they know its penalties (Geerken
and Gove 1975). Indeed, this is a pillar of classical theory, for if people’s percep-
tions of sanctions are more different than they are similar, the issue becomes one
of scientific criminology (i.e., to determine how and why they are different). A
related issue is what makes perceptions of sanctions different. If it has to do with
differences between people rather than differences in information, then the focus
again should be on what causes individual differences. Not surprisingly, classical
theories (and rational-choice theories that we look at later) assume that individ-
ual differences are “relatively much less significant in accounting for variations in
criminal action between different individuals, different groups and over different
time-periods than are variations in the control exercised by perceived incentives
and disincentives” (Roshier 1989, 74).
Illustrating the idea of deterrence is the contemporary example of capital punish-
ment. In spite of the link between classical theory and deterrence, it is important to
remember that classical theorists, as we saw earlier, were opposed to the death pen-
alty (Beccaria did support it in the extreme case of persons attempting to overthrow
the state). Furthermore, although US public opinion consistently supports the use
of the death penalty—currently, according to a recent Gallup poll (2014), 63 per-
cent are in favor of death for convicted murderers—most of the empirical research
evidence shows that execution does not have a deterrent effect on crime or mur-
der, and more recent evidence supporting the relationship of homicide reduction to
capital punishment has been shown to be methodologically flawed (Weisberg 2005;
Donohue and Wolfers 2006; Fagan 2005).
The original research by economist Isaac Ehrlich (1975) linked an offender’s de-
cision to commit a crime to his or her perception of the risk of being executed;
Ehrlich claimed that every additional execution would save seven or eight victims
from murder. A replication study by Bowers and Pierce (1975) refuted Ehrlich’s
findings, however, and went on to show that executions actually increase the ho-
micide rate (Bowers and Pierce 1980). They found that over a period of fifty-seven
years the homicide rate in New York State went up by two for each additional
execution. This is known as the “brutalization” thesis, first put forward by Beccaria
and empirically documented by Dann (1935) and Forst (1983). The argument is
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that the more violence people see by legitimate government, the more numbed
they become to its pain, and the more acceptable it becomes to commit violent
acts, including murder. The brutalization effects of capital punishment are sup-
ported by global research showing a decline in homicide rates in countries around
the world following the abolition of the death penalty. Bailey and Peterson (1989)
found that executions do not deter criminal homicides. However, Cochran and
Chamlin (2000) in a more sophisticated analysis divided homicide into two types:
nonstranger felony murders (murder between intimates and acquaintances) and
argument-based homicides between strangers. They found that state executions
were positively related to the brutalization hypothesis (homicides may actually in-
crease), yet deterrence was effective at reducing nonstranger murders.
Some of the best studies on the deterrence effect of punishment have been con-
ducted by Ray Paternoster. Paternoster and his colleagues (Paternoster et al. 1983,
1985) have shown that the perceived risk of certainty of arrest is not constant but
declines with experience in committing offenses. Indeed, a study on recidivist prop-
erty offenders shows that although they may use the rational-thought process, their
perception of sanctions did not deter them because they thought that they would
not get caught, that any prison sentences would be relatively short, and that prison
was nonthreatening (Tunnell 1992).
Paternoster and LeeAnn Iovanni (1989), in researching the effects of certainty and
severity on high school children’s decision to offend, found that certainty of punish-
ment had more impact than severity of punishment (which had no significant im-
pact on the delinquency decision). Moreover, he determined that the greatest effect
came from the perceived certainty of informal sanctions from peers or parents rather
than any sanctions from the legal system, a finding supported by others (Hollinger
and Clark 1983; Grasmick and Bursik 1990; Williams and Hawkins 1989).
Although this matter seemed settled, an article by Hashem Dezhbakhsh, Paul Ru-
bin, and Joanna Shepherd (2003), supported by Posner (2006), reignited the con-
troversy with its claim that new evidence shows each execution saves eighteen lives.
However, Donohue and Wolfers argued that these estimates have no credibility
since Dezhbakhsh, Rubin, and Shepherd’s regression analysis, if they ran it correctly,
would show the opposite result: more lives lost per execution. Indeed, Donohue and
Wolfers stated: “Our reading of these results suggests (weakly) that the preponder-
ance of the evidence supports the view that increases in executions are associated
with increases in lives lost,” and “the view that the death penalty deters is still the
product of a belief not evidence.” They concluded, “In light of this evidence, is it
wise to spend millions on a process with no demonstrated value that creates at least
some risk of executing innocents when other proven crime-fighting measures exist?”
(2006, 5–6).
Not only is the deterrence effect of capital punishment highly questioned, and its
brutalization effect agreed upon, but, like incapacitation, capital punishment dis-
proportionately impacts races and sexes, with African Americans comprising 42 per-
cent and males comprising 98 percent of those on death row (Snell 2011). Finally,
serious questions have been raised since the late 1990s about how many innocents
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have been executed, as DNA evidence was found to exonerate numerous convicted
death-row inmates, resulting in a moratorium on the death penalty by many states.
Most of this research has been conducted by the Innocence Project rather than the
criminal justice system or government. Barry Scheck and Peter Neufeld founded the
Innocence Project in 1992 at Yeshiva University to assist inmates with having DNA
tests conducted—often facing opposition from criminal justice officials. So far, 301
inmates have been exonerated by DNA testing, including 17 who were on death
row. The Innocence Project has found that “DNA exoneration cases have provided
irrefutable proof that wrongful convictions are not isolated or rare events, but arise
from systemic defects that can be precisely identified and addressed” (2012). Some
of these defects include eyewitness misidentification, unreliable or limited science,
false confessions, forensic science fraud, government misconduct, or bad lawyering.
Critics of deterrence theory argue that it is founded on a narrow view of humans
and the reasoning behind their actions. They believe “we need to develop a consid-
erably more sophisticated theory of human behavior which explores the internal and
external checks on why people do or do not engage in criminal activity. This theory
must also recognize that there are a bewildering number of motivational states, ratio-
nal and irrational, that lead to the commission of criminal acts” (McLaughlin 2001,
88). Some criminologists believe they have begun to do just that.
Redefining Rational Choice:

Situational Factors and Routine-Activities Theory
The political and philosophical backlash against the rehabilitation models of the
1960s created a second development that had less to do with the administration
of justice and more to do with how offenders decided to commit crime. This was a
renewed and more refined interest in classical economic ideas of rational choice. A
principal advocate of this renewed idea was Ronald Clarke, who at the time was head
of the British government’s crime research unit. Clarke and his colleague Derek Cor-
nish (Clarke and Cornish 1983; Cornish and Clarke 1986, 2006) developed a more
sophisticated understanding of how people make rational choices about whether to
act—and about whether to commit crimes. They generated a whole new direction
in postclassical contemporary criminological research that looked at the situational
factors that influence offenders to choose to commit crimes. In the United States,
Marcus Felson and Lawrence Cohen (Cohen and Felson 1979; Felson 1986) were
working on similar ideas, although they were looking at how the regular daily pat-
terns of citizens’ behavior create or inhibit the opportunities for offenders to commit
crimes. Let us explore these ideas in more detail.
Rational-choice theories explain how some people consciously and rationally
choose to commit criminal acts. Consider the example of burglary. Beyond the
monetary motive as a factor that leads to burglary, research shows that burglars
decide to commit their offenses through a variety of rational decisions (D. Walsh
1980; T. Bennett and Wright 1984). These are based on situational circumstances,
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including their mood (Nee and Taylor 1988). Consider the questions a burglar
might ask: Which area offers the best burglary targets—middle-class suburban
housing or wealthy residential areas? Does it matter if the occupant is at home?
Is burglary likely to be more successful during the day when people are out on
short trips, when they are away on vacation, or at night when they are home? Do
neighbors watch each other’s houses? Will the method of entry to the property at-
tract undue attention, and is there a system of surveillance? Once entrance to the
residence has been gained, what kinds of goods will be taken—jewelry, antiques,
electronics, or strictly cash? Are there two entrances so that one can serve as an es-
cape route? What means are available to dispose of the goods? These are just some
of the questions a burglar might ask in his or her rational-choice approach to the
crime. Some “professional” burglars also specialize in certain property types and plan
their entry into a target house over a period of time, whereas others are occasional
opportunists. According to rational-choice theorists, potential offenders consider
the net benefits gained from committing crimes. Offenders use free will and weigh
the perceived costs against the potential benefits. This weighing is called “choice
structuring.” Offenders choose to engage in criminal acts if their rough calculations
suggest the actions might result in net gains. As we can see, circumstances, situation,
and opportunities affect their decision, since these are factors to be considered when
calculating the cost-benefit estimations of risk.
Contemporary rational-choice theory differs from classical ideas in the degree of
rationality attributed to offenders. Both rational or situational choice theory (Clarke
and Cornish 1983, 1985) and routine-activities theory (L. Cohen and Felson 1979;
L. Cohen and Machalek 1988) emphasize the limits of rational thought in the de-
cision to commit crime. They claim that criminal decisions are neither fully rational
nor thoroughly considered. A variety of individual and environmental factors affect
the choices made. Instead of pure rational calculation, offenders exercise “limited
rationality” (Clarke and Cornish 1983, 49–50). Offenders, like everyone else, vary
in their perceptions, motives, skills, and abilities to analyze a situation and structure
choices toward desirable outcomes (Cornish and Clarke 1987, see figure 3.1). Cor-
nish and Clarke assume the “purposive” rather than the “senseless” actor, who is
goal directed toward “excitement, fun, prestige, sexual gratification and defiance or
domination of others.” They argue that even where clinical delusions or pathological
compulsions might seem to be powerful explanations, “rationality is not completely
absent” (2006, 20). The concept of a limited or “bounded” rationality is developed.
Under this model, then, the offender “seeks to achieve an acceptable decision, a
best-they-can at the time decision, rather than an optimal or maximal outcome, not
least because the offender rarely has all the information, makes rushed decisions,
and does so for the short rather than long term, using general models of past suc-
cess” (Einstadter and Henry 2006, 57). Thus, Cornish and Clarke argue, “criminal
choice cannot properly be studied in the abstract” but only “for specific categories of
crime,” which means context specific, as in automobile joyriding compared to sys-
tematic auto theft for resale (2006, 21). Moreover, they argue that the criminal is in
a variable state of being such that “offenders’ readiness to commit particular crimes
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60
FIGURE 3.1 Cornish and Clarke’s Reasoning Criminal
Background Factors
Psychological: temperament; intelli-
gence; cognitive style.
Upbringing: broken home; institu-
tional care; parental crime.
Social and demographic: sex; class;
education; neighborhood.
Previous Experience and Generalized Needs

Learning Money; sex; friendship;
1. Direct and vicarious experience status; excitement.
of crime.
2. Contact with law enforcement
agencies.
3. Conscience and moral attitudes.
4. Self-perception. Perceived Solution
5. Foresight and planning. Legitimate: work;
gambling; marriage.
Illegitimate: burglary in
middle-class suburb; other
Solutions Evaluated burglary; other crime.
1. Degree of effort.
2. Amount and immediacy of reward.
3. Likelihood and severity of punishment.
4. Moral costs. Readiness
to commit burglary in a
middle-class suburb.
Reaction to Chance Event
Easy opportunity;
urgent need for cash;
persuasion by friend(s); Decision
gets drunk, quarrels with [spouse]. to commit burglary.
Source: Clarke, Ronald V., and Derek B. Cornish, “Modeling Offenders’ Decisons: A Frame-
work for Research and Policy,” Crime and Justice, vol. 6 (1985), M. Tonry and N. Morris (eds.)
University of Chicago Press. Used with permission.
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varies according to their current needs and desires, and they constantly reassess their
involvement in criminal activity. This assessment is deeply affected by their expe-
rience of committing particular acts and what they learn from the consequences”
(ibid., 25).
Policy Implications of Rational-Choice and

Routine-Activities Theories
Rational-choice theorists suggest there are differences in the circumstances or the
situations in which offenders select their crimes. As we have seen, these different sit-
uations can affect the criminal’s choice of target (Clarke and Cornish 1983, 49). In
short, these theories emphasize crime as the outcome of “choices and decisions made
within a context of situational constraints and opportunities” (ibid., 8). Thus, a cen-
tral policy issue is identifying the environmental triggers that facilitate the choice of
criminal action.
A major component in the preventive policy of rational choice is to manipulate
the opportunity structure in a particular environment to reduce the likelihood that
offenders will choose to commit crimes. These theorists believe that “a way is opened
to influence such decisions by seeking to make criminal behavior less rewarding,
more risky and more difficult” (Cornish and Clarke 2006, 27). Moriarty and Wil-
liams (1996) found that the absence of homeowners between six and eleven at night
made the residences most likely to be victimized. Manipulation of the environment,
then, is designed to make the choice of crime more difficult and costly (Clarke and
Cornish 1983, 48; Cornish and Clarke 1987). This leads to a variety of situational
crime-prevention strategies. The practice, known as “target hardening,” decreases the
chance that someone or something will be a victim of crime. Target hardening re-
quires the potential victim to be more active in the process of crime control. Target
hardening has been particularly prominent in the related theory of routine activities
(L. Cohen and Felson 1979, 589).
We have seen that routine-activities theory considers how everyday life brings
together at a particular place and moment potential offenders, crime targets, and
vulnerability. Increasing the presence of capable, caring, intimate guardians (such as
friends, relatives, and neighbors) of potential victims reduces the probability of vic-
timization. Walking with another person to a parking lot at night offers more pro-
tection against a solitary robber than walking alone. Another strategy is for potential
victims to change or vary their routine activities, behavior, and lifestyle. This makes
them less vulnerable to personal crimes. Dozens of documented examples now exist
of successful situational prevention involving such measures as “surveillance cam-
eras for subway systems and parking facilities, defensible space architecture in public
housing, target hardening of apartment blocks and individual residences, electronic
access for cars and for telephone systems, street closures and traffic schemes for res-
idential neighborhoods, alcohol controls at festivals and sporting fixtures, training
in conflict management for publicans and bouncers, and improved stocktaking and
record keeping procedures in warehouse and retail outlets” (Clarke 1997, 2).
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Conceptual and Empirical Limitations:

What the Research Shows
Both the rational- or situational-choice and the routine-activities theories make
some questionable assumptions. They claim the benefits of one type of crime are not
equally available from another or from the same crime in another place. Criminolo-
gists call this the problem of “crime displacement.” Consider, for example, whether
a shoplifter is likely to become a robber if he or she reasons that this will reduce the
chance of success. Similarly, would a shoplifter at a high-security store switch to a
low-security store? Indeed, Cornish and Clarke admit that the readiness to substitute
one offense for another depends on whether “alternative offenses share character-
istics which the offender considers salient to his or her goals and abilities” (1987,
935). As we shall see later, there are other problems with rational-choice theories, as
evidenced by empirical research.
We can evaluate the contribution of classical and rational-choice theories to crim-
inology on several levels. Space precludes an extensive review and critique (for these,
see R. Akers 1990, 1994). It is necessary, however, to briefly summarize the evidence
in relation to rational choice in the motivation to commit crime and the extent to
which rational-choice precautions by potential victims affect the probability of sub-
sequent victimization.
Evidence on the Rational-Choice Decision-Making Process

The central issue in rational-choice theory is whether potential offenders use a rational
thought process in their decision to commit crime. We have already argued that rational
choice, even as proclaimed by its advocates (Cornish and Clarke 1986), involves a lim-
ited notion of rationality (“partial rationality” or “soft rationality”) and that any theory
assuming “pure” rationality “has virtually no empirical validity” (R. Akers 1994, 58).
Studies focusing on part of the process in committing a crime, such as target selection
by burglars (Maguire and Bennett 1982; T. Bennett and Wright 1984; Rengert and
Wasilchick 1985), “provide considerable empirical support for a ‘limited rationality’
view of decision making by lawbreakers” (Gibbons 1994, 124).
As Akers (1990; 1994, 60) has pointed out, however, when other factors that con-
strain rationality are factored into the decision-making process (such as effective ties
to parents, moral beliefs, and peer influences), it is questionable whether what is be-
ing supported is rational choice or the other theories that assume nonrational factors,
such as social learning theory (Chapter 6) or social-bonding theory (Chapter 7).
Evidence on Routine Activities and Crime

In addition to rational-thought processes and the deterrent effects of sanctions, a
third factor in the equation of the criminal event is the coincidence of them in time
and place. According to routine-activities theory, the presence of motivated offend-
ers and suitable targets in the absence of capable guardians is more likely to lead to
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crime. Leaving aside the question of what makes a motivated offender, empirical
research has focused on targets and guardians. The main findings suggest that certain
areas, known as “hot spots,” account for most victimizations and that people who
go out to these places, such as bars, dances, parties, shopping centers, and so on,
at night are more vulnerable to being victimized than those who stay home (Mess-
ner and Blau 1987; L. Kennedy and Forde 1990a, 1990b). In the case of property
crimes such as burglary, however, victims’ absence may seem more conducive to
crime than their presence. Some studies, however, have been criticized for relying
too much on stereotyped conceptions of crime and of the different kinds of offender
(Nee and Taylor 1988) and ignoring hidden crime and gender issues. Indeed, be-
cause of the link between intimates and violence, those who stay at home may be
more likely to be victimized (Messner and Tardiff 1985; Maxfield 1987). In particu-
lar, DeKeseredy and Schwartz (1996) point out that women actually suffer a greater
likelihood of personal victimization in the home from husbands and partners than
from going out. Furthermore, they argue for a feminist routine-activities theory that
explains why college campuses are dangerous places for women whose susceptibility
to sexual attack is increased by alcohol and socializing with sexually predatory men
in the absence of capable guardians. Again, the explanation of why men are sexually
predatory has more to do with nonrational-choice theory, since it relies on notions
of socialization into peer subcultures supportive of sexual exploitation and on the
social construction of masculinity (see Chapter 11).
One major study (Weisburd 1997) suggests how a school may reduce its vul-
nerability to crime with additional environmental manipulations, including access
control, offender deflection, facilitator control, entry and exit screening, formal
surveillance, employee surveillance, natural surveillance, and rule setting. Although
each practice involves empirical research on why an offender chooses to refrain from
crime rather than commit it, it is clear that since the 1990s in the case of schools, the
increase in serious violence has led many schools to adopt such environmental mea-
sures under “safe school” programs. The critical question is whether, through such
environmental manipulations, we have transformed schools into institutions more
like prisons (Crews and Tipton 2002) and in the process undermined the very pur-
pose that the institution was designed to serve such that the controls are more de-
structive than the original problem (Muschert, Henry, Bracy, and Peguero, 2014).
It is this kind of response to the fear of crime that has created some consider-
able controversy. Critics, particularly feminists, argue that routine-activities theory
blames the victim. This is especially true for rape victims. In effect, potential male
rapists are forcing women to change behavior, lifestyle, and even appearance. The
policy approach of this theory appeals to those favoring cost cutting and simplistic
technical solutions to crime. The perspective may lead to a siege mentality, however,
as society increasingly orients itself “to ever-increasing oversight and surveillance,
fortification of homes, restrictions on freedom of movement, and the proliferation
of guns for alleged self-defense” (Einstadter and Henry 2006, 71).
In spite of its theoretical and empirical limitations, the idea that criminals
choose to commit crime reflects the US public’s psyche. The consequential strategy
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BOX 3.2 The Challenge of Rational-Choice Policy and Crimes of the Powerful
The Case of Surveillance?
STUART HENRY
Clearly, the implications for policy from rational-choice and routine-activities the-
ories, as we have seen, are an increase in a variety of crime-prevention measures
designed to prevent crime by creating barriers and frustrating the opportunities for
offending. Situational crime prevention has grown to include a variety of technol-
ogies designed to monitor our movements, from closed-circuit television (CCTV)
and sensor tracking to GPS tracking and a variety of policing activities, including
wiretapping of cell phone conversations and monitoring of personal computers. The
effectiveness and indeed ethical problems associated with the use of these technolo-
gies can be illustrated by the case of CCTV. What are the ethical issues involved in
the technology of surveillance? Does surveillance work? Is the technology up to the
job, and is it being deployed in the right way?
Surveillance cameras are increasingly prying into our public spaces and our pri-
vate lives. Advocates of CCTV believe that security cameras deter crime and help
fight the war on terrorism. If people know they are being watched, they will change
their behavior. That’s the rationale that’s turning the United States into the kind of
“surveillance nation” that the United Kingdom has already become.
In addition to mass transit systems, video surveillance is deployed at banks,
stores, shopping malls, ports, harbors, airports, military installations, public parks,
construction sites, industrial plants, school and university campuses, toll booths,
freeways, town centers, and public streets. But cameras are also creeping into our
homes, the latest example being “virtual proctors” designed to spy on students tak-
ing online classes so that they don’t cheat.
Public opinion surveys find that few people mind that they are being watched.
Seventy percent of the public support CCTV (Ditton 2006; Harris Poll 2006).
That’s because most people think they are doing nothing wrong: “nothing to hide;
nothing to fear.” Never mind privacy issues—these can be sacrificed for security. In
fact, security industry analysts emphasize that it is not Big Brother but “safety and
security” that are the key to further expansion. The question is whether surveillance
produces a false sense of security and whether we are actually watching the right
people. Are we deluding ourselves that cameras protect us when the majority of evi-
dence shows that they make very little difference to the incidence of crime?
In 2007 a German transit authority study on the Berlin subway system tested
whether twenty-four-hour surveillance of subway stations would reduce crimes such
as assault and vandalism and found that the number of crimes slightly increased.
Nor did the cameras contribute to a higher detection rate because the quality of the
recordings was poor and offenders took their crimes off camera.
In Britain, the leading “surveillance nation,” where there are 4.2 million CCTV
cameras, one for every fourteen people, government studies have consistently shown
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that cameras make very little difference to most street-crime rates (2.5 percent), with
the exception of auto theft from parking structures (28-percent reduction) (Welsh
and Farrington 2002). Nor is detection improved since the quality of the image is
often poor, and there are not the resources to review the many hours of footage shot.
Ironically, to improve the quality it would be necessary to have multiple cameras
at each incident site, each taking different-angled shots, and that would mean even
more footage to review.
And then there is the cost-effectiveness of deploying this technology in public
places and whether the money could be better spent elsewhere, such as on commu-
nity policing, neighborhood amenities, and building social capital. The concern in
Britain, a country where microcontrol is typically exercised by anyone with a position
of authority, is that this mass surveillance would increasingly focus on minor devi-
ance. The result is a widening net catching minor offenders. Examples abound, such
as the report in 2007 of a man in Bristol facing the equivalent of a $2,000 fine after
his dog was videotaped allegedly defecating on the sidewalk. Even here, the quality
of the picture was so poor the man said, “It didn’t show any poo” (Kelland 2008).
Things have gone to the extreme. In some towns, “guardians” of morality are watch-
ing the streets for deviance, littering, or jaywalking and use megaphones to command
the public to correct their unacceptable behavior. Drunks regularly perform on the
street in front of the CCTV cameras whose monitors are captive audiences.
Those in favor of surveillance believe that the problems can be overcome by com-
bining intelligence software with wireless cameras. The technical trend is to move
away from analog-based CCTV using fixed-wired cameras to wireless cameras that
can transmit images to computer screens forty miles away. Smart software can now
be used to filter images to only those showing threatening or suspicious behavior.
Other technological advances include image stabilization and greater image range.
Although this might improve quality and reduce the resources needed to operate the
system, the question remains whether surveillance cameras are deployed in the most
effective locations. Is the public our biggest crime problem?
References
Ditton, Jason. 2006. “Public Support for Town Centre CCTV Schemes: Myth or Re-
ality?” In Surveillance, Closed Circuit Television, and Social Control, edited by Clive
Norris, Jade Morgan and Gary Armstrong. Aldershot, UK: Ashgate.
Harris Poll. 2006. “Large Majorities of Public Support Surveillance of Suspected Terror-
ists.” The Harris Poll #63. Harris Interactive, Inc. (August 17). www.harrisinteractive
.com/harris_poll/index.asp?PID=690 (accessed March 25, 2009).
Kelland, Kate. 2008. “Stop Using Laws to Spy on Public, UK Councils Told.” Reu-
ters North American News Service (June 23). www.blnz.com/news/2008/06/23/Stop
_using_laws_public_councils_9351.html (accessed March 18, 2009).
Welsh, Brandon, and David Farrington. 2002. Crime Prevention Effects of CCTV: A Sys-
tematic View. Home Office Research Study 252, London: Home Office.
9780813348858-text.indd 65 10/17/14 9:42 AM

of denying an offender the opportunity to engage in crime by manipulating the

physical environment through target hardening, environmental design, and other
measures gives people a sense of control over their fear of crime. Regardless of its
effectiveness, rational-choice theory is valuable on these grounds alone. A funda-
mental question remains, however: should crimes by the powerful also be subject to
rational-choice analysis and environmental manipulation?
Is the crime problem in America in the streets or in the suites? If more harm is
committed to Americans by white-collar offenders, corporate fraud, environmental
pollution, faulty product manufacture, and government corruption than by street
crime, then why aren’t we putting surveillance cameras in the corporate board-
rooms, finance houses, and government offices and on golf courses? Cost-benefit
calculations about “sharp practice” and “screwing the client” are much more likely
to be curbed by the very rational executives who run these entities. Modifying
their behavior to reduce costs is certainly more predictable than speculating about
whether the emotive drunk, drugged, or rash, opportunistic, risk-taking offender is
likely to care about the future consequences of apprehension for a crime. After all,
President Nixon’s ultimate demise came as a result of revealing tapes. Would we
have had the Enron scandal if there had been cameras in the company’s executive
offices? Would the subprime mortgage crisis have wrought its effects if wireless cam-
eras viewed by inspectors at the Securities and Exchange Commission had moni-
tored the day-to-day operations of subprime lenders and the banks hyping worthless
securities?
Although privacy issues around technology use are important, perhaps more im-
portant is the nature of the deployment of the technology we use. In reality, it is not
the harms that we most fear that are the most destructive but the harms produced by
the people and institutions we most trust.
If rational-choice theory has a place in criminology, it certainly needs to be applied
to all forms of criminal harm. Policies that emerge from the theory need to go beyond
the individual to include organizational and even state levels of rational-choice deci-
sion making (Henry 1991; Barak 1991). Consumers and clients need to develop ways
to avoid their routine vulnerability, such as avoidance of relying on expert knowl-
edge of professionals, developing cynicism over commercial and industrial processes
(such as food production and waste disposal), and avoiding relations with corporate
and government systems that use and abuse power. Fortunately, some criminologists
are aware of this and have begun applying both rational-choice and routine-activities
theories to corporate and white-collar crime (Paternoster and Simpson 1993, 1996;
Shover and Wright 2001; Vaughan 1998).
Finally, it is worth considering in the wider sense of this perspective from classical
theory to rational choice and routine activities that criminal justice practices deriv-
ing from manipulating the environmental conditions can ultimately undermine the
original principles, especially when the threat is perceived as external. The fact that
any nation’s criminal justice system is set in a wider global context can and does af-
fect its operations. Einstadter and Henry (2006, 71–73) describe how the effects of
being in global conflict, in particular the fear of global terrorism, have forced the US
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criminal justice system to become more repressive, removed many of the individual
protections granted through its classically rooted constitutional principles, and even
allowed the return of torture:
Major challenges usually arise when the nation is in perceived peril. The most recent
example of a reversion to reactionary legal constructs is the Patriot Act of 2001. Its
passage, rationalized by the terrorist attack of September 11, 2001, allows invasions of
privacy and nullifies certain due process guarantees. For example, under its provisions it
becomes possible for the federal government to secretly inspect an individual’s library,
bank, and medical records with minimal judicial review. Police are also given powers
that are antagonistic to due-process rights all in the name of sifting out potential terror-
ists. World War II brought massive violations of civil liberties with the wholesale forced
movement of Japanese American citizens to relocation centers. The point to be made
is that while the basic structure of the legal system remains static, societal events may
trigger repressive measures rationalized on the basis of security of the nation, seriously
compromising the civil and due-process protections that were the basis of the early clas-
sical school of criminology. (ibid., 71)
Clearly, the classical and rational-choice explanations for crime and the policy
implications that they have for criminal justice do not transcend the demands of the
global context in which they are set.

Classical theory has been credited with enhancing democracy and with reforming
harsh, arbitrary, and brutal techniques of crime control, including the elimination
of torture (Einstadter and Henry 2006). But its limits were soon recognized. It
is overly idealistic. It proved almost as unjust to treat people the same who were
clearly different as to treat people differently arbitrarily and capriciously, as had
pre-Enlightenment justice. A society that celebrates individual achievement pro-
duces disparities of wealth, status, and social standing. Any attempt to provide equal
punishments that ignores this reality simply provides those who can afford punitive
fines or an adequate legal defense with a license to commit crime. The result of such a
system is that it proves to be “more just” for some than it is for others: “Whereas the
rich offender may be cushioned by his or her wealth, the poor offender, with the same
sentence but little to fall back on, is punished in fact disproportionately” ( J. Young
1981, 266). Jeffrey Reiman also aptly proclaimed this in his book The Rich Get Richer
and the Poor Get Prison ([1979] 2007, Reiman and Leighton 2012).
Policy implications based on rational-choice premises have both positive and neg-
ative effects on an individual’s or a group’s calculation. The US system of crimi-
nal justice employs these principles in the due-process model, but criminal justice
deals with the issue very narrowly. Originally, classicists assumed that if punishment
was certain, swift, and sufficiently severe, the potential offender would be less likely
to commit the crime. Contemporary versions of classical ideas have reintroduced
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several of these ideas. Mandatory sentences and limited discretion are logical exten-
sions of the tradition. These determinate-sentencing policies deny consideration of
individual circumstances and any need for rehabilitative corrections, however. Ad-
vocates also do not apply the same principles to offenders who are convicted of more
than one offense. Selecting some aspects of the classical model (deterrence and cer-
tainty) while ignoring others (proportionality) can lead to law-and-order distortions
of the classical position that produce outrageous injustices (life in prison without
parole for small-scale property offenses).
Should corporations that have acted criminally be subject to mandatory sentences
and limited discretion? Alternatively, are corporations sufficiently different that these
differences must be recognized when dispensing justice? And what about corporate
rehabilitation?
Rational-choice and routine-activities theorists focus on the design, security, and
surveillance measures that potential victims may take to frustrate potential offenders.
The goal is to increase the difficulty, risk of apprehension, and time involved in com-
mitting crime. These same theorists, however, rarely consider applying such environ-
mental disincentives to crimes of the powerful. Should they do so? One ramification
of adopting such practices is that potential criminals may seek other less-vulnerable
targets.
A further criticism of classical justice is that setting punishments equally, or even
proportionately, takes no account of differences in offenders’ motivation, in their
ability to reason, or in their perception of the meaning and importance of punish-
ment. It also fails to consider irrational behavior, spontaneous crimes (e.g., violent
crimes committed in “the heat of the moment”), or the role of peer groups and their
different effects on rationally calculating individuals. As soon as these differences are
acknowledged, we are no longer dealing with a classical rational-choice model. In-
deed, recognition of these deficiencies coupled with scientific advances (in research
methods, biophysiology, psychology, sociology, and so forth) led criminologists to
focus on a variety of “causes” of criminal behavior. The following chapters explore
these scientific criminologies in more detail.
Summary Chart: Classical, Rational-Choice,

and Routine-Activities Theories
Basic Idea: Essentially an economic theory of crime captured in the idea that peo-
ple are free to choose crime as one of a range of behavioral options.
Human Nature: Assumes that humans are freethinking, rational decision makers
who choose their own self-interests by weighing pleasure against pain and choosing
the former. Their choice is goal directed and aimed at maximizing their sense of
well-being, or utility. Utility depends on wealth, and life is evaluated primarily in
monetary terms and can include the value and use of time. Rational-choice and rou-
tine-activities theorists acknowledge a limited or conditional rationality.
Society and Social Order: A consensus around a highly stratified hierarchy based
on a social contract assumed between free individuals who choose to sacrifice a part
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of their freedom to the state so that they may enjoy the rest in security. Some econo-
mists, however, see order as a situation of conflict over interests.
Law, Crime, and Criminals: Law preserves individuals’ freedom to choose.
Crime is defined by the legal code such that there is no crime without law. There is a
preference for statutory law. Rational, hedonistic, free actors with no difference from
noncriminals except that they broke the law. Lawbreakers are those who choose to
limit others’ freedom as defined by law.
Causal Explanation: Free choice, lack of fear of punishment, an ineffective
criminal justice system, available unguarded targets, and opportunistic situations.
Crime is the outcome of rational calculation. Offenders act on their perception,
rather than the reality, that the benefits of crime outweigh the costs. Recent the-
orists recognize this, arguing that a low perception of the probability of both ap-
prehension and punishment together with the belief that punishment will be of
uncertain, negotiable, or low severity, combined with a relatively low expectation
of gains from legitimate work and high expected gains from illegitimate work, in a
context where moral reservations are absent, will lead to criminal activity.
Criminal Justice Policy: The social function of policy is to administer justice
fairly, based on equal treatment before the law, so that individuals will accept re-
sponsibility for their offending and choose not to offend. Increased efficiency of
criminal justice is desired, especially enforcement, making it visible, certain, and
swift. Later policy also includes reducing the opportunities for crime to occur.
The due-process model: (1) sovereignty of the individual, (2) presumption of in-
nocence, (3) equality before the law and between parties in dispute, (4) restraint of
arbitrary power, (5) protection of the defendant against abuses and error, (6) no
discretion or arbitrariness but a rule-based system (rules limiting police procedure
and power and governing what is acceptable evidence), (7) adversarial trial (ensur-
ing equality of inquiry), (8) right to be represented, (9) efficiency and fairness in
protecting the rights of individuals, (10) certainty of detection and more efficient
police preferred to simple presence of police, (11) trial by peers, and (12) right to
appeal to an independent body. The policy involves retribution, just deserts, individ-
ual deterrence, and prevention. Penalties to be only so severe as to just deter. Equal
punishments for equal crimes, preferably by determinate or mandatory sentences.
Punishment based only on the crime committed. Proportionality of punishment, so
that potential offenders choose a lesser crime. Increase security, reduce opportunity,
and harden targets. Ensure legitimate wages, job creation, and job training. Raise
perceptions of the value of gains from a legitimate system and devalue those from an
illegitimate system.
Criminal Justice Practice: Fines because they can be equalized and staged in pro-
gressive severity, prison because time served can be adjusted and staged at different
levels for different offenses, death penalty only as the ultimate sanction for serious
offenders, and environmental manipulation and adjustments of routine activities of
potential victims to avoid crime.
Evaluation: Explains the decision-making involved in white-collar and corpo-
rate crime and some street crime. Any crime with a pecuniary or even instrumental
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motive is explainable, such as some theft and burglary. Ignores inequality of struc-
ture and assumes formal equality is perceived the same way irrespective of social
class; difficult to achieve in pure form; fails to account for irrational behavior or
spontaneous crimes; fails to consider the role of peer groups and their different ef-
fects on the rational calculus; allows those who can afford punishment to buy license
to crime. Policies are applied only to crimes of the powerless, not to those of the
powerful or the state. Can reverse sovereignty of the individual and replace with su-
premacy of the state in times of perceived external threat such as terrorism.
1. Discuss five of the fundamental theoretical concepts of classical theory.
2. How does classical theory apply to contemporary criminal justice—considering
the neoclassical position and the rational-choice theory?
3. What was Cesare Beccaria’s “social contract” and why did Beccaria believe it
was important to set principles to limit excessive punishment?
4. According to Cesare Beccaria, in order for deterrence to work, what three
things must occur?
5. What is Jeremy Bentham’s “hedonistic, or felicity, calculus”?
6. What are some of the benefits and limitations of classical theory, and why did
neoclassicism emerge?
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4
“Born to Be Bad”
Biological, Physiological, and
Biosocial Theories of Crime
“Bad brain, bad behavior.”

—Criminologist Adrian Raine, in summarizing his research
The idea that crime is “in the blood,” that certain criminal behaviors are inherited,
or innate, is the hallmark of the biological approach to criminological explanation.
Contemporary bioethicists argue that we have the ability to manage high-risk popu-
lations with biotechnology. The term biogovernance (using biotechnology to manage
potential deviants) is used through the Human Genome Project and in reproductive
technologies, cloning, genetically engineered foods, hybrid animals, gene therapy,
DNA profiling, and data banking (Gerlach 2001). Science and criminal justice are
linked with DNA and data banks containing considerable information, including
fingerprints, palm prints, facial recognition, as well as voice, signature, keystroke,
and gait recognition. “Biometrics,” as this field is called, is increasingly being used
“by governments and business organisations in their bid to fight fraud, organised
crime and terrorism, as well as to combat illegal immigration. Biometrics technology
using advanced computer techniques is now widely adopted as a front-line security
measure for both identity verification and crime detection, and also offers an effec-
tive crime deterrent” (Motorola 2006, 3). Proponents argue that “developments in
biotechnology and knowledge have opened up discussion and debate about biology,
crime and social control in an unprecedented way. People have always linked crim-
inality to heredity to some extent, but we are much closer to scientifically legitimat-
ing that link and developing strategies for doing something about it” (Gerlach 2001,
113). We are now seeing technology employed not only in detecting crime but also
in examining the physical functioning of the brain through functional magnetic res-
onance imaging to establish the biological blood-flow patterns that occur when the
71
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brain processes deceptive thoughts (D. Fox 2011; Haddock 2006; Willing 2006),
though this is not without criticism (Henry and Plemmons 2012).
What if we could predict violent thought in advance of its practice? Consider
the notorious case of twenty-five-year-old Charles J. Whitman, who in 1966 killed
his mother and wife and the next day shot sixteen people to death and wounded
another thirty from a 307-foot tower on the campus of the University of Texas
at Austin. Going up into the tower he also killed a receptionist by hitting her
in the back of the head. After Whitman was killed by police sharpshooters, an
autopsy revealed a walnut-size malignant tumor in the hypothalamus region of
Whitman’s brain. This type of tumor is known to cause irrational outbursts of
violent behavior, which Whitman had reported experiencing in the months prior
to the mass murders. According to thirty-two medical experts and scientists, the
tumor “was the probable cause of his criminal actions” and the primary precip-
itating factor in the mass murder (Holman and Quinn 1992, 66–67). The note
Whitman left next to his wife’s body contained chilling insight into his medical
abnormality. Parts of it read: “I have been a victim of many unusual and irrational
thoughts . . . overwhelming violent impulses. . . . After my death I wish that an
autopsy would be performed on me to see if there is any visible physical disorder.
I have had some tremendous headaches. . . . I decided to kill my wife. . . . I can-
not rationally pinpoint any specific reason” (www.popculture.com/pop/bioproject
/charleswhitman.html, December 5, 2002). Could this murder spree have been
prevented using “modern” biotechnology or biometrics? Is it true that “a system-
atic pre-detection . . . to prevent risky individuals and groups from becoming
manifestly dangerous” is now a reality (Gerlach 2001, 97)? If violence is the result
of genetic inheritance, tumors, or changes in body chemistry, can the individual
be held responsible?
Biological explanations of crime have appeared since the sixteenth-century “hu-
man physiognomy” (the study of facial features) of Giambattista della Porta (1535–
1615), who studied the cadavers of criminals to determine the relationship between
the human body and crime (Schafer 1976, 38). In the 1760s, Johann Kaspar Lavater
(1741–1801) claimed to have identified a relationship between behavior and facial
structure (Lilly, Cullen, and Ball 2011, 24), and in 1810 Franz Joseph Gall (1758–
1828) developed a six-volume treatise on “craniology,” or “phrenology.” According
to Gall, crime was one of the behaviors organically governed by a certain section of
the brain. Thus, criminality could be ascertained by measuring bumps on the head
(Francher 1996). The biological explanation for crime did not become fully estab-
lished, however, until the late 1800s.
Currently, liberals tend to view biological theories of crime as “efforts to shift re-
sponsibility away from social factors that cause crime and onto criminal individuals”
(Rafter 2008, 5). Conservatives support biological theories more readily than liber-
als, but grow more tense upon discussion of their history, “a perspective suggesting
that scientific truths are contingent upon social factors” (ibid.). Sociologists also look
doubtfully at “biological risk factors” as they ignore social influences that may in-
fluence criminal behavior, whereas biocriminologists tend to ignore social factors
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4: “Born to Be Bad” 73
because they distract “from the important work of scientific research” (Rafter 2008,
6). While there is currently plenty of resistance to biological theories of crime, theo-
rists such as Nicole Rafter believe that opposition is “likely to crumble over the next
several decades” (2008, 8). She believes that such resentment is often deepest when
new theories are first introduced. “But when a new theory resonates with other cul-
turally dominant factors, as current genetic, evolutionary, and neurological explana-
tions do, opponents often come around” (ibid.). In fact, Rafter and other proponents
of biological criminological theories predict that “we are on the threshold of a major
shift that could lead to various genetic and other biological ‘solutions’ to criminal
behavior” (ibid.). In this chapter, we present the basic premises of the search for the
causes of crime, outline the historical context under which it evolved, provide illustra-
tive examples of the early and contemporary studies, review some of the latest devel-
opments, evaluate findings and assumptions, and provide policy implications.
Biological and Positivistic Assumptions

To comprehend biological theories, it is necessary to grasp the underlying assump-
tions about humans that biological criminologists make. The major emphasis of
this applied science of criminology is that humans have unique characteristics, or
predispositions, that, under certain conditions, lead some to commit criminal acts.
In other words, something within the individual strongly influences his or her be-
havior, but this will occur only under certain environmental conditions. For ex-
ample, some people seem to behave perfectly normally most of the time, but when
they get behind the wheel of a car the slightest inconvenience sends them into an
angry rage (James and Nahl 2000). Without the automotive environment, they do
not manifest anger. According to biological theory, the same can be true for other
offenders. For some, the setting and act together provide a thrill that, according
to biological theorists, might satisfy an abnormal need for excitement. For others,
the environmental trigger to crime might be alcohol, drugs, or being subjected to
authority.
For early biological criminologists, the classical theory of crime was intuitive and
unscientific speculation. Any significant examination of criminal behavior cannot
assume that humans are essentially all the same. Rather, they contended that look-
ing at individuals’ unique characteristics and differences would reveal the underlying
causes of criminal tendencies. Early biological criminologists believed that the key to
understanding crime was to study the criminal actor, not the criminal act. Criminol-
ogists should study the nature of criminals as “kinds of people” who would commit
such acts (A. Cohen 1966).
Of central importance to these founding biological criminologists was how to
study the criminal. Accurate investigation of human features demands both rigorous
methods and careful observation. The approach adopted by these pioneers of scien-
tific criminology is called the “positivist” method, which argues that social relations
and events (including crime) can be studied scientifically using methods derived from
the natural sciences. “Its aim is to search for, explain and predict future patterns of
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social behaviour” (McLaughlin and Muncie 2012, 325). Positivism “has generally
involved the search for cause and effect relations that can be measured in a way that is
similar to how natural scientists observe and analyse relations between objects in the
physical world” (ibid.). As Rafter (1992, 1998) points out, however, unlike contem-
porary positivists, early positivists also accepted folk wisdom, anecdotes, and analo-
gies to lower forms of life as part of their empirical data.
Those first interested in this approach were criminal anthropologists. They be-
lieved that criminals could be explained by physical laws that denied any free will
(ibid.). They claimed it was possible to distinguish types of criminals by their phys-
ical appearance. The physical features most often studied were body type, shape of
the head, genes, eyes, and physiological imbalances. Although their methods were
crude and later shown to be flawed, an understanding of these founding ideas is
instructive.
The Social Context of Criminal Anthropology

Evolutionary biology heralded a different way of looking at human development. In
1859, Englishman Charles Darwin (1809–1882) presented his theory of evolution,
On the Origin of Species ([1859] 1968), in which he argued that the development
of any species proceeds through natural variations among offspring. The weakest
strains fail to adapt to their environment and die off or fail to reproduce, whereas
the strong survive, flourish, and come to dominate the species at a more advanced
state. Cesare Lombroso (1835–1909), a professor of forensic medicine, psychiatry,
and later criminal anthropology, and his students, Enrico Ferri and Raffaele Ga-
rofalo, applied these ideas to the study of crime. This “holy three of criminology”
became known as the Italian School (Schafer 1976, 41). Their position was radically
opposed to Italian classicists such as Beccaria, whom they saw as overemphasizing
free will at the expense of determinism. Rather than seeing humans as self-interested,
rational individuals who possess similar capacities to reason, the Italian School crim-
inologists believed humans differ and that some are more crime-prone than others.
As Jock Young has pointed out, their approach was the mirror image of classicism:
“Free-will disappears under determinacy, equality bows before natural differences
and expert knowledge, and human laws that are created become scientific laws that
are discovered” (1981, 267). If classicism was the language of logical deduction, tra-
ditional opinion, and abstract reasoning, then, wrote Ferri, “We speak two different
languages” (1901, 244).
The new scientific criminology, founded on positivist assumptions, valued the
“experimental method” as the key to knowledge based on empirically discovered
facts and their examination. This knowledge was to be achieved carefully, over years
of systematic observation and scientific analysis. The task of the criminologist was to
apply the appropriate scientific apparatuses, the calipers, dynamometer, and aesthe-
siometer, to measure and chart the offender’s deformities (Rafter 1992). Only then
would we discover the explanation for crime and for what would become known as
the “born criminal.”
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The Born Criminal

To both realize and value the revolutionary nature of these early biological and phys-
iological theories, it is necessary to recall that in the late nineteenth century, science
was viewed as a sort of “new religion,” a source of knowledge, and a solution to
problems such as disease, starvation, unemployment, and—of interest to us—crime.
Lombroso is widely recognized as the most influential founding scholar to rely on
the scientific method to study crime and is often called the “father of modern crim-
inology.” With Ferri and Garofalo, and later with his daughter Gina Lombroso-
Ferraro he explored the differences between ordinary “noncriminal” people and
those who committed criminal offenses; therein, he argued, would be found the se-
cret to the causes of crime.
Lombroso’s theory of “atavism,” explained in his 1876 book The Criminal Man,
was founded on Darwinian ideas about humanity’s “worst dispositions,” which were
“reversions to a savage state” (Darwin 1871, 137). Atavism (or reversion) is a “con-
dition in which characteristics that have previously disappeared in the course of evo-
lution suddenly recur” (Faller and Schuenke 2004, 61). According to this theory,
criminals were hereditary throwbacks to less developed evolutionary forms. Since
criminals were less developed, Lombroso believed they could be identified by phys-
ical stigmata, or visible physical abnormalities, which he called “atavistic features”:
“For Lombroso, these anomalies resembled the traits of primitive peoples, animals
and even plants, ‘proving’ that the most dangerous criminals were atavistic throw-
backs on the evolutionary scale” (Gibson and Rafter 2006, 1). These anomalies or
signs included such characteristics as asymmetry of the face; supernumerary nipples,
toes, or fingers; enormous jaws; handle-shaped or sensile ears; insensitivity to pain;
acute sight; and so on. Possessing five of the eighteen stigmata indicated atavism and
could explain “the irresistible craving for evil for its own sake, the desire not only to
extinguish life in the victim, but to mutilate the corpse, tear its flesh and drink its
blood” (Lombroso 1911, xiv). Because these anomalies could be examined, counted,
and classified, Lombroso “promised to turn the study of criminality into an empir-
ical science . . . called . . . ‘criminal anthropology,’ reflecting his desire to reorient
legal thinking from philosophical debate about the nature of crime to an analysis
of the characteristics of the criminal” (Gibson and Rafter 2006, 1). As he says in
the first 1876 edition of his classic work, “Most criminals really do lack free will”
(quoted in ibid., 43).
Not all criminals, however, fell into the atavistic category. By the fifth edition
of his book, Lombroso recognized four main classes of criminals. The first group,
referred to as “born criminals,” was atavistic, responsible for the most serious of-
fenses, and recidivist. This group made up about a third of the criminal population
and was considered by Lombroso to be the most dangerous and incorrigible. The
second class, “criminals by passion,” commits crime to correct the emotional pain
of an injustice. Third was the “insane criminal,” who could be an imbecile or have
an affected brain and is unable to distinguish right from wrong. Fourth, the “occa-
sional criminal” included four subtypes: (a) the “criminaloid,” who is of weak nature
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and easily swayed by others; (b) the “epileptoid,” who suffers from epilepsy; (c) the
habitual criminal, whose occupation is crime; and (d) the pseudocriminal, who com-
mits crime by accident (Martin, Mutchnick, and Austin 1990, 29–32).
Eventually, Lombroso conceded that socioenvironmental factors, such as religion,
gender, marriage, criminal law, climate, rainfall, taxation, banking, and even the
price of grain, influence crime. By the time his last book, Crime: Its Causes and Rem-
edies ([1912] 1968), was published in 1896, he had shifted from being a biological
theorist to being an environmental theorist, but not without forcefully establishing
the idea that criminals were different from ordinary people and especially different
from the powerful members of society. Even though his main ideas were disproved
and his research found to be methodologically unsound, the search for the biological
cause of crime was inspired by his work (Goring [1913] 1972).
It is important to note that Lombroso’s progression of work, though possessing
some serious flaws, has been seriously distorted by translators until recently. Even
his daughter, Gina Lombroso-Ferraro, was thought to considerably simplify the
complexity of her father’s original ideas in his original work, Criminal Man. One
example is his “biological determinism,” which always recognized multiple causes,
and eventually included social causes, which allowed him to “continue denying
free will by conceptualizing environmental and biological forces as equally deter-
minate” (Gibson and Rafter 2006, 12). Often neglected, too, is that he proposed
humanitarian reforms as alternatives to incarceration to prevent crimes by “occa-
sional criminals,” especially children, whose occasional criminality was a temporary
phase, advocated institutions for the criminally insane, and urged that the sever-
ity of punishment match the dangerousness of the criminal (ibid., 2). However,
Lombroso did advocate the death penalty, abolished in Italy in 1889, for the born
criminal, arguing in the Darwinian fashion that “progress in the animal world,
and therefore the human world, is based on a struggle for existence that involves
hideous massacres.” Society need have no pity for born criminals who were “pro-
grammed to do harm” and are “atavistic reproductions not only of savage men but
also the most ferocious carnivores and rodents.” Capital punishment in this view
would simply accelerate natural selection, ridding society of the unfit (Gibson and
Rafter 2006, 15).
Lombroso’s student at the University of Turin, Enrico Ferri (1856–1929), was
even more receptive to environmental and social influences that cause crime, but
he still relied on biological factors, and in fact coined the term criminal man, later
used by Lombroso, and the term criminal sociology. Ferri, who studied statistics at
the University of Bologna, and later, in Paris, was influenced by the ideas of French
lawyer and statistician A. M. Guerry (1802–1866) and Belgian mathematician
and astronomer Lambert Adolphe Jacques Quételet (1796–1874). Ferri used his
statistical training to analyze crime in France from 1826 to 1878. Ferri’s studies
(1901) suggested that the causes of crime were physical (race, climate, geographic
location, and so forth), anthropological (age, gender, psychology, and so on), and
social (population density, religion, customs, economic conditions, and others). This
view was much more encompassing than Lombroso’s original ideas, was accepted
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by Lombroso as furthering his theory, and is not dissimilar from modern theorists’
ideas about multiple causality.
However, Ferri’s anticlassicist ideas, and his Marxist leanings, cost him his uni-
versity position. They also affected his views on criminal justice and policy, which
he was invited to implement in Mussolini’s fascist regime (and which were eventu-
ally rejected for being too radical). He argued that because causes needed scientific
discovery, juries of laypeople were irrelevant and should be replaced by panels of
scientific experts, including doctors and psychiatrists. Not surprisingly, since he
rejected the idea that crime was a free choice, Ferri also believed it was pointless
to retributively punish offenders, preferring instead the idea of prevention through
alternatives (which he called substitutions). His idea was to remove or minimize
the causes of crime while protecting the state. He advocated “hygienic measures”
such as social and environmental changes and, consistent with his socialist poli-
tics, favored the state provision of human services. He also advocated “therapeutic
remedies” that were designed to be both reparative and repressive and “surgical
operations,” including death, to eliminate the cause of the problem (Schafer 1976,
45). Ferri’s primary contribution was to offer a more balanced, complete picture of
crime relying on scientific methods.
Raffaele Garofalo (1851–1934), also a student of Lombroso, trained in the law
and was of Spanish noble ancestry, although he was born in Naples. He saw crime as
rooted in an organic flaw that results in a failure to develop both altruistic sensibilities
and a moral sentiment for others. Garofalo presented a principle called “adaptation”
which was based on Darwin’s work. He argued that criminals who were unable to
adapt to society, and who thereby felt morally free to offend, should be eliminated,
consistent with nature’s evolutionary process. This should be accomplished through
one of three methods: death, long-term or life imprisonment, or “enforced repara-
tion” (Bernard, Snipes, and Gerould 2009). Indeed, echoing Lombroso’s Darwinist
thinking on the state-administered death penalty, he stated: “In this way, the social
power will effect an artificial selection similar to that which nature effects by death of
individuals unassimilable to the particular conditions of the environment in which
they are born or to which they have been removed. Herein the state will be simply
following nature” (Garofalo 1914, 219–220, cited in Morrison 1995, 126).
These three theories have been relegated to the status of historical artifacts, and
subject to some distortion, although each contains some resonance of truth. The re-
search methods employed were simplistic or flawed, revealed a racist and even sexist
bias, and have not stood up to empirical verification. But the theories are important
because they chart the course of later theories and also point out the importance of
using scientific principles. Many of the research methods associated with the per-
spective of the Italian School persist into the twenty-first century.
Early US Family-Type and Body-Type Theories

Shortly after the conclusion of the American Civil War in 1865, it was widely be-
lieved that there were basic differences between individuals and among ethnic groups
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and that certain families could be mentally degenerate and “socially bankrupt.” This
notion has to be understood in historical context. Society in the United States was
undergoing rapid transformation with the abolition of slavery and massive immigra-
tion of Europeans of various ethnic groups, who, like the freed slaves, were largely
poor and unskilled. These immigrants moved into the rapidly urbanizing cities,
where, living in crowded conditions, they presented a threat of poverty and disease
to established Americans. In fact, since the 1870s some Americans had been calling
for eugenics measures, according to which a nation could save its stock from degen-
eration by rejecting the unfit, preventing their reproduction, and encouraging the fit
to procreate (McKim 1900; Rafter 1992).
Richard Louis Dugdale’s work, which fascinated Lombroso, was consistent with
these views. In his book The Jukes: A Study in Crime, Pauperism, Disease, and He-
redity ([1877] 1895), Dugdale found that the Juke family (from the name of the
family of illegitimate girls that a Dutch immigrant’s sons had married) had criminals
in it for six generations. Dugdale concluded that “the burden of crime” is found in
illegitimate (non-married) family lines, that the eldest child has a tendency to be
criminal, and that males are more likely than females to be criminal. Obviously, his
conclusions are subject to varying interpretations.
Following Dugdale’s degenerative theory, European criminal anthropology be-
came available in the United States through a variety of works (e.g., MacDonald
1893; Boies 1893; Henderson 1893; Drahms [1900] 1971; and Lydston 1904; see
Rafter 1998 for an overview). These authors were the first US criminal anthropol-
ogists to claim that their approach was a new science studying the criminal rather
than the crime, just as medicine studies disease. Rafter (1998) states that the central
assumption of this new science was that the physical body mirrors moral capacity,
and criminals were, as Boies argued, “the imperfect, knotty, knurly, worm-eaten,
half-rotten fruit of the human race” (1893, 265–266).
After the turn of the nineteenth century, science was still viewed as being the solu-
tion to most human problems. Social science research became more rigorous, and
improved research methods, such as larger sample sizes and control groups, became
important. For example, in 1939 E. A. Hooton, a Harvard anthropologist, published
The American Criminal: An Anthropological Study based on his research comparing
14,000 prisoners to 3,000 noncriminals. His results indicated that “criminals were
organically inferior” and that this inferiority is probably due to inherited features,
including physical differences such as low foreheads, compressed faces, and so on.
Hooton’s methods have been criticized on several grounds. First, his control or
comparison group included a large percentage of firefighters and police officers who
were selected for their jobs based on their large physical size. Second, the differences
he found were very small, and furthermore there was more variation between pris-
oners than between prisoners and civilians. Finally, his methods have been called
“tautological,” meaning that they involved circular reasoning. For example, some
people are violent so there must be something wrong with them; find out how they
are different, and this explains their violent behavior.
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Ten years later, in spite of a general decline in the idea of a correspondence

between the human body and moral behavior, physician William Sheldon and his
colleagues sought to explain the relationship between the shape of the human body
and temperament. The most complete statement on this typology and crime was
Varieties of Delinquent Youth (Sheldon, Hastl, and McDermott 1949). Using “so-
matotyping” (classifying human bodies), Sheldon observed three distinct human
body types. The first, endomorphs, were of medium height with round, soft bod-
ies and thick necks. Mesomorphs were muscular, strong-boned people with wide
shoulders and a tapering trunk. The final group, ectomorphs, had thin bodies and
were fragile, with large brains and developed nervous systems. Sheldon recognized
that no “pure” type existed and that each person shares some of all the features.
Each type had a different personality and favored a different kind of criminal ac-
tivity. Endomorphs, motivated by their gut, were tolerant, extroverted, sociable,
and inclined to delinquency and occasional fraud. Ectomorphs had sensitive dis-
positions and were tense, thoughtful, and inhibited. They could become occa-
sional thieves. Mesomorphs lacked sensitivity and were assertive, aggressive, and
prone to habitual violence, robbery, and even homicide. Some of these results were
confirmed in the 1950s studies on delinquency by Sheldon Glueck and Eleanor
Glueck (1956), whose study of five hundred incarcerated, persistently delinquent
boys compared with five hundred nondelinquent boys found that although only
31 percent of the noncriminal comparison group were mesomorphs, 60 percent
of the delinquents had a mesomorphic body type. However, when other factors
were considered, such as parenting practices, Glueck and Glueck found that body
type was only one of several factors contributing to delinquency. Other controlled
studies claim stronger correlations, one finding that 57 percent of delinquents were
mesomorphic compared to 19 percent of nondelinquent controls (Cortes and Gatti
1972).
Fishbein pointed out “early ‘biological criminology’ was eventually discredited
for being unscientific, simplistic and monocausal” (1998, 92). The early studies
suffered critical methodological weaknesses, including poor sample selection, inade-
quate measurement criteria, and the failure to control for factors such as unreported
delinquency, social class, and criminal justice agency bias. In addition, one cannot
avoid the observation that they tend to reinforce class, gender, and especially ra-
cial stereotypes. By excluding hidden crime, crimes by women, occupational crimes,
and crimes of the powerful, and by often relying on samples of convicted offenders,
body-type theories tell us more about who is likely to be processed through criminal
justice agencies than about what causes crime. However, these theories were suffi-
ciently provocative to stimulate a new generation of inquiry into the nature of what
was inheritable. This new era of biosocial criminological theory is more sophisticated
and deserves serious consideration, not least because it is built on new knowledge
about the human brain and the multidisciplinary insights gained from “genetics,
biochemistry, endocrinology, neuroscience, immunology and psychophysiology”
(Fishbein 1998, 92).
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Contemporary Biological Perspectives

In spite of its earlier methodological shortcomings, biological theory and the use
of scientific methods remain popular in criminology in the twenty-first century.
Indeed, “a growing literature base has served to substantiate that genetic factors are
as important to the development of some forms of criminal activity as are environ-
mental factors” (Ishikawa and Raine 2002, 81). Rather than determining crime,
“multiple genes—acting in combination—result in varying degrees of genetic dis-
position to criminal behavior . . . through heritable physiological processes such
as neurotransmitter and autonomic nervous system functioning, which, in turn,
predispose some individuals toward crime” (ibid., 82). Improved technology, com-
puterization, and software design and advanced statistical techniques have allowed
more precise measurement and improved data collection, especially with regard to
detailing the genetic process and mapping genes.
Genes, called the “atoms of heredity,” were discovered by Gregor Mendel in 1865
and reinvigorated again in the 1920s as essential elements in chromosomes. The
1952 discovery of the chemical constitution of genes as an explanation of how “like
begets like” fueled the new genetic era of biology. By 1959, genes were being used
to explain every aspect of individuals, every variation of their personality, yet, as
Fishbein pointed out, although “numerous studies have attempted to estimate the
genetic contribution to the development of criminality, delinquency, aggression and
anti-social behavior . . . it is difficult to isolate genetic factors from developmental
events, cultural influences and housing conditions” (1998, 95). First among the con-
temporary approaches were twin and adoption studies.
Twin Studies and Adoption Studies

A major boost to the genetic theory of crime came with evidence from twin studies
and adoption studies. Put simply, if crime is the outcome of some genetically con-
veyed heritable factor (e.g., impulsivity, low arousal to pain, sensation seeking, or
minimal brain dysfunction), then we would expect to find more crime in the twin
partners of identical twins—where one twin is criminal—than in fraternal twins or
between siblings. This is because monozygotic (MZ) twins are identical, with 100
percent of their genes in common, since they result from fertilization of a single egg.
In contrast, fraternal, or dizygotic (DZ), twins occur when two separate eggs are fer-
tilized at the same time (and as a result share around 50 percent of the same genes).
Genetically, they are no different from two separate eggs being fertilized at different
times, as with other siblings. This explains why MZ twins are always of the same sex,
whereas DZ twins may be of opposing sexes. Researchers have compared twins of
each type and claim to find that there are greater similarities in criminal convictions
between identical (MZ) twins than between fraternal (DZ) twins, which lends sup-
port to the genetic basis for crime.
The most comprehensive study of this type was conducted by Karl Christiansen
(1977; Mednick and Christiansen 1977), who studied 3,568 pairs of Danish twins
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born between 1881 and 1910. He found that 52 percent of the identical twins (MZ)
had the same degree of officially recorded criminal activity, whereas only 22 percent
of the fraternal twins (DZ) had similar degrees of criminality. These findings per-
sisted even among twins who were separated at birth and raised in different social
environments. Numerous twin studies have since found the same basic relationship,
with identical twin pairs being up to two and a half times more likely to have similar
criminal records when one of the pair is criminal than are fraternal twin pairs.
This apparently consistent finding has been criticized for its methodological
inadequacy. Factors criticized include dependence on official crime statistics, es-
pecially conviction records; unreliable processes for classifying twins such as inaccu-
rate determinations of monozygosity; errors resulting from small samples or biases
in sample selection; failure to take into account the similar environmental upbring-
ing of identical twins compared with fraternal twins; and the inability of genetics
to explain “why the majority of twin partners of criminal twins are not themselves
criminal” (Einstadter and Henry 2006, 97). And although some studies based on
self-reports (rather than official crime statistics) found both greater criminality and
greater criminal association among identical twins where one twin admitted delin-
quency compared with fraternal twins, several others argue that the higher-quality
twin studies are less clear about the genetic contribution (Hurwitz and Christiansen
1983; Walters 1992).
Adoption studies seem to offer a way out of some of the environmental confusion
plaguing twin studies by examining rates of criminality in children who are adopted
away from their birth families (Rafter 2008, 229). If some biologically predisposi-
tional factor is involved in criminality, we would expect that the biological children
of convicted criminals would have criminal records more consistent with those of
their natural parents than with their adoptive parents. In fact, several studies “indi-
cate that some relationship exists between biological parents’ behavior and the be-
havior of their children, even when their contact has been nonexistent” (Siegel 2012,
154). Barry Hutchings and Sarnoff Mednick (1975) studied adoptees born between
1927 and 1941 in Denmark. They found that if boys had adoptive parents with a
criminal record but their natural parents had no criminal record, then just fewer
than 15 percent of the adoptive sons were convicted of criminal activity (Rafter
2008, 230). This was little different from cases where neither natural nor adoptive
parents had a criminal record (13.5 percent). But where boys had noncriminal adop-
tive parents but criminal natural parents, 20 percent of the adoptive sons were found
to be criminal. Moreover, these effects seem additive, such that where both adoptive
and biological fathers were criminal, 25 percent of adoptive sons were found to be
criminal (ibid.). Reporting more recent studies with larger samples and looking at
both parents, the authors found similar though less pronounced results (Mednick,
Gabrielli, and Hutchings 1987, 79). This finding was confirmed between adoptive
girls and their mothers (Baker et al. 1989) and has been supported by other stud-
ies (Crowe 1975; Cadoret 1978). In spite of proponents’ claims, critics have raised
several questions about adoption studies. A major problem is “selective placement,”
whereby the adoption agency may match the adoptive home with the natural home
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in terms of social class and physical characteristics (Kamin 1985; Walters and White
1989; Walters 1992; Rydenour 2000). Another problem is whether the effects being
measured reflect prenatal or perinatal factors (Denno, 1985, 1989). Overall, then,
what at first seemed to offer solid and consistent scientific evidence of a heritable
genetic predisposition to crime turns out to raise more questions than it answers.
This has not stopped various processes from being identified as causal candidates for
explaining crime.
Biosocial Criminology:
A Developmental Explanation of Crime
Since the 1950s, researchers have received media attention for various “discoveries”
that they claim may explain the biological causes of crime (Nelkin 1993; Nelkin and
Tancredi 1994). The April 21, 1997, cover of U.S. News & World Report carried a
similar title to that of this chapter—“Born Bad?”—and dealt with the biological
causes of crime.
Before examining illustrative examples of these processes, it is important to un-
derstand the logic used by the biosocial criminologists to explain crime. Biosocial
criminology was founded on the ideas of E. O. Wilson (1975), whose book Socio-
biology marked a resurrection of the role of biological thinking in social science.
The basic premise is that the “gene is the ultimate unit of life that controls all
human destiny” (Siegel 2012, 143). Although sociobiologists believe that environ-
ment and experience also have an impact on behavior, their main assertion is that
“most actions are controlled by a person’s ‘biological machine’. Most important,
people are controlled by the innate need to have their genetic material survive and
dominate others,” which is more commonly known as “the selfish gene” (ibid.).
All advocates of genetic explanations for crime agree that they are not claiming that
genes alone determine behavior or that there is a “crime gene” (ibid.; Ishikawa and
Raine 2002, 82). Rather, as stated above, criminal behavior is believed to result
from the combination of hereditary factors interacting with environmental ones.
Together, these factors affect the brain and cognitive processes that in turn control
behavior (Jeffery 1994; Ellis 1988; Ellis and Walsh 1997; Fishbein and Thatcher
1986; Raine 2002; Wilson and Herrnstein 1985; Hurwitz and Christiansen 1983;
Ishikawa and Raine 2002, 98–99). More recently, though, researchers have found
a region of the chromosome where there are variants of a gene that “regulates the
production of the enzyme monamine oxidase (MAOA), which has been proposed as
a possible mechanism for a genetic theory of violence. . . . In this theory a variant of
a gene either overexpresses or underexpresses a chemical that affects a region of the
brain” (Krimsky and Simoncelli 2011, 266). A study that looked at the genotypes of
1,155 females and 1,041 males who participated in a long-term analysis of adoles-
cent health from 1994 to 2002 found that individuals with the gene that results in
low MAOA activity were twice as likely to join a gang as those with the high-activity
form (Calloway 2009).
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In addition to the interaction between genetic predispositions and environment,

contemporary biological theorists do not abandon the notion of free will, as their
predecessors did. Instead, they prefer the concept of “conditional free will.” In this
approach, various factors restrict and channel an individual’s decision to act, and
each “collaborates internally (physically) and externally (environmentally) to pro-
duce a final action: The principle of conditional free will postulates that individuals
choose a course of action within a preset, yet changeable, range of possibilities and
that, assuming the conditions are suitable for rational thought, we are accountable
for our actions. . . . This theory . . . predicts that if one or more conditions to which
the individual is exposed are disturbed or irregular, the individual is more likely to
choose a disturbed or irregular course of action. Thus, the risk of such a response
increases as a function of the number of deleterious conditions” (Ishikawa and Raine
2002, 104–105).
The research on biosocial criminology and behavior has empirical support. For one
example, Raine conducted a review and semi-meta-analysis of thirty-nine studies and
concluded, “When biological and social factors are grouping variables and when an-
tisocial behavior is the outcome, then the presence of both risk factors exponentially
increases the rates of antisocial and violent behavior” (2002, 311).
Chromosomes, Nervous System, Attention Deficit Disorder,

Hormones, and the Brain
The list of causal candidates for the predispositional side of this interactive equation
is long, and growing. None have captured the imagination more than those based on
aspects of genetic theory. For example, in the 1960s, a chromosomal theory of crime
attributed violent male criminality to an extra Y chromosome. This extra chromo-
some created what was termed a “supermale,” one who was excessively violent. This
theory was initially supported by the finding that 1 to 3 percent of male inmates had
an extra Y chromosome compared to less than 1 percent of the general population
of males (P. Jacobs et al. 1965; Telfer, Baker, and Clark 1968). Further research
revealed, however, that incarcerated inmates with an extra Y chromosome were less
likely to be serving a sentence for a violent crime. Moreover, the XYY chromosome
pattern was more prevalent among prison officers than prisoners (Sarbin and Miller
1970; R. Fox 1971). However, “recent research has failed to support a relationship
between the XYY chromosomal complement and criminal behavior; some studies
even suggesting that XYY males are less likely to exhibit aggressive behavior than
those with an XY chromosomal pattern” (Flowers 2003, 9).
Another candidate used to explain the intergenerational transmission of criminal-
ity is the autonomic nervous system (ANS), which is the “regulatory sector of the
central nervous system and is largely responsible for controlling arousal and one’s
ability to adapt to the surrounding environment” (Bowman, 2010, 602). The argu-
ment here is that “law-abiding behavior is a learned trait. . . . Individuals learn to act
in a social manner through proper primary caregiver interaction in childhood, most
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often through their rearing parents” (ibid.). Despite criticisms, there has been some
support garnered for ANS theory through adoption studies, brain wave analyses, and
delayed response experiments.
Attention deficit disorder (ADD) and attention deficit hyperactivity disorder
(ADHD) have also been targeted as possibly heritable factors in criminality (Mof-
fitt and Silva 1988; S. Young and Gudjonsson 2008). According to epidemiological
data, approximately 4 to 6 percent of the US population has ADHD. That is about
eight to nine million adults. ADHD usually persists throughout a person’s lifetime.
It is not limited to children. Approximately one-half to two-thirds of children with
ADHD will continue to have significant problems with ADHD symptoms and be-
haviors as adults, which impacts their lives on the job, within the family, and in
social relationships (Jaska 1998). Studies conducted in the United States, Canada,
Sweden, Germany, Finland, and Norway indicated that two-thirds of institution-
alized young offenders and about one-half of the adult prison population screened
positively for ADHD (Cole, Daniels, and Visser 2013, 3).
Children and adults with ADHD are “less likely than others to succeed in school,
form healthy and lasting social and family relationships, or find and sustain pro-
ductive work in order to contribute to their societies” (ibid.). Johnson and Kercher
(2007) studied ADHD, strain, and criminal behavior and concluded that people
with ADHD are less able to cope with strain in legitimate ways. According to recent
research, “Post-traumatic stress disorder caused by child abuse produces symptoms
similar to ADHD symptoms, and . . . these disorders frequently coexist and overlap”
(Matsumoto and Imamura 2007). Weinstein, Staffelbach, and Biaggio supported
this observation in the case of victims of child sexual abuse (2000).
Hormones have also been claimed as causal agents in criminality. Hormones are
“a group of molecules that are responsible for carrying messages to cells through-
out the body.” Higher than normal levels of testosterone in men have been linked
to aggression and violence (Ferguson 2010, 88). Some researchers have also found
that abnormal levels of androgens (male sex hormones) produce aggressive behavior
(Siegel 2012, 146). But reviews of the evidence suggest that neither of the hormonal
explanations has adequate research support, and some have even argued that hor-
monal changes “may be the product rather than the cause of aggression” (Curran
and Renzetti 1994, 73; see also Janet Katz and Chambliss 1991; and Horney 1978).
As we are increasingly seeing, the relationship between biology and crime is not
simple, and probably not linear but more likely reciprocal, with both biological and
environmental factors feeding into and enhancing each other.
The Importance of Neurotransmitters in Relation

to Depression and Aggression
The role of neurochemical processes, particularly neurotransmitters, is increasingly
seen as important. These are chemicals, such as serotonin and dopamine, released
by electrical signals given off by nerves that transmit information to receptors in
the brain. The brain then instructs the body to adjust various behaviors, including
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BOX 4.1 Epidemiological Criminology

A Case for Sociobiological Determinism
TIMOTHY A. AKERS, M.S., PH.D., AND JOSEPH WHITTAKER, PH.D.
The very essence of this essay is best reflected in a recent question asked by my (Tim-
othy’s) daughter, Aubrey, who is twelve years old and already expressing her desire to
be a criminologist—not because of her father, but because of her favorite TV show,
Bones, which portrays a brilliant female forensic anthropologist working closely with
the FBI to resolve challenging cases. While out for dinner, she asked, “Daddy, why
is there crime?” As I thought about the question, I realized that I could not, in all
honesty, provide a clear and definitive answer. Is it because of economics? Fam-
ily dynamics? Social interactions? Behavioral or other biologically linked dysfunc-
tion that remains unaddressed or unrecognized? Did criminals receive an adequate
education? Was it something they ate? Did they bang their heads too many times
growing up? Or were they born with a “predisposition” toward criminal behavior?
These questions, among many others, have guided the work of research scientists,
educators, policy makers, criminologists, and dilettantes for centuries. Today, these
questions are yet to be resolved; they remain enigmatic and challenging, awaiting
definitive answers based on solid evidence.
The scientific world, as we know it, comprises a vast number of disciplines and
subdisciplines, spanning the sociobehavioral to the computational and biological,
and everything in between these domains. As we advance technologically, and as our
environments as well as world economies continue to undergo radical transforma-
tions, human behavior and associated social dynamics will, without a doubt, become
significantly altered. Included among the outcomes of such complex dynamics are
apparent erosions in the fundamental mores, folkways, and norms that help to keep
us grounded and disciplined in response to socioeconomic, environmental, and other
stressors. Starting with the most basic question, “Which came first, the crime or the
criminal?” how do we determine the underlying causes of crime? Is there any one or
multiple explanations? Can any single discipline explain crime, or is it such a complex
phenomenon that it cannot be explained without an interdisciplinary examination of
the interactive effects of many possible causes, relative to each individual? Or can we
aggregate and make reasonable, rational conclusions?
Now, let’s try to set forth a scenario that tracks our future biological or surro-
gate mother or father, then move through the process where the baby is born and
eventually commits a crime, as compared to a baby that does not commit a crime.
From there, maybe we will come closer in terms of beginning to address Aubrey’s
question: “Daddy, why is there crime?”
Through an emerging paradigm titled “epidemiological criminology,” new crim-
inological tools, methods, models, processes, hypotheses, and theories can be pro-
posed and developed (Akers and Lanier 2009; Lanier, Lucken, and Akers 2010). This
(CONTINUES)
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BOX 4.1 (CONTINUED)
notion is not unreasonable, given that some fifty years ago noted criminologist and
sociologist Donald Cressey advocated for the inclusion of epidemiology in crimino-
logical theory and research, as espoused in his 1960 article titled “Epidemiology and
Individual Conduct: A Case from Criminology.” As we begin to think more cre-
atively and advance new interdisciplinary-based conceptual theories, the study of epi-
demiological criminology can serve as a case study for sociobiological determinists. In
effect, we can begin to ask broad but basic and rudimentary questions such as, “What
are the sociobiological factors that will likely affect our understanding of crime and
criminal behavior?”
Many criminologists started out their original training as sociologists. As students
of crime, many in the social and behavioral sciences often hold themselves out to
also be considered as criminologists. More than any other, they subscribe to the
concept of social determinism. In effect, when asking what causes crime and crim-
inal behavior, they turn to issues around interpersonal interaction, education, rac-
ism, and injustice, among others. However, the scope of their arguments is often
constrained when asked to consider other factors, causes, or explanations. Unfor-
tunately, this results in paralysis through analysis—leading to generally limited and
relatively myopic perspectives on very complex issues.
On the other hand, when crime is examined from a more biological determin-
istic perspective, we begin to head down a path fraught with risk, uncertainty, and
professional liability. It is considered professional suicide to even postulate such a
hypothesis, as it appears to some to be a rebirth or a resurgence of the old eugen-
ics movement that occurred during the first half of the twentieth century, when
it was assumed that a person’s physical characteristics could help to determine the
likelihood of criminal behavior. In reality, it has been the focus on genetic and en-
vironmental factors that has led biological determinists to appreciate the depth and
breadth of both factors.
However, what happens when you take sociologists, psychologists, and biologists,
among others, outside of their comfort zone—removing them from their comfort
zone or away from their subject area of interest? Then what happens when you seek
out their critique of how biological determinism has stepped forward to challenge
other explanations of crime? That is, where does genetics play into this milieu, or
does it? Or does only a part of it have an effect? Therefore, when we prematurely
discount potential factors that may help to explain criminal behavior, we do so at
our own scientific peril; in effect, we show our scientific ignorance, or what we may
also call scientific fraud, by intentionally neglecting to consider other explanations of
criminal behavior using interdisciplinary approaches.
When trying to merge a small fraction of sociobiological determinism in order
to help explain aberrant behavior, we can see other examples that have more of an
environmental influence, such as when biology and genetics play a role in under-
standing how toxic environmental contaminants may impact fetal development or
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early-childhood development. The US Centers for Disease Control and Preven-

tion reports that roughly one in six children is diagnosed with a developmental
disability—leading many to speculate that physical environments where one lives,
works, and plays directly impact fetal and early-childhood development. The more
exposed the child is to a dangerous and toxic environment, the more likely the child
will experience behavioral and maladaptive problems. In essence, the best way to help
determine such impact is through the use of large-scale epidemiological studies, in
which social, behavioral, biological, and environmental characteristics may directly
impact or help predict an offspring’s likelihood of committing a criminal act. A child
falls or injures her head often and is neglected by not being taken to the emergency
room. Brain lesions begin forming. Behavior starts to change, and, before we know it,
the once innocent child has now stepped over the line into criminal behavior.
Therefore, when trying to explain “Why is there crime?” we are also left to ask
ourselves if we have the right type of data to help scientifically predict a probability
of someone committing a violent or nonviolent criminal act. Large-scale epidemio-
logical studies have also revealed that biological and chemical agents present poten-
tial threats to the unborn, infant, and child; lead products, methylmercury, arsenic,
toluene, and polychlorinated biphenyls are but a few examples of the type of envi-
ronmental toxins that are known to cause birth defects, leading to neurobehavioral
deficits. From an epidemiological criminology perspective, environmental exposures
to such toxins can clearly serve as a bridging framework that can help to address the
sociobiological deterministic divide, and therefore to provide one small piece of the
answer to the question, “Why is there crime?”
Dr. Timothy A. Akers is Professor of Public Health and Assistant Vice President for
Research Innovation and Advocacy in the Division of Research and Economic De-
velopment at Morgan State University in Baltimore, Maryland. He is a former Senior
Behavioral Scientist with the US Centers for Disease Control and Prevention (CDC)
and holds degrees in criminology/criminal justice and environmental and urban studies.
Dr. Joseph Whittaker is Professor and Former Dean of the School of Computer,
Mathematical, and Natural Sciences at Morgan State University. He is a neuroscientist
and was a founding member of the Morehouse School of Medicine’s Neuroscience
Institute in Atlanta.
References
Akers, Timothy, and Mark Lanier. 2009. “‘Epidemiological Criminology’: Coming Full
Circle.” American Journal of Public Health 99, no. 3, 1–6.
Cressey, Donald R. 1960. “Epidemiology and Individual Conduct: A Case from Crimi-
nology.” Pacific Sociological Review 3, 47–58.
Lanier, Mark M., Karol Lucken, and Timothy Akers. 2010. “Correctional Opportuni-
ties: Epidemiological Criminology.” In Key Correctional Issues, edited by Roslyn Mu-
raskin. 2d ed. Englewood Cliffs, NJ: Prentice-Hall.
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aggression, in relation to the human organism’s environment. Serotonin in humans

or animals inhibits aggression, and having relatively low levels of this substance
released by neurotransmitters results in a failure to inhibit violent and impulsive
behavior (Virkkunen et al. 1987, 1989; Fishbein 1990, 1998; Coccaro and Ka-
voussi 1996). A review of studies found that overall the low-serotonin relationship
to antisocial behavior is significant (Moore, Scarpa, and Raine 2002).
In contrast, dopamine is an excitatory transmitter that offsets the effects of low
serotonin. As Fishbein says, dopamine “operates as the ‘fuel’ while serotonin pro-
vides the ‘brakes’ for behavioral responses” (1998, 99). Dopamine “operates by set-
ting into motion a biological process that gives rise to an emotional response that
motivates behavior. It affects a person’s ability to respond to environmental ‘cues’
that are associated with some sort of reward or stimulus that satisfies some drive”
(Fishbein 2002, 111). When the dopamine system is stimulated, “novelty-seeking
and self-stimulation behaviors increase.” When this system goes awry, behavior
may be stimulated “in the absence of a reward, a threat, or other appropriate stim-
ulus” (ibid.).
As with hormones, however, it is uncertain whether changes in serotonin and do-
pamine are the outcome of changes in environment or the reverse (W. Gibbs 1995).
For example, Miczek showed that “an increase in serotonin can occur at the time
of aggression and can continue to increase throughout a potential attack demon-
strating that an environment or situation or social context can trigger appropriate
serotonin production to help deal with it” (Einstadter and Henry 2006, 89). Indeed,
as Miczek said, “Instead of only looking at biology as the cause of behavior, we
also need to consider the reverse—that being the aggressor or victim of aggression is
the event that sets the neurobiological processes in motion” (cited in Niehoff 1999,
116). Put simply, recent analyses of the relationship between the human brain, its
environment, and behavior challenge notions of predisposition and suggest, rather,
that the relationship might be reciprocal; that is, not only might biological factors
result from behavioral and environmental ones, but the biological factors are not
immutable and can be altered by changes in behavior and environment.
Recent Directions in Biosocial Criminology

Related to these new developments is a biocriminological theory that is increas-
ingly seen as tying together many of the earlier findings. Lee Ellis (1977, 1987,
1990, 1995, 2005) has become one of the leading advocates in this field and has
contributed significantly to its development, which has flourished to command
a significant place in criminological thinking. Ellis has several dimensions to his
theory (Ellis and Hoffman 1990; Ellis and Walsh 1997, 2000; Ellis 2005). In his
sensation-seeking and arousal theory, Ellis has argued that as a result of low levels
of dopamine, and dopamine-like neurotransmitters called endorphins, some people
have lower-than-average emotional arousal under normal environmental conditions
(as a result of a predisposition). Whereas most people are excited by a wide range of
stimuli, dopamine-depressed people are easily bored. To raise their level of arousal to
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normal levels, such individuals engage in super-challenging or intensely stimulating

activities. Indeed, such sensation seeking is “strongly linked to other antisocial traits
such as impulsiveness, recklessness, irresponsibility, and criminality” (Martens 2002,
174). Criminal behavior provides this “on the edge” stimulation for such “sensation
seekers” (Ellis 1995; Zuckerman 1979). Ellis argues that we can expect higher levels
of criminality from sensation seekers than from those with normal sensitivities to
stimulation. Evidence has accumulated supporting the idea that sensation seeking,
risk taking, and impulsivity are biologically determined (Knoblich and King 1992;
Magnusson, Klinteberg, and Stattin 1992), and studies of convicted offenders re-
veal that a key motivational factor is a neurophysiological “high” experienced in the
course of committing an offense (Wood, Gove, and Cochran 1994; Gove and Wilm-
oth 1990). This high is similar to the intrinsic pleasure experienced from drugs and
alcohol; it results from a similar external stimulation of internal opiates known as
endorphins (Wood et al. 1995; Fishbein 1990; Fishbein and Pease 1988). As Barak
(1998) observes, Ellis’s theory of arousal may also explain corporate and white-collar
crime (see also Hare [1993]). Indeed, corporations have been shown to seek pre-
cisely the kind of executive motivated to maximize sensations through risk taking,
and it is just such a profile that is associated with corporate crime (Gross 1978;
Box 1983). More recently, Hare ([1993]) has applied the concept of psychopathy,
which assumes biologically based traits, to explain corporate offenders, using his
inventory of psychopathology to explain such offenders without conscience (which
will be discussed in the next chapter).
More controversial, however, is Ellis’s cluster of biocriminological theories based
on the principle of the reproductive drives of the selfish (male) gene that he uses to
explain behavior ranging from rape, spousal assault, and child abuse to male sex-
ual promiscuity, cheating male spouses, and even theft (Ellis and Walsh 1997). The
common theme underlying such explanations is the idea that it is in men’s repro-
ductive interest to behave as a sexual predator. For example, r/K theory assumes that
rates of reproduction vary along an evolutionary continuum from r to K. Persons at
the r end reproduce prolifically and, therefore, do not need to care much for their
offspring because there will be many, and some will survive. In contrast, those at
the K end produce a small number of offspring in which they invest much time
and energy to ensure their survival, and they are generally more caring and nurtur-
ing. Criminals and psychopaths are expected to be at the r end, to come from large
families, to begin sexual activity early, and themselves produce many offspring. Ellis
acknowledges the racist inferences that could be drawn from such an idea and states,
“Whichever racial/ethnic groups or social strata exhibit r-related traits to the greatest
degree will also exhibit high rates of crime and psychopathy” (ibid., 257). Others
may see these ideas as sexist, and as apologia for sexist behavior.
Ellis’s most recent version of biocriminology is called evolutionary neuroandro-
genic theory (ENA) and is used to explain the higher rates of violent crimes com-
mitted by males. Walsh and Ellis note, “ENA theory asserts that evolutionary,
neurological, and hormonal factors, like social environment factors, are all involved
in crime causation” (Walsh and Ellis 2007, 215). ENA theory has two fundamental
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assumptions. The first is that “males have been naturally selected for engaging in re-
source procurement and status striving, especially after the onset of puberty.” Walsh
and Ellis continue that “females who have chosen mates based on a male’s ability to
obtain resources will have left more offspring in subsequent generations than females
who use other criteria for selecting mates.” The second assumption claims that “fetal
exposure of male brains to . . . androgens . . . makes them more prone to compet-
itive status striving than females . . . (and) that criminality is part of a continuum
of activities involving status striving in which males are the main offenders” (ibid.,
215–216).
Related to these ideas, “cheater theory” argues that some men are sexually aggres-
sive, seeking to dominate as many women as possible and to employ deception to
achieve sexual conquest of as many women as possible. They may use illegal and vio-
lent means to acquire the resources for sexual access to females. Yet others, who find
women resistant to their mating behavior, will use force, including rape, which Ellis
and Walsh refer to as “forceful copulatory tactics” (1997, 255), to overcome the ten-
sion between the sexes. These authors recount a similar line for spousal assault that
is seen as “associated with maintaining exclusive copulatory access,” and they predict
that “spousal assaults should be most common in populations in which infidelity is
most common” (ibid. 256). In short, male sex hormones and other neurochemical
processes increase competitive or victimizing behavior or both, which in turn recipro-
cates with the chemical processes (Ellis 2005).
It should be clear that Ellis’s theories resonate with commonsense male sexist
assumptions that males’ sexual predatory behavior is beyond their control, caused
by their biological makeup. The evidence for this is far less convincing. As the list of
biological factors grows, so does the refutation from accumulated studies. Research-
ers have so far found some support for connections between aggression and phys-
iology, brain chemistry, and hormones, although sensation-seeking and arousal
theory may show more promise. Indeed, there are several conceptual and empirical
limitations for this approach that we briefly explore next.
Conceptual and Empirical Limitations

We have already discussed several of the limitations in the research methodology
with regard to the early biological theories. Even though contemporary genetic stud-
ies use far more sophisticated methodology, they too are fraught with numerous dif-
ficulties. One problem stems from the nature of criminal behavior itself being a legal
rather than a behavioral category and a category that comprises different behavioral
types. For example, just because rape is defined as a violent criminal offense, does
this mean all rapists are similarly motivated? Some are motivated by sexual desire,
others by opportunity (e.g., date rape), and others by power; yet others are rapists
due to the age of their “willing” partner. If biological theory is to explain rape or
violence, researchers should disaggregate “behaviors that are reflective of actual acts
that can be consistently and accurately measured and examined” (Fishbein 1998,
98). Accordingly, “Genetic studies that focus on criminal behavior per se may be
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inherently flawed; as criminal behavior is heterogeneous, genetic effects may be more

directly associated with particular traits that place individuals at risk for criminal
labeling” (ibid.).
A second and related problem is that researchers rarely distinguish between those
with an occasional criminal behavior pattern whose actions might be the result of
situational factors and those whose criminal offending is more long term and repeti-
tive and whose actions may be more explainable by inherent predispositions (ibid.).
Even if behavior is disaggregated, since no single gene has been associated with most
behavior, research on antisocial behavior suggests multiple combined effects that
are difficult to isolate, not only from each other but especially from developmental
events, cultural influences, early experiences, and housing conditions (ibid., 94).
In spite of these limitations, the new multidisciplinary direction in biosocial re-
search focused on the relative interaction between biological, psychological, and so-
cial factors seems to offer the best hope for the future. Meanwhile, contemporary
theorists continue to suggest—if with caution—criminal justice policy implications
based on their limited evidence. As we shall see in the next section, this approach has
a poor and dangerous track record.
Criminal Justice Policy Implications

At its simplest, the policy of biological theory is the medical model, which involves
identification, prevention, and treatment. Under this model, if inheritable predispo-
sitions, such as genes, chromosomes, hormones, or imbalances in brain chemistry,
are the causes, or at least the predisposers, of crime, then preventive policy should
involve identifying those individuals potentially predisposed prior to their creation
of harm. To be fair, though, biosocial criminologists also argue that “environmental
manipulations can be successful in reducing the incidence of crime by preventing
full expression of genetic predispositional factors” (Ishikawa and Raine 2002, 83).
However, this has not always been the obvious policy conclusion. The policy leg-
acy of biological theory is that it has been associated with interventions designed
to prevent the proliferation of criminals by stopping their procreation, or, more ac-
curately, through eugenics. The first cousin of Darwin, Francis Galton, coined the
term eugenics in 1883. He used the term to mean “purely born” and saw the better-
ment of the human species by planned breeding (Garland 2001).
As well as limiting the ability of the “undesirable” to reproduce, the logical pol-
icy from the biological perspective is to cure the “sickness,” which in this analysis is
equated to crime, and this is seen as more appropriate than punishment. From this
perspective, sentences should be designed to address, as in “treat,” whatever is diag-
nosed as the “cause,” and expert science, rather than judicial analysis, should decide
this. Thus, indeterminate sentences are designed for each individual offender, based
on his or her needs, with treatment length dependent on the time taken to cure or
remove the cause.
We have discussed how early anthropological biocriminologists proposed inva-
sive criminal justice policy and practice to deal with offenders. Suggested measures
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ranged from drug treatment and surgery to segregation and elimination through
negative eugenics (forced sterilization) and even death for those who could not be
“cured.” For example, in the early part of the twentieth century, Henry H. Goddard
found that prisoners and convicted juvenile delinquents had low IQ scores, with
the assumption that their “feeblemindedness” was an inherited trait accounting for
their criminal behavior. Goddard, among other eugenicists, “reasoned that if they
could prevent feebleminded people from having children, they would be able to
rid the country of feeblemindedness and crime in a few generations” (Rafter 2007).
This led to the development of custodial institutions for the feebleminded where
the mentally defective could be held for life for the purpose of segregating them
and preventing them from reproducing, a policy that in its extreme led to calls for
forced sterilization (Wetzell 2000). Eugenics formed the basis of the US Bureau for
Social Hygiene, which was founded in 1913 and operated through the 1930s. The
bureau, funded by John D. Rockefeller Jr. was interested in promoting cutting-edge
science, to control populations, and proposed eugenics policies to eliminate the
causes of crime. Indeed, the eugenics movement spread nationwide. As Tony Platt
has pointed out, “Under the banner of ‘national regeneration,’ tens of thousands,
mostly poor women, were subjected to involuntary sterilization in the United States
between 1907 and 1940. And untold thousands of women were sterilized without
their informed consent after World War II. Under California’s 1909 sterilization
law, at least 20,000 Californians in state hospitals and prisons had been involun-
tarily sterilized by 1964” (2003). In the United States as a whole the government
involuntarily sterilized more than 60,000 institutionalized people prior to the 1960s
(Garland 2001).
These ideas have raised fears because of their racist and sexist connotations, and
because of politicians’ inclinations for simple technological fixes based on appar-
ently objective science to absolve them from dealing with more complex issues
(Nelkin 1993; Nelkin and Tancredi 1994; Sagarin and Sanchez 1988). Civil rights
and invasion of privacy issues involved in enacting policy on the basis of question-
able evidence that affects some groups in society more than others have created
considerable opposition that has resulted in canceled conferences and withheld
federal research funds (J. Williams 1994). Nor have these fears been quelled by
the support of some contemporary biocriminologists who have suggested screening
clinics, early diagnosis, and preventive treatment as part of policy solutions (Jeffrey
1993; L. Taylor 1984).
Undeniably, as Wood, Gove, and Cochran note, “an effective crime control sys-
tem would create conditions which minimize the likelihood that persons would
commit crimes. . . . The key to preventing some crime may depend on finding
alternative activities that both produce a neurophysiological ‘high’ and which are
symbolically meaningful to the persons performing the crimes” (1994, 75–76). This
might include competitive sports and Outward Bound programs as well as activities
such as skydiving, bungee jumping, surfing, rock climbing, wakeboarding, and simi-
lar kinds of risky, thrilling, and nonharmful activities.
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The early biological hereditary theories have been discredited since their findings have
not been confirmed by later studies; however, they laid the foundations for current de-
velopments. Despite the reliance on observation and the scientific method, these early
studies had serious methodological problems—including the failure to adequately de-
fine crime, reliance on official crime statistics, and failure to control for environmental
factors—that rendered the results suspect. The early theorists stimulated research into
the biological and environmental causes of crime, however, and they also promoted
use of the scientific method. This was an improvement over the “armchair” classical
philosophers who used logic and reason to develop their theories of crime.
Contemporary biological theories also have mixed validity. The search for causes
of crime has become more sophisticated, in part due to improved technology. Par-
ticularly important has been genetic research. Furthermore, modern biological
theories do not state that biological defects alone produce criminal acts; rather,
biological factors in conjunction with certain environmental or social factors limit
choices to those that make criminal behavior more probable. But the modern stud-
ies still have questionable validity due to the research methods employed. At best,
biological factors are viewed as indirect causes. The most recent neurophysiological
studies (explaining the relationship between brain processes and behavior) seem to
offer the best hope for the future of this perspective. However, to date, their studies
have not ruled out the possibility that physical and chemical changes in the brain
are themselves the result, rather than the cause, of criminal behavior.
Policy implications affiliated with biological positivism are troublesome. One ob-
jective is to identify potential criminals before they commit a crime. But trying to
“cure” someone who has not committed a crime is unethical. Even after a crime is
committed, the interventionist treatment policies associated with biological positiv-
ism raise ethical dilemmas, as is illustrated in the discussion of voluntary chemical
castration. The less invasive alternatives involving environmental manipulation may
seem preferable, but these theorists seem naïve about society’s willingness to accept
policies that provide better options to those identified as potential criminals com-
pared to those predicted to be noncriminals.
The best role for the biological contribution to our understanding of crime seems
to be as a contributing part of some overall integrated theory (Fishbein 1998; Barak
1998; 2009). So far, the theories most conducive to such a mix are the psycholog-
ical, social learning, and social environmental theories that we explore in the next
three chapters.
Summary Chart: Biological Theory

Basic Idea: Captured in the phrase that some are “born criminal” with a predis-
position to crime. Theorists believe that human behavior is determined by biological
forces that in some manifest as crime under certain environmental conditions.
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Human Nature: Humans inherit biological and genetically determined attributes

that make people different. Attributes are randomly distributed; genetic variation
makes each person unique. Most people possess a similar normal range of attributes
and capabilities. Extremes of this distribution include those who are exceptional,
either positively or negatively. Human behavior is an outcome of the mix of the
biologically inherited qualities and their environment.
Society and Social Order: A consensus is implied. Individuals form a natural
social order reflecting their biologically distributed characteristics, which produces a
hierarchy comprised of the fittest who dominate over the weak.
Law, Crime, and Criminals: Law is a reflection of the consensus of society.
Crime is a deviation from normal behavior that is prohibited by law. Science can
measure what is normal and therefore aid in law creation, crime detection, and
crime treatment. Criminals break laws naturally and will break norms and laws in
any society. Criminals are different from noncriminals in being defective and predis-
posed to violate laws under certain conditions.
Causal Explanation: Defective biological attributes make some people predis-
posed or prone to deviate under certain environmental conditions. This is because
they (1) are impelled to anger; (2) are impulsive; (3) have impaired learning ability,
limiting their capacity for socialization; (4) are unable to control their behavior; and/
or (5) are sensation seekers suffering from low arousal of the autonomic nervous
system due to low production of dopamine or excessive production of serotonin,
each of which might also result from environmental factors, including substance
abuse. Early biocriminologists believed that defects were reflected in physical appear-
ance (physical stigmata, or body types), with somatypes such as mesomorphs being
more crime-prone, and that science could discover the cause of crime by examining
the appearance of criminals compared to “normals.” Recent work has concentrated
on genetic theory and the evidence from twin and adoption studies that shows a
consistent relationship suggesting hereditary factors. Specific inheritable defects have
included physical inferiority; XYY chromosome pattern; brain disorders or dysfunc-
tion; mental deficiency; feeblemindedness; low IQ; learning disabilities, especially
hyperactivity; hormonal imbalance; low or high levels of serotonin; low levels of
dopamine; defective genes resulting in a slow autonomous nervous system; blood
chemistry disorders; and ecological stimuli or deficiencies such as excessive sugar
consumption, allergens, or vitamin and mineral deficiencies.
Criminal Justice Policy: Treat the defect and protect society from the untreat-
able. This is achieved through the medical model of criminal justice, which involves
(1) information collection, (2) individualized diagnosis, (3) discretion, (4) experts as
decision makers, (5) prediction, (6) treatment presumption, (7) treatment selection,
and (8) indeterminate sentencing.
Criminal Justice Practice: Treatments include surgery or drugs, incapacitation,
eugenics for those who are untreatable, genetic counseling, environmental manipu-
lation, and alternative environmental sources of stimulation.
Evaluation: May be useful for explaining some forms of crime resulting from
insanity or delinquency resulting from attention deficit disorder, some aggressive
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offenses, and some addiction. Contradictory support for twin study and adoption
data. The theory does not consider the majority not caught for offenses. Genetic de-
fects are found in only a small proportion of the offenders. Tendency to medicalize
political issues and potential for being used by governments as a harsh form of social
control.
1. What are the assumptions about humans, society, and crime causation held by
biological (positivistic) theorists?
2. Discuss the historical background of biological and biosocial theory and its
relevance to criminology.
3. “Twin studies” have provided some compelling arguments supporting bio-
logical positivism. Discuss these and alternative explanations within the biological
perspective.
4. Which of the biological theories do you feel has the most empirical support?
5. If biological positivism is correct, what are the policy implications? How do
these fit into our current legal system?
6. What are some of the benefits and limitations of biological theories of crime
causation and how does this theory fit into the wider explanation of crime?
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5
Criminal Minds
Psychiatric and Psychological Explanations for Crime
“Psychological and psychiatric research on criminal

behavior is dominated by the belief that human beings
are basically animals, controlled by a myriad of
biological urges, drives, and needs.”
—Curt R. Bartol, Criminal Behavior: A Psychological Approach
Born on December 13, 1987, James Eagan Holmes became notorious throughout
the United States on July 20, 2012, when he was identified by police as a suspect
in a mass shooting that killed 12 individuals and wounded 58. The incident took
place at a movie theater in the Denver, Colorado, suburb of Aurora, where theater
patrons were watching the newly released Batman series film The Dark Knight Rises
(2012). Police identified twenty-four-year-old Holmes as the suspect and arrested
him shortly after the incident.
Holmes graduated from Westview High School in Rancho Peñasquitos, Califor-
nia, in 2006. That summer, he was an intern at the Salk Institute for Biological
Studies. Holmes went on to the University of California, Riverside, where he earned
a bachelor’s degree in neuroscience in 2010. During the summer of 2008, he worked
as a camp counselor for underprivileged kids in Los Angeles. In June 2011 Holmes
enrolled in the University of Colorado neuroscience graduate program at its Denver
campus. He withdrew from the program in June 2012.
According to media reports, police officers who responded to the scene found
Holmes near the theater, wearing a gas mask and body armor. Holmes’s hair had
been dyed red, resembling that of “the Joker,” a well-known Batman villain. Holmes
had allegedly begun planning for the movie theater shooting up to four months be-
fore the incident. He received numerous packages at his apartment and at the univer-
sity during this time. He also purchased various weapons, including a military-style
96
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5: Criminal Minds 97
AR-15 assault rifle that police believe was used during the attack. Police believe that
Holmes acted alone during the shooting.
After his arrest, Holmes reportedly told authorities that he had rigged his apart-
ment with explosive devices. He had booby-trapped his home so that anyone who
entered would be hurt or killed by these explosives, but the police were able to elimi-
nate and remove the dangerous materials before any further damage occurred.
Prior to this incident, Holmes did not have a criminal record. Since the shoot-
ing, he has been held in solitary confinement at the Arapahoe Detention Center in
Aurora, Colorado. He made his first court appearance on July 23, 2012, and seven
days later, he was charged with twenty-four counts of first-degree murder and one
hundred and sixteen counts of attempted murder, as well as two charges related to
the possession of serious weapons. In September and October 2012, prosecutors
filed twenty-four more counts of attempted murder against Holmes. His trial was
scheduled for December 2014.
Holmes was being treated by a psychiatrist, Dr. Lynne Fenton, at the time of
the shootings. Dr. Fenton is the medical director of student mental health services
at the University of Colorado Denver’s Anschutz Medical Campus, where Holmes
had been a student. As the case moved slowly toward trial, much rested on Holmes’s
mental state and actions in the minutes, days, and weeks before the killings.
In 1982, John Hinckley successfully used an insanity defense to avoid prosecu-
tion for attempting to assassinate then-president Ronald Reagan. In 1994, Lorena
Bobbitt argued that an “irresistible impulse” caused her to slice off her husband’s
penis with a kitchen knife while he slept. She was found not guilty by reason of
“temporary insanity,” based on her state of mind following an alleged sexual assault
by her husband. On Monday, December 8, 1980, John Lennon was fatally shot in
front of the Dakota apartment building in New York City. His killer, Mark David
Chapman, “suffered delusional paranoid schizophrenia. He had attempted suicide
twice, and during 1979 became increasingly fixated on both Holden Caulfield (the
fictional hero of J. D. Salinger’s The Catcher in the Rye) and John Lennon. Nine
psychiatrists felt that Chapman would be found not guilty by reason of insanity.
He was examined and found to have an IQ of 121, well above average. These four
exceptional, but widely publicized, cases illustrate the importance of psychiatry and
psychology as a criminal defense and as an explanation for aberrant behavior that is
accepted by the courts.
Criminal law requires two things for a crime to be proven: criminal intent, or
mens rea—“a guilty mind”—and actus reus, the voluntary participation in overt
willful behavior (Severance, Goodman, and Loftus 1992). The U.S. Supreme Court
ruled in In re Winship (1970) that these mental and behavioral elements must each
be proven beyond a reasonable doubt. Thus, if defense attorneys can establish that
their client is, or was at the time of the offense, mentally ill, criminal responsibility,
and therefore culpability based on mens rea, cannot apply.
But even in the most heinous crimes, juries are reluctant to accept the insanity de-
fense. Attorneys for Jeffrey Dahmer, the serial killer who, between 1978 and 1991,
drugged young gay men before strangling them, having sex with their corpses, and
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eating their bodies, while preserving their severed heads and penises, were unable
to convince the jury that their client was insane. Dahmer was found sane and con-
victed of fifteen counts of murder and sentenced to 957 years in prison before he
was murdered by a fellow prisoner in 1994. This case illustrates the typical outcome:
juries more often choose to reject criminal defenses relying on insanity or tempo-
rary insanity (Boccaccini et al. 2008; Greenberg and Felthous 2008; Maeder 1985).
Promoted by disproportionate media attention to certain kinds of lurid or bizarre
crimes, a popular misconception prevails, however, that many criminals are “crazy”
or “sick”—that something in their mind motivated their crime (Holman and Quinn
1992, 83; Pallone and Hennessy 1992; Samnow 2004). Moreover, as Szasz says,
“Although no one can define insanity, everyone believes he can ‘recognize it when he
sees it’” (2000, 31).
In addition to the popular imagery and the legal dimension, there are other rea-
sons psychiatry and psychology are important components of criminological knowl-
edge. There has been an enormous growth of interest in forensic psychology since
the 1990s (Arrigo and Shipley 2004; Bartol and Bartol 2011; 2012). Psychological
principles are applied in several criminal justice settings. For example, the apprehen-
sion of serial killers and rapists relies on psychological and offender profiling much
of the time. Profiling techniques are developed by the Behavioral Science Unit of the
FBI. Psychology has led to the development of many screening, diagnostic, and ana-
lytical measures used in profiling (the television series Criminal Minds was based on
this work). Profiles are composite characteristics of the personalities and behavioral
attributes of the typical offender for different types of crimes, and involve building
specific profiles based on the early crime-scene evidence in cases being investigated
by the police. Psychological profiles are used not only to apprehend offenders but
also to predict future strikes by an offender and to protect victims. Yet in the case
of the “Unabomber” crimes, the suspect, Theodore Kaczynski, a former math pro-
fessor, was eventually caught in April 1996 after seventeen years due to his brother’s
recognition of his writing style. Kaczynski had little in common with the profile
created; in fact, he was the opposite of the profile in most respects. Likewise, the two
African Americans arrested for the sniper killings in the Maryland area in 2002 were
far from the single white intelligent male in a white van profiled by the FBI. Despite
these failures, criminal profiling is of much interest to many professionals and stu-
dents of both psychology and criminal justice. In spite of its legitimate scientific base
Bartol states, “Profiling is at least 95 percent an art based on speculation and only
5 percent science” (1999, 5). Not surprisingly, it seems to have been restricted to
profiling “street” rather than “suite” offenders.
Offenders and victims have also been diagnosed as having post-traumatic stress
disorder (Kira 2010; Riggs, Rothman, and Foa 1995), which can result in violence
when their mind returns to the prior situation of stress. Traumatic head injuries are
often associated with personality changes. Criminal offenders have been diagnosed
as having a wide range of mental disturbances. Both victims and offenders can re-
quire diagnosis and treatment based on psychological concepts. For these reasons,
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students of criminology need to understand the underlying assumptions of the psy-

chological perspective, together with its study methods and policy implications and
the limitations of this approach to criminal behavior. In this chapter, we outline
the search for the psychological factors in crime causation, present the basic prem-
ises, describe some illustrative contemporary studies, and critique the findings and
assumptions.
From Sick Minds to Abnormal Behavior

The human mind has long been considered a source of abnormal behavior, and this
connection is sustained by the media’s linking mental illness to incidents of violence
(for a meta study see: Francis, Pirkis, Dunt, and Blood 2001, 24–27). Indeed, a
2005 study on media coverage of mental illness found that “thirty-nine percent of
all stories focused on dangerousness and violence; these stories most often ended
up in the front section” (Corrigan et al. 2005, 551). Since crime is seen as abnor-
mal behavior, it has been subject to psychiatric and psychological analyses. English
psychiatrist James Prichard (1786–1848) used the term moral insanity to explain
criminal behavior in 1835, and another psychiatrist, Henry Maudsley (1835–1918),
argued that crime was a release for pathological minds that prevented them from go-
ing insane. Like Maudsley, Isaac Ray (1807–1881) believed that pathological urges
drove some to commit crime. These explanations were founded on the assumptions
that psychoses are biologically based and are, therefore, variations of the biological
theories discussed in the previous chapter. More important, as Barak points out,
“Like the theories of a ‘born criminal’ the theories of a ‘sick criminal’ are just as fal-
lacious,” in that those diagnosed as mentally ill are no more likely to commit crimes
than those seen as mentally healthy (1998, 127). Extensive review of the evidence
confirms that offenders with mental illnesses were no more prone to criminal or vio-
lent behavior than offenders without mental illnesses and, moreover, were found to
be less likely to recidivate than non-disordered offenders” (Bartol and Bartol 2011;
2012, 141).
While mental illness is not found to cause criminal behavior, the mentally ill are
increasingly subject to the criminal justice system. It was recently estimated that
persons with serious mental illness are one-and-a-half times as likely to be incar-
cerated as to be hospitalized for treatment of their psychiatric disorders (Morrissey,
Meyer, and Cuddeback 2007). This observation is among the latest evidence fu-
eling a venerable concern that persons with serious mental illness are dispropor-
tionately represented in America’s jails and prisons (Lamb and Weinberger 1998;
Teplin 1990; Teplin, Abram, and McClelland 1996). In many jurisdictions, local
jails have superseded mental health facilities as the fundamental providers of mental
health treatment; indeed, it has been noted that the Los Angeles County jail sys-
tem had exceeded all state and private psychiatric specialty hospitals in becoming
the nation’s largest provider of institutionally based mental health services (Torrey
1995).
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Psychological theories of crime explain abnormal behavior as the result of mind

and thought processes that form during human development, particularly during the
early years. These types of behavior suggest particular kinds of treatment interven-
tion, rather than a criminal justice intervention. Psychological theories also demon-
strate the importance of mental health treatment for behavior disorders rather than
relying on the criminal justice system, which is inadequate to deal with this popu-
lation. There are several different approaches taken by psychologists examining the
mind, and most of them share certain common assumptions.
Shared Psychological Assumptions

Psychological explanations for crime, like biological theories, look for differences
that might explain some people’s predisposition toward crime. They look for either
differences between individuals or differences in the situation and emergent environ-
ment. The view commonly held by psychologists is that humans develop through a
process of socialization rather than being biologically predetermined. Socialization
occurs through a series of mental, moral, and sexual stages. When this development
is abnormal (usually beginning in early childhood) or subject to traumatic events,
personality disorders and psychological disturbances may become part of the indi-
vidual’s personality characteristics. These disorders and disturbances reside within
the mind of the individual, but may be dormant. Inadequate socialization or trau-
matic experiences may also produce antisocial personality tendencies. This implies
that differences in mental functioning may cause those affected to commit crimes.
In this context, crimes are just one form of aggressive or antisocial behavior that
violates certain social and conduct norms that may also be a violation of legal norms
(Shoham and Seis 1993, 5; Fishbein 1998)
Psychologists rely heavily on scales, inventories, and questionnaires to identify and
classify the differences between individuals who suffer from psychological distur-
bances and those who do not. Measurement is thus a very critical component, since
what is “normal” must be differentiated from what is “pathological.” Because crim-
inal behaviors stem from abnormal development affecting the mind, some form of
psychological-treatment intervention is necessary to correct criminal predispositions
or change the process of personality formation. Beyond these similarities, psychologi-
cal approaches have important differences, which we consider below.
The development of psychological theory in relation to crime can be seen as a
movement. It began with the idea of uncovering hidden unconscious forces within
the individual’s mind. It then progressed to an increased recognition of the role of
family influences on learning. This led to a growing acknowledgment that the hu-
man learning process involves complex, creative interpretation and analysis of in-
formation, which is interrelated with the psychophysiology of the brain. Moreover,
cognition is shaped by interaction between the mind and the wider social environ-
ment. We begin our analysis of this movement by looking at the pioneering work of
Sigmund Freud and the various subtheories that emerged from his approach.
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The Psychoanalytic Approach

Viennese psychiatrist Sigmund Freud (1856–1939) is most responsible for estab-
lishing the role of the unconscious mind in shaping behavior. Although Freud wrote
little on crime, his theory has been applied by others of the Freudian psychoanalytic
school (Aichhorn 1935; Healy and Bronner 1926, 1936; Alexander and Healy 1935;
Bowlby 1946; Abrahamsen 1944, 1960; Friedlander 1947; Redl and Wineman
1951, 1952; Redl and Toch 1979). The psychoanalytic approach is a relatively com-
plicated theory of behavior based on several assumptions about how human minds
develop and function. The basic argument is that crime is an expression of buried
internal conflicts that result from traumas and deprivations during childhood. Trau-
matic events that occur during childhood affect the unconscious component of the
human mind.
Freud assumed that the mind was composed of conscious and unconscious
components. The conscious personality he termed the “ego.” The ego is concerned
with reality and attempts to rationally mediate between the conflicting demands
of unconscious desires. The unconscious is divided into two parts. The “id” is the
source of basic biological and psychological drives present from birth, including
the libido, or sexual energy. The id follows the pleasure principle—“If it feels
good, do it.” Opposing the id is the superego conscience, internalized from social-
ization into the norms of a society and containing moral and ethical restraints on
behavior. The “superego” reflects each person’s social experiences and becomes a
source of self-criticism based on the production of guilt. The id and superego com-
pete with one another to control behavior. The ego serves to balance the desires of
the id and superego.
A basic conflict for individuals involves guilt. Freud identified two primary ways
people handle this situation of guilt. First, in sublimation the desires and drives of
the id are diverted to actions that meet the approval of the superego (e.g., aggression
may be directed toward athletic events). A second reaction is repression, which occurs
when the drives of the id are denied. This results in various abnormal reactions.
Reaction formation is one manifestation of repression. In this case, a person with
repressed sexual drives would be very prudish about sex. Another reaction to repres-
sion is projection, whereby people see their own desires and urges in others.
These basic conflicts occur in different stages of an individual’s life. Freud said
that during childhood, basic drives are oriented around oral, anal, phallic, latent,
and genital drives that seek to be satisfied. These sequential stages of development
cause problems when a person remains “fixated,” or stuck at one stage. This occurs
because satisfaction has been denied or a person has experienced a trauma. Freud ar-
gued that if the guilt associated with the various stages was not satisfactorily handled
by the ego, then the personality of the individual would be negatively affected later
in life.
Freud (1915, 1950) further argued that one outcome of the unconscious guilt
complex is crime. This can occur in several ways. It can result from a fear of
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TABLE 5.1 Psychological Theories Compared
Theory Basic concept Key Theorists

Psychoanalytical Dysfunctional mind formed by Sigmund Freud, August
• Attachment Theory inadequate childhood develop- Aichhorn, Kate Fried-
• Frustration-Aggression ment processes, producing buried lander, John Bowlby,
Theory conflicts John Dollard, William
Failure to form attachment with Healy, Augusta Bron-
mother produces insecurity and ner, Seymour Halleck
lack of empathy for others
Aggression as an adaptive
mechanism to relieve stress
Trait-Based Differences in personality traits/ Hervey Cleckley
• Personality Type drives produce different behavioral Hans Eysenck
• Self-control responses; low self-control pro-
duces crime-prone behavior
Behavioral Learning Behavior depends on the rewards Ivan Pavlov
Theory and punishments it receives B. F. Skinner
Social Learning and Learning to behave by imitating Gabriel Tarde

Modeling Theory and modeling the behavior of Albert Bandura
others, from groups or in media Ronald Akers
images
Cognitive Theory The mind is made up of patterns Jean Piaget, Lawrence
of thinking that develop through Kohlberg, Aaron Beck,
interactive experiences and can be Stanton Samenow
underdeveloped and/or destructive
Constructivist and People construct the meaning of George Kelly
Ecological Theory their world from experiences with
the broad social environment, par-
ticularly their community
Evolutionary Mind is an epiphenomenon of William Rushton
evolutionary desire for genetic Lee Ellis
proliferation; selfish gene Tony Ward
authority and an overdeveloped superego. Lawbreaking can allow persons feeling

guilty to draw punishment on themselves and thereby temporarily relieve their guilt.
But guilt can also result in crime: “Freud discovered that such guilt can lead highly
moral people to actually commit immoral deeds out of a need to punish themselves
for their evil thoughts. Guilt in this case is not the result of an immoral act, but its
cause” (Wallwork 1994, 235).
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Blaming the Mother: Attachment Theory

For other post-Freudians, if parental upbringing was important in forming
a healthy personality, then the role of the mother (who at that time was seen as
spending most of her time nurturing children) was crucial. As Aichhorn (1935)
argued, the inadequate or faulty upbringing of some children may result in a weak
or underdeveloped ego and superego. In this condition the child either is unable
to control his or her riotous id or suppresses these instinctual desires, resulting in
“latent delinquency” (Friedlander 1947). This failed developmental process is also
found in Abrahamsen’s concept of the damaged superego (1944, 1960), Bowlby’s
notion of the “affectionless character” (1946), and Friedlander’s “anti-social charac-
ter” (1947), each of which pointed to “maternal deprivation” or maternal mistreat-
ment of the child.
One of the prevailing theories from this approach has become known as attach-
ment theory, which emphasizes the importance of forming a secure emotional base
for subsequent personality development. John Bowlby (1951, 1988) argued that in-
fants form attachments to caregivers if they are sensitive and responsive. Therefore,
the amount of contact is less important than the quality of the interaction. The in-
fant’s biological mother is a key player in this relationship, but anyone who provides
consistent quality interactional care can perform this role. Bowlby argued that chil-
dren who have frequent breaks in relations with their mother or caregiver in their
early years up to the age of eight, or who have factors that mitigate against secure
maternal bonding (such as child abandonment, foster care, or child abuse), develop
anxiety and have difficulty forming relationships with others. Part of that difficulty
may be a maladaptation that prevents these children getting involved with others in
order to avoid the emotional pain of being hurt. In particular, these “affectionless
children” lack the ability to empathize with others. As a result, they do not see or feel
the pain that harm may cause them.
Maladaptive Coping Strategies: Frustration-Aggression Theory

For Healy and Bronner (1936), thwarted desires and deprivations cause frustration.
When frustration is combined with a lack of nondelinquent channels for compen-
satory gratification, affective ties to conventional adults fail to form. The result is a
weak superego that is unable to protect against delinquency. John Dollard and his
colleagues (1939) argued that frustration emerges naturally but that most people are
able to find socially acceptable outlets, such as athletics, music, or video gaming. For
some, however, the frustration may be displaced onto others who have nothing to
do with the cause of the frustration; but this still serves as a release.
Undeniably, there are similarities here to Alfred Adler’s idea of the inferiority
complex (1931): those whose lifestyle fails to provide them a sense of superiority or
status may compensate through abnormal forms of compensatory behavior. As both
Adler (1931) and Halleck (1971) argued, those who feel the world is against them
may turn to crime as a means of satisfying their creativity and autonomy. Halleck’s
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theory of “displaced aggression,” which enables someone to survive frustration with

dignity, is echoed in the voices of delinquents who see murder as “righteous slaugh-
ter” (Katz 1988). Thus, the ego develops defense mechanisms in the form of excuses
and justifications to rationalize one’s actions.
The Limitations and Policy Implications

of Psychoanalytical Theory
Most contemporary criminologists have largely discredited the psychoanalytic ap-
proach. One frequent criticism is that it is tautological (the theory implies in its
premise what is then made explicit in the conclusion, making it repetitious rather
than explanatory). For example, Akers notes, “It is only the interpretation of the
therapist that determines when the independent variables of unconscious urges and
impulses are present. Psychoanalytic interpretations, therefore, tend to be after the
fact, tautological, and untestable” (1999, 53). The lack of testability stems from the
fact that the psychoanalytic approach is more a set of interrelated concepts that in
combination provide a plausible explanation for human behavior, but one that defies
empirical measurement (Weiner 2003). Indeed, since these key concepts are located
in the individual’s unconscious, it is impossible to confirm or deny their existence.
Moreover, psychoanalysts are frequently in disagreement about the diagnosis of a
problem. Another difficulty with evaluating this approach is that most research has
focused on a small number of subjects in a clinical setting. Thus, controlled compar-
isons with a larger healthy population have not been conducted. Finally, psychoanal-
ysis is a demeaning, “conforming force” that defines women as “castrated men” and
seeks to “confine them to limited roles within the family” (Erwin 2002, 196; Klein
[1973] 1980; Naffine 1987).
In spite of its limitations, there are several policy implications of psychoanalytical
theory. According to this approach, an offender is not necessarily responsible for his
or her actions but is sick and in need of a cure. In fact, punishment may actually
make the illness worse, since it could tend to heighten feelings of guilt. Because
the sickness is located in the subconscious, treatment must address underlying emo-
tional disturbances. Treatment involves evaluation and analysis to help the offender
uncover the root causes in his or her childhood. Because repression is the root cause
of so many dysfunctional reactions, it is important for repressed experiences and
desires to be both recognized and handled.
To explore the subconscious, Freud developed the therapeutic technique of psycho-
analysis, in which patients are asked to relax and talk about whatever comes to mind.
Connections, or associations, are then made, and the patients can recognize and un-
derstand the unconscious and gain a degree of control over their actions. He also relied
on a technique called transference, which is treatment based on the assumption that
past relationships (for example, with one’s mother) influence current relationships.
Since Freud, psychology has taken divergent directions. One direction, the trait-
based perspectives (Allport 1937, 1961), sees human development leading to dis-
tinctive personality types based on learned traits. Another direction, behavioral and
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situational learning theories, based on both Ivan Pavlov’s ([1906] 1967) and B. F.
Skinner’s (1953) theories of operant conditioning, sees a person’s current behavior
as the result of accumulations of responses resulting from past learning. We begin by
taking a more detailed look at trait-based personality theory.
Trait-Based Personality Theories

Trait-based personality theories differ from the psychoanalytic approach in that abnor-
mal behavior is said to stem from deviant or criminal personality traits, which may de-
velop from a variety of sources such as environment, brain injury, illness, drug abuse,
and so on (Dumont 2010) rather than unconscious causes. Moreover, in some cases
these traits are said to stem from biological causes, which provide a link between bio-
logical and psychological theories. Traits are “descriptive schemas that are the product
of human reason and imagination. They serve a heuristic purpose, as do all other con-
structs about the world in which we live: namely they give a conceptual order to our
world and make it more comprehensible than it would be without them. . . . Traits are
a way of thinking about personality” (Dumont 2010, 149). Allport defined “person-
ality” as the dynamic organization of an individual’s psychophysical systems of predis-
positions in response to certain environmental triggers (Allport 1937, 48). One task of
trait-based theory, then, is to measure these various frequently occurring traits to see
how they are assembled in diverse people and with what effects.
TABLE 5.2 Core Traits of an Antisocial Personality (Sociopath or Psychopath)
Self Intelligent
Self-centered/egotistical/selfish/arrogant
Shameless
Guiltless
Impulsive
No life plan
Intolerant
Relations with others Superficial

Disconnected
Impersonal
Unreliable
Disloyal
Deceptive/liar
Lack of empathy toward others/unable to love
Unresponsive to interpersonal relations
Unable to sustain enduring relations
Blames others for problems
Relations to society Disregard for norms/rules/obligations
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Several varieties of trait-based personality theory are applied to criminality. All

share the view that criminal behavior is a manifestation of an underlying trait-based
problem. Generally, criminological applications of trait theory look at personal-
ity characteristics such as impulsiveness, aggressiveness, extroversion, neuroticism,
psychoticism, thrill seeking, hostility, and emotionality. As we saw in the previous
chapter, these have also been tied to biological and neurological processes.
One of the first theorists to adopt a trait-based personality approach to crime was
psychiatrist Hervey Cleckley in his book Mask of Insanity (1941). Cleckley laid the
foundation for what would be an enduring composite description of what he called
a psychopath (or sociopath), and to a lesser extent in those classified as having an
“antisocial personality disorder” (see Table 5.2). Not only has the core of Cleckley’s
original observations found its way into the psychologists’ bible, the DSM (Diag-
nostic and Statistical Manual of Mental Disorders), but it is also found in the World
Health Organization’s Classification of Mental Disorders. In his work, Without
Conscience: The Disturbing World of the Psychopaths Among Us, Robert Hare (1999)
presents a portrait of these treacherous men and women based on twenty-five years
of renowned scientific research. Hare has been deemed the creator of the standard
tool for diagnosing psychopathology. The combination of traits from all of these
sources describes someone with a self-obsessed personality who is disconnected from
others and finds him- or herself in conflict with the social world (see Table 5.3).
The psychopath “is an asocial, aggressive, highly impulsive person, who feels little or
no guilt and is unable to form lasting bonds of affection with other human beings”
(McCord and McCord 1964, 3). Such people are also found to be callous and un-
emotional (Caputo, Frick, and Brodsky 1999; Hare and Babiak 2006; Patrick 2007)
and have been defined as those with destructive personality characteristics that are
invisible to many with whom they interact including in workplaces and other con-
ventional settings (Hare and Babiak 2006).
The term antisocial personality (Lykken 1995) has begun to replace the term psy-
chopath, though psychologists disagree about whether these are the same thing.
According to the DSM IV, the essential feature of an antisocial personality “is a
pervasive pattern of disregard for, and violation of, the rights of others that begins
in childhood or early adolescence and continues into adulthood” (American Psychi-
atric Association 1994, 645–650). Antisocial personality disordered people possess
an inflated sense of self importance and a pervasive pattern of taking advantage of
others which is one of five personality disorders (American Psychiatric Association
2013). The disagreement between antisocial personality disorder (ASPD) and psy-
chopath comes because diagnosis for antisocial personality disorder is based on clas-
sifications of behavior, whereas diagnosis of psychopathy is based on affective and
personality traits. Interestingly the DSM V (American Psychiatric Association 2013)
removes ASPD and introduces the antisocial/psychopathic type. The fundamental
question that remains is whether these traits simply are a description of someone
who repeatedly commits offenses or actually explain why a person possesses the traits
and why he or she commits crimes.
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One of the first to attempt to explain personality traits of offenders was Hans Ey-
senck ([1964] 1977), who, like Cleckley, tried to establish a criminal, or psychotic,
personality. Drawing on Carl Jung’s ideas of introversion and extroversion and Pav-
lov’s learning theory, Eysenck claimed to show that human personalities are made
up of clusters of traits. One cluster produces a sensitive, inhibited temperament that
he called “introversion.” A second cluster produces an outward-focused, cheerful,
expressive temperament that he called “extroversion.” A third dimension of person-
ality, which forms emotional stability or instability, he labeled “neuroticism”; to
this schema he subsequently added “psychoticism,” which is a predisposition to
psychotic breakdown. Normal human personalities are emotionally stable, neither
highly introverted nor extroverted. In contrast, those who are highly neurotic,
highly extroverted, and score high on a psychoticism scale have a greater pre-
disposition toward crime, forming in the extreme the psychopathic personality.
Eysenck explained that such personalities (sensation seekers) are less sensitive to
excitation by stimuli, requiring more stimulation than the average individual,
which they can achieve through crime, violence, and drug taking. These people
are impulsive, being emotionally unstable. They are also less easy to condition and
have a higher threshold or tolerance to pain. Low IQ can affect the ability of such
personalities to learn rules, perceive punishment, or experience pain, as in biologi-
cal theory. The legacy of Eysenck’s work, as Nicole Hahn Rafter (2006, 50) points
out, is that he was one of the first to identify the extroverted “sensation seeker,”
which also appears in self-control theory and “edgework” theory discussed in later
chapters.
BOX 5.1 Mental Illness and Cracks in the System

MARK LANIER
There are many people suffering from mental illness in the United States. Some
are depressed and lethargic; others have more extreme problems such as schizo-
phrenia and hallucinations. Recent research shows that between 25 and 29 per-
cent of all Americans (excluding the homeless) suffer from some form of mental
illness or substance abuse (www.webmd.com/mental-health/news/20030507/us-
lags-in-mental-illness-treatment, accessed January 9, 2009). Fourteen percent suffer
from moderate to severe forms of mental illness. Some seek and find mental health
counseling (www.foxnews.com/story/0,2933,158742,00.html, accessed January 9,
2009). However, many are neglected, while the most wealthy are the ones most
likely to receive care in the United States. “Part of the problem stems from the
evolution of how public mental health came into play in the U.S. It came into
existence at the deepest end, with institutionalization of those most needing treat-
ment,” says Teri Odom. “Because we started at the deepest end, we don’t have
a balance between early intervention, immediate care, and more extreme mental
(CONTINUES)
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BOX 5.1 (CONTINUED)
illness, and people are not encouraged to seek treatment earlier. And even when
they do and identify early warning times, the resources are not there to meet their
need” (www.webmd.com/mental-health/news/20030507/us-lags-in-mental-illness-
treatment). Increasing numbers find themselves homeless, and many of them end
up in prisons and jails. Some, however, suffer even more tragic consequences. As
shown below, Mark Rohlman was one of the many who fell through the cracks in
the American mental health system.
I spent my childhood years at 302 Plymouth Avenue in Fort Walton Beach, Flor-
ida. Just down the street, the Rohlman family had several boys my age. We played
together on a regular basis. I moved to another state in the eighth grade, never to
return. Years later, in July 2008, I was teaching a course for the Florida Department
of Law Enforcement in Tallahassee when two officers were called out of the class
to respond to an emergency situation. A strange premonition overcame me, even
though I had no idea what the emergency was. I was shortly to learn the tragic story
of what led to my premonition.
The following story by Andrew Gant was printed in the July 23, 2008, edition of
the Daily News, a regional newspaper serving the panhandle of Florida:
Brothers Wonder What Else Could Have Been Done

to Save Mark Rohlman and the Deputy He Killed
Fort Walton Beach—Mark Rohlman fell through the cracks—and took a good
man down with him, Rohlman’s grieving brothers said Wednesday. All they’re left
with is sorrow and doubt. “I tried to do something good for my brother,” said Adam
Rohlman, who filed the ex parte order Monday to have Mark taken in for treat-
ment. “Instead, he’s dead and an officer’s dead.” Adam and Erik Rohlman, both all
too familiar with Mark’s escalating paranoia and threats of violence, spoke quietly
Wednesday after meeting with state investigators. They remembered their brother
as a troubled man who used to be happy. “He’s a normal guy like you and I, ex-
cept instead of catching the flu, he had a chemical imbalance,” Erik said. “Damn, it
shouldn’t have cost him his life.”
Adam was not far down the street Tuesday morning as Okaloosa County sheriff’s
deputies tried to communicate with his brother inside 331 Plymouth Avenue—the
now-vacant house where the Rohlmans grew up. Adam said no one told him the
Special Response Team was going in with guns drawn. He would have liked to try
coaxing out his brother before they did. Erik said deputies suspected Mark was in
the attic as they went bedroom-to-bedroom. Instead, they found Mark Rohlman in
one of those rooms—where he shot and killed Deputy Anthony Forgione. Deputies
returned fire, wounding Mark twice before he fell into a closet and killed himself,
too, Erik said.
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It was not the resolution anyone wanted. “The sun was coming up in 30 min-
utes,” said Erik, who wished someone could have used the sunlight to wait, “illumi-
nate the house,” and make visual contact with Mark inside. There was no furniture
to hide him. Deputies say they used a throw phone and a bullhorn to no avail. Erik
wishes they could have used a snaking camera to investigate the house.
In the ex parte order, Mark Rohlman is listed as armed, but not necessarily dan-
gerous. “He is scared,” Adam wrote on the form. In the past, Mark had threatened
to shoot lawmen who came near his vehicle. He was paranoid ever since a land deal
went bad in Santa Rosa County two years ago, paranoid that county commissioners
“were going to have him taken out by authorities to evade a lawsuit,” his brothers
said. Mark was so paranoid that he carried a shotgun in his Ford Excursion at all
times. Tragically, he used it.
Now the Rohlmans say they hurt the most for Forgione’s two daughters, who will
grow up without their father. All five brothers—Adam, Erik, Karl, Paul and Dana—
say they’ve pooled $5,000 and donated it to Forgione’s memorial fund. They stress
that they don’t blame the deputies for following orders. They do question the orders,
to some extent, because they don’t believe lawmen exhausted every option.
At the Sheriff’s Office, Chief Deputy Mike Coup said the family’s questions de-
served answers after a state investigation. Most vehemently, however, the Rohlmans
question why Mark was able to leave Fort Walton Beach Medical Center twice. He
should have been held there, they say. “That’s the only reason (he died),” Erik said.
“They didn’t contain him.” Evelyn Ross, director of risk management at the hospi-
tal, said Wednesday that the Baker Act does not give doctors the authority to hold a
patient against his or her will. A particularly dangerous patient is the responsibility
of law enforcement, said Ross. “You don’t restrain people just because they’ve been
Baker Acted,” Ross said. “We’re not a prison. We don’t lock people up when they
come in.” Ross called the shooting “a tragic situation” and said the Rohlmans had
“very legitimate feelings.”
As the investigation unfolds, the Rohlmans say they feel partially responsible for
both deaths—and pained that for many, Mark Rohlman will be remembered as a
killer. “Mark shot a cop—how do you explain that to an 11-year-old little girl?” Erik
said of the rest of the Rohlman family. “He fell through the cracks and he’s dead. It’s
hard for me to say that.”
Many of the psychological theories covered in this chapter may apply. However,
trait-based (biological) psychology seems to have the best explanation. Had Mark
Rohlman been on medication, it is probable that his delusions would have been
controlled. Had the mental health and criminal justice systems functioned better,
two lives would have been saved and the tragic consequences averted.
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A major contribution made by the trait-based personality theorists is their reliance

on relatively sophisticated diagnostic devices. For example, Starke Hathaway (1939)
developed the Minnesota Multiphasic Personality Inventory (MMPI) to detect devi-
ant personality patterns. The MMPI uses several scales to measure personality traits
such as depression, hysteria, psychopathy, and compulsiveness. Five hundred and
fifty true-or-false statements aid with the diagnosis. These statements are grouped
into ten separate scales measuring different personality traits (e.g., depression, hys-
teria, and so on). The MMPI has received substantial consideration in the establish-
ment of criminal offender personality typology (Carmin et al. 1989, 486; Megargee
et al. 2001). For example, using this scale Glaser, Calhoun, and Petrocelli (2002)
were able to classify personality traits by type of juvenile offense.
Another common personality measure is the California Psychological Inventory
(CPI), which is used to determine if a person has traits such as dominance, tolerance,
and sociability. Research using yet another scale, the Multidimensional Personality
Questionnaire, correlates personality and delinquency, finding that “delinquents ex-
hibited convergent personality profiles characterized by impulsivity, danger seeking,
a rejection of traditional values, aggressive attitudes, feelings of alienation and an
adversarial interpersonal attitude” (Caspi et al. 1994, 176–177).
The Limitations and Policy Implications

of Trait-Based Psychology
A major limitation of trait-based personality theories is that, like psychoanalyti-
cal approaches, they are tautological (relying on circular reasoning). By definition,
lawbreakers have defective personalities, and this is used to classify them. Similarly,
committing offenses against others is seen as evidence of a lack of empathy, yet lack
of empathy is seen as a trait to explain offending. Thus, a recurrent criticism of trait-
based theories is that they provide correlational rather than causal explanations. In
other words, do the traits develop in advance of criminal behavior or as a result of
it or its implications? Moreover, Akers has noted, “The concept of the psychopathic
personality, for instance, is so broad that it could apply to virtually anyone who vio-
lates the law” (1999, 55).
In addition to these theoretical and methodological weaknesses, results of research
into the effects of personality traits have been mixed. One of the first comprehensive
reviews reported that most previous studies did not find significant differences be-
tween delinquents and nondelinquents (Schuessler and Cressey 1950). However, a
review of the more sophisticated studies did find significant differences (Waldo and
Dinitz 1967). The empirical research on Eysenck’s theory provides a good illustra-
tion. Studies report that there is little relationship between crime and the major di-
mension of extroversion, although some support was found for the dimensions of
psychoticism and neuroticism (Cochrane 1974; P. Burgess 1972; Passingham 1972;
Feldman 1977).
The implication of trait-based personality theory for policy is that if traits exist,
then they may be measured and used to predict and prevent future delinquency and
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TABLE 5.3 Antisocial Personality Disorder
Repeated failure to conform to laws and social norms

Repeated deceitfulness and lying, for personal reward
Impulsivity or failure to plan ahead
Irritability and aggressiveness
Reckless disregard for own or others’ safety
Consistent irresponsibility
Lack of remorse for suffering of others
Source: Derived from American Psychiatric Association 1994.
crime. Thus, if traits can be identified in potential offenders at an early age, treat-
ment should begin then, even before antisocial behavior has emerged. The traits may
be counteracted through various therapeutic programs designed to compensate for
them. Eysenck sees psychiatry as a practical intervention aimed at the “elimination
of antisocial conduct” ([1964] 1977, 213). Overall, the trait-based approach is lim-
ited by its narrow focus, which excludes cognitive and social learning factors. Both
cognitive and social learning theory grew out of disenchantment with the limits of
behaviorism.
Behavioral, Situational, and

Social Learning and Modeling Theories
Early learning theories assumed a passive model of individuals whose past experi-
ences and associations led to their present actions. These theories evolved to a more
active view of humans as making various judgments about current actions based on
their interpretations of past and present experiences.
Behavioral Learning Theory

The passive behavioral version of learning theory, rooted in the work of Pavlov and
Skinner, saw crime as the outcome of learning that, under certain circumstances,
criminal behavior will be rewarded. Pavlov ([1906] 1967) discovered what has be-
come known as “classical conditioning.” He argued that stimuli would consistently
produce a given effect. In his famous example, a dog will always salivate when pre-
sented with meat. This is called “passive learning,” since the dog, or in our case a per-
son, learns what to expect from the environment. Skinner (1953, 1971) developed a
slightly more active version with his notion of “operant conditioning.” In this case,
behavior is controlled through manipulation of the consequences of previous behav-
ior. This model of learning is called “active” because the individual learns how to
manipulate the environment to get what she or he wants rather than passively wait-
ing for it to materialize. A central idea of operant conditioning is “reinforcement,”
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which involves strengthening a tendency to act in a certain way. Such strengthening

can be in the form of “positive reinforcement,” whereby past crimes are rewarded.
“Negative reinforcement” occurs where an unpleasant experience is avoided by com-
mitting crime. For example, an addict may steal to obtain drugs in order to avoid
the down. It is important to note that in spite of popular misunderstanding, pun-
ishment itself is not negative reinforcement, because it is designed to weaken rather
than strengthen a tendency to do something. But taking action to avoid anticipated
punishment reflects the consequences of negative reinforcement.
Social Learning and Modeling Theory

A yet more complex active approach is called social learning theory. Originating
in the work of Gabriel Tarde (1843–1904) on imitation, and developed by Albert
Bandura (1969, 1973, 1977), social learning is initially based on the idea that in-
dividuals are complex beings who do not simply respond mechanically but observe
and analyze situations before they decide to act. Part of the learning process involves
“role modeling,” which involves identification with others, either real or represented,
such as persons or images portrayed in the media as well as significant others such
as family and peers. In social learning, we observe others and decide which patterns
of behavior to imitate. No specific reinforcement is necessary for this modeling to
occur. However, Bandura says that once modeled, such patterned responses may
be triggered by events or adverse situations in a person’s life. Once acquired, how-
ever, the prospect or practice of the learned behavior may be goal directed toward
a rewarding outcome, which then may become reinforced by its outcome if this is
met by the desired result. The enactment of learned patterns thus can become self-
rewarding, and thereby reinforced.
A particularly good example of role modeling from video games is seen in the
arguments of former military officer Dave Grossman, who has coined the term
killology for his Web site (www.killology.com). His arguments are explored in his
book, Stop Teaching Our Kids to Kill: A Call to Action Against TV, Movie, and
Video Game Violence (Grossman and DeGaetano 1999). Grossman’s killology is
“the scholarly study of the destructive act . . . In particular, killology focuses on the
reactions of healthy people in killing circumstances (such as police and military in
combat) and the factors that enable and restrain killing in these situations” (ibid.).
He argues that video games incorporate the very same elements that the military
uses to train soldiers to kill the enemy, and provide the rationalizations and practice
mechanisms to train teenagers to engage in school and other violence:
the media are providing our children with role models. We get copycat, cluster mur-
ders that work their way across America like a virus spread by the six o’clock news. No
matter what someone has done, if you put his picture on TV, you have made him a ce-
lebrity, and someone, somewhere, will emulate him. . . . When the images of the young
killers are broadcast on television, they become role models. The average preschooler
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in America watches 27 hours of television a week. The average child gets more one-on-
one communication from TV than from all her parents and teachers combined. The
ultimate achievement for our children is to get their picture on TV. (Grossman 1998,
www.killology.com/art_trained_video.htm)
In short, social learning theory says that the observation and experience of poor
role models produce imitation and instigation of socially undesirable behaviors. In
this way, violent behaviors can be seen as acceptable behavioral options, as in the
case of spousal abuse modeled on the way the abuser’s parents interacted when deal-
ing with conflict. Several criminologists have incorporated these different versions
of learning into their theories, most notably Ronald L. Akers ([1977] 1985, 1998;
Akers and Jensen 2009), and we shall examine these more fully in the next chapter,
on learning criminal behavior.
Limitations and Policy Implications of Learning Theory

There are several limitations to learning theory, central to which is why only some of
those exposed to negative learning patterns, role models, and reinforcement actually
adopt them. Clearly, some people are more open to influence than others. Most
people are endowed with, or also learn, “protective factors,” such as believing in
other values that serve as intervening variables limiting the enactment of the negative
patterns. Social learning theory is also unable to easily explain gender, age, or racial
differences in behavior, unless it incorporates a notion of identification with specific
role models having significant meaning to the social learner. However, as soon as
this is conceded, the theory moves beyond simple modeling into cognitive theory,
which we discuss below.
The policy implication of behavioral and learning models is to reward conven-
tional and positive behavior. Social learning theory, as Ellis and Walsh observe, “is
impressive in terms of the number of treatment programs it has helped to inspire.
The most unique feature of [these] programs . . . is a heavy emphasis on rewarding
prosocial (“good”) behavior rather than trying to punish antisocial (“bad”) behav-
ior” (2000, 346). As a result, in the Skinnerian behavioral approaches, the role of
discipline in home and school is important, particularly focusing on the practices of
parents and teachers. Thus, the social learning version of the theory involves varieties
of resocialization, individual and family counseling, development of new behavioral
options, and the provision of new “proper” role models (Patterson 1997).
In summary, the policy of many of these learning approaches argues for strength-
ening the family to encourage children to make noncrime choices, training parents
to appropriately socialize children into responsible, moral individuals, and teaching
children right from wrong, which are all part of positive reinforcement. For its part
in policy, social learning and behavioral modeling theory also implies a heavy mon-
itoring of media, and developing societal mechanisms to control and filter the kind
of television children watch, and for restricting the kind of video games that they are
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allowed to play. The cognitive-learning perspective, which we turn to next, is less

mechanistic than simple learning theory and goes beyond the modeling patterns of
social learning theory to consider how social learning is a creative activity.
Cognitive Theories
Founded on the ideas of Wilhelm Wundt (1832–1920), William James (1842–
1910), and Swiss child psychologist Jean Piaget (1896–1980), cognitive psychology
captures the idea that human reasoning shapes the way humans act and orients them
to behavior meaningful to their lives. There are several strands of cognitive theory
relevant to criminology, notably those by Lawrence Kohlberg, Aaron Beck, Todd
Feinberg, and Albert Bandura.
Piaget’s ideas are seen in the notion of progressive moral development outlined
by Lawrence Kohlberg (1969). Here, the major theme of cognitive theory focuses
on how mental thought processes are used to solve problems—to interpret, evalu-
ate, and decide on the best actions. These thought processes occur through mental
pictures and conversations with ourselves and the assumption is that individuals’
future orientation to action and to their environment will be affected by the knowl-
edge they acquire and process. For Piaget ([1923] 1969, [1932] 1965, [1937] 1954),
children develop the ability to use logic, to construct mental maps, and eventually to
reflect on their own thought processes. He argued that this cognitive development
occurs in stages, with each new stage of intellectual development emerging as a res-
olution to the contradictions between different and competing views of the same
events.
Kohlberg (1969) applied Piaget’s ideas to moral development, finding that chil-
dren develop through six stages. They progress from a premoral stage, in which
morality is heavily influenced by outside authority, through levels of convention in
which decisions about right and wrong are based on what significant others expect,
to full social awareness, combining a sense of personal ethics and human rights.
Most people never make it to the last stage.
Cognitive theory emerged in criminology through several threads, notably the
work of Samuel Yochelson and Stanton Samenow (1976, 1977; Samenow 1984,
2006), whose explanation of the criminal personality integrated free will, ratio-
nal choice, and thinking patterns. These clinical psychologists argued that faulty
learning produces defective thinking, which results in criminal behavior choices.
Yochelson and Samenow developed a theory rejecting the idea of determinism,
arguing, “The essence of this approach is that criminals choose to commit crimes.
Crime resides within the person and is ‘caused’ by the way he thinks, not by his
environment. Criminals think differently from responsible people” (Samenow
2004, xxi). Criminal thinking is different from a very early age. In general, crim-
inals think concretely rather than abstractly; are impulsive, irresponsible, and
self-centered; and are motivated by anger or fear. These characteristics describe
a person with a “criminal personality” who is difficult to change or rehabilitate.
These underlying psychological emotions lead the criminal to view him- or herself
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as being worthless and to feel that others may come to see him or her the same way
and that the condition is permanent (this is analogous to labeling theory discussed
elsewhere). Criminals thus commit crimes to avoid reaching this state and to avoid
having their worthlessness exposed. The fear that it might be exposed produces
intense anger and hatred toward certain groups, who may be violently attacked for
not recognizing the individual’s inflated sense of superiority or for injuring his or
her sense of pride.
A second line of cognitive theory applied to the criminology of violence is by
Aaron Beck, who is seen as the father of modern cognitive therapy. In his book
Prisoners of Hate, Beck links human thinking processes with emotional and behav-
ioral expressions. Put simply, the way we think shapes our feelings and our actions.
Beck argues that extreme forms of violence—from verbal abuse, domestic violence,
rape, and hate crime to terrorist bombing and genocide—are exaggerations of pat-
terns of everyday thought. These dysfunctional patterns of thinking Beck calls “hos-
tile framing.” They are the fundamental ways in which humans both see themselves
as morally right and classify others with whom they are frustrated and in conflict,
as “less than us,” as “dangerous, malicious and evil” (1999, 8). Once negatively
framed, the other’s past and present words and actions are seen as challenging,
hurtful, and demeaning and produce anger and hostility as we perceive ourselves
the victim of the other’s attack. We deal with these problems by further dehu-
manizing the other into an exaggerated caricature of his or her negative aspects,
which leads to an endless cycle of disrespect, resulting in a desire for preemptive
elimination of the other. Beck, like the other cognitive theorists, sees patterns of
thinking developing over time and says that those of us who employ “hostile fram-
ing” are at an earlier stage of thinking that he calls “primal thinking,” but that once
locked into these patterns, they become a prison of reaction to the image we have
constructed of the other rather than to the person: “They mistake the image for the
person. . . . Their minds are encased in ‘the prison of hate’” (ibid.).
A related approach that relies on cognitive analysis is found in the works of
S. Giora Shoham (1979) and Jack Katz (1988). These authors are concerned with
understanding how individuals strive to make a meaningful world when confronted
with strong feelings of fear, anxiety, and alienation. Unlike Beck, who sees primal
thinking as one stage in a sequence, Shoham sees it as emanating from a specific
event: birth, which is seen as a cosmic disaster leading to ego formation and ego
identity. Deviance is an attempt to deal with the trauma of birth separation through
the negation of ego identity. Katz, in particular, was concerned with identifying
how offenders make their world meaningful in ways that provide the moral and
sensational attractions leading to crime. But both authors recognized that these ap-
proaches lack empirical verification and point only to vague policy objectives such as
participatory democracy (Shoham and Seis 1993; Faust 1995, 56).
We mentioned earlier Albert Bandura’s contribution to social learning theory,
but he has also developed a social cognitive theory and applied it to understand the
processes involved in controlling antisocial, or “transgressive,” behavior. Bandura
criticizes those approaches that present a passive model of humans as products of
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their environments or as inheriting certain traits. In contrast, he presents an “agen-

tic” view in which people play an active role in producing their environments and
shaping their life course. He states that the “capacity to exercise some measure
of control over one’s thought processes, motivation, affect, and action operates
through mechanisms of personal agency” (Bandura et al. 2001, 125). A core con-
cept in Bandura’s theory is “self-efficacy,” or “personal efficacy” (1999, 2001),
which is the belief in one’s ability to achieve goals that one has set for oneself. It
is also defined as the “core belief that one has the power to influence one’s own
functioning and life circumstances.” Bandura argues that a “strong sense of effi-
cacy oriented toward positive self-development can affect transgressive behavior.
It does so, in large part, by promoting prosocialness, curtailing the propensity to
disengage moral self-sanctions from socially alienating and harmful conduct, and
countering ruminative and vengeful affectivity” (2001, 125).
Limitations and Policy Implications of Cognitive Theory

Cognitive theory in criminology has received some empirical support, but also
has some inherent weaknesses. Some psychologists have developed instruments
to measure the different “thinking styles” thought to be associated with serious
criminal activity (e.g., Psychological Inventory of Criminal Thinking Styles; see Wal-
ters 1995). Others, such as Catherine Blatier (2000), have examined the locus
of control, stability, self-esteem, and controllability in a study of convicted of-
fenders. Blatier found support for cognitive theory. Not surprisingly, the longer
one is incarcerated, the lower one’s self-esteem and the more powerless one feels.
This has policy implications, since a higher self-esteem is related to a lower rate
of recidivism. Similarly, a study by Henning and Frueh (1996) found that treat-
ment intervention involving a “cognitive self-change program” designed to correct
“criminogenic thinking errors” among incarcerated offenders supported the value
of such therapeutic intervention.
However, as with several of the psychological theories we have examined so far,
cognitive theorists, such as Yochelson and Samenow, do not explain why some of-
fenders think criminally and others do not. They also used no control groups in their
evaluation and provided little evidence of systematically gathered data. Perhaps most
important, they overgeneralized from a highly selected group of problem-suffering
clients or hospitalized hard-core adult criminals and serious juvenile offenders to the
general population of offenders (Vold [1958] 1979, 155).
At a broader level, cognitive theory has been criticized for ignoring psychobiolog-
ical explanations, disregarding the effects of emotions, and the same circular reason-
ing that was seen as a defect in trait-based theory: “It seems that behaviors are taken
to indicate cognitive processes, and that in turn, the cognitive processes are given as
explanations for the behaviors” (Faust 1995, 54).
In the next section we look at how far psychologists have come to embrace a
broader social perspective, by considering those who focus on the environment as a
significant factor in shaping the mind.
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Ecological Psychology
Ecological psychology is the study of how environmental factors, such as unemploy-
ment and social settings, prevail on a person’s mind to affect behavior. Ecological
psychology developed as a reaction against the narrow clinical approach to treatment
and disenchantment with psychotherapy, and it is considerably more eclectic in its
assumptions. Ecological psychologists argue that psychotherapy has not demon-
strated its effectiveness. Traditional psychology is accused of using a medical model
with “a passive help giver who waits for the client to define his or her own need and
then to request help” (Levine and Perkins 1987, 36).
The focus of community psychology is not to find out what is wrong with the in-
dividual. Rather, the emphasis is on looking at what is right with the person and his
or her fit with the culture and environment (Rappaport 1977). Thus, this approach
is much more encompassing than traditional psychological clinical approaches.
According to Levine and Perkins, the people and settings within a community are
interdependent (ibid., 95). First, change occurs in a whole social system, not just in
an individual, and thus a variety of different problem definitions and solutions are
possible in any situation. Second, community systems involve resource exchanges
among persons and settings involving commodities such as time, money, and po-
litical power. Third, the behavior that we observe in a particular individual always
reflects a continuous process of adaptation between that individual and his or her
level of competence and the environment, with the nature and range of competence
it supports. Adaptation can thus proceed by changing the environment as well as the
person. Finally, change occurs naturally in a community, as well as by intentional
design, and change represents an opportunity to redefine and reallocate resources in
ways that facilitate adaptation by all populations in the community.
In a recent contribution to criminology that integrates learning theory and
community and environmental psychology, Julie Horney criticizes criminology
for not recognizing the diversity of psychological perspectives. She focuses on
learning theory and states that psychological perspectives are often reduced to trait
theory, with some people seen as possessing “a set of global traits that predispose
behavior” (Horney 2006, 4–5). Instead, her approach “emphasizes the situational
specificity of behavior”—that is, situations such as the separate spheres of work,
home, school, bar, and the street (ibid., 2)—that provides a way of analyzing the
disposition to offend that is manifest when opportunities arise. Thus, crime is un-
derstood through “particular patterns of behavior-situation contingencies” (ibid.,
4–5). She argues that although behavioral learning is a valuable component of
understanding crime, the context of “learning” is also important. Horney argues
that organisms must be understood not just as learning new behaviors but also as
maintaining certain behaviors over the long term. Horney’s work challenges sim-
plistic understandings of the “criminal mind” (ibid., 6), focusing instead on the
specificity of and the environmental consistencies evident in individual lives. Con-
sistent with the community and environmental view, Horney’s approach “leads
psychological criminology to a greater appreciation of longitudinal and life-course
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understandings of criminal behavior that interweave with social and environmental

contexts” (Henry and Lukas 2009).
Evolutionary Psychology
A growing area of psychological inquiry involves evolutionary psychology (EP)
(Workman and Reader 2004; Durrant and Ward 2012). This version of psychology
stresses that behavior is either directly or indirectly related to inherited mechanisms
that increase survival odds while also dealing with natural selection. As we saw in the
previous chapter, the first to apply this idea to criminology via what they describe as
r/K selection theory were the evolutionary biosocial criminologists Lee Ellis (1987;
Ellis and Walsh 2000; Walsh 2004) and William Rushton (1990, 1995). Others
have since applied the concept to violence and have emphasized the interactive
aspects of development over the long term of human evolution (Bloom and Dess
2003). While yet others have called for the incorporation of evolutionary psychology
into an interdisciplinary approach to criminological theory: “the application of evo-
lutionary theory to human behaviour provides a valuable opportunity for criminolo-
gists to broaden their theoretical horizons and more fully consider how evolutionary
approaches may contribute to their discipline” (Durrant and Ward 2012, 2), though
not without criticism (Henry 2012c). Evolutionary psychologists strongly dispute
the idea that the mind is a general learning and problem-solving apparatus. Instead,
the mind or brain is the result of millions of years of evolutionary processes meeting
environmental challenges, which led to “specific cognitive functions to meet those
challenges through the process of natural selection and sexual selection” (Ellis and
Walsh 2000, 147). Our brain is composed of specific “modules” or areas that are
geared to solving different adaptive problems. The “Genetic Evolutionary Psychol-
ogy Perspective” proposes four ways or routes whereby behavior is maintained or
changes over time: (1) biology, meaning that “one’s genetic makeup, as expressed
through various physical structures, systems, and processes, has an impact that varies
depending on the behavior and the other three routes”; (2) psychology, “the ever-
changing conscious, preconscious, unconscious and non conscious mental activity
of thought, emotion, and motivation”; (3) culture, which “denotes the sum total
of ways of living developed by people through time and the social transmission of
these ways within and across generations”; and (4) environment, which can limit or
facilitate the other three as well as be affected by them (Bloom 2003, 10–11). What
it does not propose is that social behavior is genetically determined, that behavior is
resistant to change, that all behavior is the best possible for human functioning at
any point in time, that “people are motivated to spread their genes far and wide.”
These myths have contributed to misunderstanding the value of the theory for pub-
lic policy, particularly that dealing with violence (ibid., 12).
Some of the problems that evolutionary psychology has faced can be illustrated by
looking at Thornhill and Palmer’s argument (2000, also argued by Ellis, in his book
Theories of Rape [1989]) that rape is best understood in the context of mate selection
and adaptive processes:
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Males and females faced quite different sexual-selection problems in the Pleistocene
period. More specifically, for females selecting a mate was a major decision as they typ-
ically invested long periods of time in the upbringing of their young. Therefore, select-
ing a male who was likely to invest his resources in her children was critical to ensuring
their survival. Women evolved to choose their mates extremely carefully and placed
a premium on traits such as reliability, kindness, and high status (i.e., access to more
resources). Because males were typically more eager to have sex than females, it was
possible to choose from a range of possible mates. However for males, sex was a low-
investment activity; all they had to contribute was a small deposit of sperm and a few
minutes of their time. In addition, finding a mate was an intensely competitive process
with high quality males likely to dominate the sexual arena and secure exclusive sexual
access to females. Therefore, males with the highest status and most resources were
more likely to obtain sexual access to females, thereby increasing the chances that their
genes would be passed on and their offspring survive. (Ward and Siegert 2002, 151)
Other males were left to forcibly take their mates in order to pass on their genes.
Having sex with as many women as possible further increased the male’s chances
of reproductive success (see also Ellis’s “cheater theory” of crime in the previous
chapter). The acquisition of multiple partners for males was also due to the fact that
women conceive internally and males could never be certain of their paternity. Under
the EP paradigm, people are just another form of animal. This perspective has un-
derstandably been criticized not least for confusing psychological processes with the
metaphor of scientific mechanisms that “lacks scientific merit” (Gantt and Thayne
2012, 56) and is especially challenging to the feminist perspective (discussed later).
Limitations and Policy Implications of

Ecological and Evolutionary Psychology
Ecological psychology has been faulted for “lack of a well-articulated, widely shared
conceptual model or set of theoretical principles” (Levine and Perkins 1987, 63). It
has also been criticized for being more sociological than psychological in nature. But
as with the other theories we have examined, this has not halted the formulation of
policy.
Ecological psychology advocates a policy of manipulating environmental fac-
tors, specifically by making resources available. According to Levine and Perkins,
“In the ecological perspective, human behavior is viewed in terms of the person’s
adaptation to resources and circumstances. From this perspective, one may correct
unsuccessful adaptations by altering the availability of resources. Thus new services
may be created, or existing strengths in social networks may be discovered and
conditions created, to enhance the use of such resources” (ibid., 5). Community
psychology also recognizes that “before any individual appears his society has had
a specific social life organized and systematized, and the existence of this life will
exercise a tyrannical compulsion on him” (Sarason 1981, 832). Although the in-
dividual may need specialized attention, the preventive objective is to reduce the
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incidence of individuals requiring such attention. Ecological psychologists are thus

concerned with neighborhood-level preventive interventions. Providing material,
educational, and psychological resources to help people fit in diverse or different
societies is the objective.
One strategy is community policing. Using an approach based on ecological psy-
chology, the basic components of any theory must be identified, operationalized,
and tested using psychometric procedures. For example, among the stated objectives
of community policing are to reduce fear of crime and increase community cohe-
sion, in part through decreasing physical and social disorder. Thus, scales, or instru-
ments, were developed to measure cohesion, disorder, and fear of crime (Lanier and
Davidson 1995). The next step would be to implement community policing and
evaluate the impact using psychometric measures. The lack of resources is a major
problem with this approach, however. It is difficult to make resources available to
those in need when the political climate does not support such efforts.
Evolutionary psychology has been criticized on a number of grounds (Ward and
Siegert 2002). First, it does not consider other competing theories. The thesis of how
the brain is organized has also not been proven or is incomplete (Gilbert 1998). Fur-
ther research on rapists shows that they view women differently than nonrapists—a
learned behavior (Ward, Keenan, and Hudson 2000). Ward and Siegert (2002) also
question whether the rapist during the Pleistocene era would have been harmed or
killed by the females’ relatives. Empirical research shows that many rapists have dif-
ficulty with erections and fail to ejaculate—further damaging the main argument of
evolutionary psychology. Finally, it is important to note that humans can modify
their behavior and learn from their mistakes. It is also unclear as to what policies
would fit within the frame of evolutionary psychology. The obvious, factious one
suggests that if men were castrated, the crime rate would be cut dramatically! Pre-
sumably, equal access and opportunities would, over millions of years of evolution-
ary process, lead to the diminishing need for rapists to rape.

The psychological perspective has added a rich and important dimension to crim-
inological theory. The theories stemming from this viewpoint focus on factors
present at birth (such as human nature and heredity), factors that influence the
offender over the lifespan (such as learning and development), and factors present
in the individual at the actual crime scene. In spite of mixed empirical support, this
perspective has raised serious questions with both the mechanical determinism of
biological theories and the open vistas of individual freedom claimed in classical
models. It has sensitized criminology to the importance of individual development,
unconscious processes, and the consolidation of behavioral characteristics during
childhood development. Most important, it has explored the way the human mind
engages its environment toward self-preservation or destruction. Differences be-
tween the various psychological approaches have also enriched our understanding
of how the environment may be translated into both constructive and destructive
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behavior. Ultimately, psychological criminology has provided a window to our

mind and an opening to individualized treatment. Its attention to therapy has fos-
tered understanding of the nature of our actions and the consequences of past rela-
tionships on future behavior, and how we may intervene at the individual level to
make a difference to our relational world.
As the world has changed, one may ask, “How has psychology impacted the
world? In this new era, do people learn in the same ways or interact in the same
manner? How has globalization impacted the field? Has psychology itself evolved
to meet the changing world?” Clearly, the answer is that things have changed and
continue to change, both in the discipline of psychology and in the broader world.
Look around you in class—how many laptops do you see? How many professors
rely on PowerPoint or distance learning? When was the last time you took pen and
paper and wrote a letter? When was the last time you sent a text message? Do your
grandparents know what “IM” is? Do your parents? As technology has evolved, our
means of learning have also changed. When you conduct a literature review for a
class project, do you still go to the library or do you rely only on Google? Psychology
provides insight into how these changes, and many others, impact us and affect how
we learn, interact, and ultimately make sense of our environment and the changing
world we live in.
Summary Chart: Psychological Theories of Crime

Basic Idea: People have personalities formed through parental socialization. Some
are inadequately socialized or are traumatized during development and form crime-
prone personalities or behavioral tendencies or criminal-thinking patterns.
Human Nature: Humans are seen as biological entities but with personalities
that are shaped by childhood developmental experiences in the family. Humans
therefore are malleable. Their behavior reflects a combination of biological attributes
and early socialization experiences that are mediated through cognitive processes of
the “mind.” Psychoanalytical theory believes the key to the mind is its unconscious
process. Behaviorists believe human minds are a blank slate. Trait-based approaches
fall somewhere between the two, seeing adult personality formation emerging from
socialization with distinct traits. Social learning and cognitive theories assume per-
ception, self-identity, and rational decision making. Existential and phenomenolog-
ical approaches assume the importance of socially constructed meanings, emotions,
and feelings absent in the behavioral learning models. Finally, ecological psychology
is concerned with identifying the fit between individuals and their environment, see-
ing how the latter can shape an individual’s mind. This has parallels to evolutionary
psychology where adaptations occur with changing social mores and practices, but
evolutionary psychology sees humans as more genetically determined.
Society and Social Order: Generally seen as a consensus, with the exception of
social learning theory, which sees conflicting social norms.
Law, Crime, and Criminals: Law is seen as the rules designed to protect the on-
going development of society. Crime is one form of abnormal behavior manifested
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by those with personality problems or defective personalities. Psychologists prefer

the nonlegal definition of crime as aggressive or antisocial behavior, reflecting norm
violation rather than law violation. Criminals, especially in trait theory, differ from
noncriminals. Criminals in cognitive theory are those who have learned incorrect
ways to think or behave in society.
Causal Explanation: Most attribute cause to defective socialization by primary
groups, principally the family, although some recognize modeling on significant
others or even images of significant groups or role models. Specific causes vary de-
pending on the variety of psychological theory: (1) Psychoanalytic theory argues that
offensive behavior or antisocial behavior is the outcome of early childhood frustra-
tions. Primitive drives of the id combine with weak ego and superego development
because of (a) failed parental socialization, (b) unconscious guilt, (c) oedipal conflict,
and (d) aggression. The result is frustration, and an unconscious search for com-
pensatory gratifications leads to aggression and delinquency. Weak superego and
riotous id cause breach of social controls; overdeveloped superego or damaged ego
can also cause crime. (2) Trait-based personality theory believes the development of
a criminal or psychotic personality is sometimes a result of extroversion or low IQ,
affecting ability to learn rules, perceive punishment, or experience pain, as in biolog-
ical theory. (3) Behavioral learning theory sees crime as the outcome of learning that
under certain circumstances will be rewarded. A key concept is operant conditioning,
whereby behavior is controlled through manipulation of the consequences of previ-
ous behavior. A central idea is reinforcement, which can be positive, in cases where
past crimes are rewarded for their commission, or negative, where punishment or
other consequences are avoided by committing the offense. (4) Social learning theory
says observation and experience of poor role models produce self-reinforcement of
observed deviant behavior, leading to imitation and instigation of the same. Vio-
lent behaviors are seen as acceptable behavioral options, and the imitation of others’
criminal behavior is experienced as rewarding. (5) Cognitive interpretive processes
explain why criminals and noncriminals behave differently, even when they have
similar backgrounds. Applied to crime, the theory argues that faulty learning pro-
duces defective thinking, which produces criminal behavior. Existential and phe-
nomenological variants of the theory focus on individual construction of meaning
that triggers criminal activity. (6) Ecological or community-based psychology looks
at the fit between individuals and the environment and attempts to manipulate the
environment to prevent offending. (7) Evolutionary psychology argues that people
evolve, just like other animals, based on the changing environment.
Criminal Justice Policy: Depends on version, but most involve some prediction
and prevention and some kind of therapeutic intervention, assisted by drugs to cor-
rect and control traits.
Criminal Justice Practice: Psychoanalytic theory involves evaluation and treat-
ment to help offenders uncover the childhood root causes, bring these to conscious-
ness, and train to effectively control or correct problems of parental or “maternal”
deprivation. Behavioral models require rewarding conventional behavior and not re-
warding deviant behavior; the role of discipline in the home and school is important.
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Social learning theory involves varieties of resocialization, individual and family

counseling, development of new behavioral options, and provision of new “proper”
models. Cognitive theory involves learning new ways to think and replacing destruc-
tive thought processes with constructive ones. The environmental approach involves
manipulation of community resources to prevent problems from arising at the out-
set. The various intervention techniques are largely focused at the individual level of
treatment and include psychoanalysis, group therapy, counseling, family therapy,
drug treatment, and environmental manipulation.
Evaluation: Psychoanalytical theory is criticized for being male oriented and see-
ing females as inherently abnormal. The theory is difficult to test, and ideas about
“basic instincts” and “unconscious forces” cannot be verified or falsified. Trait the-
ory provides an alternative to Freud and behaviorism; it promotes empirical research
to find personality traits but ignores situational structuring of traits and so is too
narrow. Both theories have problems of circular reasoning. Behavioral approaches
oversimplify the learning process by excluding cognitive processes such as interpre-
tation, memory, and perception. Behaviorism based on stimulus-response is too
mechanical. Cognitive theory also suffers from circular reasoning: behavior is taken
to indicate cognitive processes, and the processes are taken as explanations for the
behavior. Phenomenological approaches lack scientific verification and policy impli-
cations. Environmental psychology does not deal with the wider political structures
that shape the environment. Overall, psychological perspectives tend to do better at
explaining sexual and violent crimes. But the approach has important implications
for the way we discipline children and the public consumption of media messages,
as in sex and violence on TV. This approach fails to explain individual differences
in response to learning and provides only weak causal connections between factors.
1. Why are the mentally ill increasingly subject to the criminal justice system and
what are the alternatives?
2. What are the fundamental theoretical concepts used in psychological theories
of crime and how do these theories affect criminal justice policies and practices?
3. What are the similarities and differences between psychological and biological
explanations for crime?
4. What are five key characteristics of antisocial personality disorder and how do
they help us to understand criminal offenders?
5. What are some of the benefits and limitations of trait-based psychological
theories?
6. What are the differences between behavioral psychological learning and cogni-
tive social theory of crime?
7. What is “ecological psychology” and how does it relate to the study of crime
and what does it imply for criminal justice policy?
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6
Learning Criminal Behavior

Social Process Theories
“Criminals are made not born.”

—Andrew Kehoe (mass murderer, 1927)
Military unit leaders, vampire cultures, and investment bankers appear to be at op-
posite ends of the moral and behavioral spectrum. The military represents discipline,
uniformity, respect for authority, high ethical standards, hierarchical status, and the
promotion and protection of American values. Goth and vampire (or “vampyre”)
cults represent anarchy, individualism, disregard for authority, and little in the way
of ethics; they challenge the most deeply held religious and social values. Investment
bankers are supposed to embody the society’s trust and certainly embody its capital-
ist values and business ethics. They each, however, share some similarities that can
socialize their members into ways of thinking that can result in crime. Consider the
cases of William Calley, Charity Keesee, and Bernie Madoff.
On March 16, 1968, in Vietnam, as many as five hundred men, women, and
children were killed by US Army platoons in what was to become known as
the My Lai massacre. A squad sergeant from one of the platoons testified, “We
complied with the orders, sir” (Calley 1974, 342). Lt. William Calley, who gave
the order for his squad to “get rid of ’em,” reasoned: “Well everything is to be
killed. . . . I figured ‘They’re already wounded, I might as well go and kill them.
This is our mission’” (ibid., 347, 342). Calley, brought up as a “run of the mill
average guy,” did not learn this on the street in a criminal gang but in US schools.
As he explained:
I went to school in the 1950s remember, and it was drilled into us from grammar school
on, “Ain’t is bad, aren’t is good, communism’s bad, democracy’s good. One and one’s
two,” etcetera: until we were at Edison High, we just didn’t think about it. The people
in Washington are smarter than me. If intelligent people told me, “Communism’s bad.
124
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6: Learning Criminal Behavior 125
It’s going to engulf us. To take us in,” I believed them. I had to. Personally, I didn’t kill
any Vietnamese that day: I mean personally. I represented the United States of America.
My country. (ibid., 342–344)
In May 1995, Charity Lynn Keesee was fifteen years old and a runaway from ru-
ral Kentucky. She weighed ninety-five pounds and was pregnant. She was a lonely,
shy girl, intelligent but rebellious. She was also a member of a group of kids who
belonged to a vampire cult that was responsible for the notorious “Vampire Clan
Killings,” which have been the topic of several books, movies, and television docu-
mentaries. Although not typically resulting in violence and death, more than four
thousand people are estimated to practice this black art. Unlike most, Keesee’s cult
committed one of the most publicized crimes of the twentieth century. The leader
of her cult, her boyfriend, Roderick (Rod) Ferrell, sixteen, and Scott Anderson,
seventeen, broke into the home of cult member Heather Wendorf, fifteen, and beat
her parents to death using a crowbar. Cigarette burns in the shape of a “V” were
found on the victims. Keesee, Wendorf, and Dana Cooper, nineteen, were across
town visiting with friends during the attack. After the brutal satanic murder Fer-
rell and Anderson stole the family SUV and picked up the girls. After successfully
eluding the police for days, Keesee phoned her mother from a hotel in Louisiana.
According to Keesee, she had her mother notify the authorities as to their where-
abouts (personal correspondence, November 2002). Others dispute this claim, stat-
ing that she was simply trying to get money. In either case, this phone call resulted
in the arrest of the group in Baton Rouge. On June 15, 1996, Charity Lynn Keesee
was convicted of being an accessory to first-degree murder and sentenced to fifteen
years in Florida correctional institutions. After meeting with her numerous times
my [Lanier’s] impression was that she was still in many ways a lost sixteen-year-
old. She was shy, sweet, and very open about her life and activities. She was very
willing to please, anxious to improve her life, and looking forward to an education.
There was also an undercurrent of strength, anger, and defiance. Now released,
she is a working single mother, who still bears the scars of her youth and lengthy
incarceration.
Now consider the corporate “Ponzi scheme” perpetrated by Bernie L. Madoff (see
Box 6.1).
Let’s consider these three cases in more detail. Calley grew up in the 1950s as a
privileged white male in a segregated patriarchal society. Calley represented Amer-
ica, discipline, success, and honor. Charity Keesee belonged to “Gen X” and was an
abused, powerless, rural girl—individualistic, outside the mainstream, and a rebel.
Madoff was brought up in a working-class ethnic Jewish family whose capitalist val-
ues were driven predominantly by profit making based on building trusted relation-
ships. Yet all three participated in some of the most publicized crimes of our times.
Is there a common set of characteristics that could explain these very different types
of crimes and types of people? What do Lt. William Calley, Charity Keesee, and
Bernie Madoff have in common?
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BOX 6.1 Global Capitalism, Corporate Culture, and Affinity Fraud

An Unequal-Opportunity Ponzi Scheme
STUART HENRY
“A Wall Street powerbroker for nearly 50 years who commanded billions of dollars
in investments and built an influential firm has confessed a fraud of historic pro-
portions, admitting he squandered more than $50 billion and was likely doomed to
prison, federal authorities say” (Associated Press 2008b).
Bernard L. Madoff, born in 1938, admitted to his employees, including his two
sons, that his operations were “all just one big lie” and, “basically, a giant Ponzi
scheme.” On December 10, 2008, US federal agents from the Securities and Ex-
change Commission arrested Bernie Madoff, a former chairman of the NASDAQ
Stock Market, a member of the Yeshiva University’s Board of Trustees, and founder
of Bernard L. Madoff Investment Securities based in New York, for securities fraud.
He was released on $10 million bail, subject to house arrest because of insufficient
support for his bail. Prosecutors alleged that the seventy-year-old Madoff ran a
Ponzi (or pyramid) scheme in which he hid losses on his investments and paid off
some (particularly influential and early investors) from the principal that he received
from newer investors. As soon as the harsh economic climate and the global eco-
nomic crisis of 2008 struck, new investors dried up, and the scheme collapsed. The
collapse and revelations were “triggered after investors whose fingers had been burnt
by the financial crisis asked Madoff for their money back—they wanted $7 billion,
but there was only $300 million in the bank. The system of sucking in new money
to pay existing investors, which federal investigators allege had gone on since at least
2005, could not continue” (Quinn 2008). Initial losses to investors were estimated,
by Madoff himself, at $50 billion—making it the largest individual fraud in global
history.
Madoff, born in Queens, New York, has been described as a “market maker.” He
created an exclusive investor group that attracted members of elite country clubs and
other high-flying investors into his “invitation-only” marketing scheme. He prom-
ised (and, to create trust, delivered to some investors) consistently high-yield interest
earnings of 8–12 percent, regardless of the state of the economy. Madoff was able to
do this because American capitalism is, or at least was, a “high-trust” investment cul-
ture. Madoff built trust among his big-name corporate clients, including US Senator
Frank Lautenberg, New York Mets owner Fred Wilpon’s charity (the Judy and Fred
Wilpon Family Foundation), Hollywood producer Steven Spielberg, human rights
activist Elie Wiesel, media mogul Mort Zuckerman, and major global investors.
These included several European banks such as Britain’s HSBC with $1 billion in-
vested and French investment group AIA, whose funds manager, René-Thierry Ma-
gon de la Villehuchet, committed suicide shortly after it was revealed that his $1.4
billion investment with Madoff had been lost: “He locked the door of his Madison
Avenue office and apparently swallowed sleeping pills and slashed his wrists with a
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box cutter, police said. A security guard found his body Tuesday morning, next to a
garbage can placed to catch the blood” (Associated Press 2008a). As one commen-
tator lamented, “It’s ironic that a man who campaigned for greater transparency
within NASDAQ should end up being charged with fraud and losing billions for
innocent investors. What could possibly have driven him to risk his family’s name in
a world (Wall Street) that depends on the sanctity of the promise, ‘My word is my
bond’?” (Gagnier 2008).
The Picower Foundation, which was a charity that supported medical research
and education, was one of several forced to close because of the loss of $1 billion in
assets managed by Madoff. Barbara Picower, its president, said, “This act of fraud
has had a devastating impact on tens of thousands of lives as well as numerous phil-
anthropic foundations and nonprofit organizations” (Reuters 2008, A6). As others
have commented, Madoff “has gutted an entire generation of Jewish philanthropic
wealth, destroyed trust within the Jewish philanthropic world but, far more impor-
tant, impoverished widows, orphans, and the elderly and, in so doing, endangered
and shamed the Jewish people at a time when we have many real, not merely neurot-
ically imagined enemies” (Chesler 2008).
This might seem to be a simple case of fraud, but think about the ordinary people
caught in its flow:
Sure, you could argue these investors should have known better than to believe
in an investment strategy that seemed too good to be true, or that they should
have seen the signs of wrongdoing. But most people—I’d venture to say at least
90% of us—don’t have time to manage our money or to keep tabs on the “pro-
fessionals” we hire to do just that. We know little about options trading, a cor-
nerstone of Madoff’s supposed strategy. We are too busy doing our jobs, now
maybe even looking for work. Our energy is spent keeping our families fed and
clothed. We are homework cops. We are caregivers tending to children who
can’t sleep . . . as well as loved ones who are sick. For Working Parents, we are
chauffeurs, personal chefs, investment bankers, police, and personal assistants
all wrapped up in one. If we are very lucky, we find a little time to take care of
ourselves, too. (L. Young 2008)
Particularly vulnerable to Madoff’s schemes were members of cultural com-

munities: “Armenian-Americans, Baptist Church members, Jehovah’s Witnesses,
African-American church groups, Korean-Americans. In each case, the perpetrator
relied on the fact that being from the same community provided a reason to trust
the sales pitch, to believe it was plausible that someone from the same background
would give you a deal, that if offered by someone without such ties would sound
too good to be true” (Cass 2008). In Madoff’s case, he targeted his own Jewish
community: “Yeshiva University, one of the nation’s foremost Jewish institutions of
(CONTINUES)
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BOX 6.1 (CONTINUED)
higher education, lost $110 million; Hadassah, the Women’s Zionist Organization
of America, lost $90 million; director Steven Spielberg’s Wunderkinder Foundation
acknowledged unspecified losses; and a $15 million foundation established by Holo-
caust survivor and writer Elie Wiesel was wiped out. Jewish federations and hospitals
have lost millions and some foundations have had to close” (Peltz 2008).
References
Associated Press. 2008b. “SEC: Wall Street Kingpin with LI Ties Admits $50B Fraud.”
December 12. www.newsday.com/business/ny-bzfraud1213,0,3666375.story (ac-
cessed December 25, 2008).
Cass, Ronald A. 2008. “Bernard Madoff and Affinity Fraud.” www.speroforum.com
/a/17332/Bernard-Madoff-and-affinity-fraud (accessed December 22, 2008)
Chesler Phyllis. 2008. “Madoff the Jew: The Media’s Hypocritical Obsession with
the Fraudster’s Faith.” Jewcy News (December 23) www.jewcy.com/tags/jewish
_philanthropies (accessed December 26, 2008).
Gagnier, Monica. 2008. “The Rise and Fall of Bernard L. Madoff.” BusinessWeek, De-
cember 12. www.businessweek.com/blogs/recession_in_america/archives/2008/12
/the_rise_and_fa.html (accessed December 19, 2008).
Peltz, Jennifer. 2008. “Some Jews Fear Madoff Case Stokes Anti-Semitism.” Associated
Press. www.google.com/hostednews/ap/article/ALeqM5jSLnvHBSvCHcE20bpw41y
DZqrthAD959SJ081 (accessed December 25, 2008).
Quinn, James. 2008. “Bernard Madoff ‘Fraud’: Betrayed by Their Best Friend; Bernard
Madoff Wooed the Jet Set, but Few Knew How Much Was at Stake.” Daily Tele-
graph, December 20. www.telegraph.co.uk/finance/financetopics/bernard-madoff
/3853113/Bernard-Madoff-fraud-Betrayed-by-their-best-friend.html (accessed 26
December 2008).
Reuters. 2008. “Foundation to Close, Says Fund Manager Madoff to Blame.” San Diego
Union-Tribune, December 21, A6.
Young, Lauren. 2008. “Why I Hate Bernie Madoff.” Business Week, December 12. www
.businessweek.com/careers/workingparents/blog/archives/2008/12/its_2_am_and_i
.html (accessed December 25, 2008).
Each case represents a segment of a learning matrix. The individual has either a
“normal” or a “traumatic” upbringing and/or is subject to a “normal” or systemically
problematic organizational learning environment. In the first case, Calley had a nor-
mal family socialization and a normal, if highly disciplined, organizational socializa-
tion. He learned through these processes that following orders for an ideal was the
right thing to do, regardless of whether the outcome was harmful to others; Calley
learned to follow orders, and not to question authority, and, therefore, did not see
his slaughter of these Vietnamese citizens—old men, women, and children—as his
responsibility.
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Charity Keesee was subject to the opposite childhood extreme. Having been
brought up in an abusive family, she first found relief through self-mutilation. Kee-
see became an active participant in role-playing games such as Dungeons & Drag-
ons and Vampire: the Masquerade. Over time, she increasingly sought refuge with
what she calls “kindred spirits”—similarly abused youth who were into the Goth
scene; her particular band, however, went further than most. Like William Calley,
Keesee belonged to an organized, hierarchically structured group. Cults and clans,
though less formal than the military, still follow specific rituals, demand allegiance,
and promote “values.” Like William Calley, Keesee complied with whatever her
“commander” demanded. Goths and vampire cults, like the military, also dress in
a uniform of sorts. Despite their professed desire to be unique, they all wear black,
have pale skin, and follow Victorian clothing styles. Goths look alike. The fantasy
role-playing games and obedience to authority practiced by many self-proclaimed
vampires is not so different from small children who play soldier and carry toy guns
(like Calley did as a child). Also like the military, Goths are law-abiding citizens the
vast majority of the time. They work, eat, and pay bills like everyone else. Occasion-
ally, they “drift” into crime. They also learn justifications for their deviant behavior.
Keesee, then, was subject to the cultural norms of a deviant organization (the cult);
the result was harm without conscience to others.
Finally, Bernie Madoff, a “self-made man,” experienced a normal childhood so-
cialization and was also socialized into the norms of capitalist greed; the result was
that he harmed massive numbers of others through a classic Ponzi scheme. Madoff,
like Calley, came from a stable family, was not abused, but nonetheless was accused
of the world’s most costly fraud. At age twenty-two, in 1950, he invested $5,000
that he’d earned from his summer job as a Long Island lifeguard and from installing
refrigeration systems to start his own investment firm. Madoff attended, but did not
graduate from, Hofstra Law School. His brother was a part of his investment com-
pany, but it was his sons, who were partners in his firm, who turned him in.
These three different examples illustrate the central theme of this chapter: ordinary
human beings can become criminal offenders as a result of social processes through
which they learn harmful behaviors and attitudes, and rationalizations that excuse or
justify harm to others. Whether they are conforming to the military objectives of the
government, the code and conventions of a vampire cult, or the rules and practices
of capitalist culture, what they learn can result in criminal harm. In this chapter, we
examine several perspectives on social learning, called social process theories, which
explain how this comes about: “Social process theories hold that criminality is a
function of individual socialization. These theories draw attention to the interactions
people have with the various organizations, institutions and processes of society”
(Siegel 2004, 214).
This chapter and the next mark a transition from the individually oriented ratio-
nal choice, biological, and psychological principles outlined in the previous chapters
toward theories that explain criminal behavior based on social and group interac-
tive factors. We thus move our understanding of crime and criminality toward the
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cultural, sociological, and structural principles that follow in the rest of the book.
The two social process theories considered in this chapter—“differential association”
and “neutralization and drift”—each in different ways addresses the important con-
tribution of social interaction in the process of becoming criminal. But they each
also make different assumptions about humans and the role of socialization in learn-
ing. As we shall see, “differential association” theory views crime and delinquency
as the outcome of normal learning processes whereby youth learn the “wrong” be-
havior. “Neutralization and drift” theory views delinquency and crime as a result of
juveniles learning to excuse, justify, or otherwise rationalize potential deviant and
even criminal behavior (which allows them to be released from the constraints of
convention and drift into delinquency). Let us look at these social process theories
in more detail.
Common Themes and Different Assumptions

In the previous chapter, we reviewed various psychological explanations about
how human minds “turn criminal” as well as how individuals develop “criminal
personalities.” We also examined other psychological theories that explained how
both criminal thinking and behavior could be learned. Similar to these theories,
several sociological theorists, notably Edwin Sutherland and his colleague Donald
Cressey (1966), with their theory of differential association, rejected the psycholog-
ical criminal personality analysis that criminals are different; instead, they argued
that delinquents or criminals are no different from noncriminals. Criminals do not
have different personalities and do not think or learn differently from noncrimi-
nals. In fact, criminals, and all humans for that matter, learn to commit crimes just
as they learn any other behavior. Learning comprises “habits and knowledge that
develop as a result of the experiences of the individual in entering and adjusting to
the environment” (Vold and Bernard 1986, 205). Psychological learning theories
provided a basis for social learning theory: “There are two basic modes of learning.
People learn by experiencing the effects of their actions and through the power of
social modeling” (Bandura 2001b, 170). In other words, people also learn vicari-
ously through observation of others’ behavior and consequences. Indeed, “much
human learning either occurs designedly or unintentionally from the models in
one’s immediate environment” (ibid.).
The primary learning mechanism occurs in association with others. Those we are
in close association and interaction with, usually through informal small groups, such
as parents, family, friends, and peers, are most responsible for what we learn. In ad-
dition, “a vast amount of knowledge about people, places, and styles of thinking and
behaving is gained from the extensive modeling in the symbolic environment of the
electronic mass media [where] a single model can transmit new ways of thinking and
behaving simultaneously to many people in vastly dispersed locales. Video and com-
puter delivery systems feeding off telecommunication satellites are now rapidly diffus-
ing new ideas, values and styles of conduct worldwide” (ibid., 170–171).
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What is crucially different between lawbreakers and law abiders is not the learning
process but the content of what is learned. Both law abiders and lawbreakers are
socialized to conform to social norms. The norms that law abiders learn are those
of conventional mainstream society, whereas the norms learned by delinquents and
criminals are those of a delinquent subculture with values opposed to the larger
society.
Early on, in their theory of neutralization and drift, some sociologists, such as
David Matza (1964) and Gresham Sykes (Sykes and Matza 1957; Matza and Sykes
1961), argued that early social learning theory in criminology presented a too-
simplistic and overly deterministic picture. First, the theory assumed that humans
are passive social actors, or blank slates, to be provided with good or bad knowledge
about how to behave. Second, it drew too stark a contrast between conventional
mainstream values and delinquent subcultural values. Instead of being separate,
these values are interrelated; delinquency forms a subterranean part of mainstream
culture. Instead of being immersed in and committed either to convention or to
delinquency, individuals are socialized to behave conventionally but can occasion-
ally be released from the moral bind of law to drift between these extremes. Part of
the contribution of social learning theory in criminology is to consider how these
processes of learning occur and how their conflicting and often contradictory con-
tent is cognitively negotiated by humans to allow them to believe that what they are
doing is, at least at the time of the acts, justifiable under the circumstances.
We begin our analysis of these two social process perspectives by considering the
work of Edwin Sutherland, who has been described as “the leading criminologist
of his generation” and “the most prominent of American criminologists” (Martin,
Mutchnick, and Austin 1990, 139).
Sutherland’s Differential Association Theory

Edwin Hardin Sutherland (1883–1950) earned a doctorate from the University of
Chicago, with a double major in sociology and political economy, and eventually
went on to chair the Sociology Department at Indiana University. He first presented
his theory of differential association in the third edition of his textbook Principles
of Criminology (1939). He subsequently revised and developed the theory and pre-
sented the final version in the next edition, published in 1947.
Sutherland discounted the moral, physiological, and psychological “inferiority”
of offenders (Jacoby 1994, 78) and rejected “internal” psychological theories (Mar-
tin, Mutchnick, and Austin 1990). His perspective explained crime by learning in
a social context through interaction and communication (influenced by the sym-
bolic interactionist tradition discussed later). Differential association is an abbrevia-
tion for “differential association with criminal and anti-criminal behavior patterns”
(ibid., 155; see also Cressey 1962). Its central concept parallels Gabriel Tarde’s ideas
([1890] 1903) that behavior is imitated in proportion and intensity to the social
closeness between people.
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There are two basic elements to understanding Sutherland’s social learning the-
ory. First, the content of what is learned is key. This includes the specific techniques
for committing the crime, motives, rationalizations, attitudes, and, especially, eval-
uations by others of the meaningful significance of each of these elements. Second,
the process by which learning takes place is important, including the intimate infor-
mal groups and the collective and situational context where learning occurs (Vold,
Bernard, and Snipes [1998] 2001). Reflecting aspects of culture conflict theory (dis-
cussed in Chapter 10), Sutherland also saw crime as politically defined. In other
words, people who are in positions of power have the ability to determine which
behaviors are considered criminal. He also argued that criminal behavior itself is
learned through assigning meaning to behavior, experiences, and events during in-
teraction with others.
The systematic elegance of Sutherland’s theory is seen in its nine clearly stated,
testable propositions:
1. Criminal behavior is learned.

2. Criminal behavior is learned in interaction with other persons in a process
of communication.
3. The principal part of the learning of criminal behavior occurs within inti-
mate personal groups.
4. When criminal behavior is learned, the learning includes (a) techniques of
committing the crime . . . [and] (b) the specific direction of motives, drives,
rationalizations, and attitudes.
5. The specific direction of motives and drives is learned from definitions of
legal codes as favorable and unfavorable.
6. A person becomes delinquent because of an excess of definitions favorable
to violation of law over definitions unfavorable to violation of law.
7. Differential associations may vary in frequency, duration, priority, and
intensity.
8. The process of learning criminal behavior by association with criminal and
anti-criminal patterns involves all of the mechanisms that are involved in
any other learning.
9. Though criminal behavior is an expression of general needs and values, it is
not explained by those general needs and values since non-criminal behavior
is an expression of the same needs and values. (Sutherland [1939] 1947, 6–8)
The foundation of differential association is found in the sixth proposition; that a

“person becomes a criminal when he or she perceives more favorable than unfavor-
able consequences to violating the law . . . [and] individuals become law violators
when they are in contact with people, groups, or events that produce an excess of
definitions favorable toward criminality and are isolated from counteracting forces”
(Siegel 2013, 238).
Both criminal and anticriminal associations can be affected by: (1) priority of
learning: how early this is learned in life; (2) frequency: how often one interacts with
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groups encouraging the behavior in question; (3) duration: the length of exposure to
particular behavioral patterns; and (4) intensity: the prestige or status of those man-
ifesting the observed behavior. If each of these four aspects is more favorable toward
law violation, there is a higher probability of the person choosing criminal behavior.
In other words, associating with groups that value law violation can lead to learning
criminal behavior.
A final aspect of Sutherland’s theory is the shift from the concept of social disor-
ganization to differential social organization. Social disorganization theory (discussed
more fully in Chapter 8) states that those who become criminals are isolated from
the mainstream culture and are immersed in their own impoverished and dilapidated
neighborhoods, which have different norms and values. Differential social organiza-
tion suggests that a complex society comprises numerous conflicting groups, each
with its own different norms and values; associations with some of these can result in
learning to favor law violation over law-abiding behavior.
Empirical Support and Limitations

of Differential Association Theory
The major difficulty with the original version of differential association theory is that
some of its central concepts were not clearly defined and depended on a simple, pas-
sive definition of social learning. We saw in Chapter 5 that cognitive psychologists
showed that learning is a creative and active process. Indeed, by focusing on learning
in small groups, Sutherland ignored what social learning theorist Albert Bandura
(1977, 1986, 2001b) later found to be significant modeling of images glorified in
the media. As Bandura acknowledged, this is not surprising because most of these
theories were crafted “long before the advent of revolutionary advances in the tech-
nology of communications” (2001b, 171).
Furthermore, Laub (2006) found that Sutherland failed to consider vital features
of crime that opposed his theory. Early on, Sheldon Glueck (1956) raised another
concern, asking if all criminal behavior is learned from others or if some people
invent their own criminal behavior. If not, then how does criminal behavior begin?
Differential association may explain why some people in high-crime areas commit
crime, which several research studies have illustrated. But it does not explain how
criminal behaviors originate or who starts them, nor does it explain how some indi-
vidual crimes are committed without associates. It also does not explain what counts
as an excess of definitions, nor does it explain irrational acts of violence or destruc-
tion. It does show how patterns of criminal behavior can persist over time, however,
and how social and organizational groups of both the powerful and the powerless
can sustain these.
Methodologically, research on differential association has been criticized on sev-
eral counts. Glueck (1956) questioned the ability to test differential association,
although others argued that it is testable (DeFleur and Quinney 1966), and consid-
erable empirical research on the theory would seem to support this belief. A further
criticism is that most studies rely on asking subjects about their relationships with
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significant others. This method does not determine causality, and thus researchers
are unsure if differential associations cause deviant behavior or result from deviant
behavior. In addition, most of the studies rely on cross-sectional rather than longi-
tudinal samples, which make it impossible to know whether learning came before,
after, or during criminal behavior.
Research on differential association has generally not been able to empirically
validate the claims made, although it has received some support. Armstrong and
Matusitz (2013) found that differential association theory explains how Hezbollah
(a Shi’a Islamic militant group and political party based in Lebanon) has effectively
managed to recruit new members and persuade them to commit terrorist attacks.
The essence of any terrorist endeavor is communication among group members,
therefore, by interacting with one another, Hezbollah terrorists develop their com-
bat skills and learn new tactics. Hawdon (2012) found that learning hate online
through information and communication technologies can be through imitation;
conversely, it can also occur by “reading information, engaging in debate and dia-
logue, critically reflecting on arguments, and through all the learning mechanisms
that all learning can occur” (2012, 41). Church II et al. (2008) examined Delbert
Elliott’s longitudinal National Youth Study (NYS) and found that being male was
the strongest predictor of delinquency and carried a strong connection to having
associations with delinquent peers (page 12). Fox et al (2011) found that, regarding
stalking perpetration and victimization, “there may be responses, attitudes, and be-
haviors that are learned, modified, or reinforced primarily through interaction with
peers” (2011, 39).
Conversely, in an examination of NYS data, Rebellon’s (2012) analysis failed to
support the notion that differential association at one point in time causes substance
use at a later point. Rader and Haynes (2011) argue that “individuals differentially
associate with others, both directly and indirectly, who expose them to differential
gender associations, differential fear of crime associations, and differential gendered
fear of crime associations” and, therefore, men and women have differing levels of
fear of crime (2011, 298). Baier and Wright (2001) conducted a meta-analysis that
examined the effects of religion on criminal behavior. Their reanalysis of sixty prior
studies found that religious practices and belief do show a significant, moderate in-
hibiting effect on crime commission. Similarly, Cocoran et al. (2012) found that re-
ligious belief is associated with lower acceptance of white-collar crime. In summary,
the empirical research provides mixed support for differential association.
Modifying Differential Association: Differential Reinforcement

Theory and Differential Identification Theory
In an attempt to overcome some of the early limitations of Sutherland’s original
theory, C. Ray Jeffery (1965) along with Robert Burgess and Ronald Akers (1966;
Akers [1977] 1985, 1998; Akers and Sellers 2008) developed versions of a differ-
ential reinforcement theory of crime based on a combination of Skinner’s ideas
of operant conditioning and Sutherland’s ideas of differential association. Jeffery’s
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version of differential reinforcement argues that individuals have differences in their

reinforcement history with respect to being rewarded and punished: for some, being
rewarded for minor rule breaking can lead to more serious law violation; for others,
being punished may be interpreted as “attention receiving,” and rather than reduc-
ing the tendency toward crime, punishment can actually increase it. Moreover, Jef-
fery claims that once a criminal behavior is learned, it can become self-reinforcing.
Rather than seeing a simple mechanical relationship between stimulus and re-
sponse, Burgess and Akers (1966; Akers [1977] 1985, 2008), like Bandura, see a
more complex relationship that depends on the feedback a person receives from the
environment. Akers explains how people learn criminal behavior through operant
conditioning and argues that people evaluate their own behavior through interaction
with significant other people and groups. Burgess and Akers (1966) present a revised
version of the propositional statement of Sutherland:
1. Criminal behavior is learned according to the principles of operant

conditioning.
2. Criminal behavior is learned both in nonsocial situations that are rein-
forcing or discriminative and through that social interaction in which
the behavior of other persons is reinforcing or discriminative for criminal
behavior.
3. The principal part of the learning of criminal behavior occurs in those
groups that make up the individual’s major source of reinforcement.
4. The learning of criminal behavior (including specific techniques, attitudes,
and avoidance procedures) is a function of the effective and available rein-
forcers and the existing reinforcement contingencies.
5. The specific class of behaviors that is learned and their frequency of occur-
rence are a function of the reinforcers that are effective and available and
the rules or norms by which these reinforcers are applied.
6. Criminal behavior is a function of norms that are discriminative for crimi-
nal behavior, the learning of which takes place when such behavior is more
highly reinforced than noncriminal behavior.
7. The strength of criminal behavior is a direct function of the amount, fre-
quency, and probability of its reinforcement. These interactions rely on
norms, attitudes, and orientations.
Burgess and Akers are particularly interested in the role of punishment and who
provides it. They see punishment as “positive” when it follows a behavior and causes
it to decrease and as “negative” when it takes the form of a reduction or loss of
reward or privilege. Burgess and Akers argue that differential reinforcement occurs
when the rewards are given to two behaviors but one is more highly rewarded than
the other.
Moreover, this differential rewarding is particularly influential when it comes
from others with whom one is significantly identified, such as parents, teachers,
peers, and so on. Furthermore, in his version of social learning theory, Akers, like
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Bandura, acknowledges that modeling can arise based on the rewards one sees others
getting. Daniel Glaser (1956) called this identification with others, particularly the
generalized characteristics of favored social groups or reference groups, differential
identification theory.
Policy Implications of Differential Association

and Social Learning Theory
The policy implications associated with differential association theory are relatively
straightforward. If socialization in small groups provides an excess of definitions fa-
vorable to law violation, the implication for prevention is to keep young and im-
pressionable individuals away from such groups as well as educate and train them
to resist the messages of such groups. For those already influenced, “treatment”
intervention involving resocialization is consistent with the theory’s general prin-
ciples. Specific prevention programs that follow from this theory include peer-led
interventions, resistance-skills training, and personal and social skills training. In a
review of research on such programs, however, Gorman and White noted that these
“were shown to be of minimal effectiveness and conceptually limited in that they
fail to address the complexity of the relationship between group associations and
delinquency” (1995, 149). Gorman and White argued that because the relationship
is reciprocal, it is insufficient to intervene at the adolescent peer-group level since
doing so ignores the parent-child interaction in earlier years that led to involvement
with antisocial peers in the first place. They suggested that family-based and commu-
nity programs seem to be more conceptually consistent with differential association
theory than the school-based skills programs, but the effectiveness of such programs
has not yet been adequately demonstrated.
Also overlooked in the policy arena is the role of the law and public policy in in-
fluencing definitions favorable or unfavorable to law violation. For example, clearer
and simplified laws provided by the dominant mainstream culture are indicated. A
related policy would be to publicly proclaim the law and reasons for following it; the
media may provide an effective format for delivering this message.
Limitations of Differential Reinforcement Theory

Empirical research has extensively tested differential reinforcement theory. Several
large-scale studies (Akers et al. 1979; Krohn et al. 1985) have found it to be sup-
ported. Sellers et al., however, criticize narrative studies, stating that “the theory
appears to have attracted a great deal of consensus on its predictive accuracy. This
conclusion, however, has been based primarily on narrative reviews of numerous,
widely disparate empirical tests of the theory,” which can be compromised by sub-
jective factors (2000, 1). Nevertheless, their own meta-analysis summarizing one
hundred and forty other studies confirmed this support.
In spite of this empirical efficacy, this theory does not explain how people re-
warded for conventional behavior (e.g., economically affluent youths) still commit
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crimes. Also, like Sutherland, Akers does not explain where the values transmitted
through differential reinforcement come from in the first place. He does point out,
however, that the social environment one is exposed to contains different content,
some more conducive to illegal behavior than others. Indeed, in more recent work
he has developed the macrolevel social structural side of this argument, proposing
that environments impact individuals through learning (1998, 302).
Social learning theory’s greatest merit is that not only does it draw together the
psychological process components examined in the previous chapter of learning by
role modeling and reinforcement of that learning, but “most significant, Akers con-
tended that definitions and imitation are most instrumental in determining initial
forays into crime” and that “continued involvement in crime, therefore, depends on
exposure to social reinforcements that reward this activity. The stronger and more
persistent the reinforcements . . . the greater the likelihood that the criminal behav-
ior will persist” (Lilly, Cullen, and Ball 2002, 46), and the more conducive the social
environment to providing this reinforcement, the more likely are such structures to
contribute to such criminogenesis (Akers 1998).
Going beyond Sutherland, Cressey, and Akers, we need to take into account Al-
bert Bandura’s significant contribution to social learning theory in its application to
explain crime and deviance (1986, 1997, 2001a).
Cognitive Social Learning Theory

In the previous chapter we introduced the significant contribution to cognitive so-
cial learning made by Albert Bandura through his research on observational learn-
ing. Bandura’s cognitive social learning theory was part of cognitive psychology that
has revolutionized the field of psychology (Bruner 1987, 1990) and that includes
Festinger’s concept of cognitive dissonance (1957) and the treatment approach de-
signed to correct errors in thinking known as cognitive therapy. Commenting on
the application of cognitive theory in correctional settings, Maruna and Copes state
that, “the premise behind much cognitive programming owes a considerable debt to
the neutralization idea: offending is partially facilitated by a cognitive mind-set that
justifies and rationalizes criminal behavior” (2004, 21).
To recap, Bandura argues that people learn from others not just directly by being
punished or rewarded but also through observation of others’ behavior and through
mass-mediated images of others’ behavior. He says, “Virtually all behavioral, cog-
nitive, and affective learning from direct experience can be achieved vicariously by
observing people’s actions and the consequences for them” (2001b, 170). In watch-
ing others, they both imitate but also innovate behaviors that they see others do.
Bandura states that there are four elements in observational learning that comprise a
series of subprocesses: (1) attention to the behavior in question that involves percep-
tion, arousal, and awareness—“Attentional processes determine what people observe
in the profusion of modeling influences and what information they extract from
what they notice”; (2) retention of the behavior that involves classification, mem-
ory, and interpretation—“Retention involves an active process of transforming and
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restructuring the information conveyed by modeled events into rules and concep-
tions for memory representation”; (3) behavior reproduction (motor responses) that
involves physical capability and skills—“Symbolic conceptions are translated into
appropriate courses of action”; and (4) motivation, including stimuli from self and
others, as well as from vicarious sources (ibid., 171).
From Bandura’s “agentic” perspective, people act reflectively, purposefully, and
in a self-regulating way, based partly on experience but also on the context or situ-
ation, such that “human action, being socially situated, is the product of a dynamic
interplay of personal and situational influences.” Humans integrate, but they also
act on the world they experience rather than just reacting to it: “In social cognitive
theory, people are agentic operators in their life course not just onlooking hosts
of internal mechanisms orchestrated by environmental events. They are sentient
agents of experiences rather than simply undergoers of experiences” (ibid., 155).
Indeed, Bandura says, in contrast to biological or determinist accounts: “By regu-
lating their own motivation and the activities they pursue, people produce the ex-
periences that form the neurobiological substrate of symbolic, social, psychomotor
and other skills” (ibid., 155).
Consistent with the interactive-reciprocal view of causation (Einstadter and
Henry 1998, 2006), Bandura uses the term emergent interactive agency in which
“persons are neither autonomous agents nor simply mechanical conveyers of animat-
ing environmental influences” (2001b, 156). By this he means that people are more
than their constituent parts in that they develop in an ongoing way as a result of the
variety of interactions that they have with their experiences and observations. This
occurs not through linear causation but through “triadic reciprocal causation,” such
that there is “reciprocal causality” between (1) “internal personal factors in the form
of cognitive, affective and biological events”; (2) “behavioral patterns”; and (3) “en-
vironmental events,” all of which interact to influence each other, such that changes
in one result in changes in the other (ibid., 156–157).
Bandura states that the “environment” comprises an “imposed environment,”
about which little control can be exercised but can be interpreted, as well as a “se-
lected environment” and a “constructed environment,” through which we can filter
the effects of the imposed environment to moderate and even change the reality of
what is experienced compared with what might potentially be experienced. “People
construct social environments and institutional systems through their generative ef-
forts. The construal, selection and construction of environments affect the nature
of the reciprocal interplay among personal, behavioral and environmental factors”
(ibid., 157).
Unlike more limited views of causality, Bandura’s reciprocal-interactive model
recognizes not only that persons and situations affect each other but also that the
behavior they produce can also affect feedback and interact with the persons and
situations. Thus, people’s “behavior plays a dominant role in how they influence
situations which, in turn, affect their thoughts, emotional reactions and behavior. In
short, behavior is an interacting determinant rather than a detached by-product of a
behaviorless person-situation interchange” (ibid.). People “function as contributors
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to their own motivation, behavior, and development within a network of recipro-

cally interacting influences” (ibid., 169).
Bandura argues that through their symbolic representation of the world they are
able to think about likely courses of action and select or discard them in their mind
before actually enacting them. This can result in expanded possibilities or limited
and distressful projected outcomes resulting from self-doubt and “self-defeating ide-
ation.” In their behavioral choices people not only are guided by expectations but
also have the capacity for self-direction and, importantly, for self-regulation. “Once
the capability for self-direction is developed, self-demands and self-sanctions serve
as major guides, motivators, and deterrents” (ibid., 175). Self-regulation “operates
through self-monitoring, judgmental, and self-reactive subfunctions” (1999b, 213).
People are selectively attentive in monitoring aspects of their own behavior, and
whether they perform an action will depend on how they judge it against personal
guidelines and standards, in reference to the behavior of others, and in relation to
values and a sense of personal adequacy: “People pursue courses of action that give
them self-satisfaction and a sense of self-worth, but they refrain from behaving in
ways that result in self-censure” (ibid., 176). Moreover, they seek to reduce the dis-
parity between their perceived performance and the desired standard partly by tak-
ing corrective action but also by producing new discrepancies or new challenges to
be achieved. We will return to the implications of these ideas after looking at the
process of neutralization.
Neutralization Theory:
Learning Rationalizations as Motives
One very important element of the behavior learned in intimate social groups and
considered by Sutherland was the rationalizations that accompany behavior. These
rationalizations are related to Sutherland’s idea ([1939] 1947) about how law viola-
tions can be defined as favorable or unfavorable. Donald Cressey (1953, 1970), in
a study of the “respectable” crime of embezzlement, found that three key elements
were necessary for a violation of financial trust to occur: (1) a nonsharable financial
problem (meaning a problem the offender feels embarrassed to tell others about,
such as gambling debts); (2) the perception of their legitimate occupation as a solu-
tion to the problem, typically through using funds to which they have access; and
(3) verbalizations, or words and phrases that make the behavior acceptable (such as
“borrowing” the money and “intending” to pay it back). It is this third element, and
the possibility that such words and phrases may be found in the common culture,
that make the crime possible. As Cressey said: “I am convinced that the words and
phrases that the potential embezzler uses in conversations with himself are actually
the most important elements in the process that gets him into trouble” (1970, 111).
For Cressey, verbalizations were not simply rationalizations occurring after the
fact of crime to relieve an offender of culpability. Instead, they were words and
phrases that could, as C. Wright Mills (1940) had earlier argued, be “vocabularies
of motive.” They could inhibit someone from engaging in a criminal act by showing
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the potential offender that using such excuses or justifications after a criminal act
might not be honored as acceptable. Alternatively, the excuses and justifications
could be honored by future questioners, allowing the potential offender a sense of
“freedom” that it might be acceptable to violate the law under the particular situa-
tion or circumstances described. The most sophisticated development of these ideas
came from Matza (1964) and Sykes (Sykes and Matza 1957; Matza and Sykes 1961)
in their studies of juvenile delinquency. Indeed, they stated that techniques of neu-
tralization “make up a crucial component of Sutherland’s ‘definitions favorable to
violation of law’. . . . It is by learning these techniques that the juvenile becomes
delinquent” (Sykes and Matza 1957, 667).
Drifting In and Out of Delinquency:

Matza and Sykes’s Neutralization Theory
The central idea behind neutralization theory is that “the excuses and justifications
that deviants use to rationalize their behaviors might themselves be implicated in the
etiology of deviant behavior” (Maruna and Copes 2004, 2). In Matza and Sykes’s
terms, neutralizations “precede deviant behavior and make deviant behavior pos-
sible” (1957, 666), though not inevitable, as Matza was later at pains to point out
through his concept of “drift,” discussed below.
In 1957, while at Princeton University, Gresham Sykes teamed up with his for-
mer student David Matza to develop a new theory of crime that extended Suther-
land’s learning theory (Sykes and Matza 1957). The analysis originated in Sykes’s
studies of prison inmates and guards learning to rationalize rule breaking (Martin,
Mutchnick, and Austin 1990). Matza argued that existing theories, whether bio-
logical, psychological, or sociological, were too deterministic. He argued that ex-
isting theories predict too much crime. Most juvenile delinquents do not continue
their criminal behavior into adulthood; in other words, most desist from crime. If
a biological or psychological factor “caused” crime, why would its influence dimin-
ish after adolescence? If delinquent subcultures were so compelling at socializing
youths to define crime as acceptable, then what accounts for their maturational
reform—the tendency for juvenile delinquents to relinquish their delinquency as
they age into their twenties and thirties? Matza sought to combine these observa-
tions to explain most delinquency, arguing, “The image of the delinquent I wish
to convey is one of drift; an actor neither compelled nor committed to deeds nor
freely choosing them; neither different in any simple or fundamental sense from the
law abiding, nor the same; conforming to certain traditions in American life while
partially unreceptive to other more conventional traditions; and finally, an actor
whose motivational system may be explored along lines explicitly commended by
classical criminology—his peculiar relation to legal institutions” (1964, 28).
How Matza sought to combine these many orientations was, in part, by making
a case for soft determinism. According to Matza, positivistic criminology (the scien-
tific study of crime that had prevailed since the late nineteenth century, as discussed
in Chapter 4) “fashioned an image of man to suit a study of criminal behavior based
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on scientific determinism. It rejected the view that man exercised freedom, was pos-
sessed of reason, and was thus capable of choice” (ibid., 5). Conversely, soft de-
terminism argues that “human actions are not deprived of freedom because they
are causally determined” (ibid., 9). The amount of freedom each person has varies.
Some are more free than others and have a greater range of choices available. More-
over, this freedom varies according to circumstances, situations, and context.
Most important to understanding Matza and Sykes’s argument is the concept of
the “subculture of delinquency.” As traditionally conceived, delinquent subcultures
are considered separate and oppositional; their norms and values are different from
those in the mainstream culture. The gang is the best example. For Matza and Sykes
(1961), however, this was a false distinction. Most delinquents, they argued, are not
full-fledged gang members but “mundane delinquents” who express remorse over
their actions. Many admire law-abiding citizens. Furthermore, most differentiate be-
tween whom they will victimize and whom they will not. Finally, delinquents are
not exclusively criminal; they also engage in many noncriminal acts. These factors
suggest that delinquents are aware of the difference between right and wrong and are
subject to the influence of both conventional and delinquent values.
Matza and Sykes argue that rather than delinquency and mainstream culture be-
ing separate, mainstream culture has an underbelly of “subterranean values” that
exist side by side with conventional values. The subterranean subculture of delin-
quency makes it unnecessary for adolescent youths to join gangs or other subcultural
groups to learn delinquent values. Instead, simply by learning and being socialized
into conventional values and norms, adolescents are simultaneously socialized into
the negation of those values. Nowhere is this more evident than in legal codes.
Legal codes are inconsistent and thus vulnerable. As Matza wrote, “The law con-
tains the seeds of its own neutralization. Criminal law is especially susceptible [to]
neutralization because the conditions of applicability, and thus inapplicability, are
explicitly stated” (1964, 60). This means people can claim various kinds of exemp-
tions in the belief that they are, under certain mitigating circumstances, not bound
by the law. The classic example is “self-defense.” Another example is the idea that
criminal intent (mens rea) must be present for an act to be criminal. Such legal con-
tradictions, and the implicit claims for exemption that follow from them, allow the
possibility for choice and freedom because they render individuals intermittently
free to choose to commit delinquent acts. Whether youths break the law depends
not so much on their being in a delinquent subculture but, first, on whether they
are freed into a state of drift and released from the larger culture’s moral bind, and,
second, on whether they then exercise free choice: “Drift stands midway between
freedom and control. Its basis is an area in the social structure in which control has
been loosened. The delinquent transiently exists in a limbo between convention and
crime, responding in turn to the demands of each, flirting now with one, now with
the other, but postponing commitment, evading decision. Thus he [or she] drifts
between criminal and conventional action” (ibid., 28).
This “loosening” of control, or release from moral convention into a state of
drift, occurs through neutralization. For Matza, neutralization comprises words and
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phrases that excuse or justify lawbreaking behavior, such as claiming an action was
“self-defense.” Unlike rationalizations, which come after an act to avoid culpability
and consequences, and verbalizations that come after contemplating an act to allow
oneself to commit it, neutralizations come before an act is even contemplated. Thus,
for Matza, they are “unwitting,” something that occurs to an actor that results from
the unintended duplication, distortion, and extension of customary beliefs relating
to when and under what circumstances exceptions are allowed: “Neutralization of
legal precepts depends partly on equivocation—the unwitting use of concepts in
markedly different ways” (ibid., 74; see also L. Taylor 1972). Neutralization frees
the delinquent from the moral bind of law so that he or she may now choose to
commit the crime. Crucially, whether or not a crime occurs no longer requires some
special motivation.
Sykes and Matza (1957) classified excuses and justifications that provide a moral
release into five types, which they called “techniques of neutralization”:
1. Denial of responsibility (e.g., “It’s not my fault—I was drunk at the time”):
In this technique offenders claim their questioned behavior was not in their
control, or that it was accidental. Offenders may list reasons such as alco-
hol, peer pressure, bad neighborhood, and so on that caused them to com-
mit the act.
2. Denial of injury (e.g., “No one got hurt”): Here the extent of harm caused
is minimized or negated. Offenders may deny that anyone or anything was
harmed by their action. For example, shoplifters might claim that stores
have so much money and insurance that “they can afford it,” or employee
thieves may claim their company wastes so much that “it’ll never miss it.”
Embezzlers are also simply “borrowing the money,” and joyriders are “bor-
rowing” the car.
3. Denial of victim (e.g., “They had it coming to them”): Some offenders may
claim that although someone got hurt, he or she deserved it. For example,
corporations may treat their employees badly, paying them too little or in-
stituting a stringent dress code. Employees may pilfer goods out of resent-
ment “to get back at the company,” saying they are the real victims of the
corporation’s abuse. Women who harm physically or psychologically abu-
sive spouses may claim that the “victim” was actually an offender who had
therefore forfeited his rights to victimhood and was finally getting what
he deserved. Absent or abstract victims are also easy to deny victim status,
which is another reason it is morally less challenging to steal from large
diffuse organizations than the clearly identifiable “mom and pop” store
owner.
4. Condemnation of the condemners (e.g., “Law enforcement is corrupt”): This
technique involves negating the right of others to pass judgment. Offenders
may reject the people who have authority over them, such as judges, par-
ents, and police officers, who are viewed as being just as corrupt and thus
not worthy of respect.
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5. Appeal to higher loyalties (e.g., “I didn’t do it for myself”): Many offenders

argue that their loyalties lie with their peers (fellow gang members, employ-
ees, police officers, and so on), and that the group has needs that take pre-
cedence over societal moral demands. Female embezzlers have claimed to
have stolen for their families, and mothers have committed arson to provide
work for their unemployed firefighter sons. Indeed, included are “corporate
offenders who argue that their actions were conducted for ‘higher’ goals
including profit for their stockholders and financial stability for their fami-
lies.” (Maruna and Copes 2004, 13)
Since Matza and Sykes’s original studies on delinquency, researchers have applied
neutralization theory to a variety of other crimes, including adult crime, especially
to offenders who maintain a dual lifestyle and are both part of the mainstream yet
also engage in crime, as in employee theft (Ditton 1977; Hollinger and Clark 1983;
Hollinger 1991) and buying and selling stolen goods (Klockars 1974; Henry [1978]
1988). More recently a question has also been raised: is neutralization theory also per-
tinent to positive behaviors? A group of high-achieving students was interviewed and
it was found that each of the five (main) techniques of neutralization was in fact ad-
vanced as a way of coping with the stigma, or the rate-busting portion, of their sta-
tus. In a study of corporate crime, Nicole Leeper Piquero, S. G. Tibbetts, and M. B.
Blankenship (2005) found that respondents used neutralizations in making decisions
for a drug company about producing a drug that was harmful to consumers. As a con-
sequence of this extended research, at least five additional types of neutralization have
been identified (Henry 1990; Pfuhl and Henry 1993; Maruna and Copes 2004, 14):
1. Metaphor of the ledger (e.g., “I’ve done more good than bad in my life”):
This was used by Klockars (1974) to show how the professional fence be-
lieved himself to be, on the balance of his life, more moral than immoral
(“Look at all the money I’ve given to charity and how I’ve helped children.
If you add it all up, I’ve got to come out on the good side”).
2. Claim of normality (e.g., “Everyone is doing it”): This suggests that the law
is not reflecting the popular will, and since everyone engages in, say, tax
evasion, pilfering from the office, extramarital sex, and so on, then such acts
are not really deviant and therefore are not wrong.
3. Denial of negative intent (e.g., “It was just a joke”): Henry (1990; Henry
and Eaton 1999) found this was used by college students to justify their use
of explosives on campus, among other things (“We were only having some
fun”). The neutralization is partial denial, accepting responsibility for the
act but denying that the negative consequences were intended.
4. Claim of relative acceptability (e.g., “There are others worse than me”), also
called justification by comparison (Cromwell and Thurman 2003): unlike
condemning the condemners, this appeals to the audience to compare the
offender’s crime to more serious ones and can go so far as claiming to be
moral. For example, Los Angeles police officers claimed that the beating of
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Rodney King, after being stopped for a traffic violation, helped prevent him
from being killed by nervous fellow officers (Pfuhl and Henry 1993, 70).
5. Claim of entitlement (e.g., “For the sacrifices that I’ve made I deserve some
special reward”): This was used by deployed naval officers to justify cheating
on their wives back home (Shea 2007).
The important point about these techniques of neutralization is their timing in

the cognitive process. All could be used as techniques or devices (1) after an illegal
act to seek to reduce blame or culpability or (2) before committing the act while
contemplating it in order to seek self-conscious approval that it is acceptable to go
ahead. But for Matza and others (Taylor 1972; Henry 1976), the critical point is
that they can also occur (3) before contemplating the act, releasing the actor to be
morally free to choose the act. In the latter case, the context, situation, and circum-
stances provide a neutralizing discourse that removes the moral inhibition, releasing
a person to commit criminal acts, as they would any other act.
Maruna and Copes argue that not only are the original five techniques of neutral-
ization not necessarily the most important techniques, and are somewhat overlapping
(e.g., denial of injury and denial of victim), but also that “researchers have identi-
fied dozens to even hundreds of techniques that seem to serve the same function as
neutralization techniques. In fact, they maintain that “the individual use of specific
neutralizations should be understood within the wider context of sense making that
is the self-narrative process” (2004, 64). It is toward understanding this process that
we now turn.
Bandura’s Moral Disengagement Theory

In the context of his discussion of self-regulation Bandura comes close to Matza’s
concept of neutralization of morality. He describes the process of moral disengage-
ment as one that uses psychological maneuvers or mechanisms for disengaging moral
control, and he identifies two types. The first type is justificatory: “Investing harmful
conduct with high moral purpose not only eliminates self-censure, but it engages
self-approval in the service of destructive exploits as well. What was once morally
condemnable, becomes a source of self-pride” (2001b, 178). Within the first type,
three justificatory moral disengagement mechanisms are identified:
1. Moral justification, whereby harmful, inhumane, or otherwise detrimental

conduct is made “personally and socially acceptable by portraying it as serv-
ing socially worthy or moral purposes” (ibid., 177).
2. Sanitizing euphemistic language is used to make harmful conduct personally
respectable and more acceptable.
3. Exonerating comparison compares the questioned behavior to more harmful
behavior such that “the more flagrant the inhumanities against which one’s
destructive conduct is contrasted, the more likely it will lose its repugnancy
or even appear benevolent” (ibid., 178).
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The second type of moral disengagement mechanism is that which diminishes a

person’s active human agency both to himself and others. This is a form of excuse,
which Bandura calls “displacement and diffusion of responsibility.” Here someone or
something is held responsible for the harm committed or when an individual sees
him- or herself as a fragment of a much larger framework. He says that in this form
of moral disengagement, “personal agency is obscured by diffusing responsibility for
detrimental behavior by group decision making, subdividing injurious activities into
seemingly harmless parts, and exploiting the anonymity of collective action” (ibid.,
178), a form prevalent among corporate and government offenders.
Weakened moral control also comes about by:
1. Disregarding or distorting harm, which has similarities to Matza’s denial

of injury by ignoring, minimizing, distorting, or disbelieving in the harm
caused.
2. Blaming others for harm “becomes a justifiable defensive reaction to per-
ceived provocations,” which is similar to Matza’s denial of the victim (Ban-
dura 2001b, 179).
Bandura also argues, “Self-censure for cruel conduct can be disengaged by de-
humanization that strips people of human qualities. Once dehumanized, they are
no longer viewed as persons with feelings, hopes and concerns but as subhuman
objects” (ibid.). As others have noted, there are clearly close parallels between the
major tenets of neutralization theory and Bandura’s moral disengagement theory,
even though Bandura does not acknowledge Matza’s work in his own development
of these ideas.
Policy Implications of Neutralization

and Moral Disengagement Theory
Although neutralization theory explains certain kinds of criminal behavior, it also
presents difficult policy questions. It suggests that contradictions in the dominant
culture, injustice, and double standards need to be eliminated to lessen the possi-
bility of people being able to neutralize. Cressey ([1965] 1987) was one of the few
writers to specify the policy implications of this theory, at least at the level of institu-
tional control. He suggested that to reduce the probability of verbalizations allowing
embezzlement, employers should adopt educational programs that allow employees
to discuss emerging financial problems from losses and that phrases used to excuse
and justify such behavior should be repeatedly corrected to reveal their harm and
crime. Some retail stores implement this suggestion through weekly meetings with
sales staff, pointing out to them the precise losses from internal theft and how the
company suffers. The aim is to undermine any neutralizing use of “denial of injury”
by employees tempted to steal from the store.
Others have shown that it is not just the words and phrases that need constant
monitoring and replacing but the conditions that give rise to them. Take, for
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example, the finding that employee resentment is highly correlated with employee
theft and that high levels of job satisfaction are inversely correlated with employee
theft (Hollinger and Clark 1983). Research by Jerald Greenberg (1990) has shown
that although rates of employee theft typically rise if wages are cut, this can be
avoided if employers use words and phrases to explain why the cuts are necessary
and if they involve and inform the employees about what is happening. This way,
the neutralizing effect of “denial of victim” is preempted and the justification for
employee theft is undermined. Of course, whether such a policy would be effective
depends on whether the theory is correct. Some have recommended incorporating
techniques to combat neutralization and their associated belief systems into their
crime-prevention programs to “stimulate feelings of conscience at the point of con-
templating the commission of a specific kind of offense” (Clarke 1997, 24).
Maruna states, “Nowhere is the influence of this theory more apparent than
in correctional practice, where the notion that habitual excuse-making promotes
criminal behavior is largely taken for granted.” (2003). One of Maruna and Copes’s
central arguments is that, particularly in the corrections and rehabilitation fields,
the application of neutralization theory has been narrowly interpreted to define
neutralization techniques as “bad” and as “criminal thinking errors,” which need
to be exposed through varieties of confessionals, or processes designed to accept
responsibility. They point out that this “universal condemnation” contradicts the
findings of some neutralization research that demonstrates that neutralization
serves to protect a person’s ego, and that for some offenders, recovery or desistance
from crime requires an intact ego and a strong sense of self-efficacy: “Pathologiz-
ing excuse-making and trying to prohibit the use of neutralizations in correctional
programming, then, seems an iatrogenic strategy for the creation of widespread
personality ‘sickness.’ If the only criterion for the diagnosis is an external locus of
control in regard to wrongdoing, then all of us suffer from ‘criminal thinking’ and
‘criminal personalities’” (2004, 67). At the same time, other research shows that
neutralization can contribute to persistence in crime. As such, then, neutralization
may have a complex relationship with crime, enabling it originally but subsequently
facilitating the change toward desistance that might otherwise not occur. This again
suggests that neutralization is a more reciprocal and interactive cognitive process
between self-identity and the social construction of meaning or sense making, over
time, which we look at in more detail in the next chapter.
Limitations and Evaluation of Neutralization Explanations

Maruna and Copes (ibid., 3–4) surveyed five decades of neutralization theory, in
which the scope and application of the theory is demonstrated to include a wide va-
riety of deviant and criminal behavior, from delinquency to homicide, sex offenders
to corporate offenders, domestic violence survivors to Holocaust survivors, and, as we
have seen, policy and practice, such as in cognitive therapy, reintegrative shaming,
and restorative justice. As a matter of fact, they describe it as “one of the earliest,
fully articulated sociocognitive or narrative accounts of deviant behavior. . . . As such,
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neutralization theory might be considered one of the most creative and visionary (if
flawed) theoretical developments in twentieth-century criminology” (ibid., 5).
How much it is flawed depends on how it is represented and evaluated. The crit-
ical issue when evaluating neutralization theory is whether offenders are committed
to conventional values and norms in the first place. If they are not committed, neu-
tralization is unnecessary, a point made by control theory, discussed in the following
chapter. Topalli (2006) found that neutralization was effective only in predicting
the behavior of socially attached individuals. Even Matza accepted that not all delin-
quents were committed to conventional values, since a minority were compulsive in
their behavior, committed to unconventional values, and differed from the majority
of mundane “drifters” (I. Taylor, Walton, and Young 1973, 180–181).
Early empirical research found little support for the idea that delinquents share
mainstream values (Ball and Lilly 1971). Indeed, Michael Hindelang (1970, 1974)
found that delinquents are committed to different values from those held by nonde-
linquents. Moreover, in an overview of the studies, Agnew (1994) found that most
research shows that delinquents are more likely to accept techniques of neutraliza-
tion than are nondelinquents. Research on neutralizations also faces a causality prob-
lem, particularly in establishing when the neutralizations occur—before or after the
criminal act. As Maruna and Copes summarize it: “There is little empirical evidence
that individuals ascribe to neutralizations in advance of behaving criminally, and
it is difficult to imagine how evidence of this could be reliably collected . . . [but]
neutralization techniques may play an important role in maintaining persistence
in crime” (2004, 7). For Hamlin (1988), neutralizations are produced after the act
as motives attributed to behavior in response to questions about why it happened.
However, in a study of shoplifters, Cromwell and Thurman (2003) found delin-
quent behavior occurring before neutralization a more plausible theory. Similarly,
Agnew’s analysis of the National Youth Survey’s longitudinal data suggests that neu-
tralization precedes violent acts, and “may be used as both after-the-fact excuses and
before-the-fact justifications,” and “has a moderately large absolute effect on subse-
quent violence” (1994, 572).
Ultimately, like Sutherland’s theory of differential association, neutralization
theory does not explain how neutralization originates or who invents the exten-
sions of the words and phrases that are learned. Many of the studies that find
relationships between neutralizations and delinquency suffer from methodological
problems, such as using cross-sectional rather than longitudinal data, which does
not allow the researcher to know whether neutralization preceded or followed the
act. Maruna and Copes “question the reliability of interview methods for testing
neutralization theory.” They also question whether neutralizations stemming from
interviews conducted after the fact in various different settings are not simply an
artifact of the interview, since people vary their presentational selves and projected
identities through narrative accounts depending on the audience and situation.
They conclude that qualitative studies on neutralization “cannot be considered a
test of the central neutralization premise because they almost never include a com-
parison group” (2004, 41).
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Matza’s ideas about “drift” have also come under attack. One commentator
stated, “As with techniques of neutralization, drift theory does not have a solid foun-
dation in empirical research, and this is a serious drawback” (Moyer 2001, 148).
Part of the problem with Matza’s drift theory, says Moyer, is that it has not been
possible to develop a good operational definition, which has inhibited research.
Maruna and Copes identify what is “the thorniest methodological problem to
date: how to measure the acceptance of neutralization techniques prospectively
rather than simply in retrospect” (2004, 7). Again, it is clear that longitudinal re-
search is the only answer in order to see whether, over time, words and phrases are
learned and created in certain contexts and subcultures prior to engaging in deviant
and criminal acts, and in ways that are documented as part of the discourse among
predeviant or predelinquent members. They say, “Without longitudinal designs,
there is no way to determine whether neutralizations precede criminal behavior
or are merely after-the-fact rationalizations” (ibid., 45). Indeed, in one of the few
well-designed longitudinal studies of neutralization, Agnew found that, at least in
relation to violent acts, the majority of respondents disapproved of violence and “ac-
cept one or more neutralizations for violence” (1994, 573). He concluded, ‘‘Taken
as a whole, the longitudinal data suggest that neutralization may be a relatively im-
portant cause of subsequent violence’’ (ibid., 572).
Finally, Maruna and Copes criticize criminologists who have used neutralization
theory as a toolbox of individual discrete techniques that can be applied to a variety
of behaviors, without seeking to explore the cognitive mechanisms whereby they are
generated and the personal self-identity system or narrative identity within which
they fit. Thus, they argue for the interrelationship between accounts that serve as
neutralizations, the construction of personal identity, and future action:
The narrative identity can be understood as an active information processing structure, a

cognitive schema, or a construct system that is both shaped by and later mediates social
interaction. People construct stories to account for what they do and why they do it.
These narratives impose order on our actions and explain our behavior with a sequence
of events that connect up to explanatory goals, motivations, and feelings. These self-
narratives act to shape and guide future behavior, as people act in ways that agree with
the stories or myths they have created about themselves. (2004, 33)
This takes us to interactionist and social constructionist theory, which we consider

in detail in the next chapter.

In this chapter, we have focused on theories that examine the interactive social pro-
cesses involved in learning and becoming criminal. We moved from theories offering
a passive model of human nature to ones in which people actively learn criminal be-
havior from others. We explored the various elements in the learning process and, in
particular, looked at the importance of learning words and phrases that form excuses
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and justifications that can serve to neutralize the moral inhibition to crime, releasing
people into a state of drift wherein crime becomes simply a behavior to choose, like
any other. We’ve looked at cognitive social learning and at moral-disengagement
theory. Each of these theories, in spite of its relatively different empirical validity, of-
fers some insight and implication for how we might better parent children and how
we may minimize the impact of negative social practices on their development. We
have also looked at ways that organizations can better communicate with their mem-
bers to render neutralization less likely, while recognizing that as an ego defense,
neutralization may offer the best escape from a life of crime.
Summary Chart: Social Process Theories

1. Differential Association and Social Learning Theory
Basic Idea: People learn to commit crime as a result of exposure to others’ crimi-
nal behaviors, ideas, and rationalizations that are favorable to violating the law.
Human Nature: Humans are social blanks until socialized into healthy social
roles by families, education, and society. No difference between offenders and non-
offenders. All seen as rule following; which rules they follow depends on which
groups socialize them.
Society and Social Order: Society seen as a conflict of values, particularly be-
tween the mainstream of society and its subcultural groups whose values may be in
conflict with those dominant values.
Law, Crime, and Criminals: Law consists of behavioral prohibitions. Criminals
are the same as noncriminals with the same capacity and abilities to learn behavior
but they learn different things, such as that behavior defined as crime in law is not
always wrong according to subgroups in society.
Causal Explanation: Sutherland’s version: Individuals participate in both con-
ventional and criminal groups and use the same process to learn behavior in both.
In these groups or learning situations, they learn patterns of conventional and crim-
inal behavior and the rationalizations that accompany them as well as the skills to
carry them out. Learning an excess of definitions favorable to committing crime over
those unfavorable results in people being free to choose crime. Akers’s version of
social learning considers the importance of psychological learning by modeling and
operant conditioning in a facilitative social environment.
Criminal Justice Policy: Keep children away from bad influences. Publicly and
frequently proclaim the law and reasons for following it. Challenge all excuses and
justifications. Rehabilitate through reeducation and resocialization of offenders. Seg-
regate offenders.
Criminal Justice Practice: Preference for restitution and reparation and social
rehabilitation. Group therapy and counseling for children of immigrants to provide
them with coping skills needed to survive the clash of cultures. Clearer and simpli-
fied laws provided by the dominant culture. Greater flexibility of law when deal-
ing with other or lower-class cultural contexts. Parental skills training. Decreased
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policing of streets. A tariff system that can be negotiated down in exchange for
guilty pleas.
Evaluation: Explains why some people in high-crime areas refrain from crime but
does not explain how behaviors originate or who starts them; does not explain indi-
vidual crimes committed without associates in group; does not explain what counts
as an excess of definitions; does not explain irrational acts of violence or destruction;
does not explain why those rewarded for conventional behavior, such as middle-class
youths, commit crimes; does not explain why some delinquent youths do not be-
come adult criminals, despite being rewarded for crime. Assumes a passive and unin-
tentional actor who lacks individuality or differential receptivity to criminal-learning
patterns.
2. Drift and Neutralization Theory

Basic Idea: Crime can become a behavioral option for people when their com-
mitment to conventional values and norms is neutralized by excuses and justifica-
tions that render them morally free.
Human Nature: Humans are rational actors who choose behavior out of free will
in a context of more or less commitment to convention and are capable of much
moral ambiguity. Rules and acceptable behavior are open to interpretation.
Society and Social Order: Society is seen as having a mainstream set of values
and norms but also an unspoken subterranean set of conflicting values and norms.
Even though these subterranean values are not explicit they are communicated and
learned by members of the society, some of whom act in relation to them.
Law, Crime, and Criminals: Law contains both the imperatives for action and
the principal exceptions—“seeds of its own neutralization”; law is thus ambiguous.
Criminals are no different from noncriminals; all are subject to neutralization by
context and circumstance, and on those occasions all excuse or justify lawbreaking.
Criminals may have highly developed abilities for neutralizing or may have learned
words and phrases by which they can convince themselves that whatever they want
to do is justified.
Causal Explanation: Youths (and others) learn ways to neutralize moral con-
straints in the company of others, but these are not phrases absent from the wider
society or words unique to delinquent subcultures; rather, they form a subculture
of delinquency throughout the whole society. Invocation of words and phrases can
occur in many circumstances. Timing is critical. Simply excusing or justifying after
the act is not neutralization but merely rationalization; doing so before the act is
committed (as in Cressey’s verbalization) is motivating through removal of inhibi-
tion (even if by design). Crucial for Matza is the unwitting extension and distortion
of excuses and justifications before contemplation of the act, such that it simply ap-
pears morally justified (e.g., working for an unfair boss builds up the neutralization
of denial of victim). Neutralization releases the individual to a “moral holiday,” free
to choose or drift into delinquency. Neutralization occurs through use of several
techniques: (1) denial of responsibility, (2) denial of injury, (3) denial of victim,
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(4) condemnation of condemners, (5) appeal to higher loyalties, (6) metaphor of

the ledger, (7) claim of normality, (8) denial of negative intent, (9) claim of relative
acceptability, and (10) claim of entitlement.
Criminal Justice Policy: Prevention to clarify property ownership and identify
how people are harmed so that offender or potential offender accepts responsibility
for his or her actions.
Criminal Justice Practice: Public exposure and declaration of excuses and justi-
fications. Education in ethics and how we deceive ourselves into honest dishonesty,
cognitive behavioral therapy, and restorative justice.
Evaluation: Explains why delinquents undergo maturational reform, why people
can participate simultaneously in both conventional and unconventional behavior,
and how people can maintain illegal, self-destructive behavior. Difficult to test since
it cannot easily be established whether neutralization occurs before or after law viola-
tion. Does not explain why some people drift and others do not.
1. Describe the (surprising) similarities between military personnel and the Goth
subculture.
2. What are the premises to differential association theory and which one is most
important?
3. Discuss the policies suggested by learning theory at the government and family
level. Which is more likely to be effective?
4. What are the four elements to Bandura’s observational-learning techniques?
5. What are the five techniques of neutralization proposed by Sykes and Matza?
Discuss each.
6. What five additional neutralizations were later added by other scholars? Discuss
each.
7. What policies are suggested by neutralization and moral disengagement theory?
8. What are some of the benefits and limitations of neutralization theory?
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7
Failed Socialization
Control Theory, Social Bonds, and Labeling
“An abandoned child manifests

evil instincts in his early childhood.”
—Jean-Paul Sartre, Saint Genet: Actor and Martyr
Robbie Hawkins’s early years were filled with the trauma of witnessing physical vi-
olence between his parents, as well as being molested as a child. By the age of four
he was manifesting repeated physical violence against other children at school and
attacked the teachers when they disciplined him. Psychiatrists said that the four-
year-old’s violent behavior reflected his erratic family life, and they impressed on his
parents the importance of a stable, nurturing family environment. Instead, Robbie
got to witness a bitter divorce and custody battle that culminated in the arrest of his
mother, Molly, for threatening behavior toward father Robert’s new wife, Candice,
who accused Molly of child endangerment. After this and after remarrying herself,
Molly gave up visitation rights to Robbie. Now it was his stepmother, Candice, who
was subjected to Robbie’s anger and violence. To try to control it, Robbie’s father
and stepmother used various forms of restraint and violence:
Rob’s father preferred to handle his outbursts by pinning him on the floor, sometimes
for longer than an hour, until he would calm down. But when it was her turn to control
him, Candice, an Air Force vet, used the back of her hand. Growing up on a steady
diet of psychiatric medicine and corporal punishment, Rob became more violent and
withdrawn. When he was thirteen, his ongoing battle with Candice went nuclear.
She searched his backpack for cigarettes, and Rob flipped out on her. In response she
slapped him across the face so hard that her ring cut his forehead. He balled up his fist
and said, “I’m going to kill you.” (Boal 2008, 75)
152
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7: Failed Socialization 153
After psychiatric hospitalization for Robbie’s further violence, his father gave him
up to juvenile court. The Nebraska “State Department of Health and Human Ser-
vices became Rob’s legal guardian. . . . At 16 Rob was now a veteran of institutions,
having spent the last 24 months in group homes because he resisted the reconcili-
ation with Candice that would have allowed him to rejoin the family” (Boal 2009,
75). Robbie had now been further sexually molested and suffered suicidal ideation:
“Over the years he kept trying to buck the rules and talk to his biological mother,
with whom he held out hopes of a reunion, but he was never allowed to call her. By
now his psychological profile included the darker, more exotic ailment that would
lie behind his future crimes: anti-social personality disorder, a condition that makes
it difficult, if not impossible to feel empathy for strangers. It is the underlying pa-
thology of most serial killers” (ibid., 75–76).
After two years of therapy, when Robbie was finally persuaded to apologize to
Candice, she refused to accept his apology, saying that she’d never feel safe in the
house and threatened to divorce Robert if he allowed his son to return home: “My
stepmother is evil—she has no heart, Rob told his roommate” at the highly disci-
plined group home for boys where he now lived, and to whom he admitted that
he missed his biological mother deeply (ibid., 76). After a period in a foster home,
where he was also engaged in a variety of relatively minor crimes, including gas
station stickups and selling marijuana, Robbie successfully contacted his mother:
“Molly threw herself into his life as if the separation and abandonment had just been
a big misunderstanding.” He later had an intense relationship with a girlfriend, Kaci,
who reported that he’d describe his childhood as “shitty” and his mother as “fickle.”
Kaci said, “He cried all the time. It was really sad because he had, like, no family. He
was the saddest about his mother” (ibid., 77).
Robbie once again called his mother, Molly, and this time was allowed to visit
and spent Thanksgiving 2007 with her. He was photographed smoking pot, which
he shared with her, and apparently enjoying the festivities, in spite of a pending
court hearing on a drunk-driving charge and the fear that Molly would take his Jeep
away from him as a punishment.
One week later, on December 5, 2007, after having dinner the previous night at his
mother’s house, Robbie Hawkins, now an eighteen-year-old, entered the Von Maur
department store in the Westroads Mall in Omaha, Nebraska, and rode the elevator
to the third level, where he randomly shot eleven people, killing eight, with an AK-47
assault rifle taken from his stepfather’s closet the previous night, before killing himself.
In this chapter we explore the problems of failed socialization dramatically il-
lustrated in the case of Robbie Hawkins. First we look at the effects of inadequate
parental socialization by focusing on social control theory; later we examine the
negative effects of labeling by social control agents and agencies of criminal justice.
In his theory of bonding and social control and in his later theory of self-control,
Travis Hirschi (1969; Gottfredson and Hirschi 1990) rejected the ideas discussed
in the previous chapter: either that some people learn criminal behavior or that
everyone is socialized into conformity from which some are occasionally released
from the moral bind of law, to offend. Indeed, Hirschi and Gottfredson have said,
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“We reject the idea that ‘criminal activity’ requires learning in any meaningful
sense of the term, nor do the ‘learning processes’ described by Sutherland and Akers
account for ‘conformity’ as we define it.” In contrast, Hirschi argued that some
people are not socialized adequately in the first place. In control theory, being so-
cialized is not about learning behavior, but about knowing and caring about the
consequences of behavior. In fact, a main component of control theories is “the as-
sumption that behavior is governed by its consequences” (Hirschi and Gottfredson
2006, 115). Hirschi maintained that law abiders and lawbreakers are the same in
that they are all potential offenders. What distinguishes us is how effectively we are
socialized not to break the law, not through learning behavior but through having
controls instilled in us as children.
Hirschi (1969) claimed that inadequate socialization processes in children and
youth allow, and can even foster, the formation of unconventional attitudes that can
result in crime and delinquency. When socialization works adequately, a tie or bond
is created with conventional society that prevents law violation by insulating people
from temptation. Learning self-control is a crucial element in the process of resisting
the impulse to law violation. What significantly affects socialization are the social
bonds of attachment, commitment, involvement, and belief formed between chil-
dren and conventional others, such as teachers and parents. If these bonds are weak,
or do not form, children will lack self-control and will be free to violate the law.
Bonding, social control, and self-control theories, then, examine the connections
and controls that link people to conventional society and lead them to care about
the consequences of what they do.
Control Theory: Learning Not to Commit Crime

Whereas Sutherland ([1939] 1947) and Akers (1998) focused on learning kinds of be-
havior, and sought to explain how some people are introduced to and adopt lawbreak-
ing behavior, control theory (like classical theory) assumes a universal motivation to
crime and deviance and instead asks why most people conform (Hirschi 1969). Control
theorists’ answer is that attachment and commitment to conforming people, institu-
tions, and values produce a loyalty that protects against the temptation to deviate.
What distinguishes social control theory as a distinct framework is (a) its focus on
restraints rather than the conventional criminological focus on motivations as the
key to explaining crime, and (b) its assumption that the motives or impulses for most
criminal acts are relatively normal and universal (rather than aberrant or pathological).
Thus, social control theory reverses the usual explanation of crime by viewing criminal
behavior as less explainable in the presence of something (deviant motivations) than in
the absence of something (effective restraints). (Rankin and Wells 2006, 119)
Considering the issue of the presence or absence of restraint, it is possible to dis-

tinguish between two types of control theory, one where restraints are present but
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either break down or are eroded (broken-bond theory) and the other where they are
absent (failure-to-bond theory).
Kinds of Social Control Theory:

Broken Bonds or Failure to Bond?
Most social control theories assume that socialization into convention occurs from
an early age but something breaks or weakens the bonds to convention, freeing a
person to deviate. This type of control theory can be called broken-bond theory. For
example, the neutralization of the moral bind of law discussed in the previous chap-
ter has been considered by some criminologists to be a version of this type of control
theory (Akers 1994, 114). Another example of broken-bond theory is social disorga-
nization or social ecology theory (discussed in the next chapter), which argues that
the isolation and breakdown of communities can undermine a person’s commitment
to conform to the dominant or mainstream culture (Kornhauser 1984). Of course,
when children are raised in a disorganized and fragmented community, separated
from mainstream culture and values, they may not form bonds to convention in the
first place, which leads us to the second type of control theory.
Failure-to-bond theory assumes that the creation of a commitment to convention
is problematic. It is very difficult to persuade humans to conform to socially approved
norms and values, and it requires much investment of time and energy and con-
siderable maintenance (Box [1971] 1981). Encouraging conforming social behavior
requires certain kinds of socialization and can easily go wrong: “Differences in nur-
turing account for variations in attachment to others and commitment to an ordered
way of living” (Nettler 1984, 290). Without this attachment and commitment form-
ing in the first place, humans are more likely to deviate and to break the law.
One of the earliest versions of failure-to-bond theory is John Bowlby’s “attach-
ment theory” (see Chapter 5). Bowlby (1951) conducted research on forty-four
juvenile delinquents who were referred to his child guidance clinic (which he com-
pared to forty-four controls). He found that children who have frequent breaks in
relations with their mother in the early years of development up to the age of eight,
or who have factors that mitigate against secure maternal bonding, such as child
abandonment, foster care, or child abuse, develop anxiety and have difficulty form-
ing relationships with others. The result is “affectionless characters” that lack the
ability to empathize with others and do not see or feel the pain that harm may cause
others. The desirable state, according to Bowlby’s revised theory of attachment, is
“secure attachment,” which requires a responsible, lovingly responsive, and sensitive
mother figure that is empathetic and able to satisfy childhood needs for emotional
and physical security. Attachment theory “predicts that the most problematic indi-
viduals will be those who were abandoned at an early age, who experienced multiple
placements (in foster homes and so on), who had to deal with the early absence of
one or both parents, and who faced traumatic conditions in early childhood (physi-
cal, sexual or other abuse)” (Schmalleger [1999] 2002, 186).
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Several other early versions of failure-to-bond theory also laid a foundation for
this perspective. Drawing on Albert Reiss’s ideas (1951) about offenders’ failure to
internalize personal self-control and the absence of direct external social controls
such as law and informal social control, F. Ivan Nye (1958) distinguished between
three kinds of controls: (1) direct control from the threat of punishment; (2) indirect
control, which protects youths from delinquency through their wish to avoid hurt-
ing intimates, such as parents; and (3) internal control, which relies on an internal-
ized sense of guilt.
Another early version of failure-to-bond theory was Walter Reckless’s contain-
ment theory ([1950] 1973, 1961). He argued that adolescent youths are motivated
toward delinquency by “pushes” from the pressures and strains of the environment
and “pulls” provided by peers. Juveniles will violate the law unless protected by both
internal and external controls, which he called inner and outer containments. Outer
containment comes from parents and school discipline, whereas inner containment
comes from a strongly developed sense of guilt and a positive self-concept. The inter-
play of these forces could produce more or less delinquency. In particular, a positive
self-concept can be enhanced by external social approval, and this, in turn, binds
the youths to the community and to conventional behavior. Conversely (and antic-
ipating labeling theory, discussed in the next section), a negative reaction from soci-
ety would result in a negative self-concept through which a reciprocity of disrespect
leads to a failure to adopt conventional behavior.
Ruth Kornhauser summarized how both internal and external controls and re-
wards influence acts of conformity: “Social controls are actual or potential rewards
and punishments that accrue from conformity to or deviation from norms. Con-
trols may be internal, invoked by self, or external, enforced by others” (1984, 24).
Kornhauser added, “Social bonds vary in depth, scope, multiplicity, and degree
of articulation with each other” (ibid., 25). Travis Hirschi has been celebrated for
his development of an elaborated version of the failure-to-bond version of control
theory. Hirschi drew on several dimensions of these earlier theories to develop his
social control theory.
Hirschi’s Social Control Theory

Hirschi’s book Causes of Delinquency (1969) embodies the essence of failure-to-bond
theory and has stimulated the most research. Like the early control theorists, Hirschi
drew on Jackson Toby’s (1957) “stake in conformity,” which referred to developing
an investment in convention. Once invested, the cost of losing this stake serves as
a barrier to law violation. The underlying assumption in Hirschi’s argument is that
all people would break the law if they did not fear the damage and consequences of
getting caught. Ties or bonds to conventional parents, school, friends, employers,
and so on make crime too much of a risk for most people.
For Hirschi, the “social bond” consists of four components: attachment, commit-
ment, involvement, and belief.
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Attachment refers to caring about others, including respecting their opinions and
expectations, and is based on mutual trust and respect that develop from ongoing
interactions and intimate relations with conventional adults.
Commitment signifies the individual’s investment in conventional behavior, in-
cluding a willingness to do what is promised and respecting others’ expectations.
Commitment involves a cost-benefit analysis of what degree of previous investment
or “stake in conformity” would be lost if one were to participate in the act.
Involvement describes the time and energy spent on participation in conventional
activities. Since time and energy are limited, the more time spent doing conven-
tional activities, the less time is available for deviant acts.
Finally, the bond is solidified by belief in the moral validity of conventional norms
and on the child’s respect for the authority of those limiting their behavior. This is
a fundamental and explicit assumption of control theory, which “assumes the exis-
tence of a common value system within the society or group whose norms are being
violated” (ibid., 23). More broadly, belief refers to an ongoing conviction that con-
ventional behavior and respect for its underlying principles, norms, and values are
important and necessary.
The elements of bonding in Hirschi’s theory are interrelated: “the chain of
causation is thus from attachment to parents, through concern for persons in posi-
tions of authority, to the belief that the rules of society are binding on one’s conduct”
(ibid., 200).
Hirschi’s bonding theory, which still stands alone as a viable explanation for crime,
raises the question of whether the reason some people fail to form connections with
conventional others has to do with their capacity for self-control, itself affected by
parental socialization practices. These questions led Hirschi and his colleague Michael
Gottfredson to self-control theory, considered in the next section.
Hirschi and Gottfredson’s Self-Control Theory

In 1990, Hirschi and Gottfredson published A General Theory of Crime, which
moved away from the four-component version of social-bonding theory to focus
on a lack of self-control resulting in impulsive behavior. Impulsive behavior is a
tendency in all humans; all are motivated to break rules and all make a rational
choice decision of whether or not to do so: “All of us, it appears, are born with the
ability to use force and fraud in pursuit of our private goals.” Moreover, “everyone
is capable of criminal or deviant acts. . . . However, some are more likely than
others to actually commit them” (Hirschi and Gottfredson 2001, 88). “The quality
that prevents crime among some people more than it does among others . . . we call
‘self-control,’” which is “the tendency to consider the broader or longer-term con-
sequences of one’s acts” (2006, 114) and “the tendency to avoid acts whose long-
term costs exceed their immediate or short-term benefits” (2001, 82). They identify
juvenile delinquency as just one of a wide range of crimes, including embezzlement
and fraud, that can be explained not so much by the absence of bonds as by a lack
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of self-control on the part of the offender, especially in circumstances of increased

opportunity and heightened situational temptation. “Those who have a high degree
of self-control avoid acts potentially damaging to their future prospects, whatever
current benefits these acts seem to promise. Those with a low degree of self-control
are easily swayed by current benefits and tend to forget future costs. Most people
are between these extremes, sometimes doing things they know they should not
do, other times being careful not to take the unnecessary risks for short-term ad-
vantage” (ibid., 82).
The difference between offenders and nonoffenders is in their awareness of and
concern for the long-term costs of crime—such things as arrest, prison, disgrace,
disease, and even eternal damnation. What distinguishes offenders from others is
not the strength of their appetites but their freedom to enjoy the quick and easy
and ordinary pleasures of crime without undue concern for the pains that may fol-
low them. We thus infer the nature of criminality. People who engage in crime are
people who neglect long-term consequences. They are, or tend to be, children of the
moment. They have what we call low self-control (ibid., 90).
However, they say that “something built into people is responsible for their con-
tinued involvement or lack of involvement in such acts” (2006, 113). Criminals,
according to Gottfredson and Hirschi, lack self-control because they have been
poorly socialized as children, as a result of low parental investment in child rear-
ing and poor monitoring and disciplining practices. This explains “the differential
tendency of people to avoid criminal acts whatever the circumstances” (1990, 87).
Matt DeLisi succinctly outlined Gottfredson and Hirschi’s view of the outcome of
such failed socialization:
Abject parenting nullifies successful childhood socialization. The outcome, in persons

exposed to such an environment, is low self-control. Persons with low self-control
(a) prefer immediate gratification of desires, (b) pursue simple tasks rather than activi-
ties that require tenacity, (c) value physical rather than verbal or cognitive experiences,
(d) enjoy quick returns instead of long-term commitments such as marriage or occupa-
tional and educational careers, (e) are employed in low-skilled versus academic endeav-
ors, and (f) are self-centered and generally insensitive to the feelings of others. (2001, 1)
Grasmick has also developed a profile of the characteristics of poor self-control

(see Table 7.1). The difference is in people’s ability to suppress or restrain such urges
and drives and in their needs for excitement, risk-taking, and immediate grati-
fication. Most people do not engage in criminal acts because they have been ef-
fectively socialized by parents to exercise self-control over their behavior. Those
who fail to be properly socialized have a lack of control that can also be related
to “low self-esteem.” Pratt and Cullen add that this “increases the likelihood that
individuals will be unable to resist the easy, immediate gratification that crime
and analogous behaviors seductively, and almost ubiquitously, present in ev-
eryday life” (2000, 932). Hirschi and Gottfredson describe how people develop
self-control over offensive behavior: “By the age of 8 or 10, most of us learn to
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TABLE 7.1 Grasmick’s Characteristics of Low Self-Control
Impulsive
Seeks Instant Gratification
Low Levels of Diligence, Tenacity, and Persistence
Seeks Sensation and Excitement
Prefers Simple Physical Tasks over Complex, Intellectual Tasks
Self-centered
Insensitive to Others’ Needs
Low Tolerance to Frustration
Addresses Conflict though Confrontation
Source: Grasmick 1993.
control such tendencies to the degree necessary to get along at home and at school.
Low self-control is natural and self-control is acquired in the early years of life.
Children presumably learn from many sources to consider the long-range conse-
quences of their acts” (2001, 90).
Developing self-control over one’s behavior comes mainly from parenting practices
in particular in correcting, admonishing, and punishing them when they deviate,
which involves monitoring, recognizing deviance, and correcting it (ibid.).
For some children, then, the socialization process is defective, providing little
protection against committing crime. Their socialization is defective not because of
something biological or psychological within the individual, and not because of pat-
terns of behavior that have been copied from others, but because the parents have
failed to use adequate child-rearing practices and as a result have failed to instill
self-control. Thus, early childhood is where this lack of self-control is manifested as
“conduct problems” (Pratt and Cullen 2000).
As we’ve indicated, for Hirschi and Gottfredson, parenting involves, among other
things, the control of deviant behavior or normative regulation that “requires that
someone (1) monitor behavior, (2) recognize deviant behavior when it occurs, and
(3) correct or punish it” (2006, 115). Rankin and Wells add, “Normative regula-
tion is the process of ‘laying down the law’ and making clear what children can
and cannot do. Monitoring children’s behaviors for compliance or noncompliance
entails supervision and surveillance. Discipline and punishment of noncompliance
comprise the application of unpleasant outcomes to sanction children’s misbehav-
iors negatively” (2006, 122–123).
“Monitoring” refers to parents or guardians watching children’s behavior. Mon-
itoring can be ineffective because of lack of care, lack of time, or the periodic
physical absence of the child from its parents. “Recognizing” refers to the parents’
or guardians’ conception of the norms, rules, and laws of society and their readi-
ness to identify behavior as consistent with or deviant from them. Parents may not
recognize deviant behavior for several reasons, including the popular child-rearing
philosophy that this practice is harmful for healthy child development. They may
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also not recognize deviant behavior because they are themselves unaware, are dis-
tracted (by jobs, drugs, and so on) or do not believe that such behavior is deviant.
Finally, even if they watch and recognize, parents may not provide effective
punishments for deviant behavior or adequate rewards for conforming behavior.
Together, inadequate monitoring, inappropriate recognition, and ineffective pun-
ishment result in dysfunctional child rearing. This will have a serious impact on
children through their formative years (ages six to eight) and reduce the effectiveness
of other socialization through formal schooling or informal peer groups.
Policy Implications of Control Theory

Control theory implies policy interventions based on preventive socialization
designed to protect and insulate individuals from the pushes and pulls toward
crime. Part of this protection comes from supervision, surveillance, and control.
But rather than control being provided by the formal criminal justice system—
which should remain as the punitive last resort—the major focus on preven-
tive policy, according to control theory, should be through the informal control
of children by their parents. Th is implies strengthening bonds to convention
through developing more eff ective child-rearing practices and adequate child-
hood socialization.
Although family size and single working parents may seem to present challenges to
effective parental supervision, Gottfredson and Hirschi say that “responsible adults
committed to the training and welfare of the child” can carry out the child rearing,
and it may be accomplished in properly run day-care facilities where children are
under supervision (1990, 273). They argue that schools can be more effective than
parents or families in providing the kind of supervision and control necessary to
those not properly socialized by the family:
”[Schools] can more effectively monitor behavior than the family, with one teacher
overseeing many children at a time. Second, as compared to most parents, teachers
generally have no difficulty recognizing deviant or disruptive behavior. Third, as com-
pared to the family, the school has such a clear interest in maintaining order and
discipline that it can be expected to do what it can to control disruptive behavior.
Finally, like the family, the school in theory has the authority and means to punish
lapses in self-control.” (ibid., 105)
In addition, early-intervention programs include parent training and functional-

family therapy that seek to reduce family conflict through dispute settlement and ne-
gotiation, reduce abuse and neglect, promote positive parent-child interaction, and
teach moderate discipline (Morton and Ewald 1987). A second level of intervention
for some control theorists is directed toward those “at risk” of engaging in antisocial
activities. Policy here can focus on providing counseling and problem-solving and
social-skills training (Goldstein, Krasner, and Garfield 1989; Hollin 1990), espe-
cially in the school context. Gottfredson and Hirschi (1990) argue that unless this
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kind of intervention occurs early in the child’s development, it is already too late to
make much difference.
These kinds of preventative interventions also have serious moral implications that
go beyond the issue of economics to raise questions about the relationship between
the state and the family that would need to be resolved before any such programs
could be implemented on a wide scale. Admittedly, in spite of earlier statements
that might appear to contradict this, Hirschi and Gottfredson have recently said,
“We no longer accept the idea of obvious and necessary links to social policies. Most
contemporary theories, including control theory, are efforts to understand the ori-
gins of delinquency. They are not rooted in concerns about how to fix the problem
or reduce its impact. As a result they should not be judged by their alleged policy
implications” (2006, 117).
Evaluation of Social Control and Self-Control Theory

Overall, social control theory has been one of the most tested of all theories. As
Rankin and Kern have noted, “Among the various social control perspectives,
Hirschi’s (1969) version is probably most responsible for developments in family and
delinquency research. It is relatively explicit, well developed, and amenable to empiri-
cal tests” (1994, 495). The bonds to convention outlined by Hirschi have been exten-
sively studied. In one study, Costello and Vowell found the bonds to have “important
direct effects” (1999, 815). Moreover, a study by Mack, Leiber, and Featherstone
(2007) found that maternal attachment was the primary factor in determining levels
of delinquency. One commonly identified element of the bond is religion. Baier and
Wright conducted a meta-analysis (a summary and comparison of all the previous
studies) of sixty studies examining religion and delinquency and concluded that “reli-
gious behavior and beliefs exert a significant, moderate effect on individuals’ criminal
behavior” (2001, 12). LaGrange and White (1985) pointed out that the strength of
the bond to convention varies based on a number of factors, particularly age.
Although research has revealed much support for the various versions of this the-
ory, it has also exhibited some flaws. Krohn (1991) has pointed out that Hirschi’s
original bonding theory fails to adequately distinguish between different elements
of the bond and is unclear about the causal direction of bonding. Thus, although
a lack of parental attachment can affect delinquency, delinquency can also affect
parental attachment (Liska and Reed 1985). In other words, social control the-
ory doesn’t explain whether the reason that some parents fail to bond with their
children is because the children themselves are the problem: “No recognition is
given to evidence that children come into the world with different personalities
and temperaments, and in so doing affect the behavior of parents from a very early
age” (Ellis and Walsh 2000, 326). Others have criticized social control theory for
failing to explain gender differences in delinquency—in other words, for failing to
explain “why parents, schools, and churches throughout the world would socialize
children in ways that make males form weaker bonds and have less self-control than
females” (ibid.). Nor does the theory gain as much support for explaining serious
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adult crime. Indeed, control theory ignores the insight of Matza and Sykes concern-
ing the subterranean values of conventional society. As a result, the theory ignores
the finding that effective bonding to convention and self-control do not protect
against some serious deviance. In particular, where those who have leading roles
in conventional society, including parents, also indulge in unconventional behav-
ior, from drug taking to corporate fraud, then being bonded to “convention” can
also mean being bonded to crime. Finally, the question remains for control theory
about how it explains a whole category of white-collar offenders, particularly finan-
cial investors, socialized effectively by parents into valuing community, convention,
and capitalism and acting in the long term with full awareness of the consequences
of their actions. As Rabbi David Wolpe commented after the Bernie Madoff case
was revealed, “Jews have these familial ties. It’s not solely a shared belief; it’s a sense
of close communal bonds. I’d like to believe someone raised in our community,
imbued with Jewish values, would be better than this” (Pogrebin 2008).
Similarly, studies of low self-control have produced considerable support for
self-control theory. Nofziger (2008) found that the level of self-control of the mother
will affect her choices of punishments as well as her degree of surveillance, thus im-
pacting the self-control of her child. When Pratt and Cullen (2000) conducted a
meta-analysis of twenty-one research studies on low self-control they found that
self-control, or lack thereof, is a strong predictor of crime. Likewise, DeLisi (2001),
Vazsonyi et al. (2001), and Hay (2001) found self-control to be inversely related to
criminal offending. Further, those who exhibited low self-control were, indeed, found
to be impulsive and risk takers, and were more serious criminals (DeLisi 2001). One
study found that low self-control was related to negative interactions among offend-
ers and criminal justice personnel, which “potentially affects discretionary outcomes”
(DeLisi and Berg 2006). Overall, the research on self-control theory is fairly conclu-
sive. In another summary of existing studies, Hay found that, “with few exceptions,
these studies indicate that low self-control, whether measured attitudinally or behav-
iorally, positively affects deviant and criminal behavior” (2001, 707). However, Akers
(1994, 123) has argued that self-control theory is untestable because it is tautological
or redundant: “Propensity toward crime and low self-control appear to be one and
the same thing.” Pratt and Cullen disagree, arguing that “the charge of tautology does
not apply to studies that measure self-control with attitudinal scales that were devel-
oped to assess self-control independently of criminal behavior” (2000, 945).
BOX 7.1 The Potential for Delinquency Among Victims of Human Trafficking
MARK LANIER
One of the most heinous underreported crimes in a global context is that of hu-
man trafficking. After drug dealing, human trafficking is tied with the illegal arms
industry as the second-largest criminal industry in the world today, and it is the
fastest growing ( J. Wilson and Dalton 2007). The US Department of State defines
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human trafficking as modern-day slavery, involving victims who are forced, de-
frauded, or coerced into labor or sexual exploitation. This modern-day form of
slavery is being reported with increasing frequency throughout the world. Accord-
ing to the 2008 Trafficking in Persons Report, approximately 800,000 people are
trafficked across national borders annually, with an estimated 14,500 to 17,500
victims being trafficked into the United States each year. In a special presentation
at the University of Central Florida on January 12, 2009, Allen Beck, senior stat-
istician at the Bureau of Justice Statistics, reported only 61 convictions and 140
suspects for a twenty-one-month period ending September 2008 in the United
States. Why such a large disparity between arrests and the reported number of
victims?
The police represent the government agency most likely to first contact victims.
Unfortunately, this initial contact is often the result of a criminal offense—com-
mitted by the victim. For example, many young women are forced into prostitu-
tion; others may be forced to sell or transport drugs. When the police respond to
a criminal act, they are obligated by legislative mandate to arrest the prostitute
or drug runner or user. As first responders, law enforcement agencies play a key
role in identifying and rescuing victims of human trafficking, but in most cases,
they do not have the proper training to be able to differentiate many of these vic-
tims from criminals. This inability to identify many individuals as victims fuels a
vicious cycle that allows this modern-day slavery to remain an underground phe-
nomenon. The cycle begins with traffickers’ psychological bondage on victims—
constantly threatening victims that if any of them try to reach out to authorities,
they will be arrested and deported back to their home country. At the same time,
any bond the victim had to their prior life is destroyed. With every “faulty” arrest
law enforcement makes, the traffickers’ hold on their victims grows exponentially,
leaving victims isolated, too afraid to come forward, and further alienated from
conventional society.
Two compounding and interactive factors help perpetuate the problem and
crime. One tragic consequence is that the victims, especially those taken at an early
age, have inadequate positive socialization and an overabundance of improper so-
cialization. Bonds to conventional society, if ever formed initially, become ruptured
due to the victimization. Second, victims may actually view conventional society,
especially the government, as the enemy since they are repeatedly told by captors
that the government will simply arrest or deport them. Sadly, too often this has been
the case. The bonds that Hirschi and many others have found to reduce delinquency
are thus impossible to form in victims. This vicious cycle suggests that the victims
will actually be more likely to become delinquent—even if taken from their captors.
Many have become drug addicted, many have engaged in dysfunctional sex acts, and
most suffer from self-esteem issues. Finally, a life of crime may be all that they have
ever bonded to!
(CONTINUES)
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BOX 7.1 (CONTINUED)
Human trafficking is a unique problem because it transcends borders and police

jurisdictions. A broad international solution is thus required. The solution must
also be grounded in sound theoretical principles. If, as many empirical studies
have shown, Hirschi is correct, a bond must be either established or reestablished.
The first step is to make the government, especially the police, a friend and ally to
the victims. The Florida Department of Law Enforcement and other international
and national law enforcement agencies have recognized the problem and begun
training officers to render aid rather than arrest “victims.” In the United States,
in October 2000, the Trafficking Victims Protection Act (TVPA) was enacted;
before this, there was no federal law that existed to protect victims or to prose-
cute their traffickers. The three main goals (or the three Ps) of the TVPA are to
prevent human trafficking overseas, protect victims, and prosecute the traffick-
ers. Another significant change that resulted from this law was the establishment
of the “T-visa,” which allows victims of human trafficking to become temporary
residents of the United States. After three years of having a T-visa, victims are
then allowed to receive permanent residence status. Previous law would result in
the deportation of many human-trafficking victims, but with the TVPA and the
T-visa in place, we can now even offer victims eligibility for the witness protection
program. This small first step should help the victim form positive ties (bonds) to
society. In addition, the William Wilberforce Trafficking Victims Protection Re-
authorization Act of 2007 makes a number of additions to the TVPA, including
the allowance of prosecution for sex trafficking without proof of force or coercion
(Spadanuta 2008). In 2006, the governor of Florida signed statute 787.06, which
made it mandatory for law enforcement officers and prosecutors to go through
basic training in human trafficking crimes (Florida Department of Law Enforce-
ment, 2006). This statute also added racketeering to the list of offenses, which
makes human trafficking a first-degree felony with a maximum prison sentence of
thirty years. It is hoped these efforts and assisting victims with bonding to conven-
tional society will show positive results.
References
Florida Department of Law Enforcement. 2006. Violent Crime and Drug Control Council.
Tallahassee, Florida.
Spadanuta, Laura. 2008. “Cracking Down on Sex Trafficking.” Security Management 52,
no. 8: 24.
Trafficking in Persons Report. 2008. U.S. Department of State. www.state.gov/g/tip/rls
/tiprpt.
Wilson, Jeremy, and Erin Dalton. 2006. “Human Trafficking in the Heartland: Variation
in Law Enforcement Awareness and Response.” Journal of Contemporary Criminal Justice
24, no. 3: 296–313.
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Labeling Theory: A Special Case of Failed Socialization?

The second half of this chapter deals with the effect that society’s agents of social
control, such as police, schoolteachers, social workers, and probation officers, have
on creating crime and criminals. Consider a second example.
Like control theorists, labeling theorists are concerned with the failure of social-
ization. However, instead of focusing on bonds, they examine the social reaction
component of interaction with society’s control agents. For labeling theorists, ad-
equate socialization occurs when youthful indiscretions and minor rule violations
are tolerated rather than labeled deviant. Labeling theorists argue that society—
specifically through persons in powerful positions—creates deviance by overreact-
ing to minor rule breaking. This results in negative socialization that, over time,
can undermine a person’s sense of self-worth or self-esteem and foster a commit-
ment to deviance.
Classic labeling theorists, such as Edwin Lemert (1951, 1967) and Howard
Becker ([1963] 1973), have argued that social interaction with others is important
in shaping whether people eventually become offenders. Humans are not passive but
are actively engaged with others in the construction of their own social identities
and in creating the meaning of their world. Not all others are equally significant in
this interactive process, however. Those more significant are members of powerful
groups and significant individuals who seek to ban certain behavior by passing laws
that are enforced via social control agents. So powerful is the impact of social control
agents that otherwise minor rule breaking is magnified through criminal justice pro-
cesses to have a significant impact on some perpetrators. The impact of these mean-
ingful encounters can transform fragile social identities into criminal careers. Others
have become the deviant actor that their label projected; whether this would have
occurred without the labeling is the central question that labeling theorists address.
Like the control theorists we have just examined, labeling theorists believe that social
interaction with others is important in shaping whether people become offenders.
But whereas social control and bonding theory see clear recognition of deviant be-
havior as an important component in the process of preventing future deviance, in
contrast, labeling theory views this as an important component in creating future
problems. For these theorists, the issue is not so much what this teaches us about
the consequences of our behavior or how we bond to others but how our sense of
self-identity is built on the views that others have of us and how this identity can be
negatively impacted through other people’s reactions to our behavior.
According to interactionist theory that underlies labeling theory, we discover
self-identity through symbolic communication in interaction and role-play with
others in social contexts. For adolescent youths, what their peers think of them and
what image they project to others are of utmost importance, resulting in a concen-
tration on style, body image, and so on. Many people define themselves, and are
defined by others, according to how they appear. Yet the impact of these labels can
be destructive and deadly. The spate of school violence and homicides of 1994–1999
were fueled, if not directly caused, by the negative stereotypes applied to vulnerable
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children who were seen as “geeks” or “nerds” before their frustration from bullying
exploded into violence, as occurred at Thurston High in Springfield, Oregon, and
Columbine High in Littleton, Colorado (Newman et al. 2004; Larkin 2007). Fol-
lowing this spate of school homicides, social control agents created a moral panic
to seek out these nonconforming “odd ball killers, labeled by ‘jocks’ as ‘The Trench
Coat Mafia’” in what John Katz described as nothing short of “Geek Profiling.” He
relates how these marginalized “teenagers traded countless stories of being harassed,
beaten, ostracized and ridiculed by teachers, students and administrators for dressing
and thinking differently from the mainstream. Many said they had some under-
standing of why the killers in Littleton went over the edge” (1999).
The social interaction of observing differences in others, negatively stereotyping
them, and then excluding, taunting, bullying, and teasing those who display these
attributes, such as clothes, what they say, or how they speak, is the subject of la-
beling theory. This theory of how social selves, self-esteem, and social identity are
formed is itself based on symbolic interactionist theory rooted in social psychology.
Symbolic Interactionist Roots of Labeling Theory

According to symbolic interactionists, we see ourselves through the mirror of others,
as they react to what they see in us. Charles Horton Cooley (1864–1929) called
this the “looking glass self” ([1902] 1964). Symbolic interactionism can be broken
down into several easily understood propositions. The most important of these are
as follows: First, we form our definition of self, or “self-identity,” based on how
others react to, or treat, us. Second, what people say and do are the result of how
they interpret their social world. Third, humans communicate through the use of
symbols—the most common symbol being language or speech. Fourth, the better a
researcher can assume the role of another (the research subject) or have empathy, the
better the theory can be developed. To the symbolic interactionist ideas of George
Herbert Mead (1863–1931), who devised the notion of the social self, or general-
ized other (1934), Mead’s student Herbert Blumer (1969) added that humans are
actively engaged with others in the construction of their own social identities. Once
formed, these identities are not fixed but continually reformed and reinterpreted as
actors interact with others. Not all others are equally significant in this interactive
process, however.
The most significant “others” are those in powerful groups who ban certain behav-
ior through passing laws and those social control agents, such as police, courts, social
workers, psychiatrists, school administrators, teachers, counselors, and so on, who
enforce these laws. The impact on identity by agents of social control is so powerful
according to labeling theorists that otherwise-minor rule breaking or differences in
behavior, ideas, or appearance are magnified through criminal justice processes to
have a significant effect. The impact of these officially sanctioned, meaningful en-
counters can transform fragile social identities into criminal careers through a pro-
cess Frank Tannenbaum originally referred to as “the dramatization of evil.” Either
punishment or reform, argued Tannenbaum, can lead to the very “bad behavior it
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would suppress,” such that “the person becomes the thing he is described as being”
(1938, 19–20). The key to this process, according to Tannenbaum, is the “tag,” or
label, attached to the rule breaker.
During the 1950s, the early ideas of labeling theorists lay dormant because of
the dominance of social and structural explanations (Shoemaker 1996, 191). By the
1960s, the social and political climate became very open to the view that humans are
malleable. Consistent with the general criticism of tradition and established institu-
tions of control, labeling theorists found a resonance in the idea that excessive con-
trol inhibited the potentially free human spirit that strove to be different. Along with
other protest movements for women and civil rights, labeling theory, or, as some
called it, the “New Deviancy Theory” (Taylor, Walton, and Young 1973), seemed,
at times, to romanticize if not celebrate the lawbreaker.
Lemert’s Primary and Secondary Deviance

Edwin M. Lemert (1951, 1967) argued that crime begins not with the activities of
the rule breaker but with the social audience that passes laws banning certain behav-
ior as immoral or criminal. Indeed, he maintained that rather than deviance leading
to social control, “social control leads to deviance” (1967, v).
Minor rule-breaking behavior is easy for anyone to do, and many of us do it, from
speeding to drinking and driving to smoking in public places, which, in several states,
is now also illegal and punishable by fines. Everyone engages in forms of primary
deviance, and alone it has little consequence for a person’s social identity, provided
that the person has a strong self-image. For example, employees who steal office
equipment, use the telephone for personal calls, or overclaim expenses rarely think
of themselves as “employee thieves,” or embezzlers. Importantly, primary deviance
“has only minor consequences for a person’s status, social relationships, or subsequent
behavior. Primary deviance tends to be situational, transient and idiosyncratic” (Mat-
sueda 2001, 225).
Secondary deviance, in contrast, refers to behavior that results after a person’s
primary deviance is reacted to by authorities, particularly social control agents of the
criminal justice system. Secondary deviance is rule-breaking behavior that emerges
from a person’s social identity. This occurs partly as a result of having to deal with
others’ labeling and partly because of whom the person has become as a result of
the social reaction to the primary deviance. This reaction produces stigmatization.
“Secondary deviance is explicitly a response to societal reactions to deviance and has
major consequences for a person’s status, relationships and future behavior. Second-
ary deviance occurs when society’s response to initial deviance (e.g., stigmatization,
punishment, segregation) causes fundamental changes in the person’s social roles,
self-identity, and personality, resulting in additional deviant acts” (ibid.).
Those who are uncertain about their identity as a result of a weak self-image are
vulnerable to what others think of them. Repeated forceful negative definition of
these people’s identity can raise serious questions for them about who they are and
can eventually result in “identity transformation” through self-labeling. They come
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to see themselves as a deviant type and engage in subsequent deviance because of

the stigmatized deviants they have become. They sometimes join groups of similarly
labeled deviants forming a deviant or criminal subculture in which the members
provide support for each other. Some gay and lesbian groups, some juvenile gangs,
groups of drug abusers, and prostitute collectives may be formed through such a
process. In such subcultures, members normalize each other’s behavior through role
adjustments (Becker [1963] 1973; Sagarin 1969). In some cases, through a process
of delabeling and relabeling, group associations may result in the abandonment of
the original deviant behavior—although not the problem created by the stigma, as
in the case of alcoholics and narcotics users, or the obese (Trice and Roman 1970;
Robinson and Henry 1977; Pfuhl and Henry 1993; Henry 2009).
Becker’s Interactionist Theory: Social Reaction and Master Status

Howard S. Becker began his participant observation studies (living in the daily
lives of the group being studied) in graduate school by keeping a diary on barroom
musicians at the Chicago tavern where he played jazz piano (Martin, Mutchnick,
and Austin 1990, 350; Debro 1970, 159). His major book on deviance, Outsiders
([1963] 1973), combined a theoretical analysis with the early case studies of mu-
sicians and marijuana users. He found that the effects of an activity were a conse-
quence of how a person interprets his or her experience. Although this work has
become a classic in the field, Becker, like Lemert, shifted the causality of rule break-
ing from the actor to the audience, arguing that “deviance is not a quality of the
act a person commits but rather a consequence of the application by others of rules
and sanctions to an ‘offender.’” He suggested that rule breaking is the outcome of
a three-stage process: social groups create deviance by (1) “making the rules whose
infraction constitutes deviance,” (2) “applying those rules to particular people,” and
(3) “labeling them outsiders.” The deviant actor is the product of this process, “one
to whom that label has been successfully applied; deviant behavior is behavior that
people so label” ([1963] 1973, 9).
The first stage of Becker’s labeling process may involve actors engaging in behav-
ior that an audience finds offensive, such as drug use. Some people, such as minority
youths, for example, may be arrested on suspicion by police for minor rule-breaking
behaviors such as “loitering” or DWB (Driving While Black). What is crucial is that
the audience selects a behavior that it defines as offensive. As we saw in Chapter 2
on defining crime, this definitional process can be very arbitrary and shows consid-
erable variation culturally and historically. Importantly, Becker recognized that what
becomes defined as deviant behavior and what may be criminalized depend on who
has the power and whose interests they represent.
Becker coined the term moral entrepreneur to refer to those with more power to
shape the law and therefore what is defined as crime with their own ideas of what is
offensive. This is one reason the offenses of adolescents become labeled delinquency,
whereas the offenses of corporations and governments more often remain violations
of administrative regulations.
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The second stage in the deviance process—in which control agents select people
whose behavior is offensive and label their behavior—also depends on power. The
process involves identifying some people’s behavior as different, negatively evaluat-
ing it as offensive, finding the appropriate offense category, and supplying an inter-
pretation of why the person’s behavior is an example of that category (Henry, 2009).
As Becker said in an early interview, “The whole point of the interactionist approach
to deviance is to make it clear that somebody had to do the labeling. It didn’t just
happen. The court labeled him or his parents labeled him or the people in the com-
munity” (Debro 1970, 177).
In the third stage, the contested definition over the meaning of the signified be-
havior depends on who has the greater power to influence the labeling process and
whether an accused has the power to resist the application of a deviance label. Young,
lower-class, urban minority offenders typically do not have the resources for resis-
tance. In contrast, middle- and upper-class offenders are typically able to redefine
their activities as acceptable. Chambliss (1973), for example, found that although
middle-class adolescents engage in similar delinquent activities as their lower-class
counterparts, they are able to do so in greater secrecy and even when caught are pro-
tected because of their demeanor and family or community connections.
Once successfully labeled, a person is subject to the negative effects of the label
itself, which provides what Becker called a “master” status. Being caught and pub-
licly labeled as an offender “has important consequences for one’s further social
participation and self-image” (Becker [1963] 1973, 31). The status of “deviant”
highlights certain characteristics of the person as central to his or her identity
while diminishing others. This interaction with others, wrote Becker, produces a
“self-fulfilling prophecy” that “sets in motion several mechanisms which conspire
to shape the person in the image people have of him [or her]” (ibid., 34). Part of
this process involves closing off legitimate forms of activity, which restricts the
opportunities for the labeled offender to behave differently. The label also leads
others to engage in retrospective interpretation.
Retrospective interpretation occurs when a review of a person’s past activity high-
lights previous instances that can be reinterpreted as consistent with the new devi-
ant master status. Such actions further lead to a new narrow focus by the audience,
now with heightened sensitivity toward the labeled individual. This, in turn, results
in more deviance being discovered. Wilkins (1965) and J. Young (1971) described
this as “deviancy amplification,” since it leads to even more secrecy and interaction
with similarly defined others. Deviancy amplification may eventually result in an
individual accepting the label, adopting a deviant or criminal career, and joining an
organized deviant group (Becker [1963] 1973, 37).
For Becker, then, the central issue was not the normal rule breaking that everyone
sometimes engages in as part of human freedom and curiosity. Rather, it was others’
transforming that activity into a negative, restricted force that results in new and
additional offenses. In clarifying his account, Becker ([1963] 1973) argued that the
secret deviant, who on the surface seems to contradict his idea that deviance does
not exist until it is labeled (J. Gibbs 1966), actually refers to evolving definitions of
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behavior. Becker noted that at one point in time the powerful do not provide the
procedures for determining a behavior’s standing, yet at a subsequent time they do.
If Lemert’s and Becker’s work sensitized us to the power of the definition process,
Erving Goffman led us to the force of stigma and spoiled identities that can result
from institutionalization.
Goffman’s Stigma and Total Institutions

Erving Goffman (1922–1982) used his fieldwork on a Scottish island community
to write his doctorate at the University of Chicago. Although most of his work de-
scribed and analyzed everyday, face-to-face interaction in a variety of noncrimino-
logical settings, his work on stigma and on mental hospital institutionalization has
direct relevance to criminological discussions of labeling theory. Goffman used the
metaphor of drama: the world is a stage, and we are all players bringing off perfor-
mances and demonstrating our strategic gamesmanship to the audience. His book
Stigma (1963) distinguishes between the physical, moral, and racial forms of stigma,
each of which is based on identified differences that others negatively evaluate and
construct into “spoiled identities.” The person with disabilities or suffering schizo-
phrenia would be an example of a spoiled identity. Through interactive situations,
individuals classify others into categories, some of which may be stigmatized ones.
Once people are classified, we treat them as a spoiled or “virtual” identity rather than
as who they actually are. For example, those with physical or mental disabilities are
seen as blemished and treated as though they have numerous other deficits—and
as less than human. Similarly, those racially or ethnically different from a domi-
nant group are typically treated as deficient and inferior. Finally, those whose behav-
ior may indicate a character flaw, such as criminal offenders, are treated as morally
bankrupt, dishonest, evil, and so forth. As a consequence of this process, the stigma-
tized are uncomfortable with their classifiers, who they feel have unjustly exercised
social and political power to deny them their full humanity.
Applied to inmates of mental hospitals or correctional settings, it is clear that the
stigma process reduces the ability of those stereotyped as “spoiled” to return to a
mainstream or noncriminal life (Goffman 1961). Research conducted by Bernburg,
Krohn, and Rivera (2006) found that stigma increased the probability of subjects’
socializing with delinquent social groups. Furthermore, a study by Funk (2004)
found that stigmatization increases recidivism. The result may be an effort by the
stigmatized to conceal their physical and socially constructed defects by constructing
a “front” in order to pass as “normal,” that is, as persons appearing to have no de-
fects. For example, consider men who abuse their wives in the privacy of their home
who in public appear to others as perfectly charming.
Goffman’s notion of “total institutions,” which was formulated in his study of
a mental hospital, Asylums (1961), has had considerable impact on labeling theory
generally and especially on understanding the way prisons dehumanize the inmate.
A total institution is a place where similarly classified people are forced to live, work,
and play together around activities consistent with the goals of the institution. This
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takes place under formal supervisory control governed by strict rules and procedures
and within a restricted environment. The inmates in total institutions are separated
formally and socially from the staff and have no input into decision making about
their activities or outcomes. According to Goffman, this process is designed to force
inmates to fit the institutional routine. When continued over time, the process re-
sults in inmates’ dehumanization and humiliation. As a result of the adaptive behav-
iors inmates have to adopt in order to cope, the inmates’ behavioral patterns become
solidified. This changes their moral career and renders them unfit for a return to life
outside the institution (ibid., 13). Goffman argued this results in a “mortification”
of the self. How permanent such identity change is has been subject to controversy,
but there is no question that Goffman’s work added considerably to our understand-
ing of the impact of social and institutional effects on the labeling process.
Particularly important, in light of the theories discussed in this and the previous
chapter, is that labeling demonstrates the dangers inherent in attempts to intervene
to change people. This is most pronounced when punitive interventions are falsely
presented as reform programs that suggest a “spoiled identity.”
Braithwaite’s Reintegrative Shaming

John Braithwaite is an Australian criminologist whose earlier studies were on
white-collar crime in the pharmaceutical industry. He is one of the most recent con-
tributors to the labeling perspective, agreeing that the kind of stigmatization Goff-
man described is certainly destructive. In his book Crime, Shame, and Reintegration
(1989), Braithwaite defined this negative stigmatization as “disintegrative shaming”
and argued that it is destructive of social identities because it morally condemns
people and reduces their liberty yet makes no attempt to resolve the problem by
reconnecting the accused or convicted with the community. Braithwaite described
a second, positive, kind of stigmatization, which he called “reintegrative shaming.”
This is actually constructive and can serve to reduce and prevent crime. Reintegra-
tive shaming, while expressing social disapproval, also provides the social process
mechanisms to bring those censured back into the community, reaffirming that they
are morally good—only a part of their total behavior is unacceptable. Braithwaite
believed this explains why numerous different communitarian societies that use a
positive reintegrative form of shaming, such as Japan, have low crime rates, whereas
those that use disintegrative shaming have high crime rates. In the latter cases, of-
fenders are cut off from the mainstream society and are free from informal controls
to recidivate. A number of studies have found some support for Braithwaite’s theory
and the detrimental effects of stigmatization (Losoncz and Tyson 2007; Murphy
and Harris 2007).
Although labeling processes are a major component of Braithwaite’s analysis, several
commentators (Akers 1994; Gibbons 1994; Einstadter and Henry 2006) see his ideas
as an integrated theory linking several of the social process theories we have discussed
in this and the previous chapters (learning, control, differential association, and label-
ing) with those we shall discuss in the next two (cultural, subcultural, and strain).
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Matsueda’s Informal Negative Labeling

and Differential Social Control
Ross Matsueda (1992, 2001) and colleague Karen Heimer (Heimer and Matsueda
1994) developed labeling theory to explain not only secondary deviance but also
primary deviance, which for a long time was argued to be one of the weaknesses of
labeling theory. This is based on their interactionist view of the social self: “The self
arises through role-taking, the process of taking the role of the other, viewing one’s
self from the perspective of the other, and controlling one’s behavior accordingly.
Moreover, because role taking involves considering lines of action from the stand-
point of reference groups, it follows that behavior is controlled by social groups.
Self-control is actually social control” (Matsueda 2001, 224).
Matsueda (1992) argued that important parts of the labeling process occur through
unofficial control agents such as parents, peers, and teachers. Matsueda’s contribution
suggests that the informal labeling process starts much earlier than the formal, and
may continue in tandem with it. He asserted that because “the self is a reflection of
appraisals made by significant others,” such informal negative labeling “would in-
fluence future delinquency through the role-taking process.” Heimer and Matsueda
“expanded the role-taking process to include learned definitions of delinquency, an-
ticipated reactions to delinquency, and delinquent peers” (1994, 366–368). They
called this process “differential social control,” arguing that it can result in a “con-
ventional direction (e.g., when taking the role of conventional groups) or a criminal
direction (e.g., when taking the role of criminal groups)” (Matsueda 2001, 235).
Policy Implications of Labeling Theory

Labeling theory has had a considerable impact on criminal justice policy, especially
with regard to juveniles. Since the central tenet of labeling theory is that social reac-
tion to minor rule breaking creates extra deviance and crime, the policy is clear. If
repeated negative definition by official social control agencies transforms ambivalent
social identities into criminal ones, the policy must involve reducing social reaction.
This will minimize the production of secondary (or extra) rule breaking and, in par-
ticular, prevent minor rule breakers from entering criminal careers. Edwin Schur
(1973) defined this overall approach as “radical nonintervention.” Einstadter and
Henry summarized four policy components of this perspective identified in the lit-
erature: (1) decriminalization, (2) diversion, (3) decarceration, and (4) restitution or
reparation (2006, 229–232).
Decriminalization is the legalization of crimes involving consent, which, as we
saw in Chapter 2, are also called victimless crimes (Schur 1965) and include activi-
ties such as drug use, homosexuality, gambling, and prostitution. Not only is ban-
ning these activities morally questionable (Duster 1970), but their illegality in the
face of a wide public demand for them provides a basis for organized crime, gang ac-
tivity, police corruption, and bribery, together with the accompanying violence nec-
essary for “market” protection (Schur and Bedau 1974; Curran and Renzetti 1994).
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Diversion is a policy that redirects those engaged in minor law violations, espe-
cially status offenses such as truancy, runaways, and curfew violation, away from the
courts through informal processes leading to noncorrectional settings. The approach
is credited with being responsible for the existence of the parallel system of juvenile
justice, separate from and less formal than the criminal justice system for adult of-
fenders. Juvenile justice is designed to be less stigmatizing. It involves settlement-
directed talking, such as conflict resolution, mediation, and problem solving, rather
than punishment.
Decarceration attempts to deal with the stigma effects of total institutions by
minimizing their use and letting numerous people, such as those convicted of sub-
stance abuse offenses, out on alternatives such as probation or electronic tethers.
Instead of calling for more prisons, this strategy involves stopping prison building
and stopping the sentencing of offenders to prison terms for nonviolent offenses. In
particular, juveniles in institutions such as reform schools and training schools were
deinstitutionalized into community-based programs (Akers 1994, 131–132).
Restitution and reparation are designed to make the offender responsible for the
crime by repaying or compensating either the victim (restitution) or the community
or society (reparation) for the harm done. This can involve working to pay back the
offender or forms of community service.
Finally, the policy implications of Braithwaite’s analysis of reintegrative shaming
(1989) involve providing both public exposure of harmful behavior and informal re-
habilitation programs designed to bring the accused back as acceptable members of
society. Like programs for the recovering alcoholic, these programs can be used as an
example of how problems can be worked through. Braithwaite (1995) described this
as a move toward new forms of “communitarianism” that is both a social movement
and family focused. Finally, his ideas are consistent with the notion of “restorative
justice,” which involves bringing together offenders, victims, and the community, in
mediation programs designed to reintegrate offenders back into the community and
allow offenders, victims, and the community a participative role in determining the
appropriate level of restitution or reparation.
In many ways, the policy implications of labeling theory are very radical and are
not acceptable to most Americans, who have been fed a media diet of punishment
and the quick fix (“Three strikes and you’re out”) from politicians. As a result, the
practice of such measures as stopping prison building is confronted with the reality of
massive prison-building programs; although in California the 2011 court-mandated
realignment order resulted in a diversion of convicted offenders from state prisons to
local jails and community corrections.
Evaluation of Labeling Theory

Labeling theory, with its commonsense truth of a “self-fulfilling prophecy,” has been
subject to much controversy, not least from its seemingly outrageous basic sugges-
tion that attempts to control crime can actually make it worse. The first major crit-
icism was that the theory does not explain why people engage in primary deviance
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and why some people engage in more of it than others (Gibbs 1966). Second, if
deviance is only a product of public labeling, why do some, such as white-collar
offenders, employee thieves, embezzlers, and so on, and some violent offenders, such
as abusive husbands, engage in careers of crime without ever having been publicly
labeled (Mankoff 1971)? One study found that the label applied by parents was
strongly related to conceptions of delinquency, a factor that may explain more than
the “official” labels that are applied. A study conducted by Johnson, Simons, and
Conger (2004) found that although labeling may be one determining factor in devi-
ance, the type of social reaction involved was also critical. Moreover, if the effects of
labeling are so strong on vulnerable identities that such persons become locked into
criminal careers, how do some reform? The question ultimately raised is, How resil-
ient is the label, and is it only a coping strategy for the institutionalized?
Some critics even contest that control agents are arbitrary in their selection of
offenders (Akers 1968; Wellford 1975). One researcher (Jensen 1972a, 1972b,
1980) found that the label applied differentially affects youths based on race or
ethnicity. Whites accept the labeling consequences of official sanctions more than
African Americans. Moreover, in a study of probationers in Texas, Schneider and
McKim (2003) found that although probationers were stigmatized by others, this
did not lead to self-stigmatization.
Finally, why does labeling theory tend to focus largely on the agencies of so-
cial control and on certain labeled groups—“the nuts, sluts and perverts” (Liazos
1972)—but ignore the wider structure of society and the power of the state and
corporate interests in shaping the public policy of the agencies that enforce the la-
beling (Taylor, Walton, and Young 1973; J. Young 1981)? All these questions and
more are not helped by the empirical evidence largely failing to offer support for
the theory, although some question the validity of these studies (Plummer 1979;
Paternoster and Iovanni 1989).
A major feature of this research is the relative lack of support for the notion that
being labeled produces a negative self-image among those labeled (Shoemaker 1996).
As a result, as one of its founding critics observes, it became far less dominant in the
1970s, has little to distinguish it, has lost its influence, and “no longer generates the
interest, enthusiasm, research and acceptance it once did as a dominant paradigm
two or three decades ago” (Akers 1994, 137). However, in recent years, the work of
Ross Matsueda has created renewed interest in the theory.

In this chapter, we have looked at two social process theories that present a mirror
image of the two we examined in the previous chapter. Social control theory re-
jects the neutralization idea that interactive communications may release us from
the moral bind of law and instead suggests that more important is the fact that
bonds form in the first place. Failure to bond to convention and ineffective social-
ization practices produce low self-control and allow deviance to go unchecked. For
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control theorists, particularly self-control theorists, if children are not socialized into
thinking about the long-term consequences of their behavior, they will not develop
self-control and will exhibit impulsive behavior. The key for self-control theorists is
for parents to identify and call attention to the unacceptability of deviant conduct
by punishing the consequences of that behavior as soon as it appears. But for la-
beling theorists, the very fear of the diversity of human behavior may lead to social
processes of control that limit the assumed creativity of human lives, bringing about
and sustaining careers focused on the very acts the controllers wish to prevent. Thus,
for labeling, learning the wrong values is not the issue, nor is bonding to convention
or being released from it. For labeling theorists, the issue is how difference is reacted
to; how deviants are rejected and labeled is most devastating to their future sense of
self, leading them to acquire deviant identities.
Although all these social-process theories sensitize us to the importance of ade-
quate socialization and symbolic interaction, they disagree about what is helpful and
what is not. Moreover, they do not offer an understanding of the wider cultural and
structural forces that shape the contexts in which these social relations take place. It
is toward these theories that we turn in the next chapter.
Summary Chart: Control Theory and Labeling Theory

1. Control Theory
Basic Idea: Explains why we do not all commit crime; claims we do if the con-
trols never form or are worn away.
Human Nature: Humans are seen as rationally calculating, self-interested, and
selfish actors (as in classical theory) whose behavior is limited by connections and
bonds to others who are significant reference groups for them. People learn the con-
sequences of their behavior and develop greater or less self-control.
Society and Social Order: Consensus. Formed around major social institutions
such as family, religion, community, and education.
Law, Crime, and Criminals: Law is an expression of the rules of the conven-
tional society designed to prevent humans from exercising unbridled self-interest to
satisfy short-term desires. Crime is a violation of society’s laws. Criminals are those
for whom bonds of caring for others never formed or are removed. We are all poten-
tial criminals, hence the need for law and punishment.
Causal Explanation: Crime is the result of a failure of people to be socialized into
a bond with society and develop a stake in conformity. Social bonding consists of four
elements: (1) attachment to teachers, parents, friends, and others, and the desire not to
lose them or hurt them; (2) commitment to conventional behavior, with a willingness
to do what one has expressed in trust; (3) involvement in conventional activities, espe-
cially school related; and (4) belief in the need to obey conventional rules and in the
institutions of society. Children who do not develop an awareness and concern about
the consequences of their actions lack self-control and will act impulsively.
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Criminal Justice Policy: Ensure an adequate level of bonding between youths and
conventional society through intensive socialization in traditional and conventional
values. Ensure adequate parental socialization of children through (1) monitoring their
behavior, (2) recognizing deviance, and (3) ensuring there are consequences when the
behavior departs from norms.
Criminal Justice Practice: Prevention and rehabilitation through increased
bonding. Strengthened families and increased commitment to conventional occupa-
tions by work-training schemes. Reinforced participation in conventional activities
at school, and through more effective parenting to instill self-control. Schools can
also assist in this process, but generally if the lack of self-control persists, the criminal
justice system is too late to make changes.
Evaluation: Explains crime by all social classes. Has been empirically tested and
has highest level of support of all theories of crime causation, but fails to explain dif-
ferences in crime rates or whether a weakened bond can be strengthened. Does not
distinguish relative importance of different elements of the bond; does not explain
how those highly bonded to convention commit crime or how bonding can actually
be used as leverage to coerce offenders who are committed to the high rewards of
other jobs and will do anything to keep them; and does not explain ethnic and class
influences on beliefs or school performance. Does not consider role of delinquent
peers and subcultures in breaking bond; does not consider biological and psycholog-
ical differences in generating impulsive behavior.
2. Labeling Theory
Basic Idea: As a result of negative labeling and stereotyping (especially by soci-
ety’s control agents), people can become criminal; crime, then, is a self-fulfilling
prophecy rooted in the fear that people might be criminal.
Human Nature: Humans are malleable, pliable, plastic, and susceptible to iden-
tity transformations as a result of interactions with others and based on how others
see them. Human behavior is not fixed in its meaning but open to interpretation
and renegotiation. Humans have a social status and are inextricably social beings
who are creative and free to interact with others but when they do so become subject
to their controls.
Society and Social Order: A plurality of groups dominated by the most powerful
who use their power to control and stigmatize others less powerful.
Law, Crime, and Criminals: Law is the expression of the power of moral en-
trepreneurs and control agents to determine which behaviors are criminalized
and which are not. Rules are made that impute ancillary qualities to the deviator.
Conflict over legal and public definitions of crime and deviance. Crime is a status.
“Criminal” is a socially constructed public stereotype or “master status” for those
whom control agents identify as breaking the rules of those in power. We can all
become criminals if we have the misfortune of becoming subject to processing by
the criminal justice system.
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Causal Explanation: Social control agents cause crime by their dramatizing of

it and by their excessive reaction to people’s expression of individuality and differ-
ence. Powerful groups ban behavior and then selectively enforce the ban through
control agents, such as the police, psychiatrists, social workers, and so on. Some
people’s banned behavior is seen as significant, reacted to, and made subject to of-
ficial agency processing. Lemert distinguished between primary and secondary rule
breaking, or deviance. Primary deviance is the incidental and occasional rule break-
ing that we all do; selective application of rules to some offenders produces stigma,
which Goffman described as a spoiled identity and a master status; this results in
a deviant and negative self-image. Others engage in “retrospective interpretation,”
perceiving the actor as having always been deviant and reinterpreting past behav-
ior for “signs” and “cues” of current status. Attempts at stereotypical designation
may initially be negotiated or bargained over, as in psychiatric assessments or police
discretion, but if the designation is pursued to formal processing, the result is indi-
vidual role engulfment in a deviant career. Secondary deviance is the repeated rule
breaking that comes from our believing that we are now the people that we have
been labeled. “Deviancy amplification” comes from the expansion of deviant be-
havior as we now engage in other deviance in order to conceal our deviant identity
and commit acts because we are not that person governed by this master status and
committed to a criminal career. Parents and others exercise informal labeling that
begins before formal labeling, which can have similar effects in the generation of
secondary deviance.
Criminal Justice Policy: Social function of existing system is seen as moral deg-
radation of offender’s status; the alternative is to prevent the condemnation and
degradation of the defendant by limiting social reaction through radical noninter-
vention. The perspective is critical of this process, of the shaming and social de-
grading of defendants as morally inferior, and of agents’ control over the process.
Preferred alternatives are (1) participant control over the process, (2) victim-offender
interaction, (3) mediation and conciliation, and (4) action taken against defendants
being influenced by their past relationships with others.
Criminal Justice Practice: Radical nonintervention, tolerance to replace moral
indignation, and restitution, reparation, and rehabilitation. Minimalist approach:
(1) decriminalize victimless crime; (2) diversion programs to avoid stigmatizing ad-
olescents; (3) stop building prisons; (4) decarcerate prison population, especially
nondangerous offenders; (5) develop alternative programs that allow offenders to be
rehabilitated from the label; and (6) imprison only the most serious offenders.
Evaluation: Does not explain primary deviance, unless peer group and deviant
group social control are incorporated; does not explain how, in spite of labeling at-
tempts, some people never perceive self as stigmatized; does not explain perpetuity of
the label (how long does it last?); does not spend enough time on the reasons for ban-
ning behavior in first place. Some policy implications are impractical. Overempha-
sizes relativity of rules and laws. Does not explain common-law crimes or differences
between groups or individuals in the same stigmatized category.
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1. Briefly describe and explain the social bonds of attachment, commitment,
involvement, and belief formed between children and conventional others; and ex-
plain how these four components of the social bond facilitate or control crime.
2. What is/are the difference(s) between broken-bond theory and failure-to-bond
theory?
3. What did Hirschi and Gottfredson mean by monitoring behavior, and why do
they think that is important?
4. What are the similarities and differences between social control theory and la-
beling theory?
5. What are the central propositions of symbolic interactionism and how do these
affect or influence criminal justice policy?
6. What is the difference between primary deviation and secondary deviation and
how do they relate to criminal careers?
7. What are some of the insights of labeling theory and discuss why it is so impor-
tant to dealing with juvenile offenders?
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8
Crimes of Place
Social Ecology and Cultural Theories of Crime
“You take up for your buddies, no matter what they do.

When you’re a gang, you stick up for the members.
If you don’t stick up for them, stick together, make like
brothers, it isn’t a gang any more. It’s a pack.
A snarling, distrustful, bickering pack. . . .”
—S. E. Hinton, The Outsiders
What we term “geographic gangs” (as opposed to newer cyber groups such as Anon-
ymous that have no geographic turf) have populated American popular culture for
decades. Most recently, the television series Gangland focused on specific gangs in
each episode. And some of the most highly rated fictional shows, such as Sons of
Anarchy, highlight gang life. However, the real impact of gangs is much greater than
what is portrayed in movies, books, and documentaries. In Los Angeles alone, there
have been African American “gangs” for more than ninety years and Latino “gangs”
for more than seventy (Marcovitz 2010, 20–21). These gangs are often generational
in nature—current members typically have relatives who were members of the same
gang in years past. The gangs have a strong affiliation with certain neighborhoods,
staking out turf lines that coincide with neighborhood boundaries. To their mem-
bers, the gangs serve several functions in the ’hood. The gang has both practical
and symbolic meaning for its members, fulfilling functions of protection, solidarity,
and, for some, becoming an alternative family (Hagedorn 2004, 330), or remov-
ing themselves from familial controls and family problems (Pogrebin 2012). They
preserve the ethnic quality and provide “rites of passage” for young males enter-
ing adulthood. In addition, they provide an alternative means of earning income
179
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in high-unemployment areas, a means to gain social respect, and a feeling of being

protected as well as having companionship and support (Pogrebin 2012).
Data gathered by the annual US National Youth Gang Survey for 2010 reveal
that nationwide there are an estimated 29,400 gangs containing 756,000 members;
law enforcement agencies report gang problems are more prevalent in large cities
(63 percent) compared with suburban communities (22 percent), smaller cities (10
percent), and rural counties (5 percent) (Egley and Howell 2012). The 2010 Gang
Survey shows that gang members are variably involved in irregular employment in
the drug economies of the area. Although drug trafficking is the most frequently re-
ported informal economic activity of gangs, followed by weapons smuggling (Egley
and Howell 2012), “other research reveals mixed findings with regard to the role of
the gang in drug sales. Research suggests that the recreational use and sale of drugs
may be part of gang-life, but that gang-related drug sales are not highly organized or
entrepreneurial” (Henry and Nurge 2007, 90). Many male gang members desire to
“mature out” into conventional US lifestyles: they want to settle down in a conven-
tional job, live with a wife and kids, and, most of all, leave the street life (Hagedorn
1994, 211; Covey 2010, 50). Desistence research has identified a set of factors that
may push or pull individuals out of gang participation. Interviews with former gang
members in Fresno and Los Angeles, California, and St. Louis, Missouri, found that
both internal (pull) and external (push) factors, or a combination of pushes/pulls,
provided the impetus and opportunity to leave the gang (Pyrooz and Decker 2011).
Some of these “pushes” include growing out of the gang lifestyle, criminal justice
system involvement, police harassment or pressure, and personal or vicarious victim-
ization. Some “pulls” include familial and job responsibilities, obtaining a significant
other, moving to a different area, the family leaving the gang, and the gang falling
apart (Young and Gonzalez 2013).
In this chapter we seek to explain what it is that makes some geographical areas
more prone to certain kinds of crime than other areas—why are certain cities, and
certain areas of those cities, more prone to gang activity than other areas? Paul Bel-
lair summarized this phenomenon, stating, “The concentration of crime within a
small number of urban communities is an unfortunate, yet enduring, social fact”
(2000, 137). A major explanation for this “social fact” is social ecology theory.
Social ecology theory seeks to explain why such patterns of criminal activity occur
in specific geographical areas such as cities, and why they persist over time, even when
the original members move out, mature into legitimate work, are incarcerated, or die.
Criminologists, like Bellair, who examine the connection between crime and geo-
graphical space, are known as social or human ecologists. Their theory is based on the
idea that the way plant and animal species colonize their environments can be applied
to the way humans colonize geographical space. As a criminological theory, social
ecology involves the study of “criminal” places. Certain neighborhoods, homes, and
places remain crime problem areas for years, regardless of the particular people who
live there. These places gain bad reputations, such as “Sin City” or the city of Detroit,
and are known as areas with high levels of street crime, such as robbery, drug deal-
ing, and prostitution. People know better than to walk there alone at night, to park
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8: Crimes of Place 181
their car there, or to look lost or confused when passing through. Omitted from the
commonsense and media accounts, however, are explanations of the economic and
political forces that work to create and maintain these “criminal” areas.
In this chapter, we explore the main themes of social ecology as well as related
cultural and subcultural theories, each of which contribute to our understanding
of how crime becomes spatially concentrated. We also examine recent theoretical
developments that take a more critical analysis of ecological driving forces. Impor-
tantly, we note that what began as a spatially specific societal phenomenon has now
taken on a global dimension, as the structural forces of globalization—cultural forces
conveyed through mass communication and national government policies, such as
the US government policy of deporting immigrants convicted of crimes, particularly
gang crimes—have resulted in the export of the US gang problem to cities in other
nations (Vittori 2007; Hagedorn 2005, 2007a, 2007b, 2008; Flynn and Brotherton
2008). Finally, we note that through developments in the technology of mapping,
particularly Geographical Information Systems (GIS), crime mapping and its analy-
sis have made major advances in our understanding of the environmental context of
crime (Paulsen and Robinson 2008).
The Historical Roots of Social Ecology Theory

Social ecology theory examines the movement of people and their concentration
in specific locations. In Western nations, the most significant transformation of
populations occurred when agricultural workers moved into the cities during eigh-
teenth- and nineteenth-century industrialization. This flow of people to the city and
its tendency to be associated with areas of criminal activity were first described by
nineteenth-century social reformers such as Henry Mayhew and Charles Booth, who
provided rich descriptions of the criminal areas of London known as “rookeries”
(Mayhew [1861] 1981). Belgian mathematician-astronomer Adolphe Quételet and
French lawyer-statistician André Michel Guerry of the “cartographic school” were
the first to gather quantitative data on the residential addresses of delinquents and
show how they were associated with locality.
During the late nineteenth and early twentieth centuries, the US economy, like
that of Europe, was shifting from agriculture to industry, and, consequently, cities
such as Chicago were growing at a rapid and unprecedented rate. In the fifty-seven-
year period from 1833 to 1890, Chicago grew from 4,100 residents to 1 million,
and just twenty years later had reached 2 million, largely fueled by waves of im-
migration from Europe, from the South, and from farmlands (Lilly, Cullen, and
Ball 2002, 32, citing Palen 1981). Chicago faced exaggerated growth, social op-
portunities, and prosperity, but also escalating poverty and social problems. These
changes, coupled with the presence of the first US sociology department (established
in 1892 at the University of Chicago), led to Chicago becoming a natural laboratory
for sociological research in what became known as the “Chicago School” (James
Short 2002). Chicago sociologists gathered both statistical and qualitative data that
seemed to demonstrate that crime was a “social product” of urbanism. This shifted
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the theoretical focus from an emphasis on individual pathology (biological and psy-
chological differences) as the cause of crime, which had been dominant in the late
eighteenth and early nineteenth centuries, to social pathology: the social, cultural,
and structural forces accompanying the massive social changes taking place. We dis-
cuss the Chicago School’s contribution in more detail later, but before doing so, it
will be helpful to examine the core themes and assumptions that characterize the
overall position of social ecology in explaining “crimes of place.”
Common Themes and Assumptions

Social ecologists see humans as social beings, shaped by their interdependence, their
dependence on the resources of their environment, and the functions that they
perform for the system within their localized communities. The central hypothesis
of social ecologists is that human organization “arises from the interaction of the
population and the environment” (Hawley 1968, 330). Within these constraints,
humans make rational choices, but their choices are “environmentally structured”
(Einstadter and Henry 2006, 131).
Social ecology holds both a conflict and a consensus view of the social order. In-
dividuals make up community and neighborhood units competing with each other
for scarce resources. This results in conflict. Yet these different units also exist in a
symbiotic balance with each other and with the society as a whole. Nowhere is this
more evident than in the notion of a dominant or “mainstream” culture, implying
a consensual US culture containing a diversity of ethnic subcultures. Humans con-
form to their own groups and subcultures, yet they also conform to the US cultural
identity in terms of ideology and law.
Early social ecologists believed that the driving forces of social change that
brought together different groups in the cities would subside and that the dominant
or mainstream culture would absorb the diversity of differences. The failure of this
happening and the permanence, rather than transience, of criminal areas led to later
revisions in the theory to account for this tendency.
Sociologist Rodney Stark has provided a helpful summary of the main themes of
social ecology in answer to his fundamental question: “How is it that neighborhoods
can remain the site of high crime and deviance rates despite a complete turnover
of their populations?” He believed that “there must be something about places as
such that sustain crime” (1987, 893; emphasis in the original). Stark argued that in-
creased population density brings together people from different backgrounds. This
coming together increases the level of moral cynicism in a community, and what
previously were private conflicts became public knowledge and poor role models
become highly visible. Dense neighborhoods have crowded homes, resulting in a
greater tendency for people to congregate in the street and in other public places,
which raises the opportunities for crime. Crowding also lowers the level of child
supervision, which in turn produces poor school achievement and a reduced com-
mitment to school and increases the tendency for conflict within the family, which
further weakens children’s commitment to conformity. High-density neighborhoods
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also tend to mix commercial and residential properties, with the former threatening
to take over the latter.
Sampson and Wilson (1993; W. Wilson 1996) showed that changes in economic
patterns produce inequality and an “underclass” of the poor. The more successful
move out to the suburbs, leaving the least able concentrated and isolated in the in-
ner city, where they increasingly fail to achieve common values (what Kornhauser
[1978] referred to as “attenuated culture”) and may develop values oppositional to
those of mainstream culture (E. Anderson 1999).
Mixed-use neighborhoods that evolve, unlike those planned for gentrification,
increase the opportunities for those congregating on the street to commit crime.
Such neighborhoods, partly because of the commercial property ownership and
partly because of the creation by residential property owners of cheap, run-down,
dilapidated rental homes, have high transient populations, which in turn further
weakens attachments in the community, undermines informal and formal controls,
and reduces levels of surveillance. This produces neighborhoods that people want
to leave—neighborhoods further stigmatized by visibly high rates of crime and de-
viance. Further reductions in residents’ commitment to their neighborhood come
when the most successful flee, and conventional and successful role models fail to
replace them. Also, as formal policing gives up on the defeated neighborhoods,
moral cynicism, crime, and deviance further increase, causing an influx of people
who are looking to participate in crime. The outcome is even more crime, with con-
sequences including higher levels of fear, criminal victimization, and involvement
of family members with the criminal justice system. All of these developments nor-
malize crime as part of everyday life, as a visible and “normal” way of succeeding in
the inner city (Stark 1987; R. Taylor 2001). For Wesley Skogan (1986), a similar
pattern can begin from a series of fear-driven events that cause people to withdraw
from community life, in turn weakening informal social controls. Fear also produces
a reduction in organizational life and business activity.
Three major dimensions left undeveloped in early social ecology theory, but taken
up in recent theorizing, are as follows: (1) the political economic forces that cause
populations to concentrate in the first place, (2) the dynamics of these forces within
a neighborhood, and (3) how these forces impact the systemic relationships among
neighborhood networks, extra community networks, and social control. Although
we discuss these issues later in this chapter, first, we review the contribution of the
Chicago School researchers who developed what has been described as “one of the
most ambitious data collection projects ever attempted in the United States,” and
whose “key innovative aspect . . . was the interpretation of the spatial patterns within
the context of human ecology and social disorganization theoretical frameworks”
(Bursik and Grasmick 1995, 108).
The Chicago School

Robert Park, a newspaper reporter who became a sociologist and chair of the
University of Chicago’s Department of Sociology, made some important initial
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observations. First, he deduced that like any ecological system, a city does not
develop randomly. Park (Park and Burgess 1920; Park 1926; Park, Burgess, and
McKenzie 1925) believed that the distribution of plant and animal life in nature
could provide important insights for understanding the organization of human soci-
eties. Just like plant and animal colonies, a city grows according to basic social pro-
cesses such as invasion, dominance, and accommodation. These produce a “biotic
order” within which exist competing “moral orders.” Park and his colleagues’ second
major contribution was the argument that social processes could best be understood
through careful, scientific study of city life. Park’s students and contemporaries built
on these two themes and developed the very influential Chicago School.
Among Park’s most important followers were Clifford R. Shaw and Henry D.
McKay, two researchers employed by a child guidance clinic in Chicago. Shaw and
McKay ([1942] 1969) used an analytical framework developed by Ernest Burgess (a
colleague of Park’s) to research the social causes of crime. This framework is known as
“Concentric Zone Theory.” Burgess (1925) used five concentric zones, each 2 miles
wide (see figure 8.1), to describe the patterns of social development in Chicago. He
argued that city growth was generated by the pressure from the city center to expand
outward. Expansion threatened to encroach on the surrounding areas and did so in
concentric waves, or circles, with the center being the most intense, having the high-
est density and highest occupancy. These concentrations become progressively less
intense and of lower density with greater distance from the center.
At the heart of a city was Zone One, composed of the central business district (in
Chicago this was known as the “Loop” because it was where the commuter trains
turned around). This was a commercial area that had valuable transportation re-
sources (water and railways). Zone Two was a transitional zone because it was an
area of previously desirable residences threatened by invasion from the central busi-
ness district and industrial growth. The residences, which were already deteriorating,
were allowed to further erode by slum landlords who were waiting to profit from
increased land values. They did not want to invest money in repairing their proper-
ties, however, and so were able to attract only low-income renters, those least able
to afford a place to live. These were typically newly arrived immigrants and African
Americans from the rural South, who found it convenient to live close to factories
in the hope of obtaining work. This zone was an area of highly transient people,
and those who were able to move up and out to more desirable homes did so. Zone
Three was made up of workers’ homes. Most of these people had “escaped” from
Zone Two and were second- and third-generation immigrants. Zone Four was a res-
idential suburban area of more expensive homes, condominiums, and apartments.
Zone Five contained the highest-priced residences and was called the commuter
zone. This zone contained single-family dwellings and was most desirable because
of its distance from the hustle of downtown, pollution from factories, and the poor.
The most influential white middle- and upper-income residents lived here and were
imbued with the dominant mainstream culture and values.
According to social ecology theory, these concentric zones were based on patterns
of invasion and dominance common in plant life. Within each zone or circle were
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185
FIGURE 8.1 Concentric Zone Theory
Source: Burgess 1925, p. 51.
Source: Shaw and McKay [1942] 1969, p. 69.
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specific defined areas, or natural neighborhoods, each with its own social and ethnic
identity: African American, German, Irish, Italian, Polish, Chinese, and so on. How
could this ecological analogy explain crime?
In nature, order is found to be stable in settled zones and unstable in transitional
areas where rapid changes to the ecostructure take place. Applying this observation
to the social ecology of the city, Shaw and McKay’s primary hypothesis ([1942]
1969) was that Zone Two, the transitional zone, would contain higher levels of
crime and other social problems such as drug abuse and alcoholism, suicide, tu-
berculosis, infant mortality, and mental illness. This would be the case regardless of
which racial or ethnic group occupied the area, independent of its economic impov-
erishment, and primarily because of its level of “social disorganization.”
Social Disorganization
Social disorganization was a concept first developed by W. I. Thomas and Flo-
rian Znaniecki to explain the breakdown of community among second-generation
Polish immigrants in Chicago. They defined it as the “decrease of the influence
of existing social rules of behavior on individual members of the group” (1920,
1128). More generally, social disorganization refers to a situation in which there
is little or no community feeling, relationships are transitory, levels of community
surveillance are low, institutions of informal control are weak, and social organi-
zations are ineffective. Unlike an organized community, where social solidarity,
neighborhood cooperation, and harmonious action work to solve common prob-
lems, socially disorganized neighborhoods have several competing and conflicting
moral values. Immigrant children in these areas can become increasingly alien-
ated from their parents’ ethnic culture as they adapt more rapidly to aspects of
the dominant culture, which, in turn, weakens parental control over the children.
A further problem associated with social disorganization is the conflict in these
impoverished areas between various ethnic groups over scarce resources. Finally,
delinquency patterns themselves become a competing lifestyle as a means of sur-
viving and as a way of obtaining income, intimacy, and honor. This makes it an
area ripe for the formation of gangs.
Frederic M. Thrasher (1927), another Chicago School sociologist, demonstrated
in his classic study The Gang that gang membership provides a substitute for the
disorganized and fragmented community, one that develops its own values and tra-
ditions of loyalty and support for fellow gang members. Once formed, these gangs
are self-sustaining as a source of “conduct, speech, gestures, and attitudes.” It is from
existing gang members that a child “learns the techniques of stealing, becomes in-
volved in binding relationships with his companions in delinquency, and acquires
the attitudes appropriate to his position as a member of such groups” (Shaw and
McKay [1942] 1969, 436).
Given Edwin Sutherland’s presence at the University of Chicago during this pe-
riod, it is not surprising that there are parallels between this gang research, point-
ing to the “cultural transmission” of criminal behavior patterns, and Sutherland’s
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differential association theory ([1939] 1947, discussed in Chapter 6). In short, the
argument is that the environment provides the context not only for the cultural
transmission of criminal behavior patterns but also for the failure to transmit the
necessary socialization that results in conventional behavioral patterns (the central
point of control theory, discussed in Chapter 7). Social disorganization within cer-
tain areas of a city creates the conditions for crime to flourish, independent of the
individuals who live there or their ethnic characteristics. The lack of community
integration and social control together with the presence of contradictory standards
and values allow residents the freedom to choose crime (Walker 1994). We will
return to the ways this impacts the creation and maintenance of gangs later in the
chapter.
Shaw and McKay’s Landmark Research

To test their hypotheses, Shaw and McKay (1931, [1942] 1969) examined 56,000
official court records from 1900 to 1933 and created “spot maps” based on
140-square-mile areas (see figure 8.1). On these maps, they located the residences of
juveniles (aged ten to sixteen) who were involved in various stages of criminal justice
adjudication. They then created other maps, or overlays, that showed community
factors such as demolished buildings and the incidence of vagrancy. Rate maps were
then constructed indicating the rate of male delinquency for each zone. The final
step was to create zone maps. These confirmed that community problems were con-
centrated in the zone of transition, that is, Zone Two.
The results of Shaw and McKay’s research showed that official crime rates were
greatest in Zone Two (in the 1927–1933 series ranging from 7.9 to 11.9 percent),
declining with distance outward from the city (being as low as 1.7 to 1.9 percent in
Zone Five), and that the pattern persisted over forty years, no matter which ethnic
group or nationality moved into the area during each new wave of immigration.
Shaw and McKay also found that official delinquency rates varied within a zone.
For example, Zone Three (working-class homes) varied between 2.6 percent on the
North Lakeshore side of Chicago, but was more than double at 5.7 percent on the
South Side of the city. Indeed, subsequent research confirmed the same patterns in
eighteen other cities (Shaw and McKay [1942] 1969) and over a period of sixty years
has demonstrated that “official rates of delinquency decreased from the center of the
city outward to the suburbs” (Shoemaker 2010, 106).
As some commentators have observed, the fact that delinquency areas persisted
after the immigration waves of the 1930s subsided eventually caused Shaw and
McKay to change their explanation of delinquency. They subsequently emphasized
the importance of economic pressure and the response to “strains experienced by
economically deprived people in a society that encouraged all citizens to aspire to
[monetary] success goals” (Gibbons 1994, 30; see also Finestone 1976). This antici-
pated Merton’s strain theory, which we discuss in the next chapter. Nevertheless, the
Chicago School’s contribution was to move criminology away from individual pa-
thology and personality traits and toward social pathology and the view that “crime
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and deviance were simply the normal responses of normal people to abnormal social
conditions” (Akers 1994, 142).
Policy Implications of the Chicago School’s Social Ecology

The policy implications associated with the Chicago School’s social ecology theory
are massive in nature and would require dramatic changes in economic structuring
to be fully implemented. To their credit, members of the Chicago School, espe-
cially Clifford Shaw, applied their theories to reducing delinquency by attempting to
strengthen the sense of community and increasing the levels of social organization in
disorganized neighborhoods (Kobrin 1959).
In 1932, Shaw developed the Chicago Area Project (CAP) to assist with devel-
oping social organizations through involving neighborhood residents in setting up
local groups and clubs for youths. Adults in the affected communities ran these
groups (to prevent imposing a dominant alien middle-class culture), and through
them the programs attempted to combat neighborhood disorganization in sev-
eral ways. First, they organized recreational activities such as athletic and youth
leagues and summer camps. Then they sought to reduce physical deterioration in
the neighborhoods. CAP staff members also tried to help juveniles who came into
conflict with the criminal justice system. Finally, they provided curbside counseling
to troubled residents. The objective was to allow local residents to organize activi-
ties that would reduce crime at the local level.
The Chicago Area Project met with mixed success. The project was not subject
to controlled empirical evaluation. Thus, scientific verification was impossible.
Schlossman and his colleagues (1984) provided a comprehensive evaluation, how-
ever, which concluded that the project had been successful in reducing reported
delinquency, although other evaluations of similar projects have found little success
(W. Miller 1962).
Overall, a major limitation of Shaw and McKay’s research was their unwillingness
or inability to act on the economic and political realities of inner cities. Indeed, the
very business owners who drove the engine of environmental deterioration them-
selves sat on the board of the Chicago Area Project and contributed financially to it
(Curran and Renzetti 1994, 141; Snodgrass 1976). Similarly, the “natural” areas of
the city were actually planned for and governed by statutes and ordinances (Suttles
1972). This suggests that any ecological criminology has to account for the role of
economic and political power in order to explain how the environment causes crime.
What is needed—and to some extent has been provided by recent contributions to
social ecology theory—is a political economy of urban ecology. As Shoemaker has
observed, “the theory of social disorganization, as principally developed by Shaw
and McKay, has merit in that it has pointed to social causes of delinquency that
seem to be located in specific geographical areas. . . . In effect, the theory would
appear to be generally accurate, but incomplete” (2010, 119). As we will see shortly,
more recent developments in social ecology theory have come some way toward ad-
dressing this deficit.
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Evaluation of the Chicago School’s Social Ecology Theory

Despite the considerable impact that the Chicago School has had on criminology
and on US social policies (discussed later), there are several notable criticisms. For
example, Alihan (1938) argued that the use of plant ecology was based on a series
of false analogies that resulted in the fallacious error of using aggregate-level data to
explain individual actions. This criticism questions the entire theoretical basis of the
ecological theory of the Chicago School. Known as the ecological fallacy, this major
defect involves making assumptions about individuals based on group characteris-
tics. The Chicago School primarily relied on aggregate, group-level data to explain
deviance.
Another major criticism is the Chicago School’s failure to show that residents
living in low-crime, desirable areas were more organized than their counterparts in
high-crime areas (Kobrin 1971). However, subsequent research has offered support
in this regard. Sampson and Groves (1989), in a study of 10,000 respondents to
the British Crime Survey, found that structural factors—such as low socioeconomic
status, low levels of heterogeneity, high residential mobility, family disruption, and
increased social disorganization—produced weakened friendship networks, low
participation in community organizations, and unsupervised teens, and that
crime rates were higher in such areas than in organized areas. Th e results of a
number of other studies have also been consistent with social disorganization
theory (Appiahene-Gyamfi 2007; Zhang, Messner, and Liu 2007).
The Chicago School’s analysis has also been criticized on logical and methodolog-
ical grounds. Kobrin (1971) pointed to the weakness of some of the data concerning
the claims that a delinquent cultural tradition resulted from conflicting moralities.
A related criticism is the tautological (circular) nature of Shaw and McKay’s logic in
which neighborhoods with a high rate of delinquency are the result of the existence
of a tradition of delinquency (Bursik 1988).
A further methodological criticism leveled at Shaw and McKay is their reliance on
official police and court records to document delinquency rates (Robison 1936). No
account is taken of self-report data or victimization data. When these are included,
the results can be different. For example, a self-report study by Johnstone (1978)
revealed that most delinquency was found in Chicago among lower-class adolescents
living in better-class neighborhoods rather than in the transitional areas. Further-
more, white-collar and corporate crimes conducted in corporate offices in the inner
city or the residences of the outer zones were not included, begging the question of
what kind of crime counts as real crime (Henry and Lanier 2001).
Shaw and McKay also argued that different racial and ethnic groups would expe-
rience similar rates of delinquency if subjected to the same physical environment.
Yet contemporaneous research found that “Oriental” residents had lower rates of de-
linquency (Hayner 1933; Jonassen 1949). Conversely, and perhaps most important
in terms of crime and its control, the model was unable “to account for the existence
of highly stable, well-organized neighborhoods that appear to have fairly uniform
and consistent cultural systems yet have traditionally high rates of delinquency
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nonetheless” (Bursik and Grasmick 1995, 111; see also Schwartz 1987). Indeed, this
problem has also been raised by research on cities outside the United States (De-
Fleur 1967; Ebbe 1989), which suggests that, at best, Shaw and McKay’s research
may apply only to the structure of US cities. Others, such as Valier (2003), taking
a broader perspective, have claimed that changes in society, including globalization,
question the Chicago School’s theory for its myopic ethnocentric perspective.
However, in spite of these criticisms, the Chicago School’s social ecology, espe-
cially its cultural and social disorganizational components, has continued to have a
major presence in criminology. It is to its developing new directions that we now
turn.
The New Social Ecology Theories

Since the 1960s, social ecology theory has gone in three distinct, although related,
new directions. The first, which we call urban design and environmental criminology,
relates to the issues of space, land use, and physical design and how these impact
crime. The second new direction, which we call critical ecology, tries to take into
account the political and economic forces in creating and shaping the space that is
used to facilitate crime. The third new direction we call integrated and systemic ecology
because it suggests a systemic approach to explain crime that focuses on the inter-
relationship among social ecological, biological, social learning, routine activities,
rational choice, and cultural theories, and on the regulatory capacities of relational
networks in neighborhoods and between them. Let us look briefly at each of these
new directions in social ecological theory.
Social Ecology, Urban Design, and Environmental Criminology

In the 1960s while working for the Chicago Housing Authority, Elizabeth Wood
thought that it was important for residential security to design housing to include
natural surveillability. She may have been influenced by the thinking of Jane Jacobs,
the editor of Architectural Forum, whose classic book, The Death and Life of Great
American Cities (1961), laid the foundation for crime prevention through urban
and environmental design movements of the 1970s. Jacobs criticized urban planners
and their urban-renewal programs for destroying community integration, and in the
process undermining its informal networks of social control. She pointed out that
“crime flourished when people did not know and meaningfully interact with their
neighbors, for they would thus be less likely to notice an outsider who may be a
criminal surveying the environment for potential targets or victims. . . . High levels
of natural surveillance created a safe environment. . . . Residential streets which pro-
mote multiple land uses promote natural and informal surveillance by pedestrians,
and, therefore, potentially increase residents’ safety.” Jacobs said that three primary
qualities were needed in order to make them safer: “a clear demarcation between
public and private space; diversity of street use; and fairly constant sidewalk use,
which translated into ‘eyes on the street’” (Paulsen and Robinson 2009, 70).
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Acknowledging their debt to Jacobs, during the early 1970s, several urban plan-
ners and some criminologists claimed that the physical design characteristics of ur-
ban neighborhoods could be manipulated in such a way that street crime would be
reduced (Jeffery 1971). While C. Ray Jeffery concentrated on general environmental
design characteristics and their interaction with the biosocial individual, it was Oscar
Newman (1972, 1973), an architect and city planner from New York, who argued
that crime prevention should be part of the architect’s responsibility through urban
design and the built environment. He believed that crime prevention should create
areas of “defensible space.” Reflecting Jacobs, Newman’s planning and design strat-
egies are aimed at reassigning “ownership” of residential space to reduce the amount
of common multiple-user open space because residents cannot assert responsibility
for these areas, leaving them open to crime and vandalism (Newman 1996). New-
man claims to demonstrate that the physical environment can be used to define
zones of influence, clearly separate public from private zones, and provide facilities
within zones to meet occupants’ needs. Recreating a sense of ownership by dividing
areas, and assigning them to individuals and small groups to use and control, isolates
criminals because their turf is removed (ibid.). To achieve this aim, city architects
and planners should include a significant component of physical security elements,
such as restricted pedestrian traffic flow, single rather than multiple entrances, reg-
ulated entry, and clear boundary markers. Newman maintains that physical design
can also be used to improve surveillance through better windows and lighting and
altered traffic flow. Planning safe residential zones next to other safe facilities adds to
the overall effect of crime reduction. Finally, according to Newman (1973), distinc-
tiveness of design, such as height, size, material, and finish, can reduce the stigma of
a neighborhood.
The impact of the defensible space theory has been enormous, and it has recently
been merged with rational-choice and routine-activities theories (Gardiner 1978;
Clarke and Mayhew 1980), discussed in Chapter 3, to become a major movement:
Crime Prevention Through Environmental Design (CPTED). This term, coined by
Jeffery, took urban design beyond the built environment. CPTED theories “con-
tend that law enforcement officers, architects, city planners, landscape and interior
designers, and resident volunteers can create a climate of safety in a community right
from the start. CPTED’s goal is to prevent crime by designing a physical environ-
ment that positively influences human behavior. The theory is based on four prin-
ciples: natural access control, natural surveillance, territoriality, and maintenance”
(National Crime Prevention Council 2013).
Research in the area of environmental design suggests that crime and its fear can
be reduced by paying attention to four key sets of physical features: (1) housing
design or block layout, (2) land-use and circulation patterns, (3) resident-generated
territorial features, and (4) physical deterioration (R. Taylor 1988; R. Taylor and
Harrell 1996; Weisel and Harrell 1996). Each can “influence reactions to potential
offenders by altering the chances of detecting them and by shaping the public vs.
private nature of the space in question” (R. Taylor and Harrell 1996, 3). But the
evidence to date leaves researchers unable to distinguish whether crime reductions
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result from physical changes or from the social and organizational changes that ac-
company the effort at redesign. Moreover, design ecology and environmental design
take no account of the political and economic forces that create and sustain existing
environmental contexts.
Critical Ecology
A second new direction taken in the social ecology literature, which we call critical
ecology, tries to take into account the political and economic forces that create and
shape the space that is used to facilitate crime. Research has revealed that there are
three kinds of political decisions that affect the formation of criminal areas: local
government planning decisions, local institutions, and public policing decisions. Lo-
cal government can exacerbate social disorganization by concentrating problem res-
idents in older, less desirable housing, which results in delinquent areas (T. Morris
1957; Gill 1977).
Local institutions can also impact the extent of collective efficacy, social capital,
and, thereby, social control. Communities that do not take the political initiative to
develop coordinated action between their businesses, schools, and voluntary organi-
zations to implement alternative programs for youths run the risk of allowing gangs
to flourish, which creates further fear that undermines collective efficacy (National
Gang Center 2007). Finally, as well as informal social control, communities need the
resources of public formal control, which means an effective police presence. Many
political decisions made for economic reasons can have adverse effects on the qual-
ity of policing. Research has shown that suppression activities, including directed
police patrols, community policing, community awareness, supporting increased
law enforcement intelligence sharing, establishing a multiagency law enforcement
and prosecution response to target gang leaders, increasing the number of school
resource officers in target area schools, and expanding neighborhood watch teams
in partnership with local police departments can (and does) assist in gang reduction
(National Gang Center 2007). Clearly, the critical ecological perspective suggests
that a combined effort by local political leaders is necessary to make a difference
in effective social control. However, for some, such as Hagedorn (2007a, 2007b,
2008), the political analysis of social ecology theory is limited. We will have more
to say about this when we look at the explanation of gangs in the last section of this
chapter but, before doing so, let’s consider some attempts at an integrated approach
to social ecology.
Integrated and Systemic Ecology

A third development of social ecology theory attempts to bring together various
aspects of previous developments. One version, integrated ecology, is an attempt to
integrate ecological, biological, social learning, routine-activities, rational-choice,
and cultural theories. This began with Lawrence Cohen and Richard Machalek’s
evolutionary ecological theory (1988) and was extended by Bryan Vila (1994). Like
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FIGURE 8.2 Bellair’s Systemic Crime Model
Social Networks + Informal Control − Street Crime
early social ecology, it looks at human adaptation to the environment but pays par-
ticular attention to cultural traits based on socially learned information and behav-
ior, the evolution of which can be “guided.” This approach enables criminologists
to “integrate ecological factors that determine what opportunities for crime exist,
micro-level factors that influence an individual’s propensity to commit a criminal
act at a particular point of time, and macro-level factors that influence the develop-
ment of individuals in society over time” (ibid., 312). We consider this version of
ecology theory in Chapter 12 when we examine integrated theory.
Systemic ecology moves away from the idea that social disorganization demands a
policy response of social organization and instead suggests that what is required is a
“systemic model that focuses on the regulatory capacities of relational networks that
exist within and between neighborhoods” (Bursik and Grasmick 1995, 107–108;
see also 1993a, 1993b). We call this “systemic ecology,” which draws heavily on the
idea of “social capital.” Systemic theory focuses on ecological dimensions of social
order (Capowich 2003). Under this theory, the composition of a neighborhood can
help or hinder the development of “social networks” (Bellair 2000). Systemic so-
cial disorganization impacts control at the neighborhood level “through its effects
on the private (primary relationships among family), parochial (informal networks
of friends and acquaintances), and public (neighborhood links with public agen-
cies) dimensions of social order” (Capowich 2003, 41). The systemic crime model is
shown in figure 8.2.
Drawing their theoretical framework from Walter Buckley’s systems theory
(1967), Robert Bursik and Harold Grasmick (1995) note four components of their
expanded social ecology of neighborhood-based networks and crime. First, they ar-
gue that it is necessary to take into account the totality of complex interrelations
among individuals, groups, and associations that make up a community. We must
consider (1) how these networks and ties serve to integrate residents into intimate,
informal, primary neighborhood groups that operate to privately control behavior
(Bursik and Grasmick 1993b), and (2) how a parochial level of control operates to
signpost external threats and supervise neighborhood children in a general way and
through community organizations.
Second, Bursik and Grasmick argue that the degree of “systemness” will vary across
social structures in a community depending on factors such as size and density of the
networks, with many-member, small-location networks tending to have lower crime
rates; scope (closure) of crosscutting ties, with increased ties across different cultural,
ethnic, and racial groups helping to reduce the crime level; reachability, or the real
ability of network members to meet; the content, or nature, of the network ties; du-
rability, or the length the network has existed; intensity of the obligation of network
members; and frequency with which members use the network (1995, 115–116).
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The hypothesis here is that neighborhoods with large dense networks, minimal bar-
riers between groups, and members who meet regularly and have intense mutual ob-
ligations will have the highest level of crime control and the lowest rates of crime. In
other words, areas with high social capital will be areas of low crime rates.
Third, the system components of a community can change without destroying
the network of relations, for they exist in a larger system of relationships that “bind
them into the broader ecological structure of the city” (ibid., 117). This component
of the theory allows, in contrast to Shaw and McKay’s earlier work ([1942] 1969),
consideration of the wider transformation of cities through the “urban dynamics” of
postindustrial societies, including the effects of economic polarization.
Fourth, like critical ecology, systemic ecology does not ignore the forces that cre-
ate these “unfortunate” movements of industry and the resultant concentrations of
poverty and power. It takes an open-systems approach, allowing for external factors,
including the political, social, and economic contexts in which the communities are
embedded (Bursik and Grasmick 1995, 118; Bursik 1989). Drawing on Hunter
(1985), Bursik and Grasmick refer to the effect of such forces on the “public level of
control . . . the ability to secure public and private goods and services that are allo-
cated by groups and agencies located outside the neighborhood” and the effects this
ability has on a community’s regulatory capacity (1995, 118).
Sampson, Raudenbush, and Earls (1997) further developed the idea of the fail-
ure of a community to enact informal social-control building on their notion of
“collective efficacy.” This is a measure of social cohesion among residents and their
willingness to act to control unacceptable behavior. The degree to which neighbor-
hood residents intervene in response to unacceptable behavior by others in their
community varies. Sampson, Raudenbush, and Earls say that it depends on the ex-
tent to which neighbors trust one another. A variety of structural and cultural factors
(such as population stability or instability, and economic advantage or disadvantage)
affects whether there is a high degree of trust that leads to a high level of social
capital (networks of connected neighbors), which in turn results in a high degree
of collective efficacy and thereby informal social control. As Lilly, Cullen, and Ball
state, collective efficacy is distinctive because of its “focus not merely on the degree
of neighborhood disorganization but also the willingness of neighbors to activate
social control. ‘Efficacy’ implies not merely a state of being socially organized but
rather a state of being ready for social action” (2002, 43). In fact, Bursik has gone
on to define social organization as “the regulatory capacity of a neighborhood that is
imbedded in the structure of that community’s affiliational, interactional and com-
munication ties among the residents” (1999, 86).
The problem with the existing systems model is that it is predominantly designed
around structural organizational factors. It has been argued that we need to consider
both structural and cultural weaknesses that work together to reduce informal social
control, freeing residents to engage in varieties of law-violating behavior. Cultural
weaknesses (attenuated culture) affect social control because residents do not per-
ceive their neighbors as holding conventional values, do not see themselves as simi-
lar, and therefore do not see their neighbors intervening to control crime.
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Systemic Ecology Policy

Bursik and Grasmick’s, Sampson, Raudenbush, and Earls’s, and Warner’s systemic
ecology draws on considerable existing research, but many of its new ideas remain to
be tested. Systemic ecology has significant policy implications that go beyond early
social ecology theory, particularly at the level of public control. Especially important
is how the development of crime-preventive networks is related to the perceived
effectiveness of crime control and the relations between local community representa-
tives and law enforcement agencies. Bursik and Grasmick argued, “The development
of extra community networks for the purposes of crime control presupposes at least
a minimal set of private, parochial, and public control structures that can familiarize
local residents with the operations of public and private agencies and can represent
the community to these constituencies so that the relationship can be developed”
(1995, 120–121). Where these do not exist because of past police action or lack of
trust between police and neighborhood residents (typically found in economically
deprived, low-class minority neighborhoods), higher rates of crime can be expected.
Law enforcement agencies have recognized this and have also embraced the idea that
social and physical disorder can result in crime. Wilson and Kelling (1982) first pre-
sented this “broken windows” thesis in 1982. As visible disorder increases, so do fear
and isolation (Kelling and Coles 1996). Eventually, more serious forms of crime will
increase in these areas (Skogan 1990; Cordner 1981, 1998).
Also crucial to the development of crime-preventive networks is the solicitation
of other resources, such as those for public works, those providing financial and
mortgage activity conducive to residential improvement and mobility, and those
affecting daily services such as garbage collection, sewer repair, environmental pro-
tection, and so on, all of which improve the physical ambiance of neighborhoods
(e.g., see D. Kennedy 1996; and Weisel and Harrell 1996). Warner argues that
“building stronger communities will require, not only strengthening the structural
arrangements therein, but also strengthening the culture . . . creating opportunities
for residents of all neighborhoods to live out conventional values such that those
values are visible and alive within the community” (2003, 94).
Let us now turn to cultural theory, which in many ways came out of the early
social ecology and, as we have seen from the previous discussion, intersects and in-
terrelates with later versions, particularly through the integrated systemic ecological
theory.
Cultural Theories of Crime and Deviance

Ecological theorists argue that environmental conditions in certain places create or
encourage crime. Cultural theorists (not to be confused with cultural criminology,
which we consider in a later chapter) observe that people from different origins and
ethnic groups have distinct cultural heritages. One group may numerically or eco-
nomically dominate, and their culture is then considered “normal” or mainstream.
Members of a “minority” culture may have values and cultural norms that are in
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conflict with the dominant culture. Sometimes, these behaviors are criminalized by
the dominant culture, creating criminals of people who are doing what they would
normally do: conforming.
The norms and behavior patterns of each culture are taught by a process of social-
ization and social learning in the manner we described in Chapter 6. Thus, people
are seen as being born equal and are thought to acquire behavioral patterns through
learning from others in their culture. Regardless of whether a culture is dominant
or subordinate, the means of learning behavior are the same. We consider culture
conflict theory below, before exploring how cultural theory, and social ecology more
generally, has been applied to explain gang activity.
Sellin’s Culture Conflict Theory

The first substantial culture conflict theory was presented by the Swedish-born crim-
inologist Thorsten Sellin in 1938. During the early twentieth century the United
States was being urbanized and saw an influx of many immigrants from southern
and eastern Europe. These new arrivals had very different cultures from previous
immigrants to the United States. In Culture Conflict and Crime (1938), Sellin ar-
gued that legal definitions are relative, changing over time as a result of changes
in conduct norms. Conduct norms are associated with a culture and define some
behavior as acceptable and other behavior as unacceptable. These norms regulate an
individual’s daily life and behavior. However, different cultural groups have differ-
ent ideas about what behaviors are appropriate or inappropriate, what is acceptable
or unacceptable, and what should be considered criminal. In other words, conduct
norms are different for different cultures. In US society, behavior defined as crim-
inal by those sharing conduct norms of the majority culture is legislated against by
its members who dominate the legislature and the institutions of government. The
differences in cultural norms between the dominant and subordinate cultures create
conflict. Conflict occurs when following the norms of one’s own culture causes a
person to break the legislated conduct norms of the dominant culture. In this the-
ory, then, crime is a result not of deviant individuals but of conforming individuals
who happen to belong to cultures with norms that conflict with the dominant ones.
Religious cults, such as David Koresh’s cult in Waco, Texas, which in 1993 ended
with the death of eighty-two Branch Davidians, including adults and children, after
a three-month standoff with ATF officers (four of whom also died in the initial con-
flict), provide excellent illustrations of culture conflict theory.
Sellin distinguished between two types of culture conflict: primary and secondary.
Primary culture conflict refers to those cases where the norms of the subordinate cul-
ture are considered criminal in the new (dominant) culture. Secondary culture conflict
refers to instances where segments within the same culture differ as to the acceptability
of conduct norms. In other words, one social group defines something as deviant or
criminal, yet others in the same culture consider this behavior normal and noncrimi-
nal. Sellin argued, “The more complex a culture becomes, the more likely it is that the
number of normative groups which affect a person will be large, and the greater is the
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chance that the norms of these groups will fail to agree, no matter how much they may
overlap as a result of a common acceptance of certain norms” (1938, 29).
We consider secondary culture conflicts and subcultures as causes of crime in the
following chapter. Next we look at the ways that the social ecology of the Chicago
School and the political economy of cities have merged with aspects of cultural the-
ory to produce a new approach to understanding crime in spaces and places.
Beyond Social Ecology: The Politics of the City, Gangs, and Crime
We began this chapter discussing gang crime in the United States. Several of the
social ecology, social disorganization, and cultural theories of crime discussed above
have been drawn on to explain the phenomenon of gangs in the United States and,
more recently, globally. In this section we conclude the chapter by examining how
“critical gang studies” go beyond the early theories to explain gangs and “ganging.”
We saw earlier that Chicago School sociologist Frederic Thrasher had argued that
gangs are likely to form in natural spatial areas surrounding industrial employment
where there is an absence of integrating values, and where there is separation, mar-
ginalization, and isolation of a community and ethnic groups from mainstream or-
ganizational life. Thrasher saw gangs as a problem of industrialization, immigration,
and adaptation rather than one of race and marginalization. In 1927, he defined the
“immigrant colony” as an “isolated social world” and said that those who move in it
know little of the world outside. Thrasher saw the youth gang as a boyish peer group
“formed spontaneously” in the marginal areas of the city, the in-between urban spaces,
whose members become “integrated through conflict.” He said the gang was char-
acterized by meetings, group movement through space, conflict, and planning: “The
result of this collective behavior is the development of tradition, unreflective internal
structure, esprit de corps, solidarity, morale, group awareness, and attachment to a
local territory” (1927, 46). He found that gang membership provided a substitute for
the disorganized and fragmented community, one that develops its own values and
traditions of loyalty and support for fellow gang members. Once formed, these gangs
are self-sustaining as a source of “conduct, speech, gestures, and attitudes.” Gangs, for
Thrasher, were partly a generational cultural adjustment, “a way to work out the mas-
culine anxieties of immigrant boys, yearning to be free of the traditional bonds of their
old world parents” (Hagedorn 2004, 329), and partly a temporary response to the
social disorganization of the changing industrial landscape of the city and its separating
residential districts. This view, consistent with the Chicago School’s social ecology, saw
gangs as “fundamentally interstitial, adolescent groupings in the process of going out
of existence, residues of the irrationalities of modernism” (Hagedorn 2008, 301).
Consistent with the social ecology perspective, Elijah Anderson (1990, 1999) has
examined the key features of “street culture” and found that some youths whose fam-
ilies are cut off from conventional culture, suffering from a range of economic and
social problems and inconsistently monitored and disciplined, become alienated from
the mainstream society that they have little hope of joining. A central theme of these
youths is to establish respect from others through a “street reputation” for toughness,
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and mediated by a code that demands a violent response to any challenge to their rep-
utations and any act of disrespect, however slight. This code prevails in the urban envi-
ronment and applies to all who live there, even those who are not alienated and from
morally decent backgrounds. If they do not follow the code, they become victims.
Others, such as Jeff Ferrell and Clinton Sanders (1994), describe a similar set
of conditions that lead to a cultural abandonment of the mainstream in favor of
cultural values of erotic excitement and cheap fun that can lead to destructive be-
haviors, such as graffiti signing, that annoy the guardians of the mainstream. This in
turn can also indicate and celebrate activities such as the presence of ethnic gangs.
Ferrell’s work is part of critical criminology’s new school of “cultural criminology”
that we consider in the Chapter 12.
John Hagedorn (1994, 2007a, 2008) was one of the first to challenge the social
ecological Chicago School view of gangs. He first argued that gangs are not simply
youthful organizations but angry, alienated political reactions to a loss of identity
and community, reflecting both the economics and the politics of deindustrializa-
tion (1994). Later, he tied this to the ways societies exclude and marginalize seg-
ments of their populations as a result of making political and economic decisions
based on race and ethnicity (2007c). Most recently, he has argued that gangs are
the result of the combined effects of globalization, the declining power of the state,
political policies that reinforce marginalization, and mass communication and ex-
ploitation of the hip-hop, gangsta-rap culture that feed the formation of resistance
identities (2008). He argues that the more organized gangs are engaged in informal
economic activity, largely around a drug economy, that is enforced through violence
to settle disputes of honor. Hagedorn says that powerful interests, rather than nat-
ural organic development, built cities, brokered real estate deals, and built railroads
and highways that “had particularly devastating consequences on African Americans
and implications for the nature of gangs,” and he sees these “institutional gangs” as
structurally related to politics and race (2007a, 14–16). “To say that a gang has insti-
tutionalized is to say that it persists despite changes in leadership (e.g., killed, incar-
cerated or ‘matured out’), has organization complex enough to sustain multiple roles
of its members (including roles for women and children), can adapt to changing
environments without dissolving (e.g., as a result of police repression), fulfills some
needs of its members (economic, security, services), and organizes a distinct outlook
of its members (rituals, symbols and rules)” (2005, 162).
Hagedorn acknowledges the Chicago School’s legacy for combating the inherent
racism of the early twentieth century through dispelling stereotypes of immigrants
but criticizes its social ecology for ignoring the significance of race in land use, res-
idence, and housing. He points out that, in Chicago, land values have skyrocketed
because of advancing gentrification of slum areas, forcing black and Latino resi-
dents into the southern and western suburbs: “Massive spatial upheavals have also
accompanied the tearing down of housing projects, creating social disruptions that
have powerfully influenced the nature and behavior of gangs” (2007, 19). Instead
of integrating ethnic and racial groups, these changes have brought increasingly
segregated gentrified communities that use a variety of measures such as public
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surveillance, gated communities, zero tolerance, and community policing to pro-

tect from and reduce the fear of crime, “policies that are more often exclusive rather
than inclusive processes” (ibid., 20). Based on his overall analysis, Hagedorn (2006,
2007c) sees gangs as “social actors” in the globalized city: “Gangs are organizations
of the socially excluded. While gangs begin as unsupervised peer groups and most
remain so, some institutionalize in barrios, favelas, ghettos and prisons. Often these
institutionalized gangs become business enterprises within the informal economy
and a few are linked to international criminal cartels. Most gangs share a racialized
or ethnic identity and a media-diffused oppositional culture. Gangs have variable
ties to conventional institutions and, in given conditions, assume social, economic,
political, cultural, religious, or military roles” (2007b, 309).
Hagedorn argues that the shift to institutionalization and economic corporatiza-
tion of gangs in the informal economy, particularly in Chicago, came about partly
because of the abandonment by the middle class of the 1960s revolutionary politics
that had made attempts to incorporate black gangs into the political and economic
structure but was seen as threatening by city and federal authorities. As a result of
orchestrated aggressive police tactics against gangs, the liberal organizations that
sought to empower them collapsed: “Disillusionment with the broken promises of
civil rights leaders led to a strengthening of a radicalized gang identity that was re-
lated more to ‘hustling’ than to politics” (Hagedorn 2007a, 22–23). This led gangs
to restructure and reorganize to form new centrally run economic enterprises that
produced vast sums of money, and only an occasional charity for the community in
which they operated.
The mass incarceration of gang leaders in the 1990s also fueled this reorganiza-
tion. Many gangs are run by incarcerated gang leaders from their prison cells, and
some were formed in prison and exported to the city streets: “Gangs today might
best be defined as organizations of the socially excluded simultaneously occupying
the spaces of both prison and ghetto.” As a result of these changes, “Many of today’s
gangs are an institutional bricolage of illicit enterprise, social athletic club, patron to
the poor, employment agency for youth, substitute family, and nationalist, commu-
nity, or militant organization” (ibid., 25).
Global Policy Implications of Critical Gang Studies

In reviewing Chicago School social ecology theory we saw that in the long term,
consistent with their social disorganization perspective, gangs would supposedly dis-
appear with the assimilation of immigrants into the wider society. In the short term
they could be controlled and assimilation facilitated by social programs and by orga-
nizing and empowering communities to become urban villages. However, the work
of Robert Sampson (Sampson 2006) and Paul Bellair (1997, 2000) rejects the old
idea that strong and dense social ties are the solution to problems of crime and gangs
because (as Hagedorn argues) they exclude. Sampson argues that the close-knit dense
networks, idealized in the urban village model of neighborhoods as independent is-
lands in a city, “bear little resemblance to those of contemporary cities, where weak
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ties prevail over strong ties and social interaction among residents is characterized
more often by instrumentality than by altruism or affection,” and where social net-
works “frequently criss-cross traditional ecological boundaries, many of which are
permeable and vaguely defined” (2006, 132). In this view, communities with weak
ties (rather than no ties) reflect more frequent interaction among neighbors because
they “integrate the community by way of bringing together otherwise disconnected
groups [and] are predictive of lower crime rates” (ibid., 134; Bellair 1997, 2000).
Sampson maintains that “collective efficacy” involving a combination of loose social
cohesion of the collective and shared expectations of control within the collective can
effectively maintain public order and reduce crime (2006, 135). He believes that we
can no longer consider policies to deal with crime and gangs that “focus solely on
the internal characteristics of neighborhoods. Neighborhoods themselves are part of
a spatial network encompassing the entire city—not only are individuals embedded
but so are neighborhoods” (ibid., 138–139). He continues: “The characteristics of
surrounding neighborhoods are crucial to understanding violence in any given neigh-
borhood. In short, crime is affected by the characteristics of spatially proximate neigh-
borhoods, which in turn are affected by adjoining neighborhoods in a spatially linked
process that ultimately characterizes the entire metropolitan system” (ibid., 138).
Importantly, and perhaps not surprisingly, both Sampson and Hagedorn see
the future direction of understanding the policy necessary for dealing with crime
in cities as crucially tied to a wider global analysis. Sampson states, “The future of
neighborhood research will probably be increasingly cross-national and comparative.
Efforts are now underway seeking to examine the general role of spatial inequality
and neighborhood efficacy in cities around the world.” He argues that we need a
general approach to policy that “emphasizes ameliorating neighborhood inequality
in social resources, including metropolitan spatial inequality, and enhancing social
conditions that foster the collective efficacy of residents and organizations” (ibid.,
139). However, Hagedorn goes further, saying that we cannot limit our analysis
to local conditions but must look at crime and gangs in a global context, as part of
a global phenomenon in which global economics has led to the redivision of city
spaces across the globe, and urbanization in nations worldwide has provided the
prime conditions for the growth of gangs (2005, 154). Indeed, he says that gangs
and other organizations of the socially excluded need to be considered in the context
of the globalized city: “Gangs cannot be understood outside their global context,
not reduced to epiphenomena of globalization or cogs in an international terrorist
conspiracy. . . . Gangs are being reproduced throughout this largely urban world
by a combination of economic and political marginalization and cultural resistance.
We ignore organizations of the socially excluded at great risk. How we deal with the
reality of gangs and others among the socially excluded is one of those markers that
will shape the future of civilization” (ibid., 163–164).
What began as a study of neighborhood crime and gangs in the developing mod-
ernist city has ended with the study of worldwide gangs in the globalized city. Its
policy implications are much larger than can be dealt with by local neighborhood
program initiatives alone (see Box 8.1).
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BOX 8.1 City Gangs and Public Policy

DANA NURGE
Policy measures in relation to gangs are often the result of knee-jerk reactions to dra-
matic personal tragedies. Rather than relating policy to research findings and analysis,
activist “moral entrepreneurs” often seek to pass laws that seem to offer simple techno-
panaceas in the mistaken belief that these will solve the problem. In response to the
deaths of two teens due to gang violence in San Diego on Friday, December 12, 2008,
a member of the community wrote to the San Diego Gang Commission attempting to
rally the city and community to support legislation to have GPS tracking for all docu-
mented gang members. The proposed legislation would be called “Monique’s Law,” in
honor of the seventeen-year-old girl, Monique Palmer, who was killed in the incident.
Here is the response of Dr. Dana Nurge, an adviser to the San Diego Gang Commis-
sion, based on a memo she sent to the Gang Commission:
The deaths this weekend (and again last night) were tragic and warrant the City’s
and Commission’s attention, but I absolutely do not think that GPS monitoring
of all documented gang members would be an appropriate, rational or effective
response.
Incidents like this one can help bring us together (through our grief and de-
spair) to create effective solutions or they can ignite “moral panics,” which lead
to (more) Draconian responses, driven by fear, exclusivity and/or vindictiveness,
rather than practical policy sense. Such responses distract us from the real issues.
The hopelessness—which breeds recklessness and lack of respect for life—among
some of our community’s young adults (and is exemplified through gang violence)
has its roots in myriad social issues including, but not limited to: poverty; unem-
ployment and underemployment; discrimination, marginalization, and social exclu-
sion (all of which have contributed to the breakdown of the family); inadequate
educational opportunities; lack of legitimate opportunities for youth to build self-
esteem and establish an identity; a lack of positive adult role models; and a broader
culture that promotes hyper-consumerism, individualism, violence, and excessive
self-gratification.
Responding to the symptoms of these problems, such as gang-related violence, is
extremely costly, largely ineffective, and diverts attention and resources away from the
root causes. There is no doubt that the fear in these communities is real and that kids
are navigating dangerous streets and schools (and sometimes homes) on a daily basis,
but tracking (alleged) gang members will not quell those fears or alter those realities.
Pure, deterrence-based gang policies, such as this one, haven’t worked (gangs continue
to exist and proliferate) and there is no empirical evidence to suggest they will.
I’m hopeful that the sadness, frustration and outrage that this tragedy has sparked
in our community can be channeled and directed towards addressing the root causes
(CONTINUES)
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BOX 8.1 (CONTINUED)
of the problems, rather than attempting to manage the symptoms. Let’s ask our-
selves why this happened? Some have questioned whether laws and law enforcement
can and should do more to monitor and control gang members. But let’s go deeper
than that and question how/why gangs remain a problem: why are some of our
young people joining gangs, arming themselves, and engaging in acts of violence
against their peers and community? How/why does a child transform into an adoles-
cent or adult who’s willing to kill in the name of their gang or “hood” or reputation?
What can we do to detract our youth from gangs and violence and keep them safe,
healthy and future-oriented? In short, how can we provide more opportunities for
our youth to succeed?
Our responses to those questions would direct our attention away from further
attempts to control gang members in our community, and towards the issues that
contribute to youths’ desire to join gangs. Research on gangs consistently reveals that
kids join gangs in hopes of gaining: (1) protection/safety, (2) family/belonging/love,
and (3) status/identity. Our efforts to address gang violence have to begin with an
understanding of why/how youth are attracted to them and what purpose they
serve in their lives. The desire for protection/safety, love, and self-identity and
meaning are universal and well-established (e.g., Maslow’s Hierarchy of Needs).
Let’s look at how our community falls short in providing opportunities for all
youth to attain those needs through legal, healthy, prosocial means. Instead of cre-
ating increasingly harsh laws that are constitutionally questionable, impossible to
enforce, cost prohibitive, and ultimately ineffective, let’s look to address the root
causes of gang involvement and find ways to address our youths’ desire/need to
seek fulfillment/meaning through a gang. Let’s direct our community’s grief, de-
spair and need to “do something” in response to these tragedies towards the roots:
building healthier communities and fostering community involvement in youths’
lives, making safer and more effective school environments, generating and pro-
moting opportunities for youth to be involved in prosocial, identity-enhancing
activities (sports, jobs, arts, etc.), strengthening families, expanding job opportu-
nities (that pay a living wage).
While it is clearly understandable why community activists want action now in
order to prevent death and destruction in which kids are living imperiled lives, it is
unlikely that these actions will have their intended effects. Programs developed by
reformers, that take time to implement and have mixed results seem like a distant
prospect to those directly affected. Yes, something must be done now, but some-
thing must also be done for the future. The “now” part must include a cease-fire,
probably supported by a show of respect, threat of oppressive control, promise of
collaboration, and future opportunity. But this approach will not address the root
causes. To do this it is necessary to build a coalition, to prevent wrong-headed ideas
from gaining traction, and to start down a fruitful path that addresses the long-term
issues. Coalition-forming means listening to all concerns, compromising, and doing
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some things individual interests don’t want to do. In the end, such a coalition must
reach beyond the local community to deal with the structural causes of the inequal-
ities, exclusions and marginalization that create the fertile conditions for gangs to
take root. In order to deal with these realities it is necessary that coalition partners
include the very organizations and corporations that create these conditions, on
both a local, national and global level.
Dr. Dana Nurge is Associate Professor of Criminal Justice at San Diego State Univer-
sity, and technical adviser to the San Diego Gang Commission.

In this chapter, we have moved from the notion in the previous chapters that
crime is a product of individual choices, causes, or processes to the idea that
places, networks, and cultural adaptations create criminal opportunities. We have
seen how economic and political forces can produce massive social changes and
population movements, which can result in highly volatile concentrations of peo-
ple that accentuate their problems. We have seen, too, that once formed, these
patterns are self-sustaining and reinforcing. We have also seen that the conditions
that create these forces are much larger than the city and are part of a globalized
urbanization process.
The global, political, and economic forces that serve to shape specific areas and
the social exclusions that they generate can also provide the context for the learning
of behavior (as we discussed in connection with differential association theory) and
the formation or lack of attachments (discussed previously under bonding theory).
Regardless of the “causality” (perhaps learning or bonding) of individual effects, the
downward spiral of certain places can carry with it those who are unable to escape,
who may violate laws simply by conforming to their culture or subculture or in
order to survive the hardships of their neighborhood. Once the process begins, fear
and limited resources undermine a community’s ability to control its own members,
which results in further crime and more fear. This leads to the departure of those
best able to escape, leaving behind those least able to cope in conventional ways.
Angry with their situation but politically rudderless, some form gangs that compete
with each other for their own survival and create an identity of resistance at the only
level they can control.
Although preventive efforts and ideas have become increasingly sophisticated, one
of the major omissions from social ecology and cultural theories of crime is what
drives the movements that make places criminal. In the next chapter, we look at one
of the ways sociologists have tried to fill this gap by examining structural forces at a
societal and ultimately at a global level, and how these forces shape spatial, cultural,
and subcultural responses.
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Summary Chart: Social Ecology Theory

and Culture Conflict Theory
1. Social Ecology Theory
Basic Idea: Rooted in geography and notions of space, population movement,
and density and how these are shaped by the physical environment. Crime is a prod-
uct of the geopolitical environment found in certain areas of a city.
Human Nature: Human actions are determined by major social trends that affect
the physical and social environment. The choices, and moral sense they have, emerge
in environmentally structured contexts. People are seen as conformist and act in ac-
cordance with values and norms of the groups with which they self-identify.
Society and Social Order: Early theories emphasized consensus yet implied
group conflict and the plurality of values and norms that are found more explicitly
in later theories.
Law, Crime, and Criminals: Law is taken for granted but reflects the norms,
values, and interests of the dominant culture. Criminals are those who are in a
state of transition through fragmented social organization; criminality is not a per-
manent state. In later versions of these theories, criminality, in the form of orga-
nizations of the excluded, is seen as a permanent, institutionalized, and globalized
phenomenon.
Causal Explanation: Social change, such as immigration, rural-urban migration,
high social mobility, and growth of cities, undermines traditional coping behaviors
and especially traditional control institutions: family networks destroyed, extended
family fragmented, ethnic culture lacking authority. This produces social disorga-
nization in which people compete rather than cooperate as a community. At the
same time, these neighborhoods are insulated from values of the dominant culture.
Parents lose the respect of their children, who are in conflict with them over mixed
values systems, and this results in a loss of parental control over children. Social dis-
organization leads to personal disorganization. This leads to crime, delinquency, and
mental illness, especially suicide. Insulated from the dominant culture and alienated
from parents, some immigrant youths form their own new primary subcultures, or
gangs. Gangs develop their own delinquent traditions, which are passed on to new
members. The areas where this disorganization is most intensely felt are inner-city
zones of transition where property values are low but rising, and slumlords neglect
properties while waiting for the rise in value. These low-income housing areas have
the highest numbers of immigrants. Some immigrant subcultural groups, such as the
Chinese, are able to resist the wider disorganization of neighborhood by maintaining
their original strong culture and traditions. Some argue that disorganized areas are
not all the same but may have as many as three or more subareas of disorganization.
More recent theory sees these processes set in motion and sustained by interested
political and economic decisions.
Criminal Justice Policy: Some in the 1930s felt areas would eventually improve
as immigration stopped and the city stabilized, so little needed to be done. Others
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argued that it was necessary to move those most affected by disorganization to new
geographical areas. Yet others argued for strengthening community organization.
More recent theorists believe in a systemic or integrated approach to strengthen both
internal informal networks and their connection with wider political, social, and
economic networks and resources. Rather than develop close community ties, loose
community networks are seen as the more realistic ways that neighborhoods demon-
strate a “collective efficacy” and build social capital to resist crime. The importance
of the globalized city as a focus of social change is seen as vital.
Criminal Justice Practice: Structural and institutional changes. Community mo-
bilization (e.g., the Chicago Area Project). Facilitation of the process of assimilating
both immigrants and the disorganized into mainstream society. More recently, fa-
cilitate collaborative partnerships to maximize collective efficacy and more equitable
distribution of resources. Involve corporate social actors with community and gang
actors to work toward removing structural causes.
Evaluation: Explains some inner-city street crime and why crime rates are highest
in cities and slums. Undermines argument of biological and psychological theories,
since they would predict more random occurrence of crime geographically. Crit-
icized for accepting official crime statistics as valid, ignoring white-collar crime in
suburbs and excessive policing of inner cities. Fails to explain corporate crime, fails
to explain insulation of some youths in the inner city from delinquency, and fails to
account for how people in disorganized areas disengage from crime as adults.
2. Culture Conflict Theory

Basic Idea: Some people have cultural heritages that differ from those of the
dominant culture, and they are often in conflict with it; they become criminal sim-
ply by following their own cultural norms.
Human Nature: Humans are seen as equal, sociocultural blanks who are social-
ized into norm- and rule-following actors.
Society and Social Order: Divided by culture into dominant and a diversity of
subordinate or ethnic minority cultures, which are in conflict.
Law, Crime, and Criminals: Law is the rules of the dominant groups of a partic-
ular society. Criminals are those caught breaking another culture’s laws; no different
from noncriminals, in that both are rule following, except that they follow different
rules.
Causal Explanation: Socialization into the norms of another culture through the
family produces three ways that lawbreaking may occur: (1) In Sellin’s version, the
other culture is the native country of the immigrant, and when its norms are fol-
lowed and they clash with the norms of the dominant culture, this “normal” behav-
ior is defined as criminal, and punishment may result; (2) When immigrant parents
enforce standards of behavior of their native country on their children, who react
because of their indoctrination in the adoptive country, the resulting strife and alien-
ation may cause delinquency; and (3) Because complex societies have multiple social
groups and a pluralism of subcultures, including corporate culture, norm and law
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violation can result when the behavior of one group or subculture conflicts with that
of the dominant culture.
Criminal Justice Policy: Some argue that crime will melt away when the United
States becomes “one culture” after assimilation of immigrants into the mainstream,
so we need to do very little. Others believe we need acculturation programs and
policies.
Criminal Justice Practice: Education and cultural socialization in schools and
community. Increased opportunities for assimilation and changing values of diverse
ethnic groups. Counseling for children of immigrants to provide them with coping
skills needed to survive the clash of cultures. Clearer and simplified laws provided by
the dominant culture. Greater flexibility of law when dealing with other or lower-
class cultural contexts. Decreased policing of streets.
Evaluation: Useful to explain some aspects of racial and ethnic crime and Chi-
nese, Cuban, Haitian, Vietnamese, and Latino gangs. Explains resistance identity
and cultural exploitation by corporate interests that take gang phenomena into the
globalized world. Does not explain adult crime in lower-class neighborhoods or
middle- and upper-class crime.
1. Discuss the historical roots of social ecology theory before the Chicago School.
2. Is social ecology theory a conflict or consensus theory? Why and what are the
policies that come from these different perspectives?
3. Describe Social Ecology’s Concentric Zone Theory with a diagram. Does this
apply to all cities or was Chicago unique?
4. Why does Chicago School criminology have important implications today, and
what are they?
5. What are the premises to urban design and environmental criminology?
6. In 1938, Thorsten Sellin defined culture conflict theory. Is it still a relevant
theory today? Why or why not (and provide examples)?
7. What are some of the benefits and limitations of social ecology theory?
8. If neighborhood dynamics change, how do group members stay connected and
make changes to reduce harm production?
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9
The Sick Society

Anomie, Strain, and Subcultural Theory
“We live in a society whose whole policy is to excite

every nerve in the human body and keep it at the
highest pitch of artificial tension, to strain every
human desire to the limit and to create as many new
desires and synthetic passions as possible, in order to
cater to them with the products of our factories and
printing presses and movie studios and all the rest.”
—Thomas Merton, Trappist monk, The Seven Storey Mountain
In the previous chapter we saw how gang crime can form in areas of a city that
are the product of political and economic marginalization and exclusion. But what
about a whole society that produces excluded and marginalized categories of people?
Can groups form in the society at large and then move to other areas of the society,
perhaps inner city, perhaps outer suburbs, where there are better opportunities, for
both legitimate and underground economic activity? The 1991 movie New Jack City,
starring Ice-T, Mario Van Peebles, Judd Nelson, Chris Rock, and Wesley Snipes
playing the “Cash Money Brothers,” was based on the activities of the Chambers
brothers gang that operated in the mid- to late-1980s in Detroit and was recently
documented in the BET American Gangster series “The Chambers Brothers” (2007).
What started as a legitimate liquor and party store, selling homegrown marijuana
on the side, escalated to selling crack cocaine across the street and eventually from
entire apartment blocks. At the peak of their empire, the Chambers brothers con-
trolled half of Detroit’s crack trade, ran two hundred crack houses, and supplied five
hundred others, allegedly earning between $1 million and $3 million a week (“I’m
Going to Detroit” 1988), although others have said the extent of their operation
207
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was greatly exaggerated in the charges in their indictment (W. Adler 1995). It was
described as a franchise operation, “the McDonald’s of crack cocaine operations in
Detroit” (BET 2007). But the four Chambers brothers (from a family of fourteen)
did not come from the rapidly declining city of Detroit, with its boarded-up store-
fronts and failing auto industry, a city that at the time was losing 250,000 jobs and
20 percent of its population. They came from the economically depressed rural delta
town of Marianna, Arkansas, with a population of 6,200, located in Lee County,
the nation’s sixth poorest county, where unemployment for young black males was
50 percent and the per capita income was $12,989 (adjusted for inflation in 2012).
Earlier in the century African Americans from the rural South went north to work in
the Detroit auto plants for Henry Ford, General Motors, and Chrysler. In the mid-
1980s these same young black males escaped the poverty of southern unemployment
or backbreaking work in the cotton fields for something better: to work in the “land
of opportunity,” the slums of Detroit, for the Chambers brothers’ drug “franchise”
operation, which recruited around 150 seventeen- to twenty-one-year-olds to work
as runners, couriers, foot soldiers, and dealers at $2,000 a month. What led the
Chambers brothers and those who followed them to make this journey, to make
a “rational career choice” (W. Adler 1995), and to eventually take up illegitimate
rather than legitimate work is instructive and gets at the heart of strain theory.
In 1979, B. J. Chambers left Marianna to continue his high school education; he
stayed with another Arkansas family in Detroit and first learned the marijuana busi-
ness while there. His brother Willie Chambers had also moved to Detroit, where he
worked as a mail carrier. Consistent with the American Dream, Willie saved his post
office wages and by 1982 was able to buy a house on the Lower East Side and a small
party store selling liquor, beer, wine, chips, and so on. B. J. went to work for Willie,
selling marijuana on the side until a police raid resulted in his moving across the
street to a house purchased cheaply in the Detroit economic downturn. He added
cocaine to the product range, and by 1984 business was booming (W. Adler 1995,
80–83).
As criminologist Carl Taylor says, “These guys had a great work ethic. They were
hungry. . . . They handled their business like a distributorship. It’s like Pizza Pizza,
except it was Dope Dope” (cited in BET 2007). A former DEA agent said, “They
were resourceful, opportunistic. . . . If these guys had taken the skills that they had,
put that into a legitimate business environment,” they would have been success-
ful. “They recognized a market. They advantaged the market, and they outcompeted
everybody” (ibid.). Indeed, William Adler points out in Land of Opportunity: One
Family’s Quest for the American Dream in the Age of Crack (1995) that with no more
than a high school education, the Chambers brothers “identified a market niche,
mastered wholesale buying, mass production and risk analysis, monitored cash
flows, devised employee benefit plans, performance bonuses and customer incentive
plans” (cited in Will 2001, 131).
What led the Chambers brothers to turn their work ethic in pursuit of the Amer-
ican Dream into these increasingly illegitimate means to achieve it? The Chambers
brothers illustrate the main themes of the sociological ideas of strain theory: they
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9: The Sick Society 209
accepted US society’s cultural goals and objectives for success (high monetary re-
wards, material wealth, owning a home or a business). They even exhibited its strong
work ethic as a means to achieve these goals. They did not, however, use the other
legitimate normatively accepted means (student loans, delayed gratification, legal
methods) to achieve those goals, but instead innovated with illegitimate means.
But strain theory is not restricted to explaining conventional street crime, nor is
it confined to the lower reaches of the social structure. It has also been applied to
corporate and white-collar crime, as the following analysis illustrates:
As business professionals and corporations are routinely faced with economic contrac-
tions, an uncertain environment, and pressures to cut costs, these individuals may seek
out alternative means of making money such as avoidance, evasion, or blatant violations
of ethics or laws . . . (It has been) argued that the social structure of the United States
involves the institutional dominance of corporations and cultural values that place em-
phasis on material gain, individual achievement, competition not cooperation, and the
fetishism of money. The institutional structure that places disproportionate emphasis
on “getting ahead” and acquiring wealth over the legitimate means to achieve them is a
source of crime in the United States. (Gerber and Jensen 2007, 273)
In this chapter, we begin to consider the ideas of theorists who argue that the
structure of society—that is, how society is organized—can affect the way people
behave. In particular, we examine the idea that “some social structures exert a defi-
nite pressure on certain persons in the society to engage in nonconforming conduct
rather than conformist conduct” (Merton 1938, 672). We examine the theories of
the sociological functionalists, primarily Émile Durkheim and Robert Merton, who
argued that the organization of industrialized societies produces divisions between
people and between groups based on social position in a hierarchy and occupational
role within the system (known as the division of labor). Functionalist sociologists
believe that social roles become specialized and work interdependently to serve the
system as a whole.
Social institutions are complexes of particular elements of culture and social
structure that perform these basic functions of adaptation, goal attainment, inte-
gration, and pattern maintenance. . . . Adaptation to the environment to meet the
physical and material needs of a population is the chief function of the economy.
Political institutions, or the “polity,” enable a population to attain collective goals.
Responsibility for social integration and the maintenance of cultural patterns falls
to religion, education, and the family system. The interrelations among these in-
stitutions constitute a society as an ongoing concern and distinguish it from other
societies (Rosenfeld and Messner 2006, 165).
French sociologist Émile Durkheim first presented the basic components of this
functionalist analysis of crime in 1893 when he was trying to explain how society
could change from the stability of its preindustrial order to the potential chaos that
the capitalist industrial system could produce. He argued that in times of rapid
change, the moral regulation of behavior is undermined by structural divisions and
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by a cult of the individual, which promotes unlimited aspirations, some of which

involve criminal behavior.
In the twentieth century, these ideas were applied to the United States by Robert
Merton (1938, [1957] 1968), who examined society after the Great Depression and
found that its culturally defined goals, such as the “American Dream,” could be met
by illegal means by those denied access to approved means. These approved means
would include legitimate opportunities such as formal education and economic re-
sources. Development and extension of these ideas included the seminal work of
Albert Cohen (1955), and Richard Cloward and Lloyd Ohlin (1960) on collective
rather than individual adaptations by working-class populations to societal strain;
Robert Agnew (1992, 1995a, 2006) on strategies of avoiding the frustration and
anger produced by strain, based on a variety of social-psychological variables; Steven
Messner and Richard Rosenfeld’s ideas (1994, 2006, 2012) about the role of US
economic institutions in dominating other social values and undermining strong
social controls; and, most recently, Nikos Passas’s theory of global anomie (2000,
2006), in which unlimited global economic trade creates vast disparities of wealth
and removes safety nets, magnifying relative deprivation, and promoting deviant re-
sponses. Before we explore the different forms that anomie, or strain theory, has
taken and its criminal justice policy implications, let us look at its core underlying
common themes and assumptions.

Anomie theory, more recently called strain theory, has gone through several transi-
tions in its development and has proven remarkably resilient in explaining crime in
changing societies. During this process, many of its underlying assumptions have
remained constant, although others have changed and become subject to disagree-
ment. All versions of strain theory agree that deviant behavior is a normal response
to abnormal conditions. Furthermore, there is agreement that humans are social-
ized to behave in certain, often predictable, ways. Strain theorists may diverge over
what the specific goals are, but they concur that seeking to achieve goals is a normal
human trait. Finally, strain theorists agree that society’s structure and culture cause
strain by their form of organization, by the kinds of goals they prescribe, and by
their allocation of resources; more recent theorists disagree about the extent that
individual behavioral characteristics can mitigate these forces. These assumptions
will now be considered in greater detail, first looking at their similarities and com-
plementary aspects and then looking at how they diverge.
In addition to strain theorists assuming that crime is a normal reaction to abnor-
mal social conditions, strain theory also emphasizes the problem-solving functions or
coping mechanisms served by antisocial, delinquent, and criminal behavior (Brezina
2000). In addition, strain theories link macrolevel variables, such as the organization
of societies (especially capitalism), to the microlevel behavior and choices of indi-
viduals. Thus, this theoretical perspective is often termed a mesolevel explanatory
framework (or what Merton [(1957) 1968] called a theory of the “middle range”).
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Taken as a whole, strain theory describes the interplay among social structures,
cultural context, and individual action. Different strain theorists disagree over some
fundamental dimensions of their theory, however, and therefore emphasize different
aspects of its components. For example, Durkheim’s original theory of anomie as-
sumes a view of humans born with insatiable appetites to be “heightened or dimin-
ished by the social structure.” In contrast, versions of strain theory in the Merton
mold assume individual appetites are “culturally rather than structurally induced,”
but societal strain comes from differential opportunities in the social structure that
have not met the culturally raised appetites (Einstadter and Henry 2006, 155).
Individual appetites also include an instrumental component (Orrù 1990). This
means that crime is seen as an instrumental act of goal seeking. Whether commit-
ted by individuals or corporate entities, crime serves a purpose. Mertonian theory
assumes that humans act rationally and have self-serving motivations for their behav-
ior, but this is “not in the utilitarian sense of having ‘free will,’ but as actors whose
behavioral choice is influenced by societal structures, cultural definitions, and interac-
tive processes” (ibid., 154). Mertonian conceptions of a structured human choice also
reflect the results of socialization in families, schools, and particularly through the
media. These are the ways that cultural values are communicated. Strain theorists also
assume that “under normal conditions people are naturally inclined to abide by social
norms and rules” (Paternoster and Bachman 2001, 141).
Combining the ideas of Merton and Durkheim in a formulation known as tradi-
tional strain theory reveals a shared concept of humans as engaged in goal-oriented,
achievement-directed behavior shaped by social structure and culture. For Mer-
tonians, the culture, most vividly expressed through the mass media, encourages
people to achieve the goals of monetary success. At the same time, the culture fails
to place limits on acceptable means of achievement, and the structure does not
provide equal opportunities for all to achieve these societal goals. Such a society
is described as suffering strain because of (1) a dysfunctional mismatch between
the goals or aspirations it sets for its members and the structure of opportunities
it provides for them to achieve these goals (Merton 1938), (2) an unleashing of
individual aspirations without a corresponding provision of normative or moral
guidelines to moderate the level of raised aspirations (Durkheim [1897] 1951), and
(3) the failure to match people’s skills and abilities to the available positions in the
society (known as a “forced” division of labor) (Durkheim [1893] 1984). A society
experiencing such structural strain is unable to retain a meaningful sense of moral
authority with regard to normative controls on behavior and is referred to as being
in a state of anomie, or normlessness (Durkheim [1897] 1951). In a word, the so-
ciety is “sick.”
Societal strain can affect people, groups, and organizations in different ways as
they seek to adapt to solve the problems that strain creates. One of these adaptations
is crime, whereby people attempt to achieve societal goals of money, material suc-
cess, and social status (a house, expensive cars, jewelry, and electronic equipment)
regardless of the means used (as in the example of dealing drugs presented at the
start of this chapter) to achieve them. In short, they cheat. Crime, then, is one way
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of both responding to the structural strain and realizing common goals espoused by
the larger dominant culture.
The Durkheim-Merton tradition of strain theory seems to be useful for explaining
property crimes among the economically disadvantaged, who may experience greater
personal stress as a result of structural strain, as Merton pointed out, and the dis-
advantaged are not equally impacted. Indeed, “crime is unevenly distributed across
individuals within certain collective groups, therefore, because some persons experi-
ence more strain than others” (Paternoster and Bachman 2001, 142). But Merton
([1957] 1968) recognized that the theory also explains how the economically power-
ful commit economic crimes using illegal or unethical innovations, illustrated by the
analysis of corporate and white-collar crime at the start of the chapter. Undeniably,
“If ‘success’ is far more heavily emphasized in the higher strata of society, and if its
measurement is virtually open-ended in these strata, then Merton’s theory of anomie
is even more applicable to white-collar and corporate crime than it is to conven-
tional crime” (Friedrichs 1996, 232; see also D. Cohen 1995; Waring, Weisburd,
and Chayet 1995; and Schoepfer and Piquero 2006). This too is what led Durkheim
([1897] 1951) “to focus on the top social stratum as the primary location of anomie,
for it was power not poverty that facilitated too easily the personal achievement of
socially inculcated cultural ambitions” (Box 1983, 40).
Newer versions of strain theory, such as Agnew’s revised strain theory (1985,
2006), may be less compatible, since Merton’s notion of goal-seeking actors is par-
tially replaced by a view of humans invested in behavior designed to follow a particu-
lar rule of justice. For example, adolescents may be more concerned with the fairness
of a process of job hiring than whether they get the job. Moreover, this response can
be modified by individuals’ different cognitive and behavioral attributes. Those who
have doubts about their identities and capabilities may be more satisfied with less
than those without such doubts, who may become more frustrated with injustices
and choose crime to escape their frustrations. As we will see later, differences in the
assumptions made about humans are some of the main features that distinguish the
different versions of strain theory.
Another assumption over which strain and revised strain theorists disagree is the
extent to which a consensus exists on societal goals, their nature, and diversity. Since
Durkheim’s original anomie theory, the types of goals have increased, so that in the
most recent theoretical revisions the goals held by people are very different, depend-
ing on their social influences, peer groups, gender, race, and age. Let us examine in
more detail the ideas of the specific versions of strain theory that have emerged over
the past hundred years or so.
Founders of Anomie and Strain Theory

In this section, we consider the ideas of the founding theorists in the strain theory
tradition. We begin with Durkheim’s anomie theory and then look at Merton’s ad-
aptation of these ideas to the twentieth-century United States before discussing how
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their approaches were supplemented by the research of Merton’s students Albert

Cohen and Richard Cloward.
Durkheim’s Original Concept of Anomie

French sociologist Émile Durkheim (1858–1917) was one of the three founders of
sociology who at the turn of the nineteenth century sought to explain the transfor-
mation that was taking place as societies changed after the Industrial Revolution
(Max Weber and Karl Marx, whose ideas we discuss in the next chapter, were the
other two founders). Durkheim’s view of humans was not unlike that of the classical
philosopher Hobbes and later control theorists (discussed in Chapter 7). He believed
that people were born with potentially insatiable appetites, which can be heightened
or diminished by social structure and its cultural values. In a well-ordered society, a
cohesive set of values and norms regulates the levels of aspiration and expectation. As
a result, levels of crime are relatively low.
For Durkheim ([1895] 1950), crime was any action that offends the collective
feelings of the members of society—that shocks their common conscience. He be-
lieved that some level of crime is normal and necessary for several reasons. First, even
in a well-ordered society (even a society of saints), crime is necessary (functional) to
remind the community of its values and standards. Second, crime serves to create
a sense of solidarity among law-abiding citizens; the criminal or crime presents an
occasion to bring people together to celebrate their values by denigrating those they
oppose. Third, society can make moral messages about which rules are most im-
portant by adjusting the severity of punishment. Fourth, the punishments given to
criminals help to force compliance with the law; fear of shame, humiliation, and lack
of liberty motivate people to obey the laws. Finally, and important for Durkheim,
there was the idea that crime functioned to warn a society that something may be
wrong with the overall way it operates—that is, with its social structure. Crime is the
pain of a sick society. It serves as a stimulus for innovation and social change.
For Durkheim, then, some level of crime was inevitable, if only because of those
he saw as born biological and psychological misfits (I. Taylor, Walton, and Young
1973, 84). Crime is inevitable because of “the incorrigible wickedness of men”
([1895] 1982, 98). But Durkheim also saw excessive levels of crime as a result of
change from the small-scale, face-to-face society with a low division of labor and
everyone doing similar tasks and sharing common (religious and traditional) values
to a large-scale industrial society with a high division of labor and diverse beliefs. In
modern industrial society, people become highly specialized in their tasks. More-
over, they are encouraged to act as competitive individuals rather than as members
of a common group in pursuing their different occupational roles and to aspire to
individual rather than social desires (which he called egoism). Under these circum-
stances, the moral authority of the collective conscience loses much of its force, and
people aspire to positions and levels for which they are ill-suited and that do not sat-
isfy them. Their “greed is aroused” and opens up an insatiable “thirst for novelties,
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unfamiliar pleasures and nameless sensations, all of which lose their savor once
known” (Durkheim [1897] 1951, 256). Such a society is in a state of anomie: a
“breakdown in the ability of society to regulate the natural appetites of individuals”
(Vold and Bernard 1986, 185), “a situation in which the unrestricted appetites of
individual conscience are no longer held in check” (I. Taylor, Walton, and Young
1973, 87). In a condition of anomie, rates of all kinds of nonconformity increase,
including crime and suicide, as “individuals strive to achieve their egoistic desires in
a way that is incompatible with social order and incommensurate with their biolog-
ically given abilities” (ibid., 85). Durkheim’s analysis implies that a society explicitly
committed to competitive individualism should, therefore, expect a high level of
crime; indeed, for such a society, high levels of crime are normal:
There is nothing necessarily “sick,” pathological, dysfunctional, or disorganized about a

society organized to produce high rates of crime. . . . A particular level and type of crime
are a normal outcome of a specified set of cultural and social arrangements. . . . A low
level of predatory crime would be a sign of “something wrong” with a society that places
a premium on the individual competitive pursuit of financial gain, encourages people to
create ever more efficient means of besting others, and offers comparatively little pro-
tection or comfort to the unsuccessful. We would be on the lookout for something out
of the ordinary, something abnormal, about unusually low or falling crime rates in a
society organized for crime. (Rosenfeld and Messner 2006, 168)
For Durkheim, this was a societal problem that could be avoided by new forms
of moral regulation; its analytical value was that it drew attention to the important
role in crime played by changing social structures (e.g., feudalism to capitalism)
that generated the social pressure that Merton was later to call strain. The impend-
ing eruption of crime and suicide from this misalignment could be avoided, not
to go back to a face-to-face society but to advocate new secular values that would
acknowledge the rise in individualism but provide appropriate constraints on as-
pirations. He saw this secular morality as being built around occupations (perhaps
professional ethics), but he did not address how conflicts between these moralities
would be resolved.
BOX 9.1 Global Anomie: Hidden Consequences of Globalization

NIKOS PASSAS
Globalism and neoliberalism seem to be indistinguishable empirically or even con-

ceptually (Cox 1993; Stewart and Berry 1999). Nevertheless, I think it is useful to
try to separate them analytically. Globalism refers to the degree of interconnected-
ness and the increase or decrease of linkages. By contrast, neoliberalism refers to an
economic and political school of thought on the relations between the state, on the
one hand, and citizens and the world of trade and commerce, on the other. Because
it espouses minimal or no state interference in the market and promotes the lifting
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of barriers to trade and business transactions across regional and national borders,
neoliberalism certainly becomes a motor of globalization.
Globalization in the past two decades shows clear signs of deeper and thicker inter-
connections that affect many more people than ever before. The effects are now much
faster, as shown by the financial crisis in Thailand in 1997 and the global fiscal crisis
of 2008–2009. The world has shrunk and become “one place,” with global com-
munications and media, transnational corporations, supranational institutions, and
integrated markets and financial systems that trade around the clock (McGrew 1992;
Sklair 1995). The cultural landscape has changed under the influence of mass media.
Through their ads, TV programs, movies, and music, they contribute to cultural glo-
balism, target young children, and foster consumerism (e.g., “Image Is Everything,”
“Just Do It,” or “Coke Is It”). Information technology is making for “distant en-
counters and instant connections” (Yergin and Stanislaw 1998). Fresh normative and
comparative ideals are thus promoted, legitimated, and presented as attainable.
The ideological underpinning of globalization, thus, has been the primacy of eco-
nomic growth, which is thought to be benefiting the whole planet. Consistent with
that prime directive, country after country has been persuaded (or forced) to pro-
mote “free trade” and consumerism, to reduce government regulation of business,
and to adopt the same economic model, regardless of local specificities and differ-
ences between industrialized and developing countries (Bello 1999; Mander 1996).
The Consequences of Global Neoliberalism
Throughout the world, the expectations raised by neoliberal theorists have not
materialized, despite the extensive application of their policy recommendations. In-
stead, most economies “fell into a hole” of low investment, decreased social spend-
ing and consumption, low output, decline and stagnation. Both the World Bank
and the International Monetary Fund retreated from structural adjustment pro-
grams and acknowledged their failure (Bello 1999; Katona 1999; Watkins 1997).
Criminogenic Effects: Systemic Strains and Global Anomie
What makes the ideology of the American Dream unique is a focus on money
and material goods, a strong emphasis on “winning” (often, by all means), and suc-
cess for everyone in a society where many opportunities for material advancement
are available, and plenty of “rags to riches” stories lend legitimacy and credibility
to the egalitarian discourse. Legal opportunities, however, for achieving the lofty
goals are inaccessible to most Americans. In such a consumption-driven culture,
which highly values competition and individualism, the means-ends disjunction has
entailed a significant criminogenic risk, much greater than in the rest of the world.
Crime has been the flip side of economic growth, innovation, and better living
(CONTINUES)
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BOX 9.1 (CONTINUED)
standards for certain segments of the population. What sheltered other countries
from this negative potential were things absent or minimized in the United States,
such as rigid social stratification, low rates of social mobility, less materialism and
time spent before television sets, safety nets for the underprivileged, more emphasis
on other priorities (e.g., solidarity), and so forth. The “American Dream” through
globalization has fared even worse elsewhere in countries such as China, India, Ar-
gentina, Russia, and others (see Passas 2006, where the global anomie framework is
applied to Iraq and central Asian republics).
The Consequence: Means-Ends Discrepancies
The worldwide consequences of neoliberal policies were replicated in Russia.

However, the effects have been far more disastrous there than elsewhere: lower pro-
ductivity, high unemployment, much steeper inequalities, increased levels of abso-
lute poverty, disappearance of familiar safety nets, and administrations paralyzed by
ineptness and corruption. The ensuing means-ends discrepancies are far more than
a theoretical construct. They are painfully experienced by large numbers of Russians
who realize that they simply cannot attain their goals. Within one year, inflation
wiped out most people’s life savings, while the buying power of most wages dropped
to the level of the 1950s. In the winter of 1993, funds were often insufficient to heat
residential buildings (Burbach, Nunez, and Kagarlitsky 1997; Handelman 1993).
Repressed nationalism, globalism, and bad times have jointly contributed to sev-
eral armed conflicts and rebellions in the former USSR (the Caucasus, Moldova,
Crimea, Tajikistan, and Chechnya). Rebellion and illegal markets become intercon-
nected, as armed conflicts necessitate training, weapons, intelligence, and financing.
The cases of Chechnya, Tajikistan, Afghanistan, and Colombia show how political
revolts are associated with corruption; money laundering; the traffic in arms, drugs,
and even nuclear matériel; and other crimes that go unpunished (Kuznetsova 1994,
445; Lee 1999; Naylor 1999; OGD 1996). Chechnya, which survives thanks to do-
nations from criminal organizations based in other parts of Russia, has become such
a paradise for these activities that some depict the war there as “a crusade against a
‘mafia republic,’” while others think of it as “a conflict between opposing criminal
elites for the control of oil and the financial resources held by the government in
Grozny” (Politi 1998, 44).
“Retreatism” is often the only option left to those lacking access to illegal oppor-
tunities or who are unwilling to assume the associated risks of violence and arrest.
Hence, expressive crimes could be expected. More important, the rates of alcohol
and drug abuse (further facilitated by the decriminalization of drug use in Russia
in 1991) increased geometrically, especially in the cities, and fueled the demand for
things provided in illegal markets (Lee 1994; OGD 1996).
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Conclusion
Tremendous structural strains have overwhelmed even the usually patient Rus-
sians. The economic situation deteriorated further, hopes were dashed, opportuni-
ties for criminal gain and for looting the former USSR’s assets multiplied, and the
anomic societal context offered no assistance to anyone seeking to restore some law
and order. In Russia and around the world, the neoliberal operation was successful,
but the patients are being systematically frustrated, are starving, and are subject to
exploitation by corporations, criminal enterprises, and corrupt politicians. In short,
globalization and neoliberalism spread analytically similar criminogenic processes
that were once unique to the US culture of the American Dream in a context of
structural inequalities. Just as the world supposedly became freer, wealthier, more
democratic, more enjoyable, and more equal, people find themselves poorer, more
exploited, and facing increased hardships. Just as the need for strong normative
guidance grows, norms break down or lose their legitimacy. Just as effective controls
become necessary to slow down or stop the vicious cycle leading to higher rates of
crime, a dysnomic regulatory patchwork remains in place largely because of nation-
alist insistence on sovereignty and states’ unwillingness to allow the introduction of
common principles and law enforcement mechanisms.
This insert was reproduced from an article: “Global Anomie, Dysnomie, and Economic
Crime: Hidden Consequences of Neoliberalism and Globalization in Russia and Around
the World,” Social Justice 27, no. 2 (Summer 2000): 16–45.
References
Bello, W. 1999. “Is the ‘Structural Adjustment’ Approach Really and Truly Dead?” Business
World, Internet edition, November 8. www.bworld.com.ph/current/today.html.
Burbach, R., O. Núñez, and B. Kagarlitsky. 1997. Globalization and Its Discontents.
London: Pluto Press.
Cox, R. W. 1993. “Structural Issues of Global Governance: Implications for Europe.” In
Gramsci, Historical Materialism, and International Relations, edited by S. Gill. Cam-
bridge: Cambridge University Press.
Handelman, S. 1993. “Why Capitalism and the Mafia May Mean Business.” New York
Times, January 24.
Katona, D. 1999. “Challenging the Global Structure Through Self-Determination: An
African Perspective.” American University International Law Review 14: 1439–1472.
Kuznetsova, R. W. L. F. 1994. “Crime in Russia: Causes and Prevention.” Demokrati-
zatsiya 2, no. 3: 442–452.
Lee, R. W. 1994. “The Organized Crime Morass in the Former Soviet Union.” Demokra-
tizatsiya 2, no. 3: 392–411.
______. 1999. “Transnational Organized Crime: An Overview.” In Transnational Crime
in the Americas, edited by T. Farer, 1–38. London: Routledge.
(CONTINUES)
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BOX 9.1 (CONTINUED)
Mander, J. 1996. “Facing the Rising Tide.” In The Case Against the Global Economy,
edited by J. Mander and E. Goldsmith, 3–19. San Francisco: Sierra Club Books.
McGrew, T. 1992. “A Global Society?” In Modernity and Its Futures, edited by S. Hall,
D. Held, and T. McGrew, 62–102. Cambridge: Open University Press.
Naylor, R. T. 1999. Patriots and Profiteers: On Economic Warfare, Embargo Busting, and
State-Sponsored Crime. Toronto: McClelland and Stewart.
OGD [Observatoire Geopolitique des Drogues]. 1996. The Geopolitics of Drugs. Boston:
Northeastern University Press.
Passas, Nikos. 2006. “Global Anomie, Dysnomie, and Economic Crime: Hidden Conse-
quences of Neoliberalism and Globalization in Russia and Around the World.” Social
Justice 27, no. 2: 16–45.
Politi, A. 1998. “Russian Organised Crime and European Security.” In Illicit Trade and
Organised Crime: New Threats to Economic Security? edited by E.U. Directorate-General
for External Relations, 31–57. Luxembourg: European Communities.
Sklair, L. 1995. Sociology of the Global System. 2d ed. New York and London: Prentice-Hall
and Harvester Wheatsheaf.
Stewart, F., and A. Berry. 1999. “Globalization, Liberalization, and Inequality: Expec-
tations and Experience.” In Inequality, Globalization, and World Politics, edited by
Ngaire Woods and A. Hurrell, 150–186. Oxford: Oxford University Press.
Watkins, K. 1997. Globalisation and Liberalisation: Implications for Poverty, Distribution,
and Inequality. Occasional Paper 32. UN Development Program.
Yergin, D., and J. Stanislaw. 1998. The Commanding Heights: The Battle Between Gov-
ernment and the Marketplace That Is Remaking the Modern World. New York: Simon
and Schuster.
Merton’s Instrumental Anomie

and Differential Opportunity Structures
Robert K. Merton, the sometimes-delinquent son of eastern European Jewish immi-

grants, rose from part-time magician to become a leading contemporary sociologist
at Harvard, Tulane, and Columbia universities (Calhoun 2010). He presented the
first contemporary anomie theory in 1938, having witnessed the Great Depression.
Although relying heavily on Durkheim and his concept of anomie, Merton made
different assumptions about humans and society. In contrast to the class-stratified
structure of Durkheim’s nineteenth-century France, twentieth-century US society
was founded on a supposed equality among people—an ethic whereby hard work
and innovation were rewarded—and an overall utilitarian ideology. In Durkheim’s
France, it was normal for people to be told, “You must go no further”; in Mer-
ton’s United States, the cultural motto was “Never stop trying to go further” (Passas
1995, 94–95), and an ideology that “promotes insatiability (unlimited aspirations,
‘the sky’s the limit’) through a cultural emphasis on a universal ability to succeed”
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(Einstadter and Henry 2006, 153). Merton appropriately shifted the emphasis of
anomie from a breakdown of, or a failure to develop, adequate moral or normative
regulation to “differential access to opportunity structures” that, combined with the
egalitarian ideology, produced relative deprivation (Box [1971] 1981, 97–99; Mer-
ton [1957] 1968; Passas 1995).
Relative deprivation is the condition in which people in one group compare
themselves to others (their reference group) who are better off, and as a result they
feel relatively deprived, whereas before the comparison no such feeling existed. Mer-
ton ([1957] 1968) used reference group theory and the differential experience of the
effects of structural strain to explain why some people in anomic situations resort to
deviance, whereas others do not.
Unlike Durkheim, Merton argued that human “appetites,” or desires, are not nat-
ural. Rather, they are created by cultural influences (Passas 1995). For example, in
the United States heavy emphasis is placed on monetary and material success, known
as the “American Dream.” Societal institutions, such as parents, families, schools,
government, and the media, impose this pressure. In the United States, people with
money are generally held in high esteem, whereas in other cultures, different charac-
teristics are valued, such as old age or religious piety. As a Japanese commentator on
the American Dream observed, it can look to others like selfishness: “The American
Dream is about keeping the rest of the world at bay. Achievements are measured not
so much by wealth itself, but by one’s ability to hold on to that wealth. . . . ‘Moving
up’ is the American way. . . . Because it can all change tomorrow and not everyone
can achieve the dream (though everyone is supposedly free to pursue it), protecting
that dream is very important. . . . ‘Extreme materialism’ . . . is worth fighting for”
(Brasor 2003).
Merton pointed out that he was using monetary success only as an illustration,
and in his later arguments he asserted that “cultural success goal” could be substi-
tuted for money with the same results ([1957] 1968; 1995, 30). It is “only when a
system of cultural values extols, virtually above all else, certain common symbols of
success for the population at large while its social structure rigorously restricts or
completely eliminates access to approved modes of acquiring these symbols for a
considerable part of the same population, that anti-social behavior ensues on a con-
siderable scale” (1938, 680).
In the United States, as in other capitalist societies, the approved modes of ac-
quiring success symbols are the institutionalized means used for achieving society’s
goals. These means are emphasized in the “middle-class values” of saving, education,
honesty, hard work, delayed gratification, and so on, but the means are not evenly
distributed. This is because the society is divided into a class hierarchy in which
access to the approved means is restricted for most of the population; it is “differen-
tially distributed among those variously located in the social structure” (ibid., 679).
In a well-integrated society there are adequate means available for all who desire to
successfully pursue the culturally prescribed goals: “A well regulated, or stable, so-
ciety has a balanced equilibrium between means and goals. In a stable society, both
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means and goals are accepted by everyone and are available to all. Social integration
occurs effectively when individuals are socialized into accepting that they will be
rewarded for the occasional sacrifice of conforming to the institutionalized means
and when they actually compete for rewards through legitimate means. Defectively
integrated, or unstable, societies stress the goals without stressing the means, or vice
versa” (Beirne and Messerschmidt 2000, 129). It is this mismatch between “cer-
tain conventional values of the culture” and “the class structure involving differential
access to the approved opportunities for legitimate, prestige bearing pursuit of the
cultural goals” that “calls forth” antisocial behavior (Merton 1938, 679). This con-
dition, or disjunction, creates the strain that produces anomie. The resolution of this
strain can include deviance and crime.
Thus, in contrast to Durkheim’s original conception, Merton’s anomie “is used to
clarify the contradictory consequences of an overwhelming emphasis on the mone-
tary success-goal coupled with the inadequacy of the existing opportunity structure”
(Orrù 1987, 124). Nor are these contradictions restricted merely to class divisions,
since, as Merton argues, the structural sources of differential access to opportunity
“among varied social groups (not, be it noted, only social classes)” are “in ironic con-
flict with the universal cultural mandate to strive for success” in a “heavily success-
oriented culture” (1995, 11).
When individuals are socialized to accept the goals of material wealth and up-
ward social mobility but due to their disadvantaged economic position are unable to
obtain the resources (means) to achieve these goals, they may cope in several ways,
some of which involve crime. It should be noted that Merton emphasized that the
differential opportunity structure (not merely confined to economic opportunities)
is the cause of strain rather than the cultural goals (ibid., 27–28).
Merton identified five ways in which individuals respond or adapt to “selective
blockage of access to opportunities among those variously located in the class, eth-
nic, racial, and gender sectors of the social structure” (ibid., 12). These five adap-
tations are all based on an individual’s attitudes toward means and goals. These
five adaptations are conformity, innovation, ritualism, retreatism, and rebellion (see
Table 9.1).
Conformity. The conformist accepts the goals of society and the legitimate means of
acquiring them. The means include delayed gratification, hard work, and education:
“‘The American Dream’ may be functional for the substantial numbers of those with
the social, economic, and personal resources needed to help convert that Dream into
a personal reality” (ibid., 16). Illustrative of this adaptation are people from lower-
economic-class families and those against whom considerable institutional discrim-
ination exists who succeed due to extra effort or education. Actual success is not
necessary, so long as the conformist continues to make the effort and plays by the
rules: “Access need not mean accession” (ibid., 8).
But, continues Merton, the dream “may be dysfunctional for substantial num-
bers of those with severely limited structural access to opportunity and under
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TABLE 9.1 Merton’s Individual Modes of Adaptation
Adaptation Cultural Goals Institutionalized Means

I. Conformity + +
II. Innovation + -
III. Ritualism - +
IV. Retreatism - -
V. Rebellion -/+ -/+
Source: Robert K. Merton. 1938. “Social Structure and Anomie.” American Sociological Review
3: 672–682, p. 676.
NOTE: (+) signifies acceptance, (-) signifies rejection, and (-/+) signifies rejection and substi-
tution of new goals and standards. Replacement represents a transitional response that seeks to
institutionalize new procedures oriented toward revamped cultural goals shared by the members of
society. This involves efforts to change the existing structure.
such conditions it invites comparatively high rates of the various kinds of deviant
behavior—socially proscribed innovation, ritualism, and retreatism” (ibid., 16).
Innovation. Innovators accept the goals but significantly reject or alter the means
of acquiring the goals; put simply, they cheat or “hustle.” They innovate and seek
alternative means to success—often illegitimate. This mode of adaptation accounts
for the majority of the crime explained by strain theory. Persons who want goals—
say, wealth and status—but who lack legitimate means of acquiring them may find
new methods through which wealth can be acquired. Crime is one option. Some
common examples of this mode of adaptive behavior would be theft, drug dealing,
white-collar crime, and organized crime.
Ritualism. The third type of adaptation to structural strain is ritualism. Ritualists

reject the societal goals but accept the means. These people recognize that they will
never achieve the goals due to personal inability or other factors. The bureaucrat who
becomes obsessed with the rules but loses sight of the objectives of the organization
is one example of a ritualist. Another is the “career student” who has no expectation
of ever finishing college but continues to take courses. Merton argues that this action
is deviant because the culture demands striving to get ahead, not accepting failure or
doing only enough to get by.
Retreatism. This is an adaptation whereby the individual rejects both the goals of
society as well as the legitimate means to attain them. This mode of adaptation is
most likely to be chosen when the socially approved means are perceived as being
unlikely to result in success and the conventional goals are seen as unattainable. Re-
treatism becomes an escape device for such people. Examples of retreatist behavior
would include chronic alcoholism, drug abuse, and vagrancy, behavior that reflects
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giving up the struggle. The retreatist is “in society but not of it” and may even go on
to commit suicide (1964, 219).
Rebellion. The final mode of adaptation is rebellion. Rebels not only reject the goals
and means but replace them with new ones. Members of street gangs and motorcy-
cle gangs may fit into this category, as do right-wing militia groups. Another form
of rebellion can be seen among the Amish, who live in separate communities within
the United States, and fail to adopt modern technology, use power-line electricity,
or drive gas-powered automobiles.
There have been some notable criticisms of Merton’s version of strain theory: that
it falsely assumes a universal commitment to materialistic goals; that it ignores vi-
olent, passionate, or spontaneous crime; that it cannot explain middle-class, cor-
porate, or white-collar crime; that it relies on official crime statistics; and that it
fails to differentiate between aspirations (desired goals) and expectations (probable
accomplishments) (F. Adler and Laufer 1995). These have been addressed by recent
developments and extensions, as we show next.
Cohen: Status Frustration and Delinquent Subcultures

Albert Cohen, a student of Merton’s and Sutherland’s, went on to integrate the
Chicago School’s ideas on culture, differential association, and crime with Merton’s
anomie theory. He used Merton’s theory to answer the criticism that differential
association fails to explain how patterns of delinquent behavior originate (discussed
in Chapter 7). But he criticized Merton for overemphasizing the individual dimen-
sion of adaptation to strain. Cohen (1955), looking exclusively at delinquent boys,
observed that most delinquent behavior not only occurs in interactive group or
gang settings rather than alone but also originates there. Each member stimulates
the others into behavior they would not commit individually: “Deviant as well as
non-deviant behavior is typically not contrived within the solitary individual psyche,
but is a part of collaborative social activity, in which the things that other people
say and do give meaning, value and effect to one’s own behavior” (1955, 8). He
also observed that most of this collective action among juvenile delinquent boys was
“non-utilitarian, malicious, and negativistic” in nature (ibid., 25). He also criticized
Merton’s individualistic version of anomie theory for failing to explain the nonutil-
itarian nature of delinquency. He argued that lower-class male delinquent behavior
was the result of a collective adaptation or adjustment to the strain caused by the
disjunction between culturally induced goals and differential opportunity structure.
Cohen claimed that for juvenile boys, the central value was achievement or suc-
cess that brought social status. The socially approved context for this was the school,
which provides status based on the middle-class values of accomplishment, display
of drive and ambition, individual responsibility and leadership, academic achieve-
ment, deferred gratification, rationality, courtesy, self-control over violence and ag-
gression, constructive use of leisure time, and respect for property (J. Hagan 1994;
Shoemaker 1996). But many lower-class youths, prior to entering school, have low
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ascribed status (which is conferred by virtue of one’s family position). Nor do they
have the socially relevant means and background skills to legitimately achieve sta-
tus by accomplishing the goals that would bring success in the school setting. Such
youths are judged by middle-class standards and typically cannot measure up to
their middle-class counterparts. This places lower-class youths under severe strain,
from which they experience “status frustration.” This is a psychological state involv-
ing self-hatred, guilt, self-recrimination, loss of self-esteem, and anxiety. To resolve
their status frustration, lower-class youths seek achieved (aspired) status, but since
they are unable to achieve this by legitimate means, they collectively rebel (as in
Merton’s fifth mode of adaptation to strain) through a process that Cohen calls “re-
action formation.”
Reaction formation involves “(1) redefining the values among similarly situated
peers; (2) dismissing, disregarding, and discrediting ‘school knowledge’; and (3) ridi-
culing those who possess such knowledge” (Einstadter and Henry 2006, 168). These
youths rebel against the middle-class values by inverting them and thereby creating
their own peer-defined success goals, which form the basis of the delinquent subcul-
ture. Thus, argues Cohen, these oppositional values are often negative and destruc-
tive, involving behavior such as fighting, vandalism, and any acts that provide instant
gratification. Status for conducting such activities is achieved among like-minded
peers, ultimately in gang membership. In the gang context, others who hold the same
negative values respect the deviant lawbreaker. Cohen argues that “the delinquent’s
conduct is right by the standards of his subculture precisely because it is wrong by the
norms of the larger culture” (1955, 28).
Cohen recognized that his theory was not all-inclusive and did not explain all
juvenile crime, particularly crimes by females. He also argued that, as well as the
delinquent subculture, there were two other collective responses: the nondeviant
“college boy” subculture, whose members struggle against all odds to achieve con-
ventional success, and the dropout “corner boy” subculture. The corner boy paral-
lels Merton’s individual retreatist in that he is unable to succeed and believes he is
destined to fail at school. But instead of suffering his fate alone, he joins collectively
with others for emotional support and engages in marginally deviant activities,
which are driven by fatalistic motives rather than the rational goal-directed ones of
the delinquent subculture. Subsequent theorists used this analysis as a transitional
point and examined these groups.
Cloward and Ohlin: Differential Opportunity

Structures and Alienated Youths
Like Cohen, Richard A. Cloward and Lloyd Ohlin saw collective rather than indi-
vidual action as a key feature of delinquent behavior. In contrast to Cohen, how-
ever, their major insight was the notion that rather than rejecting middle-class values,
working-class male youths are rational, goal seeking, and oriented toward these val-
ues, particularly economic success. They also added an important new dimension,
which involved differential access to success goals by illegitimate means. This implied
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the parallel existence of an illegitimate opportunity structure (Cloward 1959); this

idea first appeared in Cloward’s doctoral dissertation on military prison completed
under Merton and Ohlin at Columbia University. In 1960, Cloward and Ohlin pre-
sented their classification scheme to explain the formation of three types of delinquent
gangs, showing how these varied depending on the illegal opportunity structures.
The basis of gang formation was rooted in the alienation of some adolescent
youths from conventional society as a result of what they perceived as being un-
justly denied access to the legitimate means to succeed. Gangs formed as a result
of interaction with other similarly affected youths. The way they formed depended
on the neighborhood characteristics. Reflecting Chicago School ideas (discussed
in Chapter 8), opportunity was also ecological in nature. Different neighborhoods
had different resources and opportunity structures available—both legitimate and
illegitimate. Concepts central to differential association were vital because youths
identify with neighborhood role models and pattern their behaviors after these sig-
nificant others. (Consider the Chambers brothers example.) Cloward and Ohlin’s
explanation successfully integrated the ecology theories of the Chicago School,
Sutherland’s differential association ([1939] 1947), and Merton’s anomie.
Like Merton, Cloward and Ohlin agreed that strain and anomie exist because
of a “discrepancy” between aspirations and opportunities. Their view, more consis-
tent with Merton’s than Cohen’s, was that crime may be the result of “differential
opportunity structures.” Cloward and Ohlin argue that lower-class youths are “led
to want” “conventional goals” but find they are unavailable. Because of the “dem-
ocratic ideology espousing equality of opportunity and universally high aspirations
for success,” and “faced with limitations on legitimate avenues of access to these
goals, and unable to revise their aspirations downward, they experience intense frus-
trations; the exploration of nonconformist alternatives may result” (1960, 108, 86).
Moreover, these frustrations are likely to be more intensely felt among those in social
positions where the discrepancy causing the frustration is most acute (ibid., 108).
What further distinguishes Cloward and Ohlin from Cohen is that the frustra-
tion produced by the differential opportunity systems is not interpreted by adolescent
youths as their own fault or failing. Rather, they perceive their failure as the fault of
the system: “It is our view that the most significant step in the withdrawal of senti-
ments supporting the legitimacy of conventional norms is the attribution of the cause
of failure to the social order rather than to oneself.” Thus, youths view their failure
not as “a reflection of personal inadequacy” but as a result of “unjust or arbitrary in-
stitutional arrangements” (ibid., 111). Although such youths do internalize conven-
tional goals, they do not internalize the failure to accomplish these goals as the result
of their own inadequacy but as a result of an unjust cultural and social system.
For Cloward and Ohlin, the strain producing frustration does not lead automat-
ically to collective delinquent solutions but depends first on alienation. Whether
this alienation from the conventional system converts into subcultural delinquency
depends on the outcome of a complex interactive and dynamic evolutionary process
among peers. Indeed, those who aspire to economic success are more likely to take
part in serious criminal conduct than those who aspire to a middle-class lifestyle
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(Hoffmann and Ireland 1995, 248–249). Anticipating subsequent renditions of

control and neutralization theory (discussed in Chapters 6 and 7), Cloward and Oh-
lin argued that before delinquent subcultures can form, four conditions must be
met: “First, [youths] must be freed from commitment to and belief in the legitimacy
of certain aspects of the existing organization of means. Second, they must join with
others in seeking a solution to their adjustment problems rather than attempt to
solve them alone. Third, they must be provided with appropriate means for handling
the problems of guilt and fear. Finally, they must face no obstacles to the possibility
of joint problem-solving” (1960, 110).
Cloward and Ohlin identified three primary types of deviant subcultures that
form in response to the shared perception of injustice. They argued that subcultures
develop in relation to the legitimate and illegitimate neighborhood opportunities in
which youths grow up. Members of the first deviant subculture, the criminal subcul-
ture, are primarily interested in crimes that bring material gain: theft, drug dealing,
numbers rackets, and so on. These groups are likely to form in neighborhoods where
there exists a connection between both conventional activity and theft and various
moneymaking rackets. This mutual interdependence provides a relatively stable ille-
gal opportunity structure. Here, adult criminal role models exemplify an alternative
career path and appropriate criminal skills for the juveniles who, like Merton’s in-
novators, are goal-directed instrumentalists rather than impulsive, irrational actors
(Shoemaker 1996, 113). The members of these gangs avoid irrational crimes involv-
ing violence because such acts would threaten their criminal careers (again consider
the Chambers brothers as an example of Cloward and Ohlin’s criminal subculture).
In contrast, the second form of deviant subculture, the conflict subculture, forms
where stable organized criminal activity fails to develop. This is because of a variety
of ecological factors, including a transient population, few adult role models, and
isolation from conventional opportunity structures. Conflict subcultures have paral-
lels with Merton’s rebellion and Cohen’s delinquent subcultures. Members of con-
flict subcultures are involved in violent or “expressive” crimes essentially motivated
by an angry war against society for the injustice and humiliation it has bestowed on
them. These subcultures may be gangs who fight to preserve territorial boundar-
ies and honor. Here, self-worth, or “rep,” is developed through establishing oneself
as a risk taker, a hard-ass, being cool, and having a violent macho image. Being
“quoted,” or beaten by gang members as an initiation rite, illustrates this value. Part
of the reason for this alternative status or honor hierarchy is the absence of stable
illegitimate opportunity structures.
The final form of deviant subculture, the retreatist subculture, which has parallels
to Merton’s retreatist mode of adaptation and Cohen’s “corner-boy subculture,” is
composed of dropouts involved with excessive alcohol and drug use, sexually pro-
miscuous behavior, and survival activities such as pimping. Members of these sub-
cultures are deemed “double failures” because they have also failed in other types of
gangs (criminal and conflict) as well as in conventional society. The retreatist reflects
the important point of blockage by both the legitimate and the illegitimate oppor-
tunity structures.
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Policy Implications of Traditional Strain Theory

There are two broad policy approaches addressing the structural-cultural causes of
strain. First, the raised cultural aspirations emphasizing monetary acquisition pro-
duced by a society can be tempered, reduced, or otherwise lowered. Second, the
unequal opportunity structure can be addressed by making it more equitable. By far
the majority of policy suggestions and implementations from traditional strain the-
ories have attempted to increase access to legitimate opportunities. We will see later
that one version of the new strain theory attempts to deal with the cultural question.
At the macro policy level of dealing with problems of differential opportunity
structure, it is clear that if juveniles lack the means to achieve “middle-class” success,
then the means should be provided to them. Educational programs such as Head
Start help disadvantaged children from an early age to succeed in the school setting.
Providing resources and mobilizing disorganized communities are also suggested by
strain theorists. Unlike many criminological theories, these policies have been imple-
mented—although not completely and not with much success, with the exception
of Head Start, which was implemented in 1965 and by 2013 had enrolled more
than 30 million children.
In the early-1960s, Robert Kennedy was appointed attorney general of the United
States by his brother and then-president John F. Kennedy. Robert Kennedy had
read Cloward and Ohlin’s book and as a result asked Ohlin to help devise a new
federal policy for dealing with juvenile delinquency. The Juvenile Delinquency Pre-
vention and Control Act of 1961 was designed to provide employment and work
training for disadvantaged youths. The Act also directed resources to social services
and community organizations. Despite good intentions, the Act is generally consid-
ered to have failed, in part, according to some, because it did not go far enough. For
example, Ohlin advocated strikes against schools and lawsuits against landlords as a
means of promoting change. The Act was much less ambitious, incorporating only
piecemeal solutions. But it was the forerunner of Lyndon Johnson’s War on Poverty,
announced in 1964, including the Office of Economic Opportunity (Gilsinan 1990;
Sundquist 1969). From that Office emerged numerous social engineering programs,
such as Mobilization for Youth, Head Start, Job Corps, Vista, Neighborhood Legal
Services, and the Community Action Program. Again, some have argued that the
$6 billion spent on these programs between 1965 and 1968 was a gross underfund-
ing given the magnitude of the problems and claim that up to $40 billion would
have been more appropriate (Curran and Renzetti 1994, 170; Empey and Stafford
1991). Others maintained that the programs underestimated the extent of political
resistance reflected in the fact that those who challenged the political and economic
structure of their communities saw their funds withdrawn (Empey and Stafford
1991). The outcome was more certain: “Contrary to expectations, the crime rate,
rather than decreasing appeared to increase. Moreover, as legitimate opportunities
seemed to expand, the demand for even greater opportunity increased and urban
riots became a commonplace spectacle on the nightly news” (Gilsinan 1990, 146).
By the 1980s, most of Johnson’s War on Poverty programs had been dismantled
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(Curran and Renzetti 1994, 172), with the exception of Head Start, which was still
receiving funding in 2013.
In summary, traditional versions of strain theory have drawn attention to the in-
terplay between structural and cultural forces and individual and collective adap-
tations to their misalignment, and the deviant and criminal outcomes that result.
Policy suggestions have been implemented with some success, if limited resources.
What has been omitted from the theory and the policy is an analysis of increasingly
diverse social values, variation among individuals’ perceptions, and the contribution
from institutions to these developments. The various revisions to strain theory at-
tempt to fill these gaps and begin to make policy recommendations but as yet have
received only limited empirical evaluation.
Evaluation of Traditional Strain Theory

Most criticisms of Merton’s original strain theory have been addressed by subsequent
theorists such as Cohen and Cloward and Ohlin, but several have proved resilient.
These include (1) the omission of major segments of the population whose social
characteristics lead them to not share in dominant cultural goals of economic success,
notably women (Leonard 1982) and minorities (LaFree, Drass, and O’Day 1992);
(2) confusion over the definition of goals and means (Sanders 1983); (3) over-
simplification of the process of gang formation, gang types (Spergel 1964; Camp-
bell 1984), and what motivates gang members (Jack Katz 1988; Hagedorn [1988]
1994/1998); and (4) failure to allow for humans’ being creative and interpretive
enough to overcome the social structure and transform it (Suchar 1978). Although
some have acknowledged that Merton’s theory has been “reborn” as “a viable and
promising theory of delinquency and crime,” primarily because of recent attempts to
develop and extend it (discussed later), even these new ideas are subject to challenge
(Farnworth and Leiber 1989, 273).
The empirical evidence for strain theory demonstrates conditional support, al-
though support is growing for the various revised versions of the theory. However,
the theory has fared less well in its hypothesis that crime is related to pursuing a
goal of material success, and is less supported in its prediction that Americans at-
tach greater importance than other cultures to financial success and the willingness
to ignore rules to pursue goals (Jensen 2002; Cao 2004). The incorporation of the
dimensions of other theories improves the likelihood of empirical support. But the
balance of evidence suggests that both Cohen’s and Cloward and Ohlin’s theories
are not generally supported by the empirical data, especially Cohen’s idea of youths’
joining with others to commit offenses in opposition to middle-class values as a re-
sult of school failure. Nor has Cloward and Ohlin’s notion that lower-class youths
blame the system for their failures or their typology of gangs received much empir-
ical support (Shoemaker 1996, 111, 114–115, 120). However, evaluation of policy
applications of the theory has shown some positive results. For example, the Head
Start program over its history has demonstrated positive results, both for educational
achievement, employment prospects, and participation in crime. A seventeen-year
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follow-up controlled group study of 622 young adults aged twenty-two in Colorado
and Florida found that those who participated in Head Start achieved greater school
success than those who did not. Importantly, however, female but not male partic-
ipants in Head Start did much better educationally, with 95 percent graduating or
obtaining a general equivalency diploma compared to 81 percent of nonparticipants.
For Head Start programs using the High Scope program (based on the principle
that active learners learn best from activities that they plan and carry out themselves
and then reflect upon), there were only half as many convictions as nonconvic-
tions among all participants compared to nonparticipants (Oden, Schweinhart, and
Weikart 2000). Another study that randomly assigned 123 African Americans living
in poverty to either the program or no program and evaluated the crime-prevention
effects of this program through age forty found that “the program group signifi-
cantly surpassed the no-program group in tested ability and performance through-
out childhood; higher adult earnings and rates of employment and home ownership;
half as many lifetime arrests, including fewer lifetime arrests for violent, property,
and drug crimes; and fewer convictions and months sentenced” (Schweinhart 2007,
141). Overall assessment of the policy implications of traditional anomie and strain
theory varies depending on which version is followed. Since all relate the source of
crime to the strain produced by structural (means) and cultural (goals) contradic-
tions, crime-control policy must attend to removing or reducing these strains or
improving the legitimate ways that those affected cope.
Recent Revisions to Anomie and Strain Theory

Several contemporary criminologists have presented revised versions of traditional
strain theory. For example, while retaining the core elements of strain theory, Elliott
and his colleagues (Elliott, Ageton, and Canter 1979; Elliott, Huizinga, and Ageton
1985) asserted that juveniles have varied goals that differ among individuals and
groups. Moreover, juveniles may hold multiple goals that they consider important.
These may include having an active social life, being a good athlete, getting good
grades, and having a good physical appearance and an attractive personality (Agnew
1984; 1995a, 114–115). However, like the original versions of strain theory, this
version has a very limited scope, since it examines the behavior of only delinquent
boys in urban environments (Broidy 2001).
Passas (1995, 101) extended the original formulation by arguing that anomic
trends apply “at all levels of the social structure” and showed especially how they
apply to corporate deviance (1990, 1993). He pointed out that in “achievement-
oriented societies” where people are encouraged to compete, “they do not com-
pete for the same things.” Thus, we do not necessarily need comparisons between
different classes; comparisons can occur with more successful peers, which may be
upsetting and “generate frustrations and bring about a breakdown of normative
standards” (ibid., 101–102).
Perhaps the most visible contributor to the revised strain theory is Robert Agnew
(1985, 1992, 1995a, 1995b, 2006), who also argued for a general strain theory able
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to explain crime and middle-class delinquency, and has sought to identify the con-
ditions that cause strain and the interrelation between personality traits or “negative
emotionality” and strain (Agnew et al. 2006).
Agnew’s General (or Revised) Strain Theory

Whereas Merton sought to explain how macrolevel influences produce strain that
bears on individual choices, Robert S. Agnew’s “general strain theory” (1992) ar-
gued that there are also microlevel stresses emanating from negative interpersonal,
peer group, or familial relationships that produce strain and that these may be more
important. Not only that, but the two kinds of strain, structural and psychological
strain, are interrelated. Thus, strain first “can refer to characteristics of a society: a
situation in which the social structure fails to provide legitimate means to achieve
what the culture values. Second, it can refer to feelings and emotions that an indi-
vidual experiences; feelings of stress or frustration or anxiety or depression or anger.
The line of argument connecting these two meanings is that people in situations of
‘social structural strain’ . . . may feel ‘strained’ . . . and feelings then are the actual
cause of higher crime rates associated with these people” (Vold, Bernard, and Snipes
2001, 147).
Agnew presents four sources of strain: (1) “strain as the actual or anticipated fail-
ure to achieve positively valued goals” (e.g., failure to get into college); (2) “strain as
the actual or anticipated removal of positively valued stimuli” (e.g., being kicked off
the high school basketball team or thrown out of a budding local hip-hop group);
(3) “strain as the actual or anticipated presentation of negatively valued stimuli”
(e.g., experiencing domestic violence, or being subjected to school bullying); and
(4) strain produced by the failure of achievements to meet expectations (e.g., failing
to meet a desirable boyfriend or girlfriend and always ending up with the loser, or
getting into an average college but not the top college that friends have achieved)
(1992, 47). Strain resulting from each of these sources manifests in negative emo-
tions such as anger and frustration, which “creates pressure for corrective action,
with delinquency being one possible response” (1995a, 116; see also Brezina 1996).
Agnew also speaks of an “aversive situation” for adolescents, which may include
the following indicators of “environmental adversity”: (1) the extent to which par-
ents scream, slap, threaten, nag, ignore, and withdraw love privileges; (2) the extent
to which teachers lose their tempers, make negative comments, and talk down to
students; and (3) the extent to which students find school boring and a “waste of
time” (1991b, 282). Thus, Agnew’s theory here implies an unequal distribution of
power within the social structure that is based on gender or age. Indeed, it is a dis-
tinguishing feature of adolescents that they lack power and are often compelled to
remain in situations that they find aversive. They are compelled to live with their
family in a certain neighborhood, to go to a certain school, and, within limits, to
interact with the same group of peers and neighbors (1985, 156). Adolescents, then,
are considered more constrained by institutional structures than, say, adults (al-
though adults receive different kinds of constraints) and, as a result, have goals that
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are directed to the avoidance of pain rather than achieving pleasure. For Agnew, de-
linquency operates as one way of coping with these power imbalances, experienced
as “negative social relations” and as uncomfortable psychological states (e.g., anger
and frustration) (1995a, 113).
Agnew has subsequently refined this position, arguing that vicarious and antic-
ipated strain in addition to directly experienced strain are also important (2002).
Vicarious strain “refers to the real-life strain experienced by others around the indi-
vidual. . . . The individual may directly witness the strain experienced by these others
(e.g., such as an assault), may hear these others’ experience of strain (e.g., gunshots,
screams) or may hear about the strain of these others (e.g., from victims or in the
media)” (2001, 604). Anticipated strain is the person’s expectation that the current
strain will continue into the future. Agnew also posits that some types of strain will
not be related to crime (2001).
What Agnew contributed to traditional strain theory, then, is an analysis of the
psychological processes that convert structurally induced frustrations and negative
emotions (especially anger) into delinquent action, focusing on cognitive, behav-
ioral, and emotional coping strategies (1995b, 63). Put simply, he argued that the
unique contribution of strain theory is its essential insight that “if you treat people
badly, they might get mad and engage in delinquency” (1995a, 132; 1995b, 43)
and that “the ultimate source of crime is negative treatment by others” (2001,
171). Moreover, he asserted that people, particularly adolescents, are more likely
to get mad if they have personality traits that include ineffective problem-solving
skills, emotional sensitivity, low tolerance to adversity, and poor self-control (Ag-
new et al. 2002). Agnew (2001) identified the range of potential strains most likely
to be responsible for crime and delinquency: (1) strain perceived as being unjust
(e.g., being “picked on” for punishment by a teacher for behavior that others get
away with); (2) strain of high magnitude (e.g., consistently experiencing abuse
at home or continually witnessing parents’ fighting); (3) strain accompanied by
low social control (e.g., family abandoned by a loved father and having to accept
a hated stepfather); and (4) strain creating pressure to engage in criminal coping
(e.g., viciously fighting back against a bully, or against those who allow bullying to
continue such as teachers and other students). However, Agnew is fully aware that
not all strains or “stressors” lead to crime but recognizes the “centrality of anger”
that follows strain. Anger short-circuits the ability to reason with others, reduces
the awareness of the consequences of committing crime, and allows the person
to feel that the crime is justified under the circumstances, thereby increasing the
probability of crime. He states that “people are more likely to engage in criminal
coping when they lack the ability to cope in a legal or constructive manner, when
they perceive the costs of crime are low, and when they are disposed to criminal
behavior patterns” (2006, 158). In short, from Agnew’s perspective, crime is a
coping mechanism: “Crime may be a means to reduce strains or escape from them
(steal the money one desires, run away from abusive parents); seek revenge against
the source of the strain or related targets; or make oneself feel better (through il-
licit drug use)” (ibid., 155).
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Policy Implications of General Strain Theory

General strain theory sees the problem of crime in socio-psychological terms and,
therefore, prefers microlevel individual policy solutions. Since Agnew simplifies
the problem of strain as “treating people badly,” whereupon they “get mad” and
commit crimes, he not surprisingly sees policy suggestions as relatively straight-
forward. At this level general strain theory has two core policy recommendations.
First, “reduce the likelihood that people will treat one another badly” by intro-
ducing family, school, and peer group programs that teach people “prosocial skills
so that they will be less likely to provoke negative reaction from others.” Second,
“reduce the likelihood that people will respond to negative treatment with delin-
quency” by providing them with social support and teaching them better coping
skills (1995b, 43). In particular, Agnew provides four concrete policy proposals
for juveniles: (1) Reduce the adversity in youths’ social environment by providing
them with more participation in the decisions that affect their lives. This will in-
crease their sense of “distributive justice.” Provide academic and social monitoring
and support and rewards for prosocial behavior while helping them overcome ad-
verse environments, whether this involves changing schools or families; (2) Provide
social-skill training programs to reduce youths’ likelihood of provoking negative so-
cial reactions in others; (3) Provide social support such as advocates or counselors
and mediation programs to increase youths’ ability to solve problems legitimately,
particularly in stressful times of transition; and (4) Increase social-skill-training, prob-
lem-solving, and anger-control programs to increase the ability of youths to cope with
adversity without resorting to delinquency (ibid., 64). It is important to point out, as
Agnew does, that none of these coping strategies removes the forces causing strain in
the larger environment and influencing the success or failure of particular programs.
As he acknowledges, “It is difficult for parent training programs to be successful, for
example, when parents face multiple stressors such as the lack of good jobs, poor
housing, and neighborhoods plagued by a host of social problems” (ibid., 61). Ag-
new left this level of policy intervention to others, however.
Evaluation of General Strain Theory

As a result of its focus in psychological, behavioral, and cognitive processes, Agnew’s
general strain theory is seen by some as reductionist, undermining the major struc-
tural tenets of the original theory (Farnworth and Leiber 1989, 272; Shoemaker
1996, 96). But Agnew (1995b) himself argues that his revision is intended not to
displace the structural dimension but to complement it (indeed, there could be no
better complement to it than the work of Messner and Rosenfeld, discussed be-
low, who combined broad social-structural processes and, in particular, examined
the shift toward an extreme emphasis on material goals and the impact this has on
institutions of social control).
The basic tenets of general strain theory are supported by recent empirical re-
search (Hay and Meldrum, 2010; Morris, Carriaga, Diamond, Piquero, and Piquero,
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2012; Moon, Morash, Perez McCluskey, and Hwang 2009; Arter 2008; Bao, Haas,
and Pi 2007). It is also quite robust and allows extension and modification. Exten-
sions have included Arter (2008), who successfully applied strain theory to explain
police behavior, while Ellwanger (2007) has used strain theory to explain traffic de-
linquency. Aspects of Agnew’s general strain theory concerning the negative effects
of multiple sources of strain on social bonds and increased delinquent peer associa-
tions have also received some empirical support. Overall, “there is consistent empir-
ical evidence that exposure to strain increases the likelihood of criminal offending”
but “less support for the idea that adaptations to strain are conditioned by a range of
other factors,” yet “some evidence indicates that the combination of strain and anger
increases the risk of criminal conduct” (Lilly, Cullen, and Ball 2002, 61).
Messner and Rosenfeld’s Institutional Anomie Theory

Unlike Agnew’s microtheoretical interpretation of strain theory, Messner and Ros-
enfeld’s book Crime and the American Dream (2012) presents the macrotheoretical
idea of institutional anomie to explain the uniquely US obsession with crime. This
revised interpretation of Merton’s strain theory includes elements of control theory
not dissimilar to Durkheim’s original argument. It focuses, however, on what the
authors claim is the unique character of US culture, embodied in the “American
Dream” and its relationships with US economic institutions. Messner and Rosenfeld
argued that all societies have their own internal institutional balance of power, with
some institutions more dominant than others. The particular balance in American
society is dominated by the “free market economy” that favors economic institutions
over the rest:
Noneconomic institutions “bend” to the economy as plants to sunlight; their rewards

and routines conform to economic requirements, and the very language used to describe
them has economic overtones. Think of the accommodations families make to economic
requirements, how work hours determine household meal and vacation schedules, how
an employer’s permission is needed to tend to a sick child, how having a family above
all requires having a job. Think of how the economy dominates American political life,
how much attention during elections is devoted to the candidates’ “tax and spend” pol-
icies, how much more efficient government would be, we are told, if it were run like a
business. (Rosenfeld and Messner 2006, 165–166)
This predominantly individualized competitive free-market ideology colors the

American Dream. Rosenfeld and Messner defined the American Dream as “a com-
mitment to the goal of material success, to be pursued by everyone in society, under
conditions of open, individual competition” (1995b, 164). The American Dream
promotes never-ending individual achievement as a measure of social worth. Their
view of American society implies that institutions shape people’s actions and that
the particular market-driven configuration of American society “reinforces ‘anomic’
cultural tendencies that elevate the goal of material success above others and
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de-emphasizes the importance of using the legitimate means for attaining success”
(ibid., 165).
Messner and Rosenfeld maintained that social institutions, such as schools and
the family, serve to perpetuate the economic status quo of competitive material suc-
cess by failing to stimulate alternative means of self-worth and, as a result, are unable
to tame economic imperatives. They stated that this economic dominance over so-
cial organizations is manifest in three different ways: “(1) in the devaluation of non-
economic institutional functions and roles; (2) in the accommodation to economic
requirements by other institutions; and (3) in the penetration of economic norms
into other institutional domains” (ibid., 171). Institutional anomie theory “holds
that culturally produced pressures to secure monetary rewards, coupled with weak
controls from non-economic social institutions, promote high rates of instrumental
criminal activity” (Chamlin and Cochran 1995, 413). This is because under the par-
ticular insatiable demands of the American Dream, no amount of money obtained
from legal sources is ever enough: “Illegal means will always offer further advantages
in pursuit of the ultimate goal. There is a perpetual attractiveness associated with ille-
gal activity that is an inevitable corollary of the goal of monetary success” (Rosenfeld
and Messner 1995b, 175). Moreover, the authors believe that not only is the effect of
anomie ameliorated by the strength of noneconomic social institutions, but without
them crime knows no bounds (Messner and Rosenfeld 1994).
Rosenfeld and Messner’s institutional anomie theory has particular relevance for
explaining crime in a late-modern or postmodern society where there is a celebra-
tion of the “culture of consumption.” As they say, the American Dream is ful-
filled through consumption, and consumption is often not possible without crime:
“The consumer role is the principal structural locus of anomic cultural pressures
in modern market societies” (1995a, 2). Whether the anomic tendencies of the
consumer role lead to crime depends on the embeddedness of consumption. In
community-based societies such as Japan, the anomic pressures are subdued in
market relations with strong noneconomic content and control. Market relations
“are embedded in non-economic institutional domains” that foster trust and net-
works of interpersonal relations (ibid., 6). In late-modern or postmodern societies
such as the United States, where the economic “bottom line” pervades all insti-
tutional arenas and social standing and personal worth are defined primarily in
terms of individual material acquisition, anomic pressures to engage in crime are
stimulated. Messner and Rosenfeld (1994, 2001, 2006, 2012), therefore, seek the
cause of crime in the structural, cultural, and institutional conditions of society.
They argue that for each configuration of society’s balance of institutions, there
is a corresponding rate of crime or deviance. Their argument is that American
capitalist society, dominated by a market-driven economy, which permeates all
social institutions, allows an unfettered pursuit of needs and desires that pays little
attention to the legitimacy of the methods used to achieve them:
We maintain that the dominance of the free-market economy in the institutional struc-
ture reinforces “anomic” cultural tendencies that elevate the goal of material success
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above others and de-emphasize the importance of using the legitimate means for
attaining success. Under such cultural conditions, people tend to cut corners, and
they may disobey the law when it impedes the pursuit of economic gain. At the
same time, the social control exerted by the polity, family, education, and religion is
diminished when the institutional balance of power favors the economy. The social
support institutions provide also weakens. . . . Diminished social control frees peo-
ple from normative restraints; weakened social support pushes people to meet their
material and other needs however they can. Both lead to high rates of criminality.
(2006, 166)
Their own research (Messner and Rosenfeld 1997) indicated that societies with
stronger welfare safety nets, designed to protect their members from the harshness
of unemployment and mitigate the effects of inequality, have lower crime rates than
those with weaker social support systems.
Policy Implications of Institutional Anomie

With regard to policy questions in relation to strain theories, theorists have rarely
suggested addressing the cultural problem of raised aspirations. Rosenfeld and Mess-
ner, however, did just that. As they observed, “Americans live in a society that en-
shrines the unfettered pursuit of material success above all other values. Reducing
these crimes will require fundamental social transformations that few Americans
desire and rethinking a dream that is the envy of the world” (1995a, 176–177).
Indeed, they said, “Permanent reductions in criminality, as opposed to the stabili-
zation of high crime rates, will require a tempering of the extreme materialism and
competitive individualism of the American Dream. Those cultural changes, in turn,
must be accompanied by a corresponding shift in the institutional balance of power
that strengthens the social control and social support functions of noneconomic in-
stitutions” (2006, 171).
As part of their policy for ameliorating the extreme effects of capitalist inequal-
ities, Messner and Rosenfeld (2001, 2006, 2012) suggested initiatives designed
to protect and insulate youth from delinquency by providing socialization for the
young in the responsibilities and obligations of adulthood, paid family leave for par-
ents, and even universal national service. For those already in trouble with the law,
they suggest reductions in sentence length and increased support for prisoner reentry
programs designed to integrate offenders into their communities. But with regard to
delivering more fundamental social change, they believe it is necessary to go beyond
policy makers to social movements: “organized groups of citizens dedicated to trans-
forming conventional outlooks and institutional practices” (Rosenfeld and Messner
2006, 171).
Thus, although antithetical to US cultural values of individualism and material
gain, stressing the values of cooperative activity, social rather than instrumental re-
lations, sharing rather than consuming, and humility and satisfaction with the inner
self as opposed to monetary success, physical beauty, and material trappings would
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reduce or eliminate the insatiable desire to pursue instrumental goals. Indeed, some
have suggested shifting the culture toward increased social support at the very time
when it appears to be moving away from this value (E. Currie 1985; Cullen 1994).
However, rather than simply providing welfare, addressing the pervasiveness of mar-
ket principles would require a massive restructuring of capitalist society. For exam-
ple, Einstadter and Henry pointed to one aspect of what such a policy might entail:
“Limiting the extent to which we create a demand for unnecessary consumption
through advertising in the mass media. Controls might include laws minimizing
advertising to informational claims, reducing the length of advertisements to one or
two line announcements as currently occurs on Public Broadcasting Service spon-
sorship, and vigorously controlling any ‘hyping’ of product that is not substantially
supported by independent consumer research” (2006, 177).
Ultimately, of course, this kind of approach begins to challenge the very foun-
dation of American capitalist society, and, as we shall see in the next chapter, that
is precisely what some feel it should do. Indeed, critical theorists, beginning with
Marxists, argue that the ultimate failure of the strain approach is that it is reformist;
the system is rigged, and no amount of adjustment is going to remove the strain that
stems from its basic inequalities.
Evaluation of Institutional Anomie Theory

Messner and Rosenfeld’s contribution could be said to have shifted our attention
back from the psychological interpretation of Agnew to the economic structuralist
argument focusing on the centrality of the materialist American Dream. Merton
(1995), however, rejected an exclusive focus on structure as too limited. Indeed,
focusing on the formal economic institutions of society as the dominant shaping
forces of US culture and formal social institutions as ameliorators ignores the force
of the often very differently focused informal institutions and informal and hidden
economies of social support and mutual aid (Robinson and Henry 1977; Henry
[1978] 1988, 1981; Ferman, Henry, and Hoyman 1987) that we saw in the previ-
ous chapter were so significant in marginalized communities. That these informal
institutions focus on social support and reciprocity as central organizing themes of
their members and exist as part of the subculture of US society has only recently
been addressed by strain theorists (Cullen 1994; Colvin, Cullen, and Vander Ven
2002).
However, institutionalized strain theory has received some empirical support. Tra-
han, Marquart, and Mullings (2005) found that the acceptance of capitalistic values
was an important factor in criminal behavior, particularly fraud. Jukka Savolainen
used data from the World Health Organization to show that economic inequality is
related to homicide in nations with weak collective institutions of social protection.
Specifically, “the positive effect of economic inequality on the level of lethal violence is
strongest in nations where the economy dominates the institutional balance of power”
(2000, 1026). As we argue in the next chapters, this may also support conflict and
radical theory, but Savolainen prefers an explanation based on institutional anomie
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and strain. Similarly, Cernkovich, Giordano, and Rudolph (2000) found that white
Americans in particular who believed in the American Dream but failed to achieve
economic success were more crime-prone than whites who have achieved success,
whites who didn’t believe strongly in the American Dream, or African Americans who
had lower expectations because of their unique history. Bernburg (2002) and Deflem
(1999) added excellent commentary on this. In spite of the support, Chamlin and
Cochran (2007) in contrast stated that not only does Messner and Rosenfeld’s theory
not lend itself easily to falsification, but it may also apply only to developed Western
societies. However, as we will see, Nikos Passas has shown that it does apply globally.
Global Anomie Theory and Crime

In his analysis of anomie theory, Nikos Passas (2000, 2006) went beyond American
society to locate anomie in the wider structural context of a global economic system
that he saw as the cause of the inequalities that cause crime (see Box 9.1). He argued
that neoliberal economics promotes relatively unlimited free trade, and as a result is
a polarizing force dividing the rich from the poor based on the unequal distribution
of income and wealth. At the same time, the free-market economy destroys social
safety nets because any nation investing in them is unable to compete in the world
economy with those who have no such social supports. In order to compete in the
global marketplace, corporations have to reduce costs, which means cutting health
insurance, pension benefits, welfare benefits, as well as wages. In this neoconservative
liberal global order, nation-states are necessarily forced to shrink their “government”
in the interests of cutting taxes on the global competitive producers, which results
in a lack of services at the very time that those worst affected need them most. The
result is extreme relative deprivation, and in order to survive without state support,
the disadvantaged have to seek deviant solutions. The same drive for global competi-
tiveness pressures national governments to cut their regulation of corporations, with
the result that increases in corporate and white-collar crime also occur. Passas argued
that the vast deregulation fueled by neoliberalism’s desire to encourage free trade has
failed to limit the effects of global corporate greed:
Neoliberal policies have been applied to both rich and poor countries with the promise
of economic growth, prosperity, freedom, democracy, self-sufficiency and consumerism,
even though the short term could be characterized by painful austerity measures. In this
process, safety nets and welfare-state arrangements were reduced or abolished through
waves of privatization and deregulation. Global anomie theory argued that economic
misconduct and vulnerabilities to both exploitation and victimization are expected
outcomes of the systematic frustration of raised expectations and widening inequalities
(economic, political, technological, power asymmetries). Some state protections were
cut and others were allowed to wither at the very time they were needed most. Simul-
taneously, international rules were undermined precisely when normative firmness and
legitimacy became critical. (2006, 175–176)
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The effects of the “competitive consumerism” of the global market economy

withdraws public support from and undermines informal networks that other-
wise cushion the deprivation and disadvantages of those who struggle to make
it. Indeed, as we’ve seen in the previous section, evidence suggests that in capi-
talist nations where a safety net of welfare, pensions, and health care is provided,
extreme economic deprivation is avoided and crime rates are lower (Savolainen
2000). Others have indicated that social support is generally preventive of crime,
whereas coercion is criminogenic (Colvin, Cullen, and Vander Ven 2002). Insofar
as the reduction of state support is experienced as coercive, evidence suggests that
the shift to global anomie will also be criminogenic (Colvin 2000). Indeed, Konty
argued that a society that promotes self-interest in the anomic sense of celebrating
competitive individualism becomes criminogenic only in the absence of social in-
terest that prevents the pursuit of self-interested goals: “Anomie at the individual
level can [thus] be understood as the presence of strong self-interest in the absence
of social interest,” a condition of imbalance called “microanomie” (2005, 111).
Clearly, a global anomie can foster a societal anomie that creates the conditions
for microanomie.
Passas (2000, 2006), therefore, located the cause of crime not only at the so-
cietal level in the shrinking or retracting state but also, importantly, at the global
macrolevel of economics. He related societal-level conditions to global conditions,
claiming that the free-market economy has permeated societies around the world,
which in turn has raised people’s expectations for improved lifestyles and condi-
tions, while simultaneously undermining the ability of most of the world’s citizens
to share in the increased wealth brought about by globalization. This has created
a global as well as a societal strain. The only realistic policy to reverse this global
anomic economic trend is to move toward recognizing the value of global collective
social interests.

In this chapter, we have examined the ideas that a society’s culture, combined with
its social organizational structure, sets the conditions for human behavior. Under
certain circumstances, these structural forces present some sections of the population
with problems to which they have to adapt. The problems, experienced as anger
and frustration, are dealt with either individually or collectively. We have examined
the several individual and collective ways—often criminal—that people, particularly
youth, react to these forces and the different patterns of behavior that emerge. We
went on to examine recent revisions to these ideas that expand their breadth and
provide a more detailed analysis of their social-psychological components. We also
presented extensions of strain theory to corporate and white-collar crime. We ex-
plored how the US capitalist system represents an extreme version of institutional
anomie that might account for its having the highest violent crime rate among
industrialized nations. We explored the policy implications of these theories and
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evaluated their theoretical and empirical adequacy, concluding that the more recent
revisions tend to be more supported than the original statements. Perhaps the most
significant concluding observation is that the contribution of anomie and strain the-
orists to our understanding of social and structural forces in shaping the context for
individual actions has been considerable. They have, however, been less helpful in
explaining why societies put up with the maladaptation, malintegration, strain, and
stresses of social structure and have been more inclined to accept the conditions as
inevitable. In the next chapter, we examine theories observing the same trends by
advocates who believe that the solution is to eliminate the inequitable social condi-
tions that create crime.
Summary Chart: Anomie and Strain Theory

Basic Idea: The kind of organization a society adopts, particularly the nature and
distribution of occupational roles, opportunities, and the means to obtain them,
can contradict its cultural goals. The resulting strain created by differential oppor-
tunity structures creates problems, frustration, and anger for people whose adaptive
solutions may include illegitimate behavior. Subcultural versions argue that strain
is adapted to collectively rather than individually by the formation of groups that
may have different values from the wider society from which the individual defects;
through “peer pressure” new members learn behavioral patterns, skills, and ratio-
nales or justifications for committing crime.
Human Nature: Humans are born as rational beings with the ability to learn and
be socialized into goals and values and have the capacity to learn the necessary norms
and skills to achieve those values; they have a tendency toward conformity. Subcul-
tural version emphasizes youthful susceptibility to “peer pressure” and “pressure of
the group” in the socialization process.
Society and Social Order: This theory sees a moral consensus on class hierarchy
and on goals and values, although later versions recognize the diversity of goals and
fragmentation of society. From the classic functionalist strain perspective, society
has a structure, a culture, and a system of maintaining order. The structure is com-
prised of both classes and institutions. It is seen as a system of interrelated parts,
which function to maintain the whole in a state of balance. There are certain needs
and requisites for society to function in an orderly manner and to maintain equilib-
rium. Society and its component social institutions such as the family, education,
religion, law, and so on, functions like an organism whose various components work
to sustain the whole equilibrium.
Social order is perpetuated through socialization that inculcates members into
the basic culture and into its associated norms and standards of behavior. The cul-
ture comprises established goals and values aimed at producing an overall desirable
outcome. Merton’s classical strain theory focuses on a narrow set of common goals
embodied in the pursuit of the “American Dream,” the most prominent of which
is “monetary success.” Modern strain theorists, in contrast, recognize the existence
of both classes and groups in the constitution of society and see a variety of goals
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that vary by group and whether or not they are immediately achievable. Tradi-
tional strain theorists envisage a hierarchical class system, with classes differenti-
ated by wealth, access to the means to obtain wealth, and by social status. Modern
and revised strain theorists, such as Agnew, tend to emphasize group, gender, race
and ethnicity, and other subcultural, structural, and even situational components
in their analyses.
Messner and Rosenfeld’s institutional anomie theory adopts the functional-
ist system’s view of society embodying the idea that there is a sense of structure,
containing an “institutional balance of power,” with each society having its own
unique balance with some institutions more dominant than others. They argue that
the particular balance in American society favors the economic institutions over
the rest, having allowed its economic institutions to become more market-driven
than other societies. Institutions have agency in shaping people’s actions, and fur-
ther that the particular market-driven configuration of American society reinforces
“anomic” cultural tendencies.
Passas’s version of strain relates societal-level conditions to global conditions,
claiming that the free-market economy has permeated societies around the world—
which has raised expectations, while simultaneously undermining the ability of most
of the world’s citizens from sharing in the increased wealth brought by globalization,
dividing societies into rich and poor, and creating additional sources of strain that
government has failed to control.
Law, Crime, and Criminals: Law for Durkheim is an expression of a society’s
collective conscience; for Merton, it serves the function of integrating the members
of the society and maintaining order necessary for the smooth functioning of oc-
cupational mobility. Criminals for Durkheim appear as four types: (1) biological,
(2) egoistic (those subject to unbridled emphasis on satisfying selfish ends or goals),
(3) anomic (those without moral guidance who are “rudderless”), and (4) rebellious
(those who show that structure is in need of change). For Merton, most criminals
are no different from us all. They have followed society’s success goals but have been
frustrated in their attempt and so have adapted. Subcultural versions see some crimi-
nals learning different oppositional values and norms that replace those of dominant
culture; they are various kinds of defectors rather than defectives.
Causal Explanation: For Durkheim, the cause of crime is a combination of
(1) the breakdown of traditional moral regulatory structures of the family, kinship
networks, the community, and traditional values coexisting with (2) a “forced” di-
vision of labor (rather than “spontaneous”); (3) celebration of the individual, or the
“cult of individualism,” raising aspirations to insatiable levels; and (4) the failure to
adapt the social structure fast enough to accommodate rapid social change. For Mer-
ton, there are four modes of deviant adaptation to the fundamental cause, which he
sees as structural strain and the maladaptation of cultural goals and values in society,
to the means available to achieve them. A society shares and promotes common values
and goals; in the case of the United States this is captured in the notion of the Amer-
ican Dream, meaning acquisition of wealth and display of material (monetary) suc-
cess. Unequal access to the legitimate means to achieve these goals, expressed by the
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unequal access to education or other credentials and the unequal availability of good
jobs, places strain on conformity to the legitimate goals-means package. Individuals
adapt to this strain in different ways. Merton identifies four nonconforming modes
of adaptation: (1) innovation—rejecting the legitimate means but maintaining the
same societal goals, which explains lower-class property, white-collar, and even cor-
porate pecuniary crime; (2) ritualism—rejecting the goals by giving up the attempt to
achieve more than one has, but conforming to the legitimate means, which explains
some petty bureaucratic deviance; (3) retreatism—rejecting both goals and means,
which explains some dropout forms of deviance, such as tramps, vagrancy, and drug
and alcohol abusers; and (4) rebellion—rejecting prevailing values and the legitimate
means, and substituting new goals and using new means, which explains terrorism
and revolutionary and even political crimes. In subcultural versions, the American
Dream is combined with inadequacies of lower-class socialization and preparation
for claimed educational meritocracy, which leaves lower-class youths with impaired
ability to compete with middle-class counterparts and decreased achievement against
middle-class educational standards. For Cohen, this leads to loss of self-esteem and
“status frustration” as the failure within the dominant middle-class system is reacted
to, rejected, or replaced by a negative subculture. Identification with those in the
same situation results in the formation of a “delinquent subculture” with inverted
values of dominant classes: versatile, malicious and negativistic, nonutilitarian be-
havior, and the desire for immediate rather than deferred gratification. Two other
responses are those of the “corner boy,” who makes the best of the existing situation,
and the “college boy,” who strives to achieve middle-class standards despite adverse
conditions. In the case of Cloward and Ohlin, the situation of the American Dream
and blocked opportunities produces alienation that is perceived as injustice. If the
adolescent blames him- or herself, then solitary solutions and dropping out result;
if the system is blamed, support for it is withdrawn, and it is replaced by one of
three subcultures, depending on neighborhood conditions: (1) a criminal rational-
istic subculture that emphasizes illegitimate means to achieve societal goals, such as
drugs, trading, numbers running, and burglary; (2) a conflict subculture emphasizing
violence and protest; or (3) a retreatist subculture escaping into drug use. Agnew’s
revised version of strain introduces strategies for avoiding the pain of strain, based on
a variety of social-psychological variables. Messner and Rosenfeld centralize Merton’s
concept of the American Dream, showing the importance of the dominant role of
US economic institutions in undermining strong social institutions and their moral
controls. Passas takes this to the global level, seeing the free market creating extreme
divisions between rich and poor, retracting back the protective state, and weakening
regulation of corporate greed.
Criminal Justice Policy: Change the social organization of society to better inte-
grate members to socioeconomic roles available. Do not over promote goals or raise
people’s aspirations beyond their capabilities. Reduce the sources of strain. Balance
the overemphasis on market principles at the expense of other values. Change the
global free-market system toward one that reflects principles of social interest.
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Criminal Justice Practice: Provide economic opportunities for lower classes.

Create jobs, education, welfare and child-care programs, and War on Poverty and
Head Start programs. Organize local communities to have an investment in conven-
tional society. Develop community and youth-participation programs. Include pro-
grams to accept more wide-ranging skills and knowledge in the educational system.
Draw schoolteachers from a broader social base. Teach legitimate social and coping
skills but also provide legitimate opportunities at school and workplace. Encourage
group discussion on change and growth for youths.
Evaluation: Points out how the organization of society can affect individual be-
havior; supported by studies of better-integrated societies with high family values
having low crime rates, such as Japan and Switzerland. Shows how strain can create
criminal solutions in anyone. The theory explains both lower-class crime resulting
from strain, and middle- and upper-class crime. Fails to explain why people choose
particular crime patterns and fails to explain violence and senseless acts. Subcultural
version shows how conditions of inequality of opportunity can produce frustration
and crime. The theory explains violent behavior and destructive acts and indicates
how people become involved in different types of crimes. Cohen’s version has re-
ceived inconclusive empirical support, ignores rational profitable delinquency, and
does not explain middle-class crime. Cloward and Ohlin’s version also fails to account
for middle-class crime (unless middle classes see themselves as relatively deprived),
and the subcultural specialization argument is contradicted by evidence. Later ver-
sions apply to corporate and white-collar crime. Agnew’s revised general strain theory
has empirical support. Messner and Rosenfeld’s institutional anomie theory is gaining
support.
1. What are the key propositions of anomie or strain theory?
2. For Mertonians, the mainstream culture encourages society’s members to
achieve the “American Dream” defi ned in terms of goals of monetary success.
But the social structure fails to provide acceptable means of achievement or op-
portunities to achieve these societal goals. Explain how this is seen by strain and
how it differs from anomie theorists’ analysis of anomie and its resulting crime
strain.
3. What does the term “relative deprivation” mean? And provide examples.
4. Merton argued that human “appetites,” or desires, are not natural. If so what
are they, and why is this important to criminologists in understanding crime?
5. Merton identified five ways that individuals respond to, or adapt to, a “selec-
tive blockage of access to opportunities among those variously located in the class,
ethnic, racial, and gender sectors of the social structure.” Describe and explain these
five adaptations.
6. Cloward and Ohlin identified three primary types of deviant subcultures
that emerge in response to the shared perception of injustice in society. Name and
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describe these three types of subcultures and explain why you think that these each
explain juvenile delinquency.
7. What are the benefits and limitations of anomie, strain theory, or subcultural
theory?
8. How does Agnew, Messner and Rosenfeld, or Passas’s approaches change
anomie/strain theory, and with what implications?
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10
Capitalism as a
Criminogenic Society
Conflict and Radical Theories of Crime
“For the powerful, crimes are those that others commit.”

—Noam Chomsky, Imperial Ambitions:
Conversations on the Post-9/11 World
“In the last four years Earl Sampson, 28, has been questioned by police 258 times,
searched more than 100 times, jailed 56 times, and arrested for trespassing 62 times. The
majority of these citations occurred at his place of work, a Miami Gardens convenience
store where the owner says police are racially profiling” (New York Daily News, 2013).
Strongly identified with violent criminality by skin color alone, the anonymous young
black male in public is often viewed first and foremost with fear and suspicion, his coun-
terclaims to propriety, decency, and law-abidingness notwithstanding. Others typically
don’t want to know him, and in public seek distance from him and those who resemble
him. . . . Because the young black male is essentially disenfranchised and considered a
troublemaker, or at best a person of no account, his is a provisional status. Every black
male is eligible for skeptical scrutiny, which renders him vulnerable to harassment for
any infraction, real or imagined. His credibility is always shaky. The constant confusion
between the street-oriented and the law-abiding black male means that all are subject to
suspicion in white eyes, and such public reception then encourages many blacks not to
trust whites. Thus, both blacks and whites assign provisional status to the other, deepen-
ing the racial divide. (E. Anderson 2008, 3, 21)
Racial profiling is at the forefront of serious examination of police practices

(Barkley 2006). Racial profiling has been defined as the use of racial or ethnic
243
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stereotypes in the decision to take a law-enforcement action, and even can include
cases where race is one of the factors in that decision process (Ramirez, McDevitt,
Farrell 2010). Traditionally, profiling has been a frowned-upon, ignored, denied,
and vilified practice. This is particularly true of the racial profiling of African Amer-
icans while driving. Many people of color still feel victimized by this practice and
have coined the term DWB, Driving While Black (Meehan and Ponder 2002, 400;
Anderson and Callahan 2001). “Blacks and white liberals have been decrying the
situation for several years. Many conservatives, on the other hand, dismiss such
complaints as the exaggerations of hypersensitive minorities. Or they say that if
traffic cops do in fact pull over and search the vehicles of African Americans dispro-
portionately, then such ‘racial profiling’ is an unfortunate but necessary component
of modern crime fighting” (Anderson and Callahan 2001).
Clearly, racial profiling is nothing new in America. It began to receive attention
following the Civil War when African Americans were the target of increased police
attention. This is not just a perception. As Michael Smith and Matthew Petrocelli
noted, “Historically, minorities, particularly African Americans, have had physical
force used against them or have been arrested or stopped by police at rates exceeding
their percentage in the population” (2001, 5). Recent research also shows that while
African Americans and Hispanics are stopped about the same amount as others, Af-
rican American and Hispanic drivers are more than twice as likely to be searched and
are issued more tickets than whites (E. Robinson 2007; Dixon, Schell, Giles, and
Drogos 2008). The practice that flourished with the profiles of drug couriers in the
1980s and 1990s has now shifted toward those suspected of terrorist threats (John
Jay College of Criminal Justice 2001).
Although African Americans make up less that 13 percent of the total US pop-
ulation, they are arrested for nearly a third of all crimes. Hispanics are stopped by
police even more often than African Americans (M. Smith and Petrocelli 2001; “Our
Opinion” 2009). Law enforcement officials often counter, “Well, they commit more
crime!” In fact, “many law enforcement officers view racial profiling as an appropriate
form of law enforcement” (Barlow and Barlow 2002, 337). The issue is not so clear-
cut, however. Social standing may also play a role. Meehan and Ponder noted that
“disparate treatment by the police may not be the product of race alone—the racial
and class composition of a neighborhood influences police behavior” (2002, 400).
The crimes and laws resulting from the conflict between different racial and eth-
nic groups in a society, and the political and legal struggle surrounding how this
is played out, are not easily explained by the theories that we have examined so far
(with the exception of social constructionist and labeling theories). Radical and
conflict theorists, however, provide a theoretical explanation for this and other
similar collective struggles, as we illustrate in this chapter and as Engel, Calnon,
and Bernard (2002) noted. Radical and conflict theorists are centrally concerned
with social inequity, with class differences, and with the power used by the rul-
ing class to define what counts as crime and what does not (Schwendinger and
Schwendinger 2001).
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10: Capitalism as a Criminogenic Society 245
Conflict and radical theorists consider how social structure and the agencies of
government, referred to as “the State,” impact human behavior. As well as conflict
over race, ethnicity, and gender issues, conflict and radical theorists are also very in-
terested in crimes involving economic power, including corporate and government
crimes, because they bring out features of the structural causes that are not immedi-
ately apparent when criminologists look at conventional street crime. Conflict and
radical theorists suggest that crime is not simply an individual but also a societal
phenomenon. They argue that law, crime, and law enforcement are often political
acts rooted in the conflict between groups or classes in society and see the source of
crime in the conflict that stems from the inequalities produced by capitalist society
(Schwendinger and Schwendinger 2001; Turk 2006).
Although some theorists use the terms conflict and radical interchangeably, others
(ourselves included) make a clear distinction. There is no one “radical” or “conflict”
view of crime, and “no firm consensus or precise definition of radical criminology,
either with respect to its key concepts or its primary theoretical emphasis” (Lynch and
Groves 1986, 4). But it is useful to differentiate between conflict and radical theories
based on their different conceptions of inequality (Vold, Bernard, and Snipes [1998]
2001; Bernard, Snipes and Gerould 2009; Einstadter and Henry 2006).
In general, conflict criminologists draw their analysis from the ideas of the
nineteenth-century German sociologists Max Weber and Georg Simmel: “Conflict
theorists emphasize that the needs and interests of different people and different groups
are often incompatible and contradictory, especially with regard to the distribution of
scarce material or financial resources” (D. Johnson 2008, 367). Conflict theorists see
inequality based on differences in wealth, status, ideas, religious beliefs, and so forth.
These differences result in the formation of interest groups that struggle with each
other for power. Radical criminologists, who instead draw on the ideas of the German
social theorist Karl Marx, believe that the fundamental conflict is economic. This con-
flict is between capitalists, or propertied classes (the bourgeois), who own the “means
of production” (i.e., wealth and the capital used to make it), and wage earners, or
nonpropertied classes, who own only their labor, which they sell to make a living. The
result is a class-divided society, with those in the lower classes being exploited by those
in the upper classes. Radical theorists argue that the conflict over economic inequality
is at the root of all of the conflicts that the conflict theorists identify.
Not only does capitalist society generate vast inequalities of wealth, but those who
own the wealth, who head large corporations, and financial and commercial institu-
tions, influence the decisions of those who hold political power. As we saw in Chap-
ter 2, both conflict and radical theorists reject the restricted legal definitions of crime
because they take power for granted. Indeed, “the role of power in the definition of
crime is the central focus of conflict criminology” (Vold and Bernard 1986, 267).
Moreover, “In discussions of legalism/illegalism the state and its corporate backers
set the terms of debate. Against statist definitions of ill/legality radical criminologists
must assert the needs of people and their environments (including natural environ-
ments and their non-human occupants)” (Shantz 2012).
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In the first half of this chapter, we look briefly at the roots of conflict theory in the
sociology of Max Weber and Georg Simmel and the resulting “conservative” view of
conflict theory found in Ralf Dahrendorf (1959). Then we discuss its criminological
application through the ideas of George Vold ([1958] 1979), who explored group
conflict; Austin Turk (1964, 1966, 1969), who questioned authority and subject
roles and their relationship to legal norms; and the early ideas of Richard Quin-
ney (1970), who analyzed societal constructions of crime by powerful segments of
society.
In the second half of the chapter we explore the ideas of radical theorists, be-
ginning with Marx and Engels, and the first application of radical theory to crime
by Dutch criminologist Willem Bonger. Among contemporary radical theorists, we
look at the ideas of William Chambliss (1975, 1988), the later works of Richard
Quinney (1974, 1977), and the radical criminology of Ian Taylor, Paul Walton, and
Jock Young (1973, 1975). Before we focus on these particular theorists, however,
let us see what ideas conflict and radical theorists contribute to our understanding
of crime.

and Some Key Differences
Conflict and radical theorists share a view that humans are active, creative agents
who invest their energy to build the social structure. Conflict theorists see individ-
uals cooperating with like-minded others to form groups, which then compete in
the struggle over resources, ideas, ideologies, and beliefs. There are also similarities
between conflict and radical theories over the cause of crime. Each views crime
as being the result of the way society is organized. Furthermore, both conflict
and radical views share a macrolevel perspective. Thus, each looks to structural
causes of crime in the conflict within society; most crime is seen as the result of
large forces (e.g., economic, form of government, and so forth) and not individual
pathologies.
Conflict and radical perspectives also share a concern with the possession of
power and closely examine law creation, and how laws are interpreted and enforced.
Consistent with their ideas about society, however, conflict theorists see law as a
social-control mechanism, a resource and weapon in the struggle for power intended
to help those who capture it to maintain or increase that power (Turk 1969). Con-
flict theorists recognize that law has a symbolic role, publicly representing the social
standing of the ideas of those in power (Gusfield 1963). They argue that groups
who have power over others (whether it is economic, social, ideological, moral, or
religious) typically define which behaviors are criminal and which are not. Thus,
laws reflect the values and interest of the dominant group(s). As a result, laws mainly
criminalize crimes of the powerless, leaving harms caused by the powerful (such as
corporations and government) as lesser administrative or regulative offenses. Sim-
ilarly, the powerful organize the system of criminal justice to benefit those with
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money (Barkley 2006). Any sanctions given to powerful offenders are typically civil
or restitutive in nature. Consequently, although severe prison sentences are given
on rare occasions to the powerful who commit exceptional crimes, and corporations
are sometimes given large fines, the majority of such offenders receive relatively little
punishment. Economic differences are also only one point of concern. Radical and
conflict theorists agree that there are other types of limited resources, both material
and social.
Despite these important similarities, there are some important differences. Con-
flict theorists view human nature as amoral rather than good or bad. Radicals view
human nature in a more positive light: people are born with a “perfectible” na-
ture, but forces serve to shape them in imperfect, deviant, and criminal ways. If
humans behave badly, therefore, it is not their doing alone but how their nature
is shaped by the social structure. Humankind is assumed to be basically good, and
the structure of society is what creates or causes evil people. Marx thus believed
human nature is “perfectible,” but perfection requires a society that celebrates so-
cial and communal connections over individuality. Radical theorists also see hu-
mans as social beings who use their energies to transform the world. They are thus
purposeful. In the course of transforming the world, they are themselves shaped
and formed. As Marx insightfully observed, “Humans are both the producers and
products of history” (J. Young 1981, 295; Marx [1859] 1975). Marx also believed
people are shaped more by their society’s economic organization than by their
own individuality.
Although both versions see the idea of consensus as a myth, their ideas about
the nature of conflict differ. Conflict theorists recognize that society is composed
of many different groups that have differing, and often competing, interests, values,
and norms. Since there are also limited resources (both material and social) avail-
able in any given society, competition between these different groups for resources
inevitably results in conflict—don’t you compete with the other students for used
textbooks until those are gone and then those who lose have to buy their books new
at full price? In California, students have to compete with each other to get into
classes; those who don’t succeed have then to compete with other students to get an
override, known as “crashing,” and once the room is at capacity, those who don’t
get in have to wait until another semester to take the class. This sets up a conflict
between students with “priority registration” and those who register late. As a result,
some students will resort to a variety of competitive resource manipulations, such as
registering for more classes than they are actually going to take (hoarding) or kissing
up to an instructor to outcompete their fellow students.
Although more conservative conflict theorists (Simmel [1908] 1955; Coser
1956; Dahrendorf 1959) believe the competition among interest groups produces
a balance and compromise that can actually prove functional to society, others be-
lieve that some groups emerge as dominant and that such domination can be de-
structive (Vold [1958] 1979). In particular, those who control the resources and
those who have authority positions also have power in society (Turk 1966, 1969).
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This is because over time humans in subordinate positions learn to follow those
who dominate them.
Based on Marx’s analysis, radical theorists offer a more dichotomous view of the
source of conflict and see this rooted in economic inequalities: those who own and
control the “means of production” (capitalists) are in conflict with and control the
lives of those who do not, the labor providers (workers). The radical analysis, there-
fore, is primarily focused on economic structure and class stratification (I. Taylor,
Walton, and Young 1973; Quinney 1974), with all other conflicts being an out-
come of the basic economic struggle between the capitalist and working classes.
Radical theorists believe either that the law represents the machinery of capitalist
repression, directly controlling those who challenge the economically powerful (in-
strumentalists) (Quinney 1975b, 1977), or that the law is an ideological device that
mystifies, or renders opaque, the power of the dominant classes by pretending to
be neutral in its protection of individuals, regardless of their power (structuralists)
(J. Young 1981). Radical criminologists define crime much more broadly than do
legal definitions to include all acts that create harm, including those that violate hu-
man rights. Consequently, crimes of domination such as “imperialism, racism, cap-
italism, sexism and other systems of exploitation” are defined as criminal by those
sharing a radical perspective (Platt 1974, 6; Schwendinger and Schwendinger 1970,
2001; Quinney and Wildeman 1991).
There are also other differences. Methodologically, “radical criminologists are
more specific than conflict theorists in their identification of the explanatory vari-
ables that presumably account for crime” (Bohm 1982, 566). Radicals look to the
political and economic structure of society, whereas conflict theorists consider
stratification as the culprit. Radicals see the capitalist structure as forcing humans
into competitive hostility with one another rather than helping people to be coop-
erative partners. Crime is the outcome of this competition and an expression of the
anguish that exploitation imposes on the powerless (Engels [1845] 1958; Bonger
[1905] 1916). As a result, some crime is also an expression of political protest at the
capitalist system (I. Taylor, Walton, and Young 1973).
The Roots of Conflict Criminology

Social conflict is present in all societies and occurs at all levels, from individuals to
groups. It has been defined as “a struggle over values or claims to status, power, and
scarce resources, in which the aims of the conflicting parties are not only to gain the
desired values but also to neutralize, injure, or eliminate their rivals” (Coser 1968,
232). In Chapters 2 and 8, we discussed Sellin’s ideas of culture conflict (1938) and
will not reiterate these, except to say that culture conflict is an integral part of con-
flict theory’s intellectual roots. Here, we are concerned with the ideas of those who
look at crime as resulting from structural rather than cultural differences, although
the two are clearly interrelated, as we have just seen. Early ideas about broad notions
of structural conflict can be found in the work of Max Weber.
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Weber’s Class, Status, and Party

Max Weber (1864–1920), a German lawyer and sociologist, is considered one of
the three founders of sociology and a major contributor to the understanding of the
sources of conflict. At age thirty-four, he suffered acute depression and did not re-
cover to resume his academic writing until he was thirty-nine, when he made major
contributions. Weber did not present a theory of crime causation, but he did lay the
basis for others to do so by explicating sources of conflict.
Weber’s discussion of conflict emerges in his analysis of the role played by char-
ismatic leaders in the transition from traditional society to modern capitalist so-
ciety ([1922] 1966). Weber identified three important dimensions of inequality:
(1) power, represented by party; (2) wealth, which relates to economic position,
represented by class; and (3) prestige, which is attached to those in high-status
groups. Conflict, according to Weber, is most likely to occur when these three ma-
jor kinds of stratification coincide—when those who have wealth also have status
and power. Conflict is also likely when only a few are allowed access to the privi-
leged positions or when social mobility to these positions is highly restricted. Such
a merger produces tensions and resentment among those without power, prestige,
and wealth who engage in conflict with the privileged group. Those excluded also
become receptive to charismatic leaders who organize conflict groups to challenge
traditional authority (Turner 1986, 146–149).
Simmel’s Functions of Group Conflict

Like his friend Max Weber, Georg Simmel (1858–1918) was a German sociolo-
gist, but he was far more optimistic about the nature of modern society and the
role of conflict. For most of his life, he taught at the University of Berlin, becom-
ing a professor only four years before his death. Simmel was one of the first sociol-
ogists to explain conflict as a common and stable form of interaction. Conflict to
Simmel was one of several patterns of reciprocal relations, along with competition
and cooperation, that underpin complex social behavior. Indeed, for him “conflict
and competition are often interwoven in subtle and complex ways with processes
of cooperation and social integration” (D. Johnson 2008, 367). Unlike Weber,
Simmel looked at the interrelationships between individual meanings attributed
to social action and the transpersonal meanings that people construct. His ma-
jor contribution to conflict theory was a short but influential essay in which he
argued that conflict is both inevitable and functional in its ability to resolve con-
tradictions and leads to a unity of the systemic whole ([1908] 1955). Simmel be-
lieved that biological differences are natural, and he believed they are exacerbated
by differences of interest but could also be placated by harmonious relations. He
believed that conflict is a variable phenomenon and that some levels of less violent
conflict serve a functional “tension-reducing” process that “promoted the solidar-
ity, integration and orderly change of systems” (Turner 1986, 140). Simmel saw
violent conflict occurring where different groups have a high degree of harmony,
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emotional involvement, and solidarity among their members and where the nature
of conflict is beyond the members’ individual interests.
Dahrendorf ’s Dialectical Conflict Perspective

Ralf Dahrendorf (1929–2009), a sociologist who taught at the University of Ham-
burg and Stanford University and later became director of the London School of
Economics, went into politics when he was appointed as a life peer in the British
House of Lords. In a critique of functionalism, which he saw as utopian and unre-
alistic, Dahrendorf (1959) presented a “pluralistic” version of conflict in which he
showed two faces of society, both consensus and conflict, existing in a dialectical re-
lationship. This was based on Hegel’s notion that a society produces contradictions
(seen here as conflicts between opposing forces) whose resolution results in a new
organization different from its original (seen here as consensus) (Balkan, Berger, and
Schmidt 1980, 336).
By examining conflict between economic interest groups and a variety of groups
that compete for authority, Dahrendorf incorporated Weberian ideas, although
some say as a result he ultimately reproduced a conservative-consensus perspective
(I. Taylor, Walton, and Young 1973, 238; Turner 1986). Dahrendorf described
groups as having an organization of social roles whereby some people exercise power
over others whom they can coerce to conform. Thus, people exist in relations of
domination and subordination. But these relations of domination and subjugation
need not mean people are totally dominated; they may hold different positions in
different groups or organizations: “Since domination in industry does not necessarily
involve domination in the State or a church, or other associations, total societies can
present a picture of a plurality of dominant (and conversely, subjected) aggregates”
(1959, 171). Dahrendorf argued that such power relationships become accepted by
members as legitimate authority (1958, 1959). Simultaneously, power and authority
are seen as resources to be won and over which subgroups within the organization
fight. Those who acquire power coerce groups without power to conform. This cre-
ates two basic types of social groups, each contesting authority: the rulers and the
ruled, the former trying to preserve their power, the latter trying to redistribute it.
Should those who are dominated take control, the whole cycle repeats, resulting in
further polarization around new interests, followed by further conflict and resolu-
tion (Dahrendorf’s dialectical process of social change). Thus, conflict is continually
coming and going as conflicting groups first win control and then stabilize before
again reverting into conflictual relations.
For Dahrendorf, conflict is not a matter of a particular underlying inequality of
economic interests but can be based on any kind of difference. For him, the ex-
istence of inequality is inevitable because humans evaluate each other as different
rather than equal. Therefore, some will always be dominant over others in terms of a
rank-ordered social status. Inequality, then, is a function of organizational processes
that produce legitimate authority roles of domination and subordination. Like some
other founding conflict theorists, Dahrendorf did not specifically address crime, but
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his ideas greatly influenced later conflict criminologists, particularly Austin Turk, as
we shall see later.
Vold’s Group Conflict Theory

George Vold (1896–1967) was one of the first criminologists to systematically ap-
ply the conflict ideas presented by Weber, Simmel, and Dahrendorf to the study
of crime. Vold, who taught at the University of Minnesota and was a contempo-
rary of Dahrendorf, published his highly respected Theoretical Criminology in 1958.
Later editions of this book are still much in use today, and the work has become
a standard text on criminological theory ([1958] 1979; Vold and Bernard 1986;
Vold, Bernard, and Snipes 2001, Bernard, Snipes, and Gerould, 2009). Vold was
especially influenced by the work of Simmel. He presented a view of certain crimes
being caused by conflict and argued that it was absurd to explain these acts using
individual-level theories. He pointed out that humans are group-involved beings
and that society is a continuity of group interaction “of moves and countermoves, of
checks and cross-checks” ([1958] 1979, 283). Society exists in a state of equilibrium
and relative stability, not because of consensus among all its members but because
of “the adjustment, one to another of the many groups of varying strengths and of
different interests” (ibid., 284). However, Vold argued that groups come into con-
flict because of overlapping interests and encroachments over territory that lead to
competition. Group members must protect against the danger of being taken over
or replaced. Members of groups are invested in defensive activity, which they express
through acts of identification, loyalty, and self-sacrifice, each intensified by conflict.
In the conflict between groups, the weak are generally overwhelmed and absorbed,
whereas the strong may either increase their power, be vanquished, or meet with
compromise.
Applying these ideas to crime, Vold argued that in the conflict between groups,
each seeks the support of the State to defend its rights and protect its interests, with
the result that “the whole political process of law making, law breaking, and law
enforcement directly reflects deep-seated and fundamental conflicts between interest
groups and their more general struggles for the control of the police power of the
state” (ibid., 288). Those who win dominate the policies that define crime. With re-
gard to crime, Vold noted a prevalence of group involvement, from organized crime
to delinquent gangs, each fighting for turf, markets, and social honor in ways that
are in conflict with those of organized society. In a study of deviant driving behavior
in South Africa, Khoza and Potgieter (2005) used Vold’s theory to explain how the
conflict of group interests is reflected in criminal traffic law.
The group also provides definitions of its members’ behavior as acceptable, even
honorable. Vold described how much criminal activity is a product of the clash
of interests between groups and their members’ attempts to defend against chal-
lenges to their control. Obvious examples are violence as a result of disrespect or
turf infringements by members of different gangs, violence between rival organized
drug-distribution networks, and violence protesting dominant systems of justice.
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Vold concluded, “There are many situations in which criminality is the normal, nat-
ural response of normal, natural human beings struggling in understandably normal
situations for the maintenance of the way of life to which they stand committed”
([1958] 1979, 296).
Contemporary Conflict Criminology

Since Dahrendorf and Vold, others have sought to develop and extend the ideas
of these founding conflict theorists to crime and the law (Box [1971] 1981; Hills
1971; Chambliss and Seidman [1971] 1982; Krisberg 1975; Pepinsky 1976; Rei-
man [1979] 1995; Schwendinger and Schwendinger 2001). Here, we focus on two
illustrative contributors: Austin Turk (1969), whose ideas closely follow those of
Dahrendorf, and Richard Quinney (1970), whose theory was more derived from
Vold’s approach.
Turk and the Criminalization of Resisting Subordinates

Austin Turk’s major contribution to conflict criminology, Criminality and the Le-
gal Order (1969), was deeply indebted to Dahrendorf’s dialectical conflict theory
of society. Turk (1966, 1969) attempted to show how people in subordinate po-
sitions of authority are subject to the values, standards, and laws of those in au-
thority positions. Unless the subordinates learn to be deferential to authority, their
behaviors will be defined as criminal and they will be given the status of criminals.
Turk argued that people continually learn to interact with each other as holders of
superior or inferior social status. The learning is never complete or stabilized but is
in constant adjustment and conflict because of individual differences. Turk defined
the norms learned in this process as “norms of domination” and “norms of defer-
ence.” People who learn norms of domination believe they are superior to others and
destined to command them. In Turk’s view, the extent to which a person relates to
norms of domination is related to sociocultural factors such as age, race, and gender.
Most people, however, learn norms of deference, meaning that they see themselves
as inferior, destined to obey others, and subject to their authority: “Criminality is
a label imposed on subjects who resist the claims and impositions of authorities”
(2006, 186). “Norm resisters” are found to be those relatively unsophisticated in
the “knowledge of patterns in the behavior of others which is used in attempts to
manipulate them” (1966, 348). In short, for Turk, crimes are the acts of those who
have not been “conditioned to accept as a fact of life that authorities must be reck-
oned with,” and it is such conditioning that underlies social order in all societies
(1969, 44).
Turk went on to identify the conditions that make conflict between authorities
and subjects over different norms and values more likely: (1) when cultural val-
ues and social actions of authorities are in close agreement and a similar congru-
ence exists in the case of subjects, (2) when authorities and subjects are organized,
and (3) when authorities or subjects are less sophisticated. He then described the
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conditions under which conflict will lead to subjects’ being criminalized. Again three
major factors are involved: (1) when law enforcers (police) and the courts (prosecu-
tors and judges) agree on the serious nature of the offenses and are committed to
enforcing the law, (2) when there is a large power differential between enforcers
and resisters, and (3) the realism or lack of realism of each party’s actions in relation
to their chances of success, which for resisters is avoiding criminalization and for
enforcers is imposing norms and stopping resistance (2006, 186). Turk suggested
that over time the authority-subject relationship becomes less coercive and more au-
tomatic, as new generations of people are born into the existing set of laws, rules,
and definitions of reality, which they are less likely to contest. Schwendinger and
Schwendinger’s (2001) analysis of student protest and the government’s response is
an excellent illustration of Turk’s conflict-type analysis.
In his later work, Turk (1976, 1982) examined how legal orders generate or ag-
gravate or alternatively resolve conflicts. Here he defines law as a form of power that
is mobilized in five ways and combinations to shape legal institutions and processes,
often fostering rather than preventing conflicts: “(1) violence (i.e., police or mili-
tary power); (2) production, allocation, and use of material resources (i.e., economic
power); (3) decision-making processes (i.e., political power); (4) definitions of and
access to knowledge, beliefs, and values (i.e., ideological power); and (5) human
attention and living time (i.e. diversionary power).” He continued: “Gaining law
power becomes itself a goal of conflict insofar as the law facilitates defending or ad-
vancing the interests or values of some parties against those of others. . . . Law may
preclude or hinder the informal resolution of disputes by explicitly pitting contend-
ing parties against one another, legitimating inequalities, and producing symbolic
rather than acceptable decisions on issues in dispute. In sum, law is, at best, a mixed
blessing in its impact on the formation and sustenance of social order” (2006, 187).
Unlike many conflict and radical criminologists who want revolutionary change to
solve these problems, as we show in the policy section below, Turk believed that
“conflict criminology’s postulates imply the radical transformation of our current
system through specific policy initiatives” (ibid., 188).
Importantly, in his recent work, Turk (2003, 2004) develops his analysis in re-
lation to global political issues, not least to global political conflict and terrorism.
He uses a model to explain the escalation and de-escalation of political violence that
has a remarkable application to conflicts in the Middle East, Northern Ireland, and
elsewhere. He sees these political conflicts escalating and de-escalating through three
stages: (1) coercive violence, using coercion to try to send a persuasive message to
those they oppose—where authorities through law enforcers suspend civil liberties,
while norm resisters vandalize symbols of authority through riots and property de-
struction; (2) injurious violence, designed to punish the failure to learn from the mes-
sages and comply with the coercive violence—which can involve extreme torture
and other physical brutality; and (3) destructive violence, intended to exterminate
opponents—which for authorities is military search-and-destroy operations and for
norm resisters involves terrorist attacks. As he says, “In the final analysis, my posi-
tion is that criminology necessarily becomes embedded in political sociology as we
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deal with the increasingly murky distinctions between legal and illegal, crime and
not-crime, authority and power” (2006, 189).
Quinney’s Social Reality of Crime

As a contemporary of Austin Turk’s, Richard Quinney has become one of the most
prolific critical theorists in criminology. His contribution to conflict sociology came
with his 1970 book, The Social Reality of Crime. Drawing on several of the conflict
traditions discussed previously, particularly Simmel’s and Vold’s work, Quinney saw
humans as rational, purposeful actors subject to an unequal distribution of power
that produces inevitable conflict. This conflict is between competing groups or “seg-
ments” of society, whose members’ actions are designed to maintain or advance their
position (1970, 8–14).
Segments of society share norms, values, and ideology, but unlike Vold’s interest
groups, they need not be organized (Vold [1958] 1979, 302). Those who have the
power to shape public policy act through authorized agents in society (such as leg-
islators and judges) to formulate definitions of crime that contain, or control, the
behaviors of members of those segments with whom they are in conflict. Recall the
discussion of racial profiling. The conflict need not be organized political struggle
but can consist of individual acts of resistance by members of powerless segments.
Criminalization is done with a view to maintain the current balance of power or
increase a segment’s position of control.
Definitions of crime are not merely legislated but become part of the public psyche
and popular culture as a result of their dissemination through the mass media. In other
words, some rather than other meanings of a crime have “social reality” because they
are defined, illustrated, elaborated, and sensationalized in the media. Quinney further
argued that criminal definitions are then applied by the authorized agents (police,
judges) of those segments of society having power. This is done in relation to the de-
gree of threat that the powerful perceive from the powerless and in proportion to the
degree of visibility of their crime(s). Thus, crimes most visible and most threatening
to the powerful are those most subject to criminal processing. In response, those
who are relatively powerless develop patterns of behavior in relation to the defini-
tions imposed on them (Quinney 1970, 15–23). From this, Quinney concluded
that the social reality of crime in a politically organized society is a political act de-
signed to protect and perpetuate a particular set of interests over others. In support
of Quinney’s theory, Olaussen (2004) stated that crime is the result of societal agree-
ments on moral behavior that are institutionalized and thus empower certain people.
Policy Implications of Conflict Theory

The policies advocated by conflict theorists range from reform to transformation
rather than revolution. Conflict theorists do not necessarily see revolution as helpful
or even likely to happen in the short term and believe that something needs to be
done to reduce the harm of crime in the meantime. (We look at one group of these
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radical reformists, known as “left realists”—founded by one of the original radicals,

Jock Young—in Chapter 12.) Of all the conflict theorists, Austin Turk has perhaps
gone furthest to detail the changes to criminal justice consistent with the essence of
conflict theory. With regard to policy, Turk is to be commended for at least specify-
ing the concrete measures about which most conflict and radical theorists are silent.
In a 1995 article, “Transformation Versus Revolutionism and Reformism: Policy
Implications of Conflict Theory,” Turk identified five general principles on which
he based his program for structural transformation: (1) policy making is a political
process aimed at minimizing human casualties, not merely the application of tech-
nical fixes; (2) reducing crime and criminalization requires changing structural rela-
tionships, not merely persons; (3) policies must fit within a broad strategy of change
rather than being piecemeal programs and reforms; (4) policy should recognize
“field controls,” emphasizing environmental changes rather than “command” proc-
lamations and moral invectives and threatening punishment; and (5) policy should
aim for a more viable rather than a more docile society (18–21). Based on these five
principles, Turk identified eleven concrete measures to reduce crime:
1. Establish a public information resource center on crime and justice to orga-

nize research favoring structural transformation.
2. Establish gun control nationwide.
3. Abolish capital punishment.
4. Indefinitely incarcerate heinous violent offenders.
5. Stop building prisons.
6. Create paid part-time community service jobs for all young people.
7. Decriminalize drug possession and use, returning control to medical
authorities.
8. Decriminalize all consensual sexual activities.
9. Decriminalize all forms of recreational gambling.
10. Declare a moratorium on all mandatory sentencing.
11. Establish community policing and community development. (ibid., 21–24)
In addition, Turk proposed the establishment of national commissions to oversee

every level of government, to meet the health and economic needs of families, to
promote educational excellence, to develop communities, to promote progressive
(and eliminate regressive) taxation, and to encourage socially conscious economic
and technological development. These policy proposals and practices are designed to
eliminate the structural barriers that “pit classes and groups against one another” and
to minimize “the conflicts among them” (ibid., 26). Most of these policies have not
been enacted in the United States, and many doubt that they ever will be.
Evaluation of Conflict Theory

Conflict theory has been criticized on a number of grounds. Some of this criti-
cism has come from radical criminologists. For example, Quinney’s theory has
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been criticized both by others (I. Taylor, Walton, and Young 1973) and by himself
(1974). One primary criticism is that the theory is overly pluralistic and fails to
acknowledge that powerful segments are actually economically powerful classes.
I. Taylor, Walton, and Young criticized Turk for accepting “the retrenchment of
existing orders of domination and repression” and for being a manual for oppressors
aiming to maintain unequal social orders (1973, 266). They also criticized conflict
theory generally for being limited to exposing ruling-class interests in the criminal
justice system while ignoring how law and the crimes of the poor and rich are con-
nected to the structure of capitalism. As Lynch and Groves pointed out, in contrast
to the pluralistic ideas of conflict theorists, radicals “emphasize structured inequal-
ities as they relate to the distribution of wealth and power in capitalist society, and
hence define power in terms of class affiliation, rather than diffuse interest groups or
segments” (1986, 40). Overall, conflict theory does an effective job of identifying
sources of conflict and discrimination and for this has received empirical support.
For example, E. B. Sharp (2006) found support for the theory when applied to race
and police strength. A. Brown (2007) concluded that defendants were disadvantaged
by their criminal status throughout the criminal justice process. Esqueda, Espinoza,
and Culhane (2008) found the same results, specifically for Mexican Americans. As
we saw at the outset, racial profiling has been substantially demonstrated in research
and reports, even by those in positions of power and authority. However, with the
exception of Turk’s analysis of crime as resistance and oppression, conflict theory
does not really explain crime. In contrast, radical criminology locates the cause of
crime in the structure, inequality, and class struggle of capitalist society.
The Roots of Radical Theory:

Marx’s Analysis of Capitalist Society
German Jewish philosopher, sociologist, and historian Karl Marx (1818–1883) is
one of the most influential social thinkers of all times. Entire governments and social
systems have been developed from his ideas and Marxist theory has also been one
of the major frameworks of study in all the social sciences. It is therefore surprising
for students to learn that Marx wrote very little about crime! What Marx and his
colleague, cotton mill owner Friedrich Engels (1820–1895), did write about was the
economic class conflict that exists in capitalist societies that they believed would ulti-
mately result in those societies’ downfall. Their analysis was based on the concept of
historical materialism, which is a method of study and explanation for understanding
how past empirical events shape future social systems. Unlike the German philosoph-
ical idealist Georg Hegel (1770–1831) (who believed humans created the world from
their own thoughts and ideas), Marx and Engels adopted the opposite, materialist
view that human consciousness was created by the concrete conditions of productive
work (labor). But Marx’s notion of materialism was not the traditional one that saw
humans laboring as isolated individuals but a new “historical” materialism that rec-
ognized the social relations of productive activity in different historical eras (Carver
1987, 105). Thus, in one of Marx’s most frequently quoted passages, he argued:
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In the social production of their existence, [humans] inevitably enter into definite rela-
tions, which are independent of their will, namely relations of production appropriate to
a given stage of development of their material forces of production. The totality of these
relations of production constitutes the economic structure of society, the real founda-
tion, on which arises a legal and political superstructure and to which correspond definite
forms of social consciousness. The mode of production of material life conditions the
general character of the social, political, and intellectual life. It is not the consciousness of
[humans] that determines their existence, but their social existence that determines their
consciousness. At a certain stage of development, the material productive forces of society
come into conflict with the existing relations of production. Then begins an era of social
revolution. (Marx [1859] 1975, 425–426)
Marx believed that different historical periods typically have a dominant or

characteristic mode of production (e.g., slavery, feudalism, capitalism, socialism).
This is a particular combination of the forces or means of production (e.g., tech-
nology, resources, tools, energy, knowledge, skills) and the relations of production
that compromise “the network of social roles encompassing the use and ownership
of productive forces and of the products that emerge” (e.g., employer, worker,
investor, dependent) (Carver 1987, 109). Curran and Renzetti helpfully translate
this nineteenth-century terminology: people “make a living” through a productive
process that we call the economy. Economies can be of different types in different
periods of history depending on the resources, technology, and environment in
which they operate and the relationships they enter into in order to do productive
work. We are now shifting from a service-based economy to an information-based
economy, just as we went from an agricultural to an industrial or manufacturing
one, and this latest shift has been termed by some as the “postmodern era,” which
we look at in more detail in a later chapter. The important point Marx makes is that
“people do not make their living in isolation, but rather in association with other
people. The production process is not just physical or material, it is also social” (Cur-
ran and Renzetti 1994, 25).
According to Marx, throughout history the relations of production have been
class relations, and the history of existing society is a history of class conflict.
In capitalist society, these social relations exist between owners of the means of
production and those who own only their labor. Conflict is rooted in the con-
tradictions of the capitalist system, which at its heart is a system of economic
exploitation. One simplistic, yet insightful, summary of this conflict is that it is
“inherent in the nature of social arrangements under capitalism, for it was capi-
talism that generated the vast differences in interests and capitalism that gave the
few at the top so much power over the many at the bottom” (Lilly, Cullen, and
Ball [1989] 1995, 134). Class conflict is based on the inequality in the ownership
of wealth whereby those capitalists who own the means of production (capital,
plants, equipment, machinery) exploit workers who merely own their labor, which
they must sell to capitalists for a wage in order to make a living. The providers of
labor, whom Marx called the proletariat, sell their labor to the capitalists, who
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prosper through paying the laborers less than the value of their work and keep the
difference as profit (“surplus value”; see Lynch 1988).
To enable profit to be made, it is necessary to keep wage levels low. This is
achieved by retaining a “surplus population” of unemployed to be drawn on when-
ever the competition between employers increases the cost they have to pay for
workers. This lumpen proletariat, as Marx put it, occupies the lowest strata of society:
underemployed or unemployed persons who do not contribute to society in any
meaningful way other than as a reserve source of labor, should capitalist business
require it (Lynch and Groves 1986, 10). Capitalism’s need for keeping a reserve
labor force that will gladly work for low, rather than no, wages also produces the
contradiction of poverty, disease, and social problems as these people struggle to
survive on very little (Lanier 2009). To live, some of the lumpen proletariat devise
nefarious and tenuous means, including begging, prostitution, gambling, and theft.
They thus form “criminal classes” that are seen as a danger and a threat to the capi-
talist system. From this point of view, crime is an inevitable product of the inherent
contradictions of capitalism.
It may be asked, why do the masses of underemployed remain complacent? Why
don’t they riot against the capitalist system? For that matter, why don’t exploited
workers strike or revolt if they are so exploited? To Marx, one answer was ideology,
which among other meanings “is a process whereby beliefs, deriving from real social
relationships, hide or mask the precise nature of such relationships, masking from
exploited classes the nature of their oppression and its precise source” (Beirne and
Messerschmidt [1991] 1995, 342). Marx described this as “false consciousness”
and said it results in part from capitalist society’s superstructure. One’s awareness
or consciousness is shaped in a way that is consistent with one’s class position.
Institutions of society’s superstructure (i.e., the political institutions, the legal insti-
tutions, the Church, the educational system) instill into people certain values and
ideas. For example, most religions teach that it is good to be humble and accept
your position in life since you will be rewarded in the afterlife. For this reason
Marx called religion the “opiate of the masses.” The actual quote is more expressive:
“Religion is the sigh of the oppressed creature, the heart of a heartless world, and
the soul of soulless conditions. It is the opium of the people” ([1844] 1975, 175).
Education in capitalist societies stresses delayed gratification and hard work as the
means to monetary and emotional reward. One of the most important ideological
components of the superstructure is provided by law.
Marx’s Paradox of Law and Capitalism as Crime Producing

The capitalist system of law, bourgeois legality, as a part of the superstructure, re-
flects the particular mode of production of capitalist society. Bourgeois law serves
the capitalist power holders, or bourgeoisie, who use it and other means to retain or
increase their power and control. This is done not simply as a coercive instrument
of power but as ideological domination in which workers are both controlled and
defined by law. People are simultaneously “protected” by law from the dangerous
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classes and from extreme excesses of exploitation created by the capitalist system.
Law, therefore, controls by the assent of the majority. As Jock Young pointed out,
state law under capitalism exists in a dual relation: it limits excessive exploitation
but allows the system of exploitation to remain, it controls all of the population but
exercises greater control over some classes than others, and it provides the freedom
for the worker to sell his or her labor while preventing the worker from owning the
means of production (1981, 299).
In addition to the crimes committed by the lowest strata, Marx and Engels also
recognized that the capitalist system of production was “criminogenic” (crime-
prone) overall because of the way it impoverished all those within it. One way
it does this is through alienation. According to Marx ([1844] 1975), alienation
refers to the way the capitalist system of production separates and isolates humans
from their work, from its products, from themselves, and from each other. It es-
tranges (separates) them from (1) the products of their labor since they contribute
to only a part of the production process, the outcome or products over which
they have no ownership or control (the Harley-Davidson company recognized the
problems with this, and now has a group of three workers completely build each
of its Sportster model motorcycles); (2) their own work process, which loses all
personal ownership and intrinsic worth as it is sold to owners and carried out
under their control; (3) their own unique creativity and intellectual possibilities,
which are lost to the instrumental purpose of work; and (4) other workers and
capitalists, with whom they are set in conflict and competition. Thus, workers in a
capitalist society—“in their alienation from the product of their labor, from their
capacity to freely direct their own activities, from their own interests and talents,
from others and from human solidarity—are alienated from their deepest human
needs, that is, their needs for self-determination and self-realization” (Bender 1986,
3). This impoverishment by capitalism renders humans “worthless.” Through the
alienated work process they learn to view one another as isolated individuals and
potential enemies rather than social beings with mutual interests (Jaggar 1983, 58).
This leads to a lack of human caring and concern for others. Alienation therefore
makes the harm of crime more tolerable to the society and to those who may offend.
Engels ([1845] 1958) argued that crime also emerged as a reflection of the inher-
ent strains and pressures that capitalism creates. One way the conditions of crime are
created by the capitalist system is through its use of technology. As technology is im-
proved and production is made more efficient, there is less need for workers and they
are replaced by machines, a process that intensifies their feelings of worthlessness.
Another way criminogenic conditions are generated is from capitalist competition,
which serves to further disempower members of the working class since they must
“not only compete with the capitalist over working conditions, but are forced to
compete with each other for a limited number of jobs and a limited livelihood. Con-
sequently, Engels viewed crime as the result of competition over scarce resources”
(Lynch and Groves 1986, 52). Engels viewed crime as a result of the brutalization,
impoverishment, and dehumanization of workers by the capitalist system. They turn
to crime because capitalism undermines their morality to resist temptation; crime
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is an expression of their contempt for the system that impoverishes them and an
exercise in retaliatory justice. As Engels pointed out, when everyone looks to his or
her own interests and fights only for him- or herself, whether “he [or she] injures
declared enemies is simply a matter of selfish calculation as to whether such action
would be to his [or her] advantage or not. In short, everyone sees in [his or her]
neighbor a rival to be elbowed aside, or at best a victim to be exploited for [his or
her] own ends” ([1845] 1958, 145–146).
Finally, Marx and Engels also saw crime, like any other activity, as sustained and
exploited by the capitalist system while at the same time being a productive aspect
of it. Marx pointed out that in addition to the ideological function, crime actually
served those who live parasitically off the crime industry: “The criminal produces
not only crime but also the criminal law, the professor who delivers lectures on this
criminal law, and even the inevitable text-book in which the professor presents his
lectures. The criminal produces the whole apparatus of the police and criminal jus-
tice, detectives, judges, executioners, juries, etc.” ([1862] 1964, 158–160). The rapid
increase of students majoring in criminal justice programs illustrates this, as do the
huge numbers of people employed by the criminal justice system, especially in the
United States.
Marx and Engels’s criminological contribution was, as we have noted, tangential
to their analysis of the capitalist system. The first systematic Marxist consideration of
crime was attempted by Dutch criminologist Willem Bonger.
Bonger’s Criminality and Economic Conditions

Willem Bonger (1876–1940) built on Marx’s and particularly Engels’s concern
about the impoverishment that capitalism brings on society. This impoverishment
sets the economic and social conditions for crime. But whereas Marx and Engels
focused on the conditions conducive to working-class crime, Bonger extended the
analysis to include crime at all levels of society. This included crime among the
capitalist classes and a wide range of other crimes, including sex offenses, crimes of
vengeance, and political crimes. Bonger saw crimes as the acting out of a “criminal
thought.” People are more likely to have criminal thoughts when a society promotes
egoism rather than altruism. In a notion somewhat reminiscent of Durkheim’s ano-
mie theory, Bonger suggested that altruism was a predominant theme in traditional
precapitalist societies where the simple productive process for consumption rather
than exchange and shared conditions and problems of living promoted a sense of
community among the people, “a uniformity of interest” that “obliged them to aid
one another in the difficult and uninterrupted struggle for existence” ([1905] 1916,
35). The result of altruism was to suppress the criminal thought.
The change in the mode of production to capitalism brought with it the misery of
impoverishment, a condition that was demoralizing and dehumanizing, but it also
promoted egoism, which for Bonger meant individual greed, selfishness, and fervent
excitement. The climate of egoism favors the criminal thought. The fragmentation of
community brought by the capitalist system has a diminished capacity to curtail this
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destructive thought. The capitalist celebration of egoism is not reflected in official

crime rates, argued Bonger, because the upper economic classes determine the shape
of the criminal law to legalize the crimes of the rich and criminalize those of the
poor, with the result reflected in the title of one radical’s book, The Rich Get Richer
and the Poor Get Prison (Reiman [1979] 1995; Reiman and Leighton 2012).
In spite of Bonger’s attempt to bring Marx’s work alive in criminology, his ideas
and those of Marxism generally did little to stimulate criminologists until the advent
of radical criminology some sixty-five years later.
Contemporary Radical Criminology

In returning to Marxist criminology in the 1970s, radical criminologists such as
Richard Quinney, William Chambliss, Steven Spitzer, Raymond Michalowski, Ian
Taylor, Paul Walton, and Jock Young developed a composite critique of the crim-
inogenic nature of capitalist society that has continuities with earlier conflict and
Marxist theories. The reason for the reappearance of radical criminology cannot be
divorced from the historical period of growing social conflict and unrest.
The 1960s were a turbulent era in the United States. Radicals prospered in the cli-
mate of revolution and change. There were many legitimate social grievances, such as
the Vietnam War, the sexual revolution, drug legalization efforts, and so on. Univer-
sity faculty members and students at Berkeley, California, were at the forefront of the
protest movement. The most notable Marxist movement in criminology occurred at
the University of California at Berkeley, where the first Department of Criminology
had been established in 1950. Many leading US Marxists and radicals were taught
there or served as faculty members. Since radicals advocate social change and action
(praxis) rather than just passive empirical observation and measurement (like most
positivist criminologists), they actively and aggressively spearheaded a social move-
ment. It is not insignificant, then, that funding for the School of Criminology was
eliminated by then-governor Ronald Reagan as a consequence of their ideas, which
were seen as too radically left. The demise of the School for political reasons is a
fascinating story and illustrates several principles (or lack thereof), such as academic
freedom (see Geis 1995; Morn 1995; and Schwendinger, Schwendinger, and Lynch
2002). The abolition of this academic program by the State of California was inter-
preted by some as confirmation of these critical arguments. By way of a summary, let
us look at the basic ideas of these contemporary radical theorists.

Radical criminologists reject individual-level theories of crime that place humans
apart from their society and thereby fail to take into account the structural context
of human action. They also reject reformist structural-functionalist theories that in-
adequately account for capitalism’s criminogenic nature. The primary impetus here
came in the book The New Criminology by British criminologists Ian Taylor, Paul
Walton, and Jock Young, which was eventually translated into twenty languages.
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This devastating criticism of all previous “positivist” criminology and even the early
“interpretive” and conflict criminology marked a resurgence of radical Marxist crim-
inology. The authors called for a “new” criminology adequate for grasping the con-
nection between the capitalist “society as a totality,” its system of inequality, the
class conflict within it, the crime resulting from this conflict, and the social reaction
to crime from its structures of power expressed in law (1973, 278).
They argued that, caught in a “dialectic of control and resistance to control,” hu-
mans are simultaneously “creatures and the creators of a constraining structure of
power, authority and interest” within which they weave a diverse range of responses,
consciously making choices “freely chosen albeit within a range of limited alterna-
tives” (ibid., 248). A new criminology must account for this duality of freedom and
constraint, not by separating humans from the political economy that forms the so-
cial structure but by bringing the parts together that form the dynamic social whole.
As these authors acknowledged, “This ‘new criminology’ will in fact be an old crim-
inology, in that it will face the same problems that were faced by the classical theo-
rists” (ibid., 278). Indeed, for this reason, “It is perhaps more accurate to refer to the
emergence of radical criminology as a renaissance rather than a ‘New Criminology’”
(Bohm 1982, 569). Together, these authors did not develop the radical theory be-
yond their critique, although separately they have done so with others (I. Taylor et
al. 1975; I. Taylor 1981; J. Young 1981), whose central ideas we summarize now.
1. Capitalism shapes social institutions, social identities, and social action. The
mode of production comprising the means of production and the relations
of production, facilitated by the ideology disseminated through social insti-
tutions, shapes the character of the institutions through which it operates; it
encourages divisions of class, race, and gender, and shapes identities and the
activities of the individuals subject to it (Michalowski 1985).
2. Capitalism creates class conflict and contradictions. Capitalist society forces
humans into class conflict based on the inequalities of ownership and
control of the means of production (Spitzer 1975; Quinney 1977). These
classes are divided because the capitalist owners and employers want to
maintain the existing power relations or improve them in their favor by
increasing profits, whereas workers want to change the system and in-
crease their share of the fruits of production by increasing wages. These
desires produce two fundamental contradictions. The wages, profits, and
consumption contradiction requires workers to have sufficient income to
make consumption purchases and thereby increase economic growth. Too
much growth, however, is undesirable, as profits and investment possibil-
ities are undermined. The wages-labor supply contradiction requires that
a surplus population of unemployed workers be maintained to keep la-
bor costs down, but these people are not so impoverished that they create
problems and costs for capitalism (Chambliss 1988).
3. Crime is a response to capitalism and its contradictions. Crime is a rational
response to the objective conditions of one’s social class (Chambliss 1975,
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1988). Capitalism creates crime directly through generating and main-

taining a surplus labor force of the unemployed and underemployed, or
“underclass” (resulting from technological replacement), who are neces-
sary for keeping wages low, but who also may commit crimes to survive
(Spitzer 1975; Chambliss 1988). Capitalism creates problems indirectly
through education, necessary for managing increased technology and for
learning how to labor, but with the unintended consequence of raising
consciousness (Spitzer 1975). Predatory crimes of theft, robbery, and bur-
glary and personal crimes such as murder, assault, and rape are the result
of the oppressive conditions of capitalism to which those exploited have to
accommodate. Crimes such as sabotage and political violence are the result
of resistance to and even rebellion against capitalist domination. Crimes of
both accommodation and resistance may be more or less politically con-
scious acts (Quinney 1977; Michalowski 1985; I. Taylor, Walton, and
Young 1973). Crimes among the dominant economic classes also result
from capitalists’ attempting to resolve the contradiction of wages, profits,
and consumption by cheating to get illegally what they cannot get legally
in ways that harm other capitalists (Chambliss 1988).
4. Capitalist law facilitates and conceals crimes of domination and repression.
Capitalist law as part of its methods of domination inflicts harms on those
subject to control, including violence and violations of human rights. As
well as such “crimes of control,” capitalism facilitates “crimes of govern-
ment,” including corruption and graft; “crimes of economic domination”
such as corporate fraud, price-fixing, dangerous production methods and
products, and toxic pollution, which are undertaken in response to its basic
contradictions; and social harm or injury to human rights resulting from
institutionalized racism and sexism, which are reflective of the hierarchy of
domination in the capitalist system as a whole (Quinney 1977).
5. Crime is functional to capitalism. Crime provides work for the surplus pop-
ulation and for others in the crime-control industry, mystifies the capitalist
exploitation of workers (Chambliss 1975), and justifies the need for the
very law that maintains that system of exploitation (J. Young 1981).
6. Capitalism shapes society’s response to crime by shaping law. The ruling eco-
nomic class defines the content of criminal law in order to control the
subordinated classes, which threaten or create problems for capitalism’s
accumulation of wealth and its system of domination (Chambliss 1975;
Spitzer 1975; Quinney 1977). These problems include threats to the cap-
italist system of ownership of the products of work (e.g., theft), threats to
the production process (e.g., unemployment, vagrancy, drug use, mental
illness), threats to the system of distribution and consumption (e.g., sub-
stance abuse, theft), threats to the system of reproduction of workers (e.g.,
truancy, homosexuality), and threats to the institutions promoting the
dominant ideology (e.g., alternative schools, cooperatives). For the purpose
of management, these threats fall into one of two problem populations: the
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relatively harmless “social junk,” which has to be carried by the system, and
the relatively dangerous “social dynamite,” which must be controlled and
undermined (Spitzer 1975).
Many of these concepts have been addressed by contemporary researchers as well

as those assessing conflict theory. The role of the state or government in relation to
the management of crime resulting from the contradictions of capitalism has led to
two divergent radical positions, which we now explore.
The Capitalist State and Crime Control:

Instrumental versus Structural Marxism
Radical theorists have taken two directions, identified as instrumental and structural
Marxism, the difference between them having to do with the role of the state in
relation to capitalism (Beirne 1979). Instrumental Marxists see a direct and crude
relationship between the ruling economic classes and the government (Chambliss
1975; Quinney 1974; Krisberg 1975); the political administration is dominated
by, and serves the will of, the economically powerful. Instrumental Marxists argue
that the law and criminal justice system are coercive instruments used to control the
lower classes. This control serves to maintain the existing social, political, and eco-
nomic system. Members of the dominant capitalist ruling class make laws and devise
a criminal justice system that promotes their own economic interest. Instrumental
Marxists see two major classes: a capitalist elite and the mass of the proletariat.
In contrast, structural Marxists see a much more autonomous role for govern-
ment, which acts on behalf of the long-term interests of capitalism rather than in the
short-term interests of powerful corporations (Kinsey 1979; J. Young 1981; Green-
berg [1981] 1993; Chambliss and Seidman [1971] 1982; Chambliss 1988). They
view the instrumental perspective as being too simplistic. Structural Marxists argue,
“The functions of the state are presumed to be determined by the structures of soci-
ety rather than by the particular people who occupy positions of state power or by
individual capitalists” (Bohm 1982, 576; Michalowski 1985). The contradictions
of capitalist society create a force of disturbance that needs to be contained. In light
of these contradictions, criminal law cannot exclusively represent the interests of a
ruling elite to repress the lower classes. If it did so, it would risk revolt and would
need to divert wasteful energy into social control. Thus, in order to retain ideological
dominance rather than use coercive dominance, it must enact and enforce laws that
also benefit the less powerful. Furthermore, “Legislation is designed to prevent any
single capitalist from dominating the system. One person cannot get too powerful at
the expense of the economic system” (Siegel 1995, 248).
Recent Developments: Toward a Global Radical Criminology

Since the late-1980s, in response to a bias in mainstream criminology that empha-
sizes crime among the lower classes and underemphasizes crimes of the powerful,
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and in response to charges that radical criminology lacked empirical support, sev-
eral radical criminologists “became more empirically oriented” and have shifted their
focus from local to more global concerns (Lynch and Stretesky 2006, 193, 200).
These empirical studies from the radical perspective have produced, for example:
(1) tests of social structures of accumulation that predict trends in incarceration and
crime rates and show how structures of accumulation affect the impact of unem-
ployment on crime and imprisonment (Michalowski and Carlson 1999); (2) studies
that demonstrate how economic cycles affect criminal justice cycles (Box and Hale
1986; Barlow, Barlow, and Chiricos 1993; Lynch, Hogan, and Stretesky 1999);
(3) studies of crime in the media (Barlow, Barlow, and Chiricos 1995; Altheide and
Michalowski 1999); and (4) empirical studies of corporate and white-collar crime
“focusing on four areas: environmental justice hypotheses, the enforcement of cor-
porate crime regulations, environmental contaminants that influence criminal be-
havior, and media reporting of corporate crime” (Lynch and Stretesky 2006, 195;
Lynch, Stretesky, and Hammond 2000). As Lynch and Stretesky say, “The empir-
ical studies generated by radical criminologists use a variety of advanced empirical
applications and complicated methodologies,” including time-series and GIS data
analyses (2006, 195–196). Moreover, they point out that the radical criminology,
in addressing issues like environmental pollution, addresses issues that affect global
rather than simply local concerns:
Environmental issues are, in short, a major concern for the citizens of the world. Within
the United States, for example, 100 million people are exposed to dangerous levels of
smog every day. Meeting the challenge of devising and instituting policies, laws and
enforcement practices (as well as nonlegal responses) to address these issues will require
the reorganization of society, and the reorganization of the focus of academic research.
Scientific evidence on a number of environmental issues suggests an ever increasing
threat to the world presented by environmental pollution and the impending oil crisis.
In contrast, in two thousand years, crime has not undermined society. The near future
will tell whether orthodox criminology is up to the challenge of reorienting its approach
away from its focus on ordinary crimes to produce research more responsive to the ma-
jor harms that victimize the public. (ibid., 200)
Indeed, some radical/critical criminologists have begun to systematically explore

the global dimensions of crime (R. Weiss 2000; Barak 2000). Barak argues, “Crit-
ical criminologists are trying to understand the comparative effects that the devel-
opment, globalization, and increasing inequalities are having” on crime and crime
control (2001, 58). He relates crime, crime control, and justice to modernization,
opportunity, and the dependence of developing nations on developed nations being
fundamental to the trends in crime and crime control and says that “the roots of
both crime and crime control may be found in the interplay between the local, na-
tional and global forces” (ibid., 70).
The latest development was the founding, in 2012, of the journal Radical Crim-
inology by a Canadian criminologist Jeff Shantz and his colleagues. The first issue
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of the journal presents a “manifesto” that reflects this global struggle and calls for
an insurgent criminology. Shantz (2012) states that in “an era of state capitalist
offensives against the working classes and oppressed globally” through manufac-
turing austerity measures and fear-creation that legitimize the use of oppressive
policies and practices, criminologists need “to speak out and act against state vi-
olence, state-corporate crime, and the growth of surveillance regimes and the
prison-industrial complex.” They are unequivocal in the nature of this opposition:
“Criminology must choose sides. It must stand with the movements of the ex-
ploited and against the exploiters. It must stand with the oppressed and against the
oppressors. It must stand with the marginalized and against those who would claim
(or impose) the privileged center. It must stand with the criminalized and against
those who would criminalize them” (Shantz 2012). The Radical Criminology Man-
ifesto contains eight proclamations of intent. Radical criminology: (1) must “be
anti-statist and anti-capitalist” as both act in unison against workers and the poor;
(2) must recognize the social exploitation of labor as “the central organizing feature
of capitalist societies;” (3) must recognize that criminal justice systems are “profit
maximizing machines” mining crime among the poor, while leveraging their value
on state budgets; (4) must recognize that “the state is a protection racket;” (5) must
“confront assaults on indigenous communities globally by settler capitalist states
and their criminal justice systems;” (6) “must challenge national sovereignty and
border controls” and their construction of migrants as illegal; (7) “must be deep
green” and oppose capitalist exploitation, and the destruction of the planet’s var-
ious ecosystems; and (8) must “call for the abolition of all statist criminal justice
systems” (Shantz 2012). They also identify a series of action items for criminolog-
ical practice that includes community and workplace engagement, opposing cor-
poratization of the university, and the move to career training in criminal justice,
redefine crimes according to what is really harmful to humanity, redefine prisoners
for economic crimes as political prisoners, replace criminal justice with restorative
justice, and join with others to promote horizontal organizations and participatory
decision-making over authoritarian vertical ones (Shantz 2012).
Policy Implications of Radical Theory

The policy implications of radical theory are clear. If social structure is the cause of
class conflict resulting in exploitation and crime, the only solution is to change the
social structure. Criminal justice cannot be the focus because this “does little to alter
the fundamental economic inequalities which structure social relationships” (Lynch
and Groves 1986, 108). Instead, it is necessary to change the system of capitalist
production to another that does not reproduce the conditions that generate crime.
This involves revolution. Marx and Engels thought that the masses would eventually
recognize their plight as an oppressed class and revolt. As Marx and Engels wrote in
The German Ideology ([1845] 1964), revolution is necessary because “the ruling class
cannot be overthrown in any other way, but also because the class overthrowing it
can only in a revolution succeed in ridding itself of all the muck of ages and become
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BOX 10.1 Private Security Contracting and Its Contradictions on the New
Frontiers of Capitalist Expansion
ROBERT P. WEISS
This latest edition of Essential Criminology begins with a discussion of globalization

and its impact on crime and justice issues. In a special double issue of Social Justice
(34, nos. 3–4 [2007–2008]), I began an examination of the expansion and global-
ization of private security. The enterprise serves capitalist interests and provides a
disturbing illustration of the type of globalization that Lanier, Henry and Anastasia
describe. The following is taken from the introduction to this special issue.
The security-industrial complex emerging today involves many different services for an
unprecedented variety of clients, including NGOs, corporations, governments, and even
local citizen groups (Kempa et al. 2000; Avant 2006). What they have in common is
state failure. In contrast to nineteenth- and twentieth-century imperialism, which denied
sovereignty to its colonies and protectorates, neoliberal globalization, or the “new im-
perialism” (Harvey 2003), utilizes weak or failed client states that are exploited through
dispossession and the tyranny of the market. Primitive accumulation under neoliberal-
ism is a violent affair, igniting political resistance as well as intensifying organized crime
and a wide array of labor discipline problems (Cha 2004; Bacon 2005). Hence, neolib-
eralism reprises the process of policing social junk and social dynamite (Spitzer 1975).
The US occupation of Iraq, for instance, attracted more than 126,000 private se-
curity operatives, contracted to help reestablish police, prison, and even judicial func-
tions through companies such as DynCorp International. Along with Blackwater and
Global Risk Strategy, DynCorp also has had a major security presence in Afghanistan.
The private prison and detention industry is also making significant inroads interna-
tionally. After a business slump around 2000, the prison business has rebounded in the
United States and is being reinvigorated and transformed internationally. Homeland
security and immigration control are the fastest-growing markets for detention services
in the United States (Crary 2005; Kolodner 2006), and the private prison industry has
revived under neoliberal penality (Weiss 2001). Individual states are turning to private
companies to help run a vast array of public-sector services, including management of
correctional, detention, and mental health and residential treatment facilities in the
United States, Australia, South Africa, the United Kingdom, and Canada. The entire
private security sector has grown more than 20 percent in the United States alone over
the past decade, and now comprises more than 13,000 companies employing more
than 1.5 million workers (Bureau of Labor Statistics 2006).
On the surface, commercial security would appear to be the perfect neoliberal
institution because private force thrives in an environment of heightened insecurity,
currently aggravated by a US neoconservative foreign policy favoring intransigence
over diplomacy (Meyer 2007), and within weak and failed states that are unable or
unwilling to provide governmental security (Goldsmith 2003; Liu 2005a, 2005b).
(CONTINUES)
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BOX 10.1 (CONTINUED)
On closer examination, however, commercial security harbors several contradic-

tions. Neoliberal “shock therapy” increases violence and the threat of terrorism by
destroying public welfare provisions that foster true social security. And in advanced
capitalist nations, fear can be stoked. The desire for security will always exceed the
available supply when politicians engage in the “discourse of fear” (Altheide 2006,
78–85) concerning crime, disorder, and terrorism. Following neoclassical econom-
ics, which favors exchange over production, the value of a good is determined by its
subjective scarcity of supply rather than by costs of production. Increasing fear leads
to increasing security demand and rising prices without inflation.
Robert P. Weiss is a Professor Emeritus of Sociology and Criminal Justice at the State
University of New York at Plattsburgh.
References
Altheide, David L. 2006. Terrorism and the Politics of Fear. Lanham, MD: AltaMira Press.
Avant, Deborah. 2006. The Market for Force: The Consequences of Privatizing Security.
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Bacon, David. 2005. “CAFTA’S Vision for the Future—Privatization at Gunpoint.”
truthout/Perspective (May 7). www.americas.org/item_19488.
Bureau of Labor Statistics. 2006. “Security Guards and Gaming.” In Occupational Out-
look Handbook, 2006–07 Edition. www.bls.gov/oco/ocos159.htm.
Cha, Ariana Eunjung. 2004. “Underclass of Workers Created in Iraq.” Washington Post,
July 1, A1.
Crary, David. 2005. “Private Prisons Experience Business Surge.” Washington Post, July 31.
Goldsmith, Andrew. 2003. “Policing Weak States: Citizen Safety and State Responsi-
bility.” Policing and Society 13, no. 1: 3–21.
Harvey, David. 2003. The New Imperialism. Oxford: Oxford University Press.
Kempa, M., R. Carrier, J. Wood, and C. Stenning. 2000. “The Evolving Concept of ‘Pri-
vate Policing.’” European Journal of Criminal Policy and Research 7, no. 1: 197–223.
Kolodner, Meredith. 2006. “Private Prisons Expect a Boom: Immigration Enforcement
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States, and Terrorism. Asia Times, March 3. www.atimes.com.
———2005b. “The Failed-State Cancer.” World Order, Failed States, and Terrorism.
Asia Times. www.atimes.com.
Meyer, Josh. 2007. “In Terrorism Fight, Diplomacy Gets Shortchanged.” Los Angeles
Times, March 18, A1.
Spitzer, Steven. 1975. “Toward a Marxian Theory of Deviance.” Social Problems 22: 638–651.
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fitted to found society anew” (Tucker 1978, 193). For Marx and Engels, this revo-
lution would be followed by a period of state-run socialism before arriving at a final
stage of communism. In this final stage, the private ownership of property would be
abolished, and humanity would be emancipated from exploitation. As Engels put it,
where all people have their basic material and spiritual needs satisfied, where hier-
archy ceases to exist, “we eliminate the contradiction between individual man and
all others, we counterpose social peace to social war, we put the axe to the root of
crime” ([1845] 1958, 248–249).
Many contemporary radical theorists are also convinced that socialist revolution
is the only solution to the crime problem. Illustrative is Quinney’s statement: “Only
with the collapse of capitalist society and the creation of a new society, based on so-
cialist principles, will there be a solution to the crime problem” (1975a, 199). In his
most recent writings, however, Quinney has abandoned this call for revolutionary
socialism in favor of a spiritual inner-peace revolution, which we discuss in a later
chapter under peacemaking criminology. The policy solutions advocated by radicals
have also been criticized as being utopian and unrealistic. These criticisms have led
to the development of various revisions by leading radicals and other critical crimi-
nologists that we consider in the next two chapters.
Evaluation of Radical Theory

Much of the criticism of radical theory is really a criticism of instrumental
Marxism, not structural Marxism. Thus, when radical Marxists are criticized
for lacking realism, for being imprecise, for misrepresenting reality, for making
untestable claims, and for being insufficiently supported by empirical evidence
(Klockars 1980; Mankoff 1978; Turk 1980), what we see is further criticism of
instrumental rather than structural Marxism. When Carl Klockars argued that
the state does empower oppressed people and provides them with genuine rights
they otherwise would not have, this too is part of the structural Marxist critique
(not that Klockars was a structural Marxist, but they also make this argument
against instrumental Marxism). Similarly, radicals are criticized for demanding
controls on crimes of repression and domination, since that would serve only to
increase the state’s power and control, not lead to a “withering away of the State”
(Lynch and Groves 1986, 30). But this was a call from conflict theorists rather
than Marxists who, as we have seen, want to change the social structure, not
criminalize more behavior.
Criticisms by Klockars and others that the class divisions of capitalist society,
rather than being harmful, can actually be helpful and that interest groups allow
valuable connections across class boundaries apply to structural Marxism and con-
flict theory, however. A further criticism offered by Klockars to both versions of
Marxist criminology is that radicals romanticize the freedom from crime under so-
cialism while ignoring the relative freedom from crime enjoyed in capitalist coun-
tries like Switzerland and Japan. If capitalism is criminogenic, he asks, why are these
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capitalist societies relatively crime free? More recent criticisms have included the
charge that because national socialism has failed, particularly with the fall of the
Soviet Union in 1989, the theory must also have failed. However, developments
such as the dramatic increase in organized crime in Russia since the introduction of
free-market capitalism and the revelations of massive corporate and government cor-
ruption in Japan tend to weaken these criticisms. So too does the observation that
both Japan and Switzerland are very strong collective societies.
Radical criminology has also been criticized because it is too abstract and cannot
be empirically tested, and, therefore, it lacks empirical support. However, as we saw
above in the section on recent developments, the past thirty years have produced
considerable empirical research supporting some of the perspective’s core arguments,
and as a result “some orthodox criminologists have begun to appreciate and recog-
nize the contribution that radical criminology can make to the study of crime and
justice” (Lynch and Stretesky 2006, 193–194; Agnew 2011).
In spite of the various criticisms, most of which were launched more than forty
years ago, radical criminology, at least in its expanded “critical criminological”
form, which we will discuss in a later chapter, has not only remained but expanded
in interesting new directions. Indeed, it not only has divisions within the two major
professional associations for criminological studies (the American Society of Crimi-
nology and the Academy of Criminal Justice Sciences) but also has its own journal,
Critical Criminology, and is highly influential in the ethos of other journals such as
Crime, Law, and Social Change and Social Justice (Lynch and Stretesky 2006). If
anything, conflict and radical criminology is stronger now than it has ever been,
even if its dispersal into these fragmented forms does not please all of its advo-
cates. Indeed, Stuart Russell has called for critical criminologists “to redirect their
attention back to Marxist theory by developing and extending its tools of critical
theoretical analysis” (2002, 113), and others have launched blistering attacks on
some of the critical criminological dissenters within the Marxist orthodoxy (Cowl-
ing 2006). Finally, the new reversion to an insurgent radical criminology (Shantz
2012) offers vigorous resistance to global capitalism, colonialism, and what they
perceive as injustice and the state, but very little of what will replace these systems
and institutions. As a result insurgent radical criminology looks more like anarchist
criminology than instrumental or structural Marxist criminology.

The summary chart below provides the key assumptions and arguments of conflict
and radical theories. Their major contribution is to force criminologists to look
beyond simple individual behaviors to the deeper causes of crime contained in the
social structure of society—particularly capitalist society. Although we have pre-
sented here three somewhat different approaches (conflict and instrumental and
structural Marxist), the disagreements between them may be less problematic for
critical theory than they at first seem.
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Summary Chart: Conflict Theory and Radical Theory

Basic Idea: The structure of capitalism involving the private ownership of prop-
erty and vast differences in inequality creates conflict and contradictions that pro-
vide the conditions for crime. Conflict theorists see the source of conflict in different
group interests; radicals (Marxists) see the source of conflict in the class structure of
capitalism’s exploitative system of economic production.
Human Nature: Humans are basically a social species, connected to others and
shaped by their social structural contexts as well as their own human agency. They
can join with others depending on their interests (conflict theory) or their objective
class position (radical theory).
Society and Social Order: Conflict theory sees divisions and competition based
on a variety of different interests (class, status, power, gender, race, and so on). Rad-
ical theorists see a major conflict in capitalist society based on class interests between
owners of wealth and owners of labor. Instrumental version sees the state as a tool
of the ruling economic class. Structuralist version sees the state as semiautonomous,
protecting the long-term interests of society against threats from particular interests,
whether powerful or powerless. Conflict between the two major classes (owners and
workers) is repressed by either coercive (instrumental Marxist) or ideological (struc-
tural Marxists) means of domination.
Law, Crime, and Criminals: Conflict theorists see the law as rules enforced by
the powerful to maintain their economic, political, and social positions. Content of
law and what counts as crime are set by the powerful. Instrumental Marxists see law
as a coercive instrument of repression used by the dominant classes. Structuralists see
the law as both a protector of the capitalist system and an ideological vehicle mysti-
fying class exploitation and building consensus for capitalism by providing genuine
rights and protections. Both conflict and radical theorists reject the restricted legal
definitions of crime because they take power for granted; the role of power in the
definition of crime is the central focus of conflict criminology. Criminals are those
who challenge the powerful (conflict theory) and threaten the capitalist mode of
production, especially the surplus labor population or underclass (radical theory).
There is no difference between criminals and noncriminals except that the latter are
better able to get around the criminal justice system and can steal through quasilegal
means. Criminals are rationally responding to their objective situation of exploita-
tion and see crime as a solution.
Causal Explanation: Conflict theory argues that capitalism is criminogenic be-
cause it intensifies differences in positions of domination and subordination and
produces the conditions for humans to commit crime—the demoralization of the
human cooperative spirit and the celebration of egoistic tendencies over those of
altruism, which free the criminal thought. Radical theory sees capitalism as crim-
inogenic because it produces fundamental contradictions, the resolution of which
includes crime. Capitalism causes inequality, division of labor, specialization, and
the alienation of humans from themselves, the products of their labor, the labor
process, and their own species. Demoralization, brutalization, and dehumanization
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result in crime as an unconscious expression of anger and revolt against those who
dominate politically and economically. Law and the criminal justice apparatus add
to frustration through their use to repress legitimate expressions of injustice. They
facilitate crimes by the powerful in the course of repressive control as both capitalists
and workers attempt to overcome capitalism’s inherent contradictions.
Criminal Justice Policy: Conflict theorists want to reduce the causes of conflict
and restructure the society to be less conflicting and more cooperative. Radicals want
to reduce conflict born of inequalities of wealth by removing or considerably reduc-
ing economic inequality in society.
Criminal Justice Practice: Restructure the distribution of wealth and ownership,
move ownership to the employees, create a world in which people are concerned
with each other’s welfare, create and enforce laws equally against wealthy and poor,
and decriminalize consensual crimes, minor property theft, and drug offenses. Struc-
tural change needed to prevent crime in the future involves revolution and a move to
socialist or communist society.
Evaluation: Analysis of law and injustice related to social structure helpful but
criticized for being unrealistic and idealistic and assuming crime does not occur in
socialist countries or under decentralized horizontally organized societies. Some cap-
italist countries have very low crime rates, and this is not explained. Criticized for a
lack of practical concern for current crime victims.
1. What are the similarities and differences between conflict and radical theories
of crime causation?
2. Who of the major critical theorists among Georg Simmel, Max Weber, or Karl
Marx do you consider the one with the most relevance to crime and criminal justice
today and why?
3. How did Austin Turk define power relations?
4. According to Richard Quinney, people are rational, so what causes crime? And
what should be the policy response if “limited rationality” is not the most important
factor?
5. Turk provided specific policies that would reduce crime. What are they and
which do you think (and why) is the most likely to reduce crime?
6. What is historical materialism? How is this concept important to criminology
in the twenty-first century?
7. According to Marx and Engels, how does capitalism create crime? Is their the-
ory relevant today and if so explain why?
8. The “New Criminology” was created in Great Britain in the 1970s. What are
the six fundamental elements of this theoretical framework? Is it still “new” and how
does it explain corporate or white-collar crime?
9. Global Radical Criminology is one of the latest radical theories. How does it
differ from earlier versions?
9780813348858-text.indd 272 10/17/14 9:42 AM

11
Patriarchy, Gender, and Crime

Feminist Criminological Theory
“The argument that ‘boys will be boys’ actually carries the

profoundly anti-male implication that we should expect
bad behavior from boys and men. The assumption is that
they are somehow not capable of acting appropriately,
or treating girls and women with respect.”
—Jackson Katz, The Macho Paradox
As of February 2013, a woman by the name of Renée Acoby was Canada’s only
“female dangerous offender,” which is a title afforded to only the most violent kill-
ers and sexual predators in the country (Stone 2013). Women in the United States
are profoundly underrepresented in more serious person and property crimes, such
as homicide, rape, robbery, and burglary—“only about 10% of arrestees for these
offenses are female” (Schwartz and Steffensmeier 2007, 47). According to the White
House’s Women in America: Crime and Violence fact sheet, women are “more likely
to commit crimes now than in the past, although women who commit crimes are
more likely to be arrested for nonviolent property crimes compared to male crimi-
nals whose crimes are more likely to involve violence” (The White House).
Overall, women have traditionally been portrayed as less criminal and more em-
pathic and caring than men. The types of crimes they typically commit, such as
shoplifting, prostitution, and embezzlement, reflect their being less violent; when
they are violent, it is often a response to repeated abuse by men. However, exam-
ples of violent and callous crimes by girls and women are a reality, as illustrated by
the very recent example of Miranda Barbour. Barbour has been charged with first-
degree murder in the November 2013 slaying of a Pennsylvania man that she and
273
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her husband met through Craigslist. Since then, she has told officials that she had
participated in at least 22 killings in the previous six to seven years in the states of
Alaska, Texas, North Carolina, and California (allegedly beginning at age 13 after
joining a satanic cult). She has since reported that she felt no remorse for her victims
and said she killed only “bad people” (Draznin, Candiotti, and Welch 2014). How
do criminologists explain crime committed by women? How do they explain wom-
en’s relatively low rates of arrest and conviction compared to men? How do they
explain the maleness of most crime? For years, they were not able to do so because
all theories of crime were theories of male crime rather than female crime due “to
the repeated omission and misrepresentation of women in criminology theory and
research” (Chesney-Lind 2006, 7).
In this chapter, we consider the contribution of feminist theory to the expla-
nation of crime. Feminist theorists seek to explain why women, such as Miranda
Barbour, engage in serious and violent crime. Essentially, feminist theorists seek to
explain some interesting recurring patterns of crime. They try to explain why most
violent crime is committed by men as well as why women are far less likely to be
involved in criminal activity—a phenomenon known as the “gender-ratio prob-
lem.” Why is it that when some men decide to commit suicide, they kill their wife
or girlfriend first, but when women decide to commit suicide, they almost never
kill their husband or boyfriend, although they may kill their children (Polk 2003)?
Why are many women “linked to serial killers as victims but rarely as perpetrators”
(Skrapec 2003, 235; Kelleher and Kelleher 1998)? Although the exception, those
women who do kill—such as Aileen Wuornos, the Florida prostitute-turned-serial
killer who killed seven men in Florida between 1989 and 1990, later claiming they
raped or attempted to rape her—constitute about 15 percent of all serial murderers.
Yet, it is important to note that female terrorists have existed throughout the world.
Also, why are almost all rampage school shootings committed by boys and not
girls? Why do some men kill their female partners out of jealousy, yet women al-
most never do? Why do some men feel compelled to use lethal force to defend their
honor or resolve disputes, whereas “women almost never feel that they must use ex-
ceptional violence to defend their sense of honor. And . . . they rarely employ lethal
violence as way of resolving . . . personal conflicts” (Polk 2003, 136)? As we shall
see, feminist scholars believe that traditional mainstream criminology is unable to
explain these patterns of behavior because it ignores the structuring of society by
gender that results in patriarchy and its theories are almost exclusively designed and
applicable to explain male crime, which is known as the “generalizability problem.”
In contrast, as Jody Miller has argued, “Feminist criminology . . . situates the study
of crime and criminal justice within a complex understanding that the social world
is systematically shaped by relations of sex and gender” (Miller and Mullins 2006,
218). Indeed, feminist criminologists take gender as the central concept in expla-
nations of social relationships, processes, and institutions that produce law, power,
crime, and victimization.
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11: Patriarchy, Gender, and Crime 275

According to Kathleen Daly and Meda Chesney-Lind’s seminal article on feminist
criminology, there are five key features that distinguish it from mainstream crimi-
nology, and these relate to the nature of gender: (1) gender is a social, historical, and
cultural construct built on biological sex differences and reproductive capacities;
(2) gender and gender relations are fundamental organizers of social institutions
and social life; (3) gender relations and the social constructs of masculinity and fem-
ininity are based on assumptions that men are superior to women, and this is re-
flected in male dominance in social, economic, and political institutions; (4) what
is taken for granted as knowledge of the natural and social world is men’s knowl-
edge, the production of which is gendered; and (5) women should be at the center
of intellectual inquiry, not peripheral, invisible appendages to men (1988, 504). A
failure to acknowledge the politics of gender has resulted in a myopic view of crime
and criminal justice that also fails to address some of its most distinctive features. In
fact, Chesney-Lind (2006) described the unique political climate in which feminist
criminology emerged and continues to struggle, and which includes political back-
lash, right-wing agendas, moral agendas, and public and governmental policies that
are hostile to women’s rights—all of which has resulted in an attempt to minimize
feminist criminology and its efforts at challenging patriarchy.
One of the major criminological findings that has remained consistently unex-
plained by mainstream criminologists is that although women do occasionally com-
mit serious, and especially violent, crimes, they generally commit far fewer of them
than men and are arrested or convicted at a lower rate for their crimes (Cain 1989;
Steffensmeier and Schwartz 2004). Indeed, “gender—specifically being male—is
one of the strongest correlates of criminal offending. This is especially the case, the
more serious and more violent the crime in question” (J. Miller 2003, 17). Some
simple statistics demonstrate this point. According to the Uniform Crime Reports
data, almost “74 percent (73.8) of the persons arrested in the nation during 2012
were males. They accounted for 80.1 percent of persons arrested for violent crime
and 62.6 percent of persons arrested for property crime” (Uniform Crime Reports
2012). As Polk states, “Across many different countries and in many research stud-
ies, official crime, especially violent crime, involves mostly male offenders. In the
case of homicide for example, typically males make up between 85 and 95 per cent
of known offenders” (2003, 133). Even in the case of crimes typically associated with
women, such as sexual offending, women are less frequently arrested. For example,
of those arrested for sex offenses in 2012, 7.8 percent were female (FBI 2012).
What does the gender-ratio problem—that is, the preponderance of male offend-
ers over female offenders—say about the causes of crime? Is crime caused by some-
thing to do with being a man, such as differently wired brains, differences between
male and female hormones, or the socially constructed identity of masculinity? Is
this identity rooted in the customary and legal historical content of Western so-
cieties or in biological, cultural, or structural forces? Or is crime created by those
who make the laws, which feminists argue have been enacted by men for men, in
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order to perpetuate their privilege? National arrest statistics suggest that gender dif-
ferences for certain types of crime (such as larceny, embezzlement, and fraud) do not
vary significantly between men and women. However, serious violent crime (such as
murder, forcible rape, robbery, and weapons offenses) is consistently a male activity
(FBI 2012).
Responses to observations about gender differences in both levels of crime and ar-
rest rates by feminist criminologists began with critical works by Dorie Klein ([1973]
1980), Rita Simon (1975), Freda Adler (1975), and Carol Smart (1976). The fem-
inist perspective in criminology did not become firmly established until the 1980s,
though, and serious consideration of feminist criminological theory did not even be-
gin to appear in theory textbooks until the 1990s (e.g., Einstadter and Henry 1995).
Part of the explanation for this omission and delay was that mainstream criminology
was really “malestream” (i.e., dominated by men). These theorists were exceptionally
slow to respond to feminist theory and tended to marginalize feminist contributions
and exclude them, as argued by critics (Menzies and Chunn 1991; Messerschmidt
1986). Also, as Simpson (1989) pointed out, some of the early accounts by women
were less involved with developing their own theoretical position than with criticiz-
ing the lack of attention by male criminologists to women and gender issues (e.g.,
Leonard 1982). Flavin postulates that “many criminologists’ dismissal of feminism
stems as much from ignorance and misinformation as deliberate, ideological resis-
tance” (2001, 271).
Early on, feminist criminologists argued that the history of criminological the-
ory is a history of the study of men behaving badly: criminology has been “gender
blind.” Significant research or discussion on women as victims or offenders had been
omitted (A. Morris 1987; Gelsthorpe and Morris 1988). Criminological research,
for the most part, has been about males, and criminology has been shaped by a
male view of the world (Leonard 1982; Heidensohn 1985). Traditional crimino-
logical theories also neglect “gender-related factors such as patriarchal power rela-
tions” (Alarid, Burton, and Cullen 2000, 172). Criminological theory “has either
ignored women—focusing exclusively or implicitly on explaining male participation
in crime and defining females as unimportant or peripheral—or has ignored gender”
(Miller 2003, 16). Further, as Gaarder and Belknap note, “Traditional theories of
crime causation, which tend to be based on male models of crime and behavior, can-
not adequately explain the experiences of delinquent girls” (2002, 482) or criminal
women. Moreover, applying theories of male crime to women, but not theories of
women’s crime to male offending, makes “women a subcategory of men” (Miller
2003, 16). Rather than assertively committing crime, mainstream constructions of
“the female offender” embody the traditional stereotype that “women’s greater emo-
tionality, passivity and weakness . . . account for both their involvement (or lack
thereof) in crime and the nature of their criminal activities” (ibid., 17).
Empirical research on female murderers challenges this view and suggests that bi-
ased portrayals in the media, in the law, and even in feminist discourse that present
women murderers as victims deny their agency and freedom to be human (Mor-
rissey 2003). Indeed, as Carol Smart (1976) observed forty years ago, women are
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denied not only their individuality through subordination, but also their criminal-
ity and their victimization as a result of gender-biased criminology. Through rape,
prostitution, and intimate partner violence, women are seen to “deserve” or “ask
for” their problems. In fact, victimization studies reveal that, previously, some of the
most hidden victims of men’s harm have been women. Studies show that violence
toward women and rape have been, until relatively recently, grossly underreported
(Brownmiller 1975). Self-report studies have also shown that women are not merely
passive accomplices of men but actively engage in independent criminal acts alone
and with others.
The crimes of females are not as restricted to status offenses, child abuse, shoplift-
ing, and poisonings, as the media stereotypical portrayals would lead us to believe.
They include robbery, violence, sex offenses, drug abuse and dealing, white-collar
crime, and gang activity. But the data on such crimes have largely been gathered
from studies of men, which means that any differences of gender are disregarded,
and generalizations are less about crime and more significantly about masculinity
(Daly and Chesney-Lind 1988; Leonard 1982; Messerschmidt 1993).
In seeking alternative explanations, some feminist writers have suggested that
there are different “pathways to crime” for women. Certain events or life experi-
ences increase one’s risk of offending (Heimer and De Coster 1999). Pathways, or
life-course, research suggests that child neglect and physical and sexual abuse of
young girls is often related to their incidence of “doing” crime (Gaarder and Belk-
nap 2002). More recent research shows that although “childhood maltreatment
and sexual abuse, family chaos, poverty, school failure, and alcohol and substance
abuse problems have all been touted as critical factors in females’ pathways to
offending and, in some cases, in their pathways to recidivism” (Salisbury and Van
Voorhis 2009), “there is no evidence that these factors are in fact gendered, given
that males are routinely left out of the studies” (Kruttschnitt 2013, 298).
In the years following the initial critiques, feminist criminology moved into sev-
eral different theoretical strands and is currently moving toward a reintegration of its
diverse positions. What are the areas of crime and justice that feminist scholars have
focused on, and what are the different ways their scholarship theorizes the causes of
crime by both men and women? Flavin describes three directions that most scholar-
ship and practice involving women have taken. First, feminist criminology criticizes
the criminological mainstream’s omission of women: “Most . . . scholarship focuses
on men or extends theorizing based on men’s experiences to women without offer-
ing any reconceptualization” (2001, 273). This is simply adding women to the mix
and “stirring.” Jody Miller (2003) calls this the “generalizability approach,” which
she says cannot explain men’s disproportionate involvement in crime (the gender
ratio of offending), and also ignores the confluence and amplification effects of class,
race, and gender.
A second movement of feminist scholarship, according to Flavin, has been to
focus on crimes that adversely affect women more so than men. Intimate partner
violence is given as a prime example, though sexual violence is also commonly
studied in this manner. This type of research is still guilty of treating men as
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the norm and women as anomalies, says Flavin. In addition, such an approach
has been criticized by other feminists for assuming the concept of a “universal
woman,” and thereby not accounting for the different experiences of women, such
as those affected by race and class, that lead to different outcomes of offending and
victimization (ibid., 22–23).
Finally, feminist scholars have begun to study women “on their own terms” and
to recognize a “multiplicity of factors and offer a richer contextual analysis” (Flavin
2001, 273). As part of this trend, feminist scholarship has also moved toward a more
general analysis of gender and difference that is more inclusive of other differences,
experiences, and inequalities (Smart 1990; Caulfield and Wonders 1994; Schwartz
and Milovanovic 1996; Daly and Maher 1998).
BOX 11.1 The Changing Status and Role of Women

KATY HANCOCK
The twenty-first century has seen changes and advances for women around the
world. The new century has seen several American states, including Massachusetts,
Vermont, and Virginia, elect their first female sheriffs. Harvard University named its
first female president in 2007. An investment company in Saudi Arabia, recognizing
the opportunity available in female investors, has now appointed its first female chief
financial officer. For the first time, females are piloting for civil airlines in South
Korea. The entertainment industry has seen a broader and more positive represen-
tation of women as law enforcement professionals in such television shows as CSI,
Law and Order, and The Closer. In addition, 2008 was a landmark year for women.
The US Army nominated its first female four-star general. Indy driver Danica Pat-
rick became the first woman to win a race in a top-level racing series. The United
States reached a milestone for women with the 2008 presidential election, not only
with Hillary Clinton’s presidential campaign but also with the second female vice-
presidential candidate, Sarah Palin.
At the same time, on the other side of the spectrum, the world has seen women
more and more as the perpetrators of crime. In one of the most publicized cases of
white-collar crime since the Enron scandal, Martha Stewart was convicted of in-
sider trading in 2003. Moreover, 2008 saw media coverage of Orlando resident Ca-
sey Anthony being first arrested for check forgery and then for murdering her child
(a crime for which she was later found not guilty). Women’s crime, however, is not
limited to only nonviolent acts. Over the past decade, the media has increasingly
been covering cases involving women as perpetrators of murder and child abuse.
For example, in 2008, Samantha Rothwell was convicted of second-degree mur-
der for stabbing a friend at a birthday party over an argument about God. Other
examples are those of Andrea Yates, who murdered her children, and Lisa Nowak,
the NASA astronaut accused of attempted kidnapping. As terrorism has become a
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more prominent issue since September 11, 2001, we have also heard more about
female terrorists and suicide bombers, not only in the United States but also in
strife-ridden areas, such as Iraq, Palestine, and North Korea. In addition, we now
see many advocacy groups, including victim services on college campuses, working
to raise awareness for men as victims of abuse from their wives or girlfriends. While
the prison inmate population is still largely male, the percentage of incarcerated
women is growing.
At a time when women are accomplishing greater things and have more options
than ever before, why do we also see an increase in female crime? One argument
is that, although globalization has created many opportunities for careers, educa-
tion, diversification, and worldwide networking, it has also created pressures and
obligations for women, who feel they must compete in a global workplace and still
have time for family. An emphasis on global issues such as world hunger, political
unrest, the environment, and violence against women and children has also created
more pressure on individuals to fulfill obligations to an overwhelming number of
social issues. Furthermore, the increasing impersonality of society has led to many
people, including women, feeling isolated and angry. The question still remains how
to reduce or even eliminate the negative effects of globalization while still reaping its
many benefits.
An important contribution made by feminist theory is the concept of “blurred

boundaries” (Daly 1992; Daly and Maher 1998), which points to an overlap be-
tween women as both victims and offenders (for example, abused women who kill
their partners, described by Raeder 2006, or women who escape violent homes only
to pursue street-survival strategies, including drug use and prostitution). The con-
cept of blurred boundaries suggests that patterns of past victimization may result in
future violent offending. For example, a recent study of women’s pathways to jail
found that women’s experiences of past victimization were linked with their cur-
rent entry into the criminal justice system (Lynch, DeHart, Belknap, and Green
2012). However, simply citing past abuse and economic stresses may not fully cap-
ture the etiology of female offending since it again presents a passive view of women
and ignores their intentionality and resistance (Gaarder and Belknap 2002; Maher
1997; Miller 2003). Although Simmons, Lehmann, and Craun (2008) found that
the majority of women arrested for intimate-partner violence came from abusive
backgrounds, merely looking at past abuse as an explanation for female offending
was not adequate.
Before examining recent theoretical developments such as the integration of a
variety of feminist ideas in gendered theory, we briefly survey the differences be-
tween the four main feminist positions that developed in the 1980s and 1990s: lib-
eral feminism, radical feminism, Marxist feminism, and socialist feminism (Jaggar
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1983; Daly and Chesney-Lind 1988; Simpson 1989; Alleman 1993; Tong 1998).
As we explore each of these varieties of feminist theory, it is important to consider
how gender relations shape crime and criminal justice and how patriarchy (a so-
ciety whose organization is dominated by men and masculine ideas and values) is
as powerful a force as class and race. It is also important to mention that whereas
some feminist criminologists aspire to abandon the classification of feminism into
liberal, radical, Marxist, and socialist perspectives, others continue to utilize it (e.g.,
Chesney-Lind and Faith 2001).
Liberal Feminism
In response to the fundamental question “What causes crime?” liberal feminists an-
swer, “Gender socialization and sexual discrimination.” They argue that the sub-
ordinated position of women and the criminal tendencies of men result from the
way boys and girls are socialized into different masculine and feminine identities
and from male discrimination against feminine identities. Men are socialized to be
risk-taking, self-interested individuals and to use coercive power to win; women are
socially controlled. Furthermore, many young males are encouraged to engage in
physically demanding and aggressive sports such as hockey, football, and wrestling
whereas young girls more often play soccer or softball. Other forms of recreation
such as skiing and surfing are much less gender specific, and many young women
excel at these sports. Even traditional male activities like motorcycling are show-
ing large increases in the number of women who participate. For example, at “Bike
Week” in Daytona Beach, Florida, and at the annual Sturgis, South Dakota, rally,
women once were relegated to riding on the back, but now many own and ride
their own Harley-Davidsons. Will this mean that women will engage in the newer
forms of crime (e.g., cybercrimes and credit card fraud) at rates equal to males? Will
women also begin to engage in more violent forms of crime as equality is realized?
The official arrest data on crime and gender show that, like male crime, wom-
en’s crime is also the result of social and cultural factors. Liberal feminists reject
the traditional claims of Lombroso and Ferrero (1900) that women are biolog-
ically averse to crime and that their criminality is the product of being a flawed
person (Klein [1973] 1980). Nor is women’s participation in certain kinds of
crimes—typically petty property offenses, shoplifting, check fraud, welfare fraud,
and embezzlement—a result of their “deceptive” and manipulative sexuality, as
Pollak (1950) claimed, or of their pathological sickness or hormonal imbalances.
Rather, liberal feminists believe that the difference between men’s and women’s
crime rates is a result of differences in (1) sex-role expectations, (2) socialization,
(3) criminal opportunities, (4) recruitment to delinquent subcultures based on sex
role, (5) the way crimes are defined, and (6) the way males and females are so-
cially controlled (Hoffman-Bustamante 1973). These findings not only apply to
the United States but also have global applicability. For example, India’s presi-
dent signed an anti-rape bill into law in 2013 in which the act of rape is kept as a
gender-specific crime, only committed by men. If the liberal arguments hold true,
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then social changes that reduce these gendered distinctions and remove discrimina-
tion also mean that women’s crime rates will inevitably increase. Let us look at this
superficially appealing argument.
Masculinization and the Emancipation Thesis

The argument that women’s crime rates reflect their changing social position began
with two books: Freda Adler’s Sisters in Crime: The Rise of the New Female Criminal
(1975) and Rita Simon’s Women and Crime (1975). When these books were writ-
ten, the media had reported the “alarming” statistic that women’s official rate of
crime was increasing from 10 percent of all crime to 15–20 percent. Adler (1975)
explained this by the liberation thesis, which is based on women’s social mascu-
linization. This thesis proposed that as a result of the 1960s women’s movement,
women were adopting male roles, becoming socially and culturally more like men,
becoming more competitive with men, working more, encountering more economic
opportunities, and fighting as aggressively as men to establish themselves. Moreover,
as a result of similar strains to those experienced by men, this would produce simi-
lar patterns of crime and higher female crime rates—which would eventually reach
the levels of men’s crime rates (ibid.; Figueira-McDonough 1980). In short, an in-
crease in women’s criminality was seen as a consequence of social masculinization
and a cost of liberation. Simon (1975) pointed out that increased involvement in the
workforce meant that women would not only get more opportunities for employ-
ment but also have more opportunities for crime. This was known as the emancipa-
tion thesis, although both masculinization and emancipation are interrelated in this
liberal explanation of the perceived expansion of women’s crime.
A subcultural and social-learning version of this liberation thesis argument ex-
plains the gender-ratio problem of different gender involvement in crime in relation
to differential exposure to delinquent peers, with females having less exposure and
therefore less opportunity to have criminal role models or learn delinquent skills
than males. The argument also sees males as more influenced by peers than females,
not least because females are more institutionally and morally controlled, and are
therefore less suggestible.
With regard to the implications for criminal justice policy, liberal feminists are
less concerned with rising rates of women’s crime than with working within the
mainstream arguing for equal rights for women. They believe discrimination and
oppression can be reduced by social and legal reforms to the existing system that
would be designed to increase opportunities for women in education, employment,
and politics and reduce gender-role socialization. In other words, liberal feminism
wants society to deal with the problems of discrimination based on sex or gender
“through education, integration and litigation” (Chesney-Lind and Faith 2001, 291,
citing Lorber 1998, 19). Specifically, they would like to see action “correcting the
differentially severe treatment that women receive for minor deviances . . . provid-
ing equal protection against violence and coercion (e.g., rape, harassment, assault),
having equal access to legal representation and due process, and receiving equal
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correctional treatment in comparably equipped facilities” (Einstadter and Henry

2006, 277–278). They see this occurring through government action: “The liberal
feminist program calls for state reform to bring about those changes necessary to
promote women’s rapid integration into the backbone of society” (Beirne and Mess-
erschmidt [1991] 1995, 516).
Evaluation of Liberal Feminism

Liberal feminists have come under attack for such “liberation causes crime” argu-
ments, both from mainstream theorists and from other feminists. In an analysis
of official crime rates of property offenses between 1965 and 1977, Steffensmeier
(1978, 1980) found that increases in female crime occurred prior to the women’s
movement of the late-1960s. He also found that the subsequent increase was a result
of increases in traditional women’s crimes of shoplifting and check and welfare fraud
and not in new crimes of opportunity, as suggested by the emancipation version of
liberal feminist theory. Nor are women’s rates catching up with those of men (Mess-
erschmidt 1986).
Carol Smart (1979) rejected both the liberal-feminist argument and Steffens-
meier’s interpretation. She argued that the biggest increase in crime is not in
property crime but in violent crime, which is not a traditional area, and that any
comparative increase is misleading because of the small absolute figures. For exam-
ple, a 500-percent increase in murder can occur when the figures go from one to
five, but that need not be as significant as an increase in absolute figures from 1,500
to 2,000, which is 500 more murders but only a 33-percent increase in the murder
rate (a point also made by Steffensmeier). Smart pointed out that analyzing data
from earlier decades, such as 1935–1946 and 1955–1965, shows a more rapid in-
crease in women’s crime than when the women’s movement supposedly occurred.
Finally, she argued that official crime arrest statistics are biased, over-represent the
working class and minorities, and are affected by changes in police and prosecution
policy, including the attitudes of police officers.
According to what is known as the chivalry hypothesis, women have been less likely
to be featured in official crime statistics in the past, not because they are less criminal
but because of “knightly virtue” and kindly treatment of women by police, district
attorneys, and judges, most of whom have typically been male. In recent years, this
has changed because of greater numbers of women entering criminal justice pro-
fessions who are less likely to treat women offenders lightly. Also, attitudes toward
women as active agents are changing. As Smart (1976) argued, the increase in wom-
en’s crime rates is only a product of women’s liberation insofar as liberation makes
enforcers such as police, social workers, and judges believe in liberated women and
more prepared to arrest them, charge them, and sentence them. This is particularly
true for women’s violent offenses (Box 1983). Some recent studies, though, such as
one by Embry and Lyons (2012), argue that their research reveals evidence lending
support to the chivalry hypothesis. When all variables—sex, sentence length, and of-
fense category—were considered, a significant difference was recognized in sentence
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length, and mean sentence length for men was longer, indicating a harsher penalty
for the same or similar offense.
In short, the pattern of female criminality is an artifact of the selectivity shown by
the police and courts and other agencies toward women, which is based on sexist as-
sumptions and perceptions (Campbell 1981; Box and Hale 1983; A. Morris 1987).
In many types of crimes, sentencing results in women getting tougher sentences
(Chesney-Lind 1986; Chesney-Lind and Sheldon 1992). This is particularly true
for single women, who compete with men for jobs, challenging the male-dominated
(patriarchal) society’s gender norms. Not least of these norms is patriarchy’s need to
control young single women. This can result in young women whose status offenses
include running away from home to avoid being doubly victimized, first by their
male caretaker abusers and second by the criminal justice system, which may unwit-
tingly return these daughters to abusive parents, compounding their harm.
Similarly, the more recent power-control thesis, which implies that a mother’s
liberation explains increases in her daughter’s crime, has been criticized for falsely
“assuming that working in an authority position in the labor market translates into
power and authority in the home” (Beirne and Messerschmidt [1991] 1995, 549).
Power-control versions of liberal feminism have also been criticized on the basis that
they are not supported by the evidence because although women’s participation in
work has increased, all measures of female delinquency show stability (Chesney-
Lind 1989, 20).
Radical feminists such as MacKinnon (1987, 1989) are critical of liberal femi-
nists’ attempts to change the law to bring about equality and for buying into male
culture. They argue that liberal feminists’ attempts at legal reform miss the central
problem of patriarchy. Worse, it leaves it intact under the veil of formal equality.
Finally, socialist feminists have argued that rather than liberation leading to in-
creases in crime among women, any real increase in property crime is due to wom-
en’s economic marginalization in a patriarchal society. This means more women are
either unemployed or employed in insecure, part-time, unskilled, low-paid jobs at a
time when welfare has been increasingly cut back, “so they are less able and willing
to resist the temptations to engage in property offenses as a way of helping solve
their financial difficulties” (Box 1983, 198–199; Box and Hale 1983).
Because of the limitations of the liberal feminist analysis, several other feminist
criminologists have argued that it is not enough to pursue equality for women
through reform—what is needed is a change in the whole system away from patri-
archy. Most vigorous in this criticism are the radical feminists, whose position we
examine next.
Radical Feminism
According to radical feminists, the explanation for the gender ratio in crime is
self-evident. Crime is men’s behavior, not women’s behavior. It is in men’s biolog-
ical nature to be aggressive and dominant. Crime is simply an expression of men’s
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need to control and to dominate others. This occurs in numerous forms, including
imperialism, racism, and class society, but most of all men seek to dominate women,
forcing them into motherhood and sexual slavery (Barry 1979). Men are born to be
sexually dominant, and it is this biological difference that directly causes their crim-
inality (Brownmiller 1975) and also explains why the gender crime ratio is universal
across time, space, and cultures. Thus, rape is the ultimate expression of women’s
subordination, because it is “an act of aggression in which the victim is denied her
self-determination” (Griffin 1979, 21) and through which all men keep all women
in a state of fear (Brownmiller 1975, 5).
As a result of prioritizing patriarchy, radical feminists see their role as “thinking
about the way in which the sex/gender system affects and shapes crime, victim-
ization and criminal justice . . . to systematically think about the links between
the observed patterns of women’s victimization, women’s offending and wom-
en’s experience with the criminal justice system within the context of patriarchy”
(Chesney-Lind and Faith 2001, 290). Chesney-Lind, for example, has argued that
the victimization of girls and their response to harm are shaped by their subor-
dination in a male-dominated family context that defines and accepts dominant
definitions of their daughters as sexual property. Girls who commit status crimes
such as running away and getting involved in drugs and prostitution are criminal-
ized rather than protected for their attempts to survive their hostile and abusive
family environments. Chesney-Lind (1989) sees these delinquent acts as “survival
strategies” necessary in a patriarchal system that oppresses females and stretches
from the home to the legal and judicial system.
A distinguishing feature of radical feminism is its focus on patriarchy and hu-
man reproduction and how this is used as a basis to force women into subordi-
nation (Jaggar 1983). Women are subordinated to men through a sexual division
of labor in which women are assigned all the work necessary to rear children, and
the “sexual division of labor established originally in procreation is extended into
every area of life” (ibid., 249). The sexual division of labor is reinforced by male
aggression, which is used to define and control the culture and institutions of so-
ciety, including (1) the state and its institutions of government; (2) employment
(where men’s ideas dominate industry and commerce), and especially work rela-
tionships; and (3) social institutions, especially the family, which provides the root
of this “law of the father.” In each of these arenas, men control women through
psychological, economic, sexual, and physical abuse and manipulation, often
linked to controls over their sexuality and reproduction through the family struc-
ture and the law. In addition, the male-constructed law has limited consideration
of the ways women’s bodies and activities are controlled through the law and the
state, both of which are male dominated, in ways far more repressive than the
laws affecting men. Not surprisingly, because of the male domination of family
and law, women’s culture reflects their servile status and fosters an attitude of self-
sacrifice. Even in areas of society where women have increasingly been employed
to do equivalent work to men, the way they perform those tasks reflects this re-
pressive control.
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Policy Implications of Radical Feminist Theory

Radical feminists believe that they can be free from male domination only by liberat-
ing themselves from male definitions of reality and of women’s roles and place in so-
ciety, particularly in the family. Since male domination shapes the state and its laws,
women must take power from men in these institutions if they want to advance their
cause (MacKinnon 1989). This means replacing men in powerful positions, in par-
ticular in the law and the courts and other institutions of criminal justice.
Furthermore, women should become sexually autonomous in reproduction and
involve themselves in women-centered and women-only organizations, developing
their own values and culture rooted in women’s traditional hidden culture. It is be-
cause radical feminists want to exclude men from social life that they are also re-
ferred to as separatist feminists (T. R. Young 1995, 287).
Radical feminists believe that once women have obtained power, the objective
is to abolish gender, hierarchy, and the distinction between the public and private
spheres of society (Jaggar 1983, 254–255). Ultimately, radical feminists argue, patri-
archy must be replaced by matriarchy (rule of mothers), “a society in which produc-
tion serves the interests of reproduction; that is, the production of goods is regulated
to support the nurturance of life” (Love and Shanklin 1978, 186). Only then will
crime—that is, men harming others—diminish. To complicate matters further,
Rosemarie Tong ([1989] 2014) distinguishes between two varieties of radical fem-
inism: radical libertarian feminism and radical cultural feminism. Radical cultural
feminism believes women should strive for independence from men and their val-
ues of independence and dominance and, instead, should emphasize women’s values
of community, nurturing, interdependence, process, peacemaking, and horizontal
rather than hierarchical structures. Radical cultural feminism also opposes sex with
men in the patriarchal institution of motherhood, preferring lesbian relationships,
and sees pornography as the ultimate objectification of women. In contrast, radical
libertarian feminists argue that such an exclusively feminist agenda will limit women’s
development. They advocate that women should develop androgynous identities to
embrace the positive aspects of both maleness and femaleness, and this translates into
freedom to explore all forms of sexual expression, including pornography, which en-
ables women to control their sexuality. They also advocate for artificial reproduction,
seeing heterosexual reproduction as undermining of women’s freedom.
On a more pragmatic level than a revolution toward matriarchy, radical feminists
have “lobbied for shelters and more effective legislation, and actively confronted cul-
tural norms that accepted man’s right to discipline, control, and punish his family
anyway he chose” (Chesney-Lind and Faith 2001, 293; Faith and Currie 1993). One
of the problems faced by radical theorists, and for that matter other feminist theorists,
in relation to policy is their expressed desire for increased criminalization of sexual
assault and intimate partner violence. These were initially thought of as a positive for
women, but this development placed many feminists and victim advocates into an
unholy alliance with police and prosecutors; it also meant men learned how to use
the new system to further intimidate and harass their victims (Chesney-Lind 2006).
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Evaluation of Radical Feminist Criminology

Criticism of the radical-feminist agenda has come from numerous sources, including
other feminists (Danner 1991; Messerschmidt 1993; Munro 2003; Tong [1989]
2014). One of the primary objections is that it assumes a biological determinism in
which men are destined to be harmful, aggressive, and controlling. Catharine MacK-
innon, a leading radical feminist, has been particularly criticized on deterministic as
well as essentialist issues (Munro 2003). Research suggests that women’s abuse by
men is not always about control.
Second, radical feminism ignores differences among men and among women,
perceiving gender as a “sex-caste.” This “assumes a universality and commonality
of women’s subordination that does not exist. Important power differentials among
women are ignored” (Danner 1991, 52). Tong ([1989] 2014) argues that both vari-
eties of radical feminism are constrained by their reliance on rigid stereotype roles of
men and women, which ignores the diversity of each.
Third, the argument about men controlling women through physical force and
violence in the best interests of societal evolution fails to explain how the criteria of
being successful have changed, such that those who are most successful “in the com-
petition for resources in fact are the least likely to employ serious forms of violence
as a tactic in their interpersonal negotiations, including dealing with competitors
either for economic resources or in terms of the reproductive capacities of women”
(Polk 2003, 138).
Fourth, in its instrumental conception of the state as a means to power, radical
feminism assumes that men are the sole problem rather than power itself. In at-
tempting to use the state to protect women against male violence, radical feminists
risk increasing the power of the male state against women (Pitch 1985; D. Currie
1989; Smart 1989). Furthermore, by ignoring the construction of differences among
people, radical feminism presents a naïve view that women in institutions would be
able to create a nurturing society devoid of power relations. For many, particularly
Marxist and socialist feminists, the radical position is inadequate without a more
profound analysis of social structure and the state.
With regard to positive contributions, radical feminism demonstrates the various
ways that women are victimized through physical, sexual, and emotional violence
(Chesney-Lind and Faith 2001, 293).
Marxist Feminism
The Marxist-feminist perspective emerged in the late 1960s as an attempt to ex-
plain women’s oppression using Marxist analysis (Messerschmidt 1993). Marxist
feminism, like radical feminism, sees society as patriarchal but argues that this pa-
triarchy is rooted in the kind of economy a society has; in particular in its class
relations of production. Historically, capitalist societies based on private ownership
of the means of production and male inheritance have created class-divided societ-
ies in which men dominate. Gender differences are used as a means to subordinate
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and exploit women as a “reserve army of labor” used as free domestic labor to keep
capitalist-wage costs down. As Engels (1884) argued, women’s place in the family is
based on the master-slave relationship, which exploits women through their subor-
dinate and dependent relationship to men. Their role, and the role of the family, is
to reproduce and socialize compliant workers who will sell their labor to capitalists.
Thus, although capitalist-class society oppresses the majority, “women are doubly
oppressed through their tie to a domestic sphere that is inconsequential in terms of
its power and influence.” The essence of the Marxist-feminist position, therefore,
is that “societies with less social class inequality also have less gender inequality,
because male dominance, like other types of discrimination, grows largely out of
unequal economic conditions, specifically the exploitative class relations inherent in
capitalism” (Renzetti 2012, 134).
Thus, Marxist feminists argue, it is the double oppression of women that leads
both to their victimization and to their criminality. In contrast to radical feminists,
Marxist feminists see male crime against women not as the result of inherent quali-
ties of male nature but as a product of men’s molding to exploitative relations by a
capitalist system. Men see others as competitive threats that need to be controlled
in order to retain their own position of relative power and to keep women econom-
ically dependent. It is for this reason that men rape women, a phenomenon not
typically found in noncapitalist societies, and women feel guilt, blaming themselves
for being raped (Schwendinger and Schwendinger 1983; Sanday 1981).
The class-patriarchy analysis also explains intimate partner violence, which vic-
timizes women at a rate of 85 percent compared to 15 percent of men (Cata-
lano 2012, 3). In fact, Marxist feminists believe that intimate relationships can
be reduced to Marxist economic relationships and that they enact the same power
dynamics (Dutton 2012). Finally, the increasing international problems related
to human trafficking show women to be, by far, the primary victims and include
sexual abuse, slavery, and subordination to men as primary components.
The relative lack of women’s criminality and the nature of women’s crimes are also
explained from the Marxist-feminist perspective. Men’s control of economic exploita-
tion explains why women, like slaves, commit very few crimes. Moreover, the crimes
women do commit are reflections of their class-defined dependency or attempts to
break from it. For example, unlike men, when women commit embezzlement, it is
typically to help solve economic problems confronted by their families for which they
alone feel responsible—since virtually anything justifies maintaining the welfare of
their husbands, children, or parents (Zietz 1981). However a review by Dodge (2007;
2009) of embezzlement by women, and other kinds of fraud, suggests that this “wel-
farist” view has moderated as subsequent studies have revealed a variety of motives,
though several are those furthering personal relationships, or preserving their orga-
nization’s business, rather than instrumental materialist motives. Given the priority
of class, it is not surprising that their policy solution involves changing the capitalist
class structure to involve women as full and equal, independent, productive members
of society. This means eliminating male-dominated inheritance of property, paying
women for housework, and providing house-care and child-care services. The only
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way all this is possible is to replace the capitalist system with a democratic socialist
one (Daly and Chesney-Lind 1988). This perspective includes public demonstrations
of the value of housework, the view that the family as an economic unit should be
eliminated, along with the capitalist system of production.
As with most Marxist analyses, since these problems are rooted in the capitalist
system of production, the policy implication is that capitalism must be replaced by
socialism, which does not exploit its workers or allow the economic exploitation of
women by men.
Evaluation of Marxist Feminism

The major criticism of Marxist feminists comes from socialist feminists who disagree
with the priority given to class over patriarchy. In particular, Marxist feminism has
been criticized for explaining women’s domestic labor in relation to capital but not in
relationship to men (Messerschmidt 1993, 52; Tong [1989] 2014). Instead, socialist
feminists address the class-patriarchy relationship, as we show in the next section.
Radical feminists also criticize Marxist feminists for buying into male culture.
They argue that prioritizing the economic sphere (as in Marxist feminism) is accept-
ing male standards of what is important while doing nothing about patriarchy.
Socialist Feminism
Socialist feminism is an attempt to merge Marxist feminism and radical feminism
(Jaggar 1983; Danner 1991; Einstadter and Henry 2006; DeKeseredy and Schwartz
1996). It examines the interrelated and interdependent forces of capitalism and
patriarchy that lead to men’s crime and women’s oppression, subordination, and
dependency. It does this without prioritizing one over the other (Eisenstein 1979;
Hartmann 1981).
A major statement from a socialist feminist on the cause of crime came from
James Messerschmidt, a criminologist at the University of Southern Maine. In his
book Capitalism, Patriarchy, and Crime (1986), Messerschmidt argued that rela-
tionships between owners of capital and workers result in the workers’ exploita-
tion by the owners (based on class inequality). Intertwined with class oppression
is a system of “relations of reproduction.” Through these relations, men exploit
women’s labor power and control their sexuality in order to reproduce the existing
social order (including its sex-role divisions and hierarchy of power relations). The
relatively powerful position of men results in them having greater opportunities for
crime and a greater ability to create harm. In contrast, women’s relatively subor-
dinate position affords them less opportunity to offend, just as it affords them less
opportunity to benefit from legitimate opportunities. In short, class patriarchy not
only creates crime but subordinates women.
Whereas the other versions of feminism see women’s subordination resulting
from one or another determining force (evolutionary, liberal-socialization, radical-
biology, Marxist-capitalist class relations), socialist feminism sees humans as shaped
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and transformed by cooperative productive activity “in which human beings con-
tinuously re-create their physiological and psychological constitution” (Jaggar 1983,
303). As Jaggar noted, “socialist feminism’s distinctive contribution is its recogni-
tion that the differences between men and women are not pre-social givens, but
rather are socially constructed and therefore alterable” (ibid., 304).
Hagan’s Power-Control Theory

John Hagan and colleagues (1989, 1990; Hagan, Simpson, and Gillis 1987) illus-
trate a version of socialist feminism in their power-control theory in which they
combine patriarchy and class in relation to gender-role socialization. They suggest
that class relations in the workplace and gender relations in society come together
in the domestic context of the family, producing two basic types of families with
different consequences for female crime. Where the husband/father works in a pow-
erful authority position and the wife/mother stays at home, this “patriarchal family”
reproduces a sexual division of labor in their children, with daughters becoming
homemakers and sons being active in the labor force. This is because in such families
girls are subject to “instrumental” control and supervision in the belief that they
need greater protection from their vulnerability to crime victimization. Mothers also
exert more relational control over their daughters, using the constraints of emotional
attachment (Hagan 1990). Thus, “parents socialize girls into domestic roles, in order
to limit their risk-taking, to restrict their sexual activity, and to reduce any inclina-
tion to look for deviant role exits from their family structures. Girls, therefore, are
controlled relationally, by both male domination and by female role modeling and
supervision and, therefore, are less likely to engage in crime than boys” (Einstadter
and Henry 2006, 322). Hagan (1990) argues, like Chesney-Lind, that girls in patri-
archal families are forced to either endure or escape their domestic oppression and
will look for deviant-role exits such as suicide or running away, resulting in their
designation as deviant or delinquent. However, boys in patriarchal families are given
greater freedom to take risks and are socialized to control others and as a result are
relatively free to deviate. In contrast, where both parents work and share domestic
chores, this “egalitarian family” produces daughters and sons equally prepared to
work. These daughters of egalitarian families, unlike those in patriarchal families, are
socialized to be greater risk takers and are just as likely to be involved in crime as are
the sons.
When gender and class-power dimensions are combined, four types of families
result, each with different probabilities that their children will be involved in crime.
Higher class-power egalitarian families, such as dual-career professional families,
are likely to show the least difference between delinquency among their sons and
daughters: “Daughters become more like sons in their involvement in such forms of
risk taking as delinquency” (Hagan 1989, 158). Dual-career working-class egalitar-
ian families show a higher difference, but lower than the difference in delinquency
between sons and daughters of higher-class patriarchal families, since patriarchy is
more differentiating than class power. Each of these families can be expected to show
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a lower difference than traditional working-class patriarchal families since they

experience the combined negative effects of both class and gender. Importantly,
Hagan (1989) argues that “the greater access to power and resources renders those
in the highest economic positions the most liberated to commit (white collar and
corporate) crime using either the corporation or their occupational resources, and
they are the most able to afford the means to separate and protect themselves from
prosecution” (Einstadter and Henry 2006, 322–323).
As a result of the critical evaluations that Hagan’s power-control theory has
received over the past twenty years (see below), there have been some significant
developments and modifications. One of the most interesting is John Hagan and
his colleagues’ analysis of the influence of mothers on their sons (McCarthy, Ha-
gan, and Woodward 1999). Interestingly, their study confirmed that in patriarchal
families, males supported gendered activity concerning appropriate and inappro-
priate behaviors, which includes their “freedom” to offend, but they also found
that mothers in less patriarchal families have affected their sons’ patriarchal views,
suggesting that sons in these families are less likely to offend.
Policy Implications of Socialist Feminism

The policies advocated by socialist feminists are based on the idea that if productive
activity creates differences, then “the power of sharing” (Winfree and Abadinsky
2003, 273) can also be used to reduce the differences between men and women.
Thus, socialist feminists see the solution to women’s subordination as replacing cap-
italism with a collective political and legal order based on equality between class
and gender. They want to expose and eliminate male-dominated power hierarchies
and the wage-based capitalist system and foster male attitudes and behaviors. In
short, they want to abolish both class and gender. Socialist feminists believe that
of central importance in any new order is reproductive freedom (i.e., women’s
control over whether, and under what circumstances, they bear and rear children)
and sexual freedom. They also believe that there should be an end to compul-
sory motherhood. They believe in the availability of paid maternity leave and of
publicly funded, community-controlled child care. These policies are designed to
liberate women from alienated motherhood and allow them the freedom to be
economically independent of men. But the socialist-feminist collective order re-
quires more than an absence of hierarchy. As Einstadter and Henry (2006) argue,
it requires equality based on the recognition of differences of experience while at
the same time not discriminating on the basis of these differences.
Evaluation of Socialist Feminism

Socialist-feminist analyses have been subject to criticism, again largely from other
feminists. Some claim the theory is still essentially Marxist and deterministic in that
the double vision for patriarchy and capitalism leaves no room for the meaningful
construction of human action (Smart 1987). Radical feminists criticize both Marxist
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and socialist feminism for failing to explain why capitalism requires women to be
subordinate. Furthermore, they argue that there is no guarantee that a socialist revo-
lution would liberate women (Hartmann 1981).
Hagan’s power-control theory, which is perhaps one of the most theoretically ele-
gant attempts to combine class and patriarchy, has received some qualified empirical
support. For example, one study found that “boys are more likely to be both victims
and offenders, girls are more likely to engage in role exit behaviour, and victimiza-
tion significantly increases role exit behaviour in more patriarchal families” but that
the effects on victimization and delinquency are different and that, although delin-
quency effects are supported, patriarchy and class power have no effect on victim-
ization or on the search for exits, with boys and girls being affected in the same way
(Sims Blackwell, Sellers, and Schlaupitz 2002). However, Hagan’s theory has also
been subject to the most criticism, not least by other feminist theorists.
Some, including Hagan, now recognize that gender power and patriarchy
might have separate and more important impacts than class power. Indeed, Mess-
erschmidt asserted that by concentrating on gender differences in crime, “power
control theory . . . ignore[s] gender similarities in crime between men and women
and disregard[s] the differences among men and boys as well as among women and
girls. . . . Consequently, power control . . . miss[es] what must be acknowledged:
Women and girls also construct masculine practices that are related to crime”
(2006, 217).
Hagan’s power-control theory has also been criticized for ignoring racial, ethnic,
and cultural differences. Messerschmidt stated that by constructing an “essential-
ist criminology” that collapses gender into sex roles, Hagan’s power-control the-
ory ignores cross-cultural differences and also ignores differences in masculine and
feminine practices by men and women, within any particular society, “constructed
according to class, race, age, sexuality and particular social situation” (2006, 117).
For example, Schulze and Bryan (2014) found that, contrary to power-control the-
ory, single-mother-headed households do not seem to produce more delinquent
girls than other types of households. The overall findings of this study indicate that
patriarchy and white privilege are continuing characteristics of the juvenile and
criminal justice system. The failure of socialist feminism in general to acknowledge
any race and ethnicity dimensions has resulted in the accusation that it is exclusion-
ary. In response to some of these charges, feminist theory, during the 1990s, shifted
toward dissolving the previous categories and analyzing the following: (1) the ways
gender was represented, (2) the gendered production of feminist knowledge, and
(3) the interconnections among all dimensions of hierarchy. Theorists also ac-
knowledged the concept of difference: “The crux of the socialist-feminist concern
with the intersection of gender, class, and race is the recognition of difference. . . .
Patriarchy cannot be separated from capitalism, neither can racism, imperialism or
any other oppression based on ‘otherness’” (Danner 1991, 53). This shift to “dif-
ference” rather than particular structural forms occurred in multiple new epistemo-
logical directions, including standpoint, poststructural, postcolonial, postmodern,
and critical race theories, “each of which drew attention to the discursive power of
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criminological and legal texts in representing sex/gender and women” (Daly 2006,
206) and led to a cluster of feminist criminologies (Daly 2001).
Gendered Theory
Although there are different approaches to feminist analysis, as discussed above,
they are increasingly united around the need to “develop a gendered theory of
crime, that is a theory that explicitly takes into account the effects of gender
and more significantly, gender stratification, on women’s lives and development
[and] the recognition that people’s perceptions, opportunities and experiences are
shaped not only by the mode of production under which they live, but also by the
form of gender relations dominant in their society” (Curran and Renzetti 1994,
272). Indeed, Daly has summarized three core areas of concern for feminist the-
orists concerned with crime and justice: “(1) the intersections of class, race, and
gender; (2) sex/gender as an accomplishment or a production—referred to as ‘do-
ing gender’; and (3) sexual difference and the relation it has both to gender and
the institutionalization of cultural and structural categories—referred to as ‘sexed
bodies’” (Daly 2006, 206; see also 1997). She argued that there is now less inter-
est by feminist scholars in developing general theories of crime and more interest
in building theories “about women’s law-breaking and victimization, the gendered
qualities of crime and victimization, and the discursive power of dominant dis-
courses (criminological and legal)” (2006, 206).
One of the implications of gendered theory is that we consider how both wom-
en’s femininity and men’s masculinity are formed by their experiences. In this con-
text, Messerschmidt has revised his earlier socialist-feminist position toward one of
structured action theory: “Crime by men is a form of social practice invoked as a
resource, when other sources are unavailable, for accomplishing masculinity” (1993,
85). This is almost like saying that crime is the result of blocked opportunities to be
a man. Messerschmidt argued that the concept of patriarchy obscures real variations
in the construction of masculinity. He noted that there are differing masculinities,
just as there are different femininities. Committing crimes depends on class, age,
and situation but is also an example of “doing gender” (the social construction of
gender), or building masculinity or femininity. In other words, doing crime is part
of manliness (Polk 2003). Indeed, Messerschmidt asserted:
Gender is a situated social and interactional accomplishment that grows out of social
practices in specific settings and serves to inform such practices in reciprocal relation—
we coordinate our activities to “do” gender in situational ways. . . . Because individuals
realize that their behavior may be held accountable to others they configure their actions
in relation to how these might be interpreted by others in the particular context in
which they occur. . . . We facilitate the ongoing task of accountability by demonstrating
that we are male or female through concocted behaviors that may be interpreted accord-
ingly. Consequently, we do gender (and thereby crime) differently, depending upon the
social situation and social circumstances that we encounter. (2006, 217–218)
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Messerschmidt pointed out that “doing gender” does not occur in a vacuum but
is shaped by social structural constraints. Principal among those structures that con-
strain and enable action are race and class, which interrelate with gender, and play
out in space and time.
Similarly, Messerschmidt, commenting on his gender and adolescent work
(2004), stated that “some of these girls ‘do’ masculinity by, in part, displaying
themselves in a masculine way, by engaging in what they and others in their milieu
consider to be authentically masculine behavior, and by outright rejection of most
aspects of femininity” (2006, 219).
Epistemological Issues and Postmodern Feminism

Epistemology involves a focus on “the body of concepts, theories, and problems
central in understanding knowledge and justification” (Audi 2005). In other words,
epistemology is how we create knowledge (Lanier and Briggs, 2014, 3). As such, it
involves the methods we employ. Part of the difficulty confronted by gendered the-
ory is that the available social-science methodology is based on male culture’s defini-
tions and ways of obtaining knowledge and truth through positivism; in other words,
our commonsense knowledge and “ways of knowing” are gendered (Hatty 2000).
Such approaches are arguably incapable of appreciating the diversity of gender con-
structions. In contrast, some feminist theorists have developed an alternative research
method called “standpoint epistemology,” which claims that “those who are unpriv-
ileged with respect to their social positions are likely to be privileged with respect to
gaining knowledge of social reality” (Rolin 2006, 125). According to Sandra Hard-
ing (1991), unprivileged social positions are likely to generate perspectives that are
“less partial and less distorted” than perspectives generated by other social positions
(pages 121, 138, and 141). Flavin adds that “standpoint feminists try to construct
knowledge from the perspectives of the persons being studied on the grounds that the
perspective of the oppressed or marginalized tends to be less distorted” (2001, 274).
This attention to a diversity of experiences, multiple knowledges, and the social con-
struction of difference has led some to the view that a new, nonexclusionary paradigm
is necessary. One such approach is postmodernism (which we discuss in more detail
in the next chapter).
Briefly, postmodernism “emphasizes the importance of alternative discourses and
accounts and frequently takes the form of examining the effects of language and sym-
bolic representations” (ibid., 274). Postmodern feminists who write about crime,
law, and social control, such as Carol Smart (1989), Alison Young (1990, 1996), and
Adrian Howe (1994), go further than the standpoint feminists, although their posi-
tions may at first seem similar. Both celebrate the legitimacy of discounted knowl-
edges. Standpoint feminism wants to replace male truths with truths based on the
diversity of women’s experiences. Postmodern feminists prefer multiple knowledges
rather than new truths, because these tell different stories. This continuing diversity
offers resistance to any domination, particularly from identities formed in hierarchi-
cal contexts that tend to produce further domination (Smart 1990; Grant 1993).
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Postmodern feminists reject notions of class, race, and gender and note that the early
white Western feminist notions of the universal subordination of women neglected
differences among women, particularly women of color, third world women, les-
bian women, and others. The notions of “woman” and “women” themselves have
been questioned as inadequate by feminist postmodernism (Howe 1994, 167; Smart
1992; Bordo 1990). The assumption that each person has one fixed sex, one sexual-
ity, and one gender is replaced by crosscutting sex, sexuality, and gender constructs
that capture the complexity of gendered experience (Lorber 1996). Postmodernism
criticizes early feminist criminology for taking for granted assumed gender distinc-
tions between men and women, masculine and feminine, without questioning them
(B. Brown 1990). Consideration of alternative discourses is thus critical.
A third way of creating knowledge is through traditional social science methods:
positivism. Although most feminists have rejected this methodology, some have
embraced it. Proponents of the feminist positivist empiricism tradition have ar-
gued for reshaping scientific practices to be proportionate to the goals of feminism
(Harding 1986). Feminist advocates for empirical methods have argued that quan-
titative methodology provides us with the tools to critique mainstream theories.
“Given the history of quantitative methods being used to justify and perpetuate
existing prejudices, the idea that quantitative methods can be used in a multi-
culturally competent manner to promote social justice does not always come easily
(though)” (Cokley and Awad 2013, 30).

In this chapter we reviewed the contribution of dominant feminist theories and the-
orists. We conclude by noting that the primary feminist contribution has been to
show that “gender inequalities exist in society and that these inequalities should be
addressed” (ibid., 272). We have shown how feminist scholarship has focused on
core issues that highlight the importance of the difference between men’s and wom-
en’s patterns of crime and victimization. We showed how feminist theory moved
from a liberal critique of differences and a call for equality through radical, Marxist,
and socialist forms before reintegrating around a set of issues having to do with
the gendering of crime and justice, and of crime as the practice of “doing gender.”
Several social policies have been examined in this vein, each offering a way in which
gender, together with race and class, needs to be incorporated into justice in order to
correct the deficits of a male-dominated theoretical tradition. Indeed, feminist crim-
inology “has provided major insights about the process of offending and victimiza-
tion and it has presented major challenges to established criminological assumptions
and analysis” (Einstadter and Henry 2006, 278). Moreover, “feminist criminologists
have reminded criminology that men also have a gender, and that thinking about
gender and male criminality could offer new insights” (Chesney-Lind and Faith
2001, 298).
In the next chapter we extend this “critical” discussion and focus on left realism,
postmodernism, anarchism, and peacemaking theories. As you read the next chapter
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you will note that it is really an extension of the basic critical assumptions that began
this chapter on feminism.
Summary Chart: Feminist Theory

Basic Idea: Gender is not a natural fact but a complex social, historical, and cul-
tural product; gender relations direct social life; gender relations are constructs of
masculinity and femininity based on the organizing principle of men’s superiority;
systems of knowledge reflect men’s view of the natural and social world.
Human Nature: Humans are: (1) in liberal feminism, social blanks socialized into
gender roles through family, media, education, and work; (2) in radical feminism,
biologically determined—men are aggressive and competitive, and women are co-
operative and nurturing; (3) in Marxist feminism, creatively different but oppressed
and exploited for class interests, which creates artificial divisions and accentuates
competitive male characteristics; (4) in socialist feminism, “gendered identities”—
gender, like race and ethnicity, comprises socially constructed categories imposed
on biology that create women as secondary, marginal beings, a view reinforced by
socialization.
Society and Social Order: Represents male interests in its structure, organization,
institutions, and operation and excludes women’s interests: (1) in liberal feminism,
hierarchy with unequal opportunity for women; (2) in radical feminism, patriar-
chy with male gender dominating all institutions of power, including state; (3) in
Marxist feminism, class hierarchy based on inequalities of wealth, in which women
are dependent and reproductive of male labor; (4) in socialist feminism, class-based
patriarchy with coalescing inequalities of class, gender, and race, with state seen as
relatively autonomous.
Law, Crime, and Criminals: Law reflects male definitions: (1) In liberal femi-
nism, law upholds inequalities; (2) in radical feminism, law is an extension of male
power; (3) in Marxist feminism, law reflects capitalist interests and works to main-
tain dominant class interests, which are male; (4) in socialist feminism, law bolsters
male supremacy and reinforces appearance of women’s inferiority as natural but
also affords women some protection. Crime is men’s domination and control over
women, who are devalued; in socialist feminism, doing crime is doing masculinity.
Criminals manifest the gendered identity of masculinity.
Causal Explanation: (1) In liberal feminism, women’s liberation as women be-
come more androgynous; (2) in radical feminism, male aggression, dominance, and
control contribute to women’s subjugation; (3) in Marxist feminism, class exploita-
tion and subordination of women leave them dependent, weak, and vulnerable;
(4) in socialist feminism, the interaction of forces of class and gender subordinates
women, creating them as a category of “otherness” that is part of a general social
construction of difference; masculinity is used by some to dominate others through
patriarchy. Feminist empiricism accepts traditional models of causality.
Criminal Justice Policy: (1) In liberal feminism, it seeks to end gender discrim-
ination through changes to law, increasing women’s opportunities, and fights for
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equal treatment in law; (2) in radical feminism, it seeks to replace patriarchy with
matriarchy in which production serves reproduction and nurturance and sees the
state as a major resource to be captured; (3) in Marxist feminism, it seeks to replace
capitalist class hierarchy with a socialist society; (4) in socialist feminism, it seeks to
replace class-patriarchy with decentralized socialism, providing equal control over
decision-making to the disempowered (women, minorities, and others), to eliminate
power based on difference and allow women to define themselves, and to demystify
gender constructions of masculinity and femininity to show diversity within.
Criminal Justice Practice: Encourage increased reporting of violence against
women at home and at work. Pass new laws banning sexual harassment, stalking,
date rape, pornography, and so forth. (1) In liberal feminism, acquire more control
over men’s power through stronger police forces, stricter laws, and regulating men’s
violence; (2) in radical feminism, replace men in institutions of power with women;
(3) in Marxist and socialist feminism, decentralize democratic institutions of justice
and replace rational male principles with women’s principles of caring, connection,
and community.
Evaluation: Radical feminism is criticized for assuming biological determinism
and sex castes composed of dominant men and subordinated women; liberal and
radical feminism is accused of strengthening power of the male state and denying
entry points for women to make change. The radical-feminist view of men as crimi-
nal and women as victim ignores women as offender, reinforcing the view of women
as passive and men as active. All criticized for being blind to race and ethnicity and
for ignoring unique worldviews of persons of color.
1. What are the five key features of feminist criminology that distinguish it from
mainstream criminology?
2. Research has shown that gender—specifically being male—is one of the stron-
gest correlates of criminal offending. What data supports this claim?
3. What does it mean for criminology to be “gender blind,” and what does it
mean to say that crime is “doing gender?”
4. Some feminist theorists have suggested that there are different “pathways to
crime” for women. What are these pathways and why are they different from those
traversed by men?
5. What are the four different major types of feminist explanations of crime?
What are the similarities and differences between each, particularly with reference to
their policy implications?
6. What are the policy implications of gendered theories of crime causation?
7. What are three weaknesses with feminist criminology and how do these affect
criminal justice policy?
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12
New Directions in Critical

Criminological Theory
“Without revolutionary theory there

can be no revolutionary movement.”
—Vladimir Lenin
In this chapter we consider several new critical criminological theories that attempt
to address crime from a wider, more holistic, and globally aware perspective. Most of
these theories emerged during the closing quarter of the twentieth century, though
a few can trace their roots further back in time, and some have only just appeared
in the twenty-first century. All are considered to be on the cutting edge and build
on the critical perspectives that we examined in the previous two chapters. Included
here are left realism, postmodernism, constitutive theory, edgework, anarchism, ab-
olitionism, peacemaking, restorative justice, and cultural criminology—to which we
have added critical race theory.
Critical Criminologies
Like interactionism, labeling theory, and social constructionism, which we considered
in Chapter 7, and radical, Marxist, and feminist theories, considered in Chapters 10
and 11, the theories considered here are “critical” for at least four reasons. First, they
do not accept state definitions of crime at face value or for that matter as a fact of
social reality. Instead, they define crime as social harm and/or as violations of human
rights. Second, critical criminologies do not necessarily assume that the cause of crime
is to be found within the individuals who commit crime, but rather look for it in the
system and social structure of society. So any analysis of crime causation needs also to
297
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“consider how offenders have themselves been ‘victimized,’ first by society, and subse-
quently by the criminal justice system through its selective processing of the powerless”
(Einstadter and Henry 2006, 235). Critical criminologies not only challenge defini-
tions of crime and standard theories of crime causation, but, third, they also oppose
power hierarchies based on inequality, regardless of whether it is based on class power,
political power, social power, or cultural power. Therefore, fourth, they see the crim-
inal justice system as ineffective as a means to correct injustice and, rather than being
an instrument for reform or change, as a semiautonomous partner of the capitalist sys-
tem of production, with the overall objective of maintaining that system’s dominant
power structure. Instead of tinkering with criminal justice policy and practices, which
often feed the monster of domination and disciplinary control, critical criminologies
demand a radical transformation of the total social and political organization of soci-
ety: “While critical criminology emphasizes the crucial importance of social structure,
it also considers human agency to be significant, and sees society as a distinctly human
product that can be changed through human actions, albeit ones shaped by structural
and cultural forces. Thus social structure only has the appearance of a fully external
force; critical criminology’s role is to demystify that appearance to facilitate human
agents to make social change” (Henry 2006, 347). Believing that reforms are of lim-
ited value and can even be counterproductive to getting real change accomplished,
critical criminologists’ policies advocate broad societal-level changes.
However, critical criminology does not speak with one voice, a point that has
been subject to angry contention, particularly by some radical Marxist criminologists
(see especially S. Russell 2002; and Cowling 2006). Just as feminist criminological
thought on crime and justice initially fragmented into a variety of different feminist
theories and then came together around core issues of class, race, and gender, so too
is there a proliferation of critical criminologies that have gone beyond the original
conflict, radical, and feminist theorizing. As Henry and Lukas (2009) have said, these
include: (1) “left realist” challenges to a romantic vision of the criminal as protorevo-
lutionary, which sees a reversion to a strain-type relative-deprivation analysis of mar-
ginalized populations and police oppression; (2) postmodernist-inspired “constitutive
criminology” that shares an anarchist anathema with power, seeing the expression
of power as the root of harm production, whether it is by the state, corporations,
or individuals, and cultural criminology’s concern for a holistic intervention focused
on changing the cultural discourse; (3) “cultural criminology” that “emphasizes the
essential role of meaning, image, and representation in shaping the reality of crime
and the range of collective responses to it” (Ferrell 2006, 247); (4) anarchist “peace-
making criminology” and “restorative justice” criminology that challenge the power
of government with the implication that people can solve their own problems and
that the state only accentuates power differentials and exacerbates conflict, which
merges into Scandinavian abolitionist roots to develop a variety of restorative justice
mechanisms that replace the use of power to solve crime and conflict; and (5) “criti-
cal race theory” that focuses on the overrepresentation of marginalized groups in the
criminal justice system and racism in its institutions. Not surprisingly, these mul-
tiple voices of critical criminology, though agreeing that change to society and its
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12: New Directions in Critical Criminological Theory 299
system of justice is necessary, have different views on the extent and ways in which
change should occur. This being said, we begin with a review of left realism, which
challenges extreme radical criminology for not making enough concrete change in
the short term on the way to the long-term change that it advocates.
Left Realism
Left realism took form in the 1980s when Jock Young, one of the coauthors of
the radical criminological milestone The New Criminology (I. Taylor, Walton, and
Young 1973), and his colleagues began to analyze the results of a local-area victimiza-
tion study (see, especially, Jones, MacLean, and Young 1986; Matthews and Young
1986, 1992; Young and Matthews 1992; and MacLean 1991). To their amazement,
working-class Londoners were not so bothered about crimes of the powerful; they
cared more about the crimes occurring in their own neighborhoods, committed by
their own “working-class villains,” and they wanted something done about them.
Young had earlier criticized criminology “of the left” for being too idealistic and
termed it “left idealism” (J. Young 1979; Lea and Young 1984). It was idealistic be-
cause it started from abstract concepts rather than concrete realities (MacLean 1991,
11). Lea and Young (1984) argued that left idealism’s exclusive focus on corporate
and white-collar crime, its romantic celebrations of street criminals as working-class
revolutionaries, and its assertions about the need for broad revolutionary policies
ignored the feelings of most working-class crime victims—who most feared crimes
by members of their own class.
In contrast, left realism takes the position that the primary victims of crime are work-
ing-class people, who are being attacked from both above (crimes of the powerful) and
from below (street crimes of the lower class) (Schwartz and DeKeseredy 2010). But left
realists, as critical criminologists, are also acutely aware of the harm caused to victims
suffering from crimes of inequality. Advocates believe that the polarizing effects of capi-
talism divide societies into the “haves” and “have nots” while simultaneously promoting
competitive individualism and greed. This “exclusive society” (J. Young 1999) margin-
alizes and abandons its poor, who suffer relative deprivation, frustration, and anger,
which they express through disrespect and violence toward each other.
To complete the picture of crime, left realism argues that it is essential to include
both victims and offenders in their relationships to each other, to the state’s criminal
justice agencies, and to the general public. Left realists call this set of relationships the
“square of crime” (J. Young and Matthews 1992). More like strain theorists (discussed
in Chapter 9) than Marxists, they argue that the capitalist system promotes competitive
individualism and feeds off patriarchy and racism, creating inequalities between people
that lead to relative deprivation (J. Young 1999). This suggests that income, standard
of living, or quality of life “experienced as being unfairly low compared to that of
the rest of society creates a feeling of economic disenfranchisement” (DeKeseredy and
Schwartz 2006, 308–309). Those at the bottom of the heap, in relative poverty to
their peers, experience relative deprivation because they cannot afford the pleasures of
life enjoyed by others. Capitalism is the source of discontent and a perceived sense of
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injustice. Jock Young (1999) contends that many Americans and Europeans now live
in “exclusive societies” “where an alarming number of people are excluded from the
formal labor market, where thousands of people have to live on the street or in dilap-
idated public housing estates, and where inner-city violence is endemic” (DeKeseredy
2003, 39). These ghettos and ghost towns were produced by capital concentrations
but were abandoned as capitalism “winged its way elsewhere” to new global locations
“where labor was cheaper and expectations lower” (J. Young 1999, 20). Since those
isolated at the bottom of the hierarchical heap are politically powerless to change their
situation, they become angry and violent and beat up on each other, producing vi-
olent crime incidents. Some of their numbers also turn to stealing the very symbols
they cannot afford to buy. In this context, crime is an unjust individualistic solution
to the experience of injustice among people who lack the legitimate means of solving
the problem of relative depravation (J. Young 1999; DeKeseredy 2003). Moreover, it
is also a collective solution because “people who lack legitimate means of solving the
problem of relative deprivation may come into contact with other frustrated disenfran-
chised people and form subcultures, which, in turn, encourage and legitimate criminal
behaviors” (DeKeseredy and Schwartz 2006, 309).
Rather than protect them from crime, police agencies tend to reinforce the in-
equalities, and the class-biased criminal justice system produces its own casualties
within already impoverished neighborhoods where it targets primarily lower-class
and minority males, the most vulnerable of the excluded, who are then punished.
Thus, the “excluded” become victimized from all directions, from their oppression
in the society, from the crimes of their fellow oppressed, from the crimes of corpo-
rations, and from the injustice and punitive actions of the criminal justice system.
As its name suggests, left realism is critical of capitalism for creating and sus-
taining the inequalities and divisions that turn people against each other, favoring
instead some form of socialist society (hence the term left). However, rather than
waiting for the revolution, left realists propose to do something immediate, prac-
tical, and concrete to alleviate the suffering (this accounts for realism). Unlike the
“left idealists” (whom we considered under radical criminology in Chapter 10) who
romanticize the crimes of the poor, or “progressive minimalists” who are seen as
downplaying the problems of the poor (D. Currie 1992), left realists do not believe
in waiting for a socialist revolution before implementing policies that reduce the suf-
fering from crime caused by the capitalist system and its agencies of social control.
They argue that to do so is irresponsible because it allows the sole voice in the policy
debate to be the right realist “law and order” lobby (Matthews 1987).
Instead of tougher sentences and more prisons, left realists prefer alternative prac-
tical policy interventions that deal with both the immediacy of the crime problem
and people’s fear of it (Lea and Young 1984). These include preventive policies that
(1) introduce problem solvers into working-class neighborhoods to defuse problems
and to address residents’ concerns through local crime surveys, (2) use alternative
sanctions such as restitution and community service to “demarginalize” offenders and
reintegrate them back into the community, and (3) encourage community involve-
ment and democratically accountable control of the police by community citizens.
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In general, left realists “seek short-term gains while remaining committed to long-
term change. That is why they propose practical initiatives that can be implemented
immediately and that ‘chip away’ at patriarchal capitalism” (DeKeseredy 2003, 36). In
this regard, left realists are increasingly acknowledging the value of “collective efficacy”
or “social capital” in which strong community networks of social support and informal
social control play a significant role, though not without meaningful employment and
effective social programs (ibid., 39; see the ecology perspective in Chapter 8).
The School of Criminology that founded left realism at Middlesex University in En-
gland has since dispersed and many of its advocates have now gone into a series of dif-
ferent critical theories. The late Jock Young, who founded the perspective with Roger
Matthews at Middlesex, turned his attention to developing a new critical perspective
called cultural criminology, and abandoned further left realist writing. Matthews, how-
ever, joined him at the University of Kent. In the United States the perspective still
has some committed supporters, particularly Elliott Currie, Nikos Passas, and Marty
Schwartz, but even here left realist concerns are integrated with other theoretical posi-
tions, such as anomie theory and feminist theory. However, in Canada, the perspective
has taken root not only at Simon Fraser University with the work of John Lowman,
but most recently at the new Center for Criminological Studies at the University of
Ottawa Institute of Technology, which has brought together key Canadian and in-
ternational criminologists who have become leaders in developing left-realist research.
We now turn to a critical criminological perspective that is almost the polar opposite
of left realism in that it is abstract, holistic, and somewhat idealistic; it even challenges
the existence of truth and reality, which it sees as socially constructed.
Postmodernism
Postmodernism is more a movement than a theory. It is also much larger than crime,
criminal justice, and criminology (Kraidy 2002). Among other things, it encompasses
art, architecture, literature, and social movements as well as the study of crime and
crime control. The concept of postmodernism is inherently abstract, broad, and mul-
tifaceted. Postmodern ideas mark a major break from those we have so far examined.
As one commentator noted, “Postmodernism and poststructuralism are difficult to
both define and comprehend” (Bohm 1997, 134). Thus, it is important to consider
their contribution to our understanding of crime at the outset.
Postmodernist theory alerts us to the socially constructed (and thus somewhat ar-
bitrary) nature of society’s rules, norms, and values, and, further, “postmodernism
rejects the possibility of an agreed upon version of objective reality . . . and it postu-
lates instead that all accounts of reality are in fact interpretive” (Mason 1995). Within
criminology, a postmodernist view of crime not only includes challenges to legal defi-
nitions but also sees the total society, particularly its discourse, as a source of crime.
A postmodernist definition of crime involves a much wider range of harms than a
legal or even a sociological definition, in that it includes harms created by the routine
practices of our society’s institutions, such as work, bureaucracy, government, law, and
family. Moreover, unlike previous theories that identify a causal force, whether it be
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at the level of individual, family, institutions, community, culture, or social structure,

postmodernism sees the “cause” of crime in the interplay of all of these elements as
expressed through the prevailing ways of describing our world, called discourses. Fi-
nally, postmodernism agrees with Greek philosopher Heracleitus, who observed that
you can’t step in the same river twice. Things are in a state of flux and change, as we
will learn later when we discuss chaos theory. Postmodernism also is consistent with
Heisenberg’s uncertainty principle, that reality is affected by the observer, even in sub-
atomic particles, such that what is real and true is less certain, less decidable.
The policy implications of postmodernist theory (unlike for previous theories)
do not involve changing individuals, institutions, or central features of society such
as structural features. Rather, “policy,” which is not a word postmodernists use,
involves changing our whole set of societal practices and our current mode of dis-
course and replacing them with other, less harmful discourses. In short, it “is not
this or that” that is wrong with modern industrial society but the way we conceive
of and approach everything we do. We can make a difference to what is currently
problematic only by changing it all, together. Let us look at this theory in more
detail, remembering our caution about complexity.
Postmodernism refers to a school of thought that has emerged out of a period of
intense skepticism with science. Scientific method and rational thought were, as will
be recalled from Chapters 3 and 4, an outcome of the eighteenth-century Enlight-
enment and prevail to this day. Science assumes that rational and objective methods
can be used to discover knowledge and truth, which can then be applied to solve
society’s problems and to control nature. The concept of such scientific “progress”
has characterized the “modern era.” Disenchantment with modernism, linked to
the suffering that its hierarchies, divisions, and exclusions have brought to many
(through imperialism, sexism, racism, and class oppression), together with its in-
creasing inability to solve society’s problems (e.g., pollution and poverty), has led
to a questioning of its values, particularly the value of scientific analysis and rational
thought (Hunt 1991; Best and Kellner 1991, 1997; Borgmann 1992) as well as the
source of that knowledge. Many modern problems have been exacerbated by sci-
ence and technology; for example, consider the threat of nuclear devastation, germ
warfare, pollution, ozone depletion, the Holocaust, and so on. The creators of this
technology have also been subject to critical examination:
Communities that were custodians of that knowledge were called into question as well.
A shift away from the dominance of scientific knowledge, largely controlled by military,
industrial, and governmental communities, occurred in favor of a plurality of different
communities. Many of these communities were avowedly unscientific and subjective.
Indeed, they frequently interpreted the claims to objectivity and the universality of sci-
ence as a subterfuge giving power to a military, industrial, and institutional complex
that was anything but objective. (Longstreet 2003)
Postmodernists see rational thought as a form of elite power through which those
who claim to have special knowledge earn the right to decide the fate of those who do
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not share this knowledge. Indeed, postmodernists fundamentally disagree that there is
such a thing as objective truth. Instead, all knowledge is subjective, shaped by personal,
cultural, and political views. Whereas feminism’s standpoint epistemology maintains
that many oppressed versions of truth are valid, postmodernists argue instead that all
knowledge is made up simply of “claims to truth” (Foucault 1977, 1980). They be-
lieve that knowledge and truth are “socially constructed.” This means that they have
no independent reality outside the minds and practices of those who create them and
recreate them. Knowledge is artificial, an outcome of humans making distinctions and
judging one part of any distinction as superior to another, one set of ideas as superior
to another, and so on. These distinctions are conceptual and are made through com-
munication, particularly but not exclusively written or spoken language, referred to by
postmodernists as discourse or “texts” (Manning 1988; Arrigo 2003).
According to postmodernists, one of the major sources of conflict and harm in
societies results from people investing energy in these “discursive distinctions,” be-
lieving in their reality, defending them, and imposing them on others. Distinctions
made in discourse, such as middle class and working class, citizen and offender,
white and black, convict and ex-convict, and so forth, result in categories that ex-
clude and marginalize. As a result, postmodernists point to the centrality of language
use (i.e., discourse) in shaping social reality (Arrigo 2003).
Postmodernists reject the self-evident reality of distinctions and the idea that dis-
tinctions should be made between different kinds of knowledge—especially between
“scientific knowledge” (book smarts) and “commonsense knowledge” (street smarts).
One of their principal tools of analysis is to expose the soft, socially constructed “belly”
of privileged knowledge through what they call “critique.” This is different from criti-
cism, which involves arguments against a particular position and policy suggestions to
arrive at a solution. Critique is a continuous process of challenge to those who claim
to know or hold the truth; it uses “deconstruction” (Derrida 1970, 1981) to expose
the socially constructed, rather than real, nature of truth claims. Deconstruction is a
form of analysis that exposes unquestioned assumptions and internal contradictions in
language and arguments. Put simply, deconstruction is the reverse of construction, the
oft-accepted process of creating social reality by making assumptions and distinctions
and imposing them on the world. It is a method of analysis that seeks to “undo” con-
structions, to demolish them, but to do so in a way that exposes how they are built and
why they appear to be real (Rosenau 1992; S. Cohen 1990). As T. R. Young explained,
“Whereas modern science privileges objectivity, rationality, power, control, inequality
and hierarchy, postmodernists deconstruct each theory and each social practice by lo-
cating it in its larger socio-historical context in order to reveal the human hand and
the group interests which shape the course of self-understanding” (1995, 578–579).
Arrigo said that the deconstruction or “trashing” of a text, or a discourse, whether it is
written or spoken, involves a careful, critical reading designed “to unveil the implicit
assumptions and hidden values . . . embedded within a particular narrative”:
Deconstruction shows us how certain truth claims are privileged within a given story
while certain others are disguised or dismissed altogether. Because deconstruction
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focusses on the actual words people use to convey their thoughts, it attempts to uncover
the unconscious intent behind the grammar people employ when writing or speaking.
Thus language or entire systems of communication are put under the microscope for
closer inspection. In a sense, then, trashing a text entails reading between the lines to
ascertain the meanings (ideology) given preferred status in a particular language system.
(2003, 48)
Indeed, part of the postmodern critique involves the “resurrection of subjugated

knowledges,” the excluded, neglected, and marginal knowledges discounted by
dominant social constructions. It involves including others’ voices: “The postmod-
ern challenge invites us to embrace articulated differences, making them part of the
social fabric of ongoing civic interaction . . . of evolving possibilities” (ibid., 49).
Commentators have argued that there are numerous versions of postmodernism
(M. Schwartz and Friedrichs 1994). For the sake of brevity here, it is helpful to dis-
tinguish two broad types: skeptical and affirmative (Rosenau 1992; Einstadter and
Henry 1995). Skeptical postmodernism refers to the work of those who believe there
is no basis for objectivity and no way truth either exists or can be discovered. They
use deconstruction simply to undermine all claims to truth, revealing its underlying
assumptions and disrupting its acceptance as fact. In some cases, they imply an ex-
treme relativism that has no standards and accepts anything as valid. They do not be-
lieve in suggesting alternatives because they would themselves then be making truth
claims and be subject to their own criticism. Affirmative postmodernism, in contrast,
refers to those who believe deconstruction also implies reconstruction, or rebuilding:
“Exposing how an edifice is built, and how it stands, in spite of opposition, also
implies how it can be rebuilt or built differently” (Einstadter and Henry 2006, 288).
In deconstruction, affirmative postmodernists show how humans actively build their
social world rather than being passive subjects of external forces. They also show how
people could invest their energies to build new social worlds, albeit ones that are ever
changing and always in the process of being built. To understand the relevance of
postmodernism to criminology, we shall briefly illustrate how postmodernism has
been applied by Henry and Milovanovic’s constitutive criminology.
Constitutive Criminology
According to its founders, “Constitutive Criminology is a broad sweeping,
wide-ranging holistic perspective on crime, criminals and criminal justice . . . whose
objective is to help build a less harmful society” (Henry and Milovanovic 2003,
57). The core of the constitutive argument is that crime and its control cannot be
separated from the totality of the structural and cultural contexts in which it is pro-
duced (Henry and Milovanovic 1994, 1996, 1999, 2003). It rejects the argument of
traditional criminology that crime can be separated from that process and analyzed
and corrected apart from it. Crime is an integral part of the total production of
society, and insofar as societies are interconnected through globalization processes,
crime is a global production. It is a coproduced outcome of humans and the social
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and organizational structures that people develop and endlessly (re)build. Therefore,
criminological analysis of crime must relate crime to the total social and, ultimately,
global picture rather than to any single part of it. This is not an easy task.
Constitutive theorists start out by redefining crime, victims, and criminals (Mi-
lovanovic and Henry 2001). They argue that unequal power relations, built on the
constructions of difference, provide the conditions that define crime as harm. Thus,
constitutive criminology redefines crime as the harm resulting from humans’ invest-
ing energy in harm-producing relations of power. Humans suffering such “crimes”
are in relations of inequality. Crimes involve people being disrespected. People are
disrespected in distinct ways, but all have to do with denying or preventing them
from becoming fully social beings (and, in this, the theory is similar to Marx’s as-
sumptions about human nature). What is human is to make a difference to the
world, to act on it, to interact with others, and, together, to transform the envi-
ronment and themselves. If this process is prevented, we become less than human;
we are harmed. Thus, Henry and Milovanovic define crime as “the power to deny
others their ability to make a difference” (1996, 116).
Constitutive criminologists see crime in relation to power differentials and to hier-
archical relations. They distinguish between two kinds of crime: “crimes of reduction”
and “crimes of repression.” Harms of reduction occur when offended parties experi-
ence a loss of some quality relative to their present standing. For example, they could
have property stolen from them, or they could have dignity stripped from them via
hate crimes. Harms of repression occur when people experience a limit, or restriction,
preventing them from achieving a desired position or standing. These individuals
could be prevented from achieving a career goal because of sexism or racism or end up
meeting a promotional “glass ceiling.” Considered along a continuum of deprivation,
harms of reduction or repression may be based on any number of constructed differ-
ences. At present, in Western industrial societies, harms cluster around the following
constructed differences: economic (class, property), gender (sexism), race and ethnic-
ity (racism, hate), political (power, corruption), morality, ethics (“avowal of desire”),
human rights, social position (status and prestige, inequality), psychological state (se-
curity, well-being), self-realization and actualization, biological integrity, and others
(Milovanovic and Henry 2001). Whatever the construction, actions are harms either
because they reduce the offended from a position or state they currently occupy or
because they prevent them from occupying a position or state that they desire, whose
achievement does not deny or deprive another. Constitutive criminology views the
offender as an “excessive investor” in the power to dominate others. Such “investors”
put energy into creating and magnifying differences between themselves and others,
in order to gain some advantage over others (again, the dimensions of what qualities
are differentiated are wide ranging, from physical appearance, race, and ethnicity to
ability, wealth, beauty, intelligence, morality, and so on). This investment of energy
disadvantages, disables, and destroys others’ human potentialities.
The victim, according to constitutive theorists, is a “recovering subject,” with
both untapped human potential and a damaged faith in humanity. Victims are
more entrenched and more disabled and suffer loss. Victims “suffer the pain of
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being denied their own humanity, the power to make a difference. The victim of
crime is thus rendered a non-person, a non-human, or less complete being” (Henry
and Milovanovic 1996, 116). This reconception of crime, offender, and victim lo-
cates criminality not in the person or in the structure or culture but in the ongoing
creation of social identities through discourse and discursive distinctions that are
reinforced by social actions and institutions.
To the constitutive theorist, crime is not so much caused as discursively con-
structed through human processes, but is the coproduced outcome of individuals
and their environment as well as human agents and the wider society. All, as Marx
noted, are parasitic on the crime problem, but as constitutive criminology suggests,
they also contribute to its ongoing social and cultural production. They are the sus-
tenance on which individual offenders feed and thrive.
If conventionally understood causality is rejected, what takes its place to explain
how crime happens? Constitutive theorists, due to their observations about the in-
determinate nature of causal relations, look to chaos theory to help reveal alterna-
tive ways of knowing. Chaos theory, also known as “nonlinear dynamics,” argues
that “orderly disorder governs the behavior of all natural systems,” such that while
exhibiting patterned regularity, they are simultaneously random and unpredictable
(Arrigo 2003, 50; Henry and Milovanovic 1996; Milovanovic 1997; Williams and
Arrigo 2001). Constitutive theorists argue that the complexity of social relations
needs an explanation framed in terms of dialectical causality, such as interrelation-
ships or coproduction rather than “the linear and deterministic concept of single
or multiple causality” (Henry and Milovanovic 2003, 65). Indeed, “these processes
comprise relationships that are not deterministic but dialectical, a dialectic that as-
sumes nonlinear development and a movement, through human agency, toward
instability of social forms. . . . Whether a particular situation or interrelationship
will result in criminality cannot be determined with any precision since the dynam-
ics of human relations are indeterminate, can be altered by seemingly small events,
and are part of a historically situated, ongoing process that is also indeterminate”
(Colvin 1997, 1449).
Given this interrelated yet indeterminate nature of social structures and humans,
the question remains as to how these affirmative postmodernists recommend re-
ducing harms that are crime. Constitutive criminology calls for a justice policy of
replacement discourse “directed toward the dual process of deconstructing prevail-
ing structures of meaning and displacing them with new conceptions, distinctions,
words and phrases, which convey alternative meanings. . . . Replacement discourse,
then, is not simply critical and oppositional, but provides both a critique and an
alternative vision” (Henry and Milovanovic 1996, 204–205). In terms of diminish-
ing the harm experienced from all types of crime (street, corporate, state, hate, and
others), constitutive criminology talks of “liberating” discourses that seek trans-
formation of both the prevailing political economies and the associated practices
of crime and social control. Replacement discourse can be implemented through
attempts by constitutive criminologists to reconstruct popular images of crime in
the mass media and through engaging in newsmaking criminology (Barak 1988,
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1994). As we shall see later, another form of replacement discourse comes in the
form of peacemaking approaches to conflict. Before discussing these developments,
we first consider the application of constitutive theory to penology and then a re-
lated development known as “edgework” studies by one of the cofounders of con-
stitutive theory, Dragan Milovanovic.
In their latest work Revolution in Penology, constitutive criminologists Bruce Ar-
rigo and Dragan Milovanovic (2009) return to the original constitutive statements
(Henry and Milovanovic 1991; Milovanovic and Henry 1991) to develop ideas
about constitutive penology. Their book “intends to be a flash of light, a poetic
spark, a fleeting epiphany, a coupling moment. It intends to communicate that sub-
jectivity can be recovered for anyone or group in which dispossession or alienation
prevails. It intends to communicate that becoming the other can be resuscitated for
any one or group in which oppression and disenfranchisement triumphs” (Arrigo
and Milovanovic 2009, xix).
Arrigo and Milovanovic set out to deconstruct penological thinking and challenge
society to reconstruct the world in nonpunitive, less harmful ways. At its core, their
vision is premised on the constitutive holistic conception of “humans-in-the-world”
rather than seeing them as separate individuals. They argue that prison and penol-
ogy are internal human social and symbolic processes that have real external harm-
ful consequences both for prison populations and for nonprison populations. They
share Loïc Wacquant’s view of penality as the ensemble of categories, discourses,
practices, and institutions concerned with enforcement of the sociocultural order
that has become a major engine of urban and social change in the twenty-first cen-
tury. Arrigo and Milovanovic (2009) suggest replacing penology’s existing view of
crime control with one that reconnects the components, parts, and segments to the
whole in dynamic configurations.
After outlining their core assumptions, the authors explore how expressions of
power “emerge from within historically mediated socio-cultural conditions,” which
give rise to penal forms that sustain the social structures that produce them in a
dynamic relationship of mutual coproduction. They show how the discourse of pe-
nology, penal policy, and penal practice has a pivotal role in this regenerative process
and through them how all in society are victimized, as they are limited from what
they might otherwise have become.
To avoid falling into the same trap as those they criticize, Arrigo and Milovanovic
adopt the strategies of the “criminology of the shadow” and the “criminology of the
stranger.” The criminology of the shadow unveils the structural harms embodied in
penal institutions. The authors “demonstrate how the recursive activities of exist-
ing correctional abstractions, categories, and practices work to co-produce and reify
the prison form, its constitutive parts, and the whole of society that legitimizes and
essentializes the discourse of penology” (ibid., 71). Applying their analysis to desis-
tance theory, whereby over time many offenders mature out of crime, Arrigo and
Milovanovic go beyond the view that prison disrupts the process of going straight
to show that such analysis is merely reconstitutive of the existing institutional forms.
In contrast, the criminology of the stranger offers a “trans-desistance” approach that
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“examines how the activities of the recovering subject (being) and the transformative
subject (becoming) recast the character of human agency as constituents of a replace-
ment discourse and logic” (ibid., 70). Here the authors are able to untangle the diffi-
cult problem of acknowledging the harm of the offense without bringing harm to the
offender. They argue that human subjects “should be seen as a multiplicity of lives,
and one that cannot be confined to the narrow framework prescribed by the release
plan. . . . What needs to be recognized is the multiple forms of expression of the hu-
man subject” (ibid., xii). In other words, radical transdesistance theory seeks to open
up the multiplicity of avenues for those reentering society to reconnect with it.
Arrigo and Milovanovic also examine the self-fueling system of incarceration-
release-reincarceration, known as the “pains of imprisonment” thesis. In a critical
assessment of modernist penology’s account of the punitive violence of prison, they
show how the roles of prison actors (prisoners, correctional officers, public officials,
and the general public) take center stage in the production of their violent conditions
of confinement. Current approaches offer an inadequate account of the penological
problem. In contrast, Arrigo and Milovanovic (2009) apply a probing constitutive
critique to the images and the various messages these hyperrealistic images convey.
They argue that such representations do not allow us to distinguish between authen-
tic reality and representational illusion. The authors demonstrate the key role that
existing institutional processes play in normalizing violence and limiting the process
of human transformation, thereby amplifying the criminological shadow. This cur-
tailing of possibilities affects not only prisoners but all those involved in prison work,
and ultimately the whole society for failing to realize its own transcendent potential.
Overall, Arrigo and Milovanovic challenge penology to stand outside itself and,
in doing so, herald the possibility of the postpenological society, one that calls for us
to “accept the potentials that inhere within each of us” and to resist the tendency to
“limit these becomings.” Arrigo and Milovanovic envision not only a revolution in
penology but also a release of possibility toward the liberation of humanity.
In the most recent statement of this “society of captives” thesis, Arrigo (2013)
specifies how “being human and doing humanness differently” is perceived and
managed and how its management as risk embodies dehumanizing practices that
extend from those placed in captivity to all those who are involved in managing their
captivity. Arrigo, pointing out the inherent dehumanizing harm to all involved in
this approach, calls for a new clinical praxis that is “designed to overcome the total-
izing madness (the harm of social disease) that follows from managing risk fearfully
and marginalizing identities desperately as reified recursively through society’s cap-
tivity” (Arrigo 2013, 672).
Edgework Studies
Edgework is the term coined by Stephen Lyng (1990, 2005) to describe and explain
the high-risk “adrenaline-rush” behavior of those who engage in a variety of deviant
activities such as skydiving, BASE jumping, hang gliding, surfing, downhill skiing,
and other extreme sports. “Edgework denotes situations of voluntary risk taking
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where those involved match illicit and life-threatening risks with highly honed sub-
cultural survival skills” (Ferrell 2013, 260). Lyng and his colleagues are particularly
interested in how and why these edgeworkers invoke a high degree of control and
skill to avoid the extreme dangers, possibly death, in order to reap the “pleasures
of sensation and emotion” of the body (Milovanovic 2006). We saw in Chapter
4 that biological and psychological explanations for such behaviors describe them
as “sensation seeking.” The central issue is what motivates people to pursue dan-
gerous and risky behaviors. Edgework theorists reject biopsychological arguments
and rational choice explanations. Instead, they invoke a nonmaterial explanation
for deviant motivation as an end in itself, as a place of freedom from constructed
limits and borders, in which humans experience their own humanity, enjoyed as
one approaches “the invitational edge” that most control systems prevent humans
from approaching (Matza 1969). Ferrell (2013) states: “Caught in a world where
hyper-surveillance and ‘risk management’ are pervasively deployed in the interest of
social control, edgeworkers dare to reclaim the passion of risk; consigned to a vastly
unequal service economy that produces mostly low-skill jobs and ongoing alien-
ation, edgeworkers dare to craft skills that matter profoundly to them; confronted
by the threat of further legal control, edgeworkers dare to invent still other skills to
avoid apprehension” (Ferrell 2012, 260).
Jack Katz (1988) explored the phenomenology of subjective experience and
emotions in his book Seductions of Crime. He focused on the idea that a significant
dimension of the human subject’s experience is emotional excitement, adrenaline
rushes, the sensual, the visceral experienced through the body. Katz explained the at-
traction to crime, from “sneaky thrills” to murder, as a person’s attempt to overcome
what is perceived as an intolerable moral challenge or dilemma, typically a humili-
ation, in order to reestablish his or her own humanism and self-respect. Thus, par-
adoxically, murder is seen as “righteous slaughter” as a subject attempts to reassert
control over his or her own moral dilemma through a “moral transcendence.” They
regain their own humanity through the sense of righteousness provided by rage that
justifies their act, only to lose control to the consequences of the act as they cross
the edge. Yet it is approaching the edge that attracts. The edge is the borderline,
between order and disorder, “some boundary between ordered and chaotic social
reality, consciousness and unconsciousness, sanity and insanity and the line between
life and death. . . . Go over the edge and you die or suffer serious injury. . . . The
high is overcoming this extreme challenge” (Milovanovic 2006, 237). Here the body
experiences the “rush”—the sensation of intense bodily pleasures: “It is the play of
being in and out of control at the edge that provides the moments for the expression
of bodily desires” (Milovanovic 2003, 8). The edge may be a moment in time, an
event, but it is experienced as more real than everyday reality.
Lyng (1990) suggested that the structural context for such a search for meaning is
the meaninglessness of the mundane, routine, alienated life of capitalism, although
this was not consistent with the research (Ferrell, Milovanovic, and Lyng 2001).
O’Malley and Mugford related these ideas to the structural context of late-capitalist
society, seeing a “phenomenology of pleasure” rooted in the nineteenth-century
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romantic period in history (eventually replaced by the material rationality of capi-

talism). A second force was the civilizing process that laid down moral boundaries
for appropriate action, order, and rational behavior that create barriers to spon-
taneous emotional expression. They argued that “within modern cultures there is
a steady and increasing pressure toward emotionally exciting activities, including
leisure activities, as a source of transcendence and authenticity with which to off-
set the suffocation of an over controlled, alienated existence within the mundane
reality of modern life” (1994, 206). They saw Lyng’s work as describing situations
approaching but not crossing the limit, whereas Katz’s study described situations of
going beyond the limit.
Drawing on previous postmodernist, particularly Lacanian and constitutive the-
ory, Milovanovic, together with Lyng and Jeff Ferrell (Ferrell, Milovanovic, and
Lyng 2001; Milovanovic 2003), developed these ideas into a postmodernist informed
study of desire that situated sensation seeking in the context of meaning construction,
framed by wider cultural production, information technology, and mass media.
The attempt by some postmodernist and constitutive theorists to locate the mo-
tivation for crime and deviance between the human desire for pleasure framed in
a historical and cultural period illustrates again how this perspective seeks to show
the connectedness of people to each other that transcends the simple reductionist
accounts of earlier theories. Postmodernism and edgework laid the foundation for
the more recent developments in cultural criminology.
Cultural Criminology
Cultural criminology is “an orientation designed especially for critical engagement
with the politics of meaning surrounding crime and crime control, and for critical
intervention into those politics” (Ferrell 2013, 258). Cultural criminology as a field
of study emerged in the mid-1990s (Ferrell and Sanders 1995), although its ideas
had been percolating in criminological thought longer than that.1 In addition to its
connection with edgework and Katz’s studies of the shared thrill, pleasure, excite-
ment, and sensuality that are the emotion and seduction of crime, cultural criminol-
ogy has its roots in several theoretical perspectives—including symbolic interaction
and sociological phenomenology, with their emphasis on the social construction of
situated meaning in everyday existence; the Birmingham School of Cultural Studies,
which had shown the importance of the politics of resistance through youth subcul-
tures and the cultural significance of public mass-mediated displays of the contested
politics of crime control through state policing; and the anarchist antipower and
control theme found in Pepinsky and Ferrell’s politics of the disenfranchised youth
and their creative and destructive displays of resistance through style.
Using ethnography, its advocates study “the situated meaning and subtle symbol-
ism constructed within criminal subcultures and events” (Ferrell 2007). According
to Ferrell (2013), “‘meaning’ refers to the contested social and cultural processes by
which situations are defined, individuals and groups are categorized, and human
consequences are understood” (p. 258). It can be seen to be “a constitutive element
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of human action and a foundation of human culture—an ongoing, everyday process

of sense making, symbolic communication, and contested understanding” (ibid.).
What cultural criminology captures through its qualitative engagement is the richness
of the experience of crime and its control as a contested arena of symbolic representa-
tion. Cultural criminology sees a blurring of the boundaries between image and reality
in a variety of representational arenas, not least in popular culture, advertising, news,
and films. As Ferrell said, the appropriate subject matter must include “not simply
‘crime’ but the many images of crime and criminality that are produced and circu-
lated by the mass media, and, likewise the recurring campaigns of symbolic threat and
moral panic that political and legal authorities orchestrate” (2006, 247). Indeed, it is
the stratified strain between these arenas of mediated display that captures the nexus
between the cultural production and the spontaneity of human creativity:
It is this very tension that accounts for various contemporary confluences of crime and
culture: the aggressive policing of alternative subcultures and their styles; the mediated
consumption of crime as commodified titillation and entertainment; and the shifting
and always contested boundaries between art and pornography, music and political
provocation, entertainment and aggression, crime and resistance. In all of these cases,
cultural criminologists attempt to account for the political economy of crime by lo-
cating it inside the dynamics of the everyday, amidst the ambiguities of day-to-day
transgression and control (Ferrell 2007).
“Cultural criminology emphasizes the permeability of images as they flow between the
mass media, criminal subcultures, and crime control agencies, and likewise the essential
role of image and ideology in constructing crime control policies and practices. Follow-
ing this line of analysis, cultural criminology suggests that everyday criminal justice has
now become in many ways a matter of orchestrated public display, and an ongoing polic-
ing of public perceptions regarding issues of crime and threat” (Ferrell 2007).
With regard to direct policy implications, clearly in the long term the structural
inequalities of exclusion and the consumerist global culture need to be addressed.
However, in general, the perspective does not advocate a policy position. Part of
the reason is because it sees the social construction of “crime fighting” as part of
“crime talk” that invests energy into the spectacle of crime as a media production, a
war movie played out on our streets, rather than a genuine attempt to reduce harm
production. In other words, instead of defusing the thrill of crime, crime-fighting
discourse adds to crime’s continued production. What cultural criminology does is
provide a framework for making changes in society that reduce the desire for thrills
from crime by replacing the meaninglessness of consumerist interaction and com-
modified relationships with meaningful and substantial alternatives. In Durkheim’s
terms, it reverses the extremes of anomie by providing a meaningfully and morally
grounded set of social relations; in Baudrillard’s terms, it reduces the hyperreality of
late modernity.
In pragmatic terms it is difficult to see what concrete measures can be adopted
as policy, since without fundamental changes in society’s orientation toward
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increasingly sensationalized consumption, any piecemeal practices will more likely

add to the accentuation of the existing carnival of crime than make a difference to it.
Having said this, it is clear that social policies that provide a general reduction of fear
and risk, such as health care provision, social support, and mutual aid, allow people
to build socially meaningful relationships and social capital that can insulate us from
competitive individualism and displays of identity competition. Cultural criminol-
ogists might, therefore, defuel the investment in policies such as those of rational
choice and situational crime-control theorists that increase target hardening through
adding surveillance, fences, and sensors, which only raise the sophistication of the
crime game for its players, and invest in programs that celebrate people’s common
identity and unique inherent value.
Anarchism, Abolitionism, Peacemaking, and Restorative Justice

The theories considered here, like those of postmodernism and constitutive the-
ory, take a holistic approach to the problems of crime, connecting crime, offenders,
victims, the community, and the wider structural issues of societies in their global
contexts. They include abolitionism, which believes in removing punishment from
criminal justice, peacemaking, which advocates nonviolent approaches to resolving
the conflict of crime, and restorative justice, which calls for adopting practices that
integrate offenders with victims and their community. The origin of this evolving
perspective lies in anarchistic thinking applied to criminology and criminal justice,
which led to the abolitionist movement.
Anarchy means a society without rulers. But it is not a society without order, al-
though that is often assumed in the pejorative use of the term. Anarchism refers to
those who oppose organizational and institutional authority. It has its intellectual
roots in the nineteenth-century writings of Pierre-Joseph Proudhon (1809–1865),
Mikhail Bakunin (1814–1876), and Pyotr Kropotkin (1842–1921) (Woodcock
1963, 1977). Proudhon believed that authority and power in any form are op-
pressive and that they are rooted in the private ownership of property, which he
saw as theft. Bakunin argued that privilege makes humanity depraved and can
be removed only by destroying all forms of hierarchy. Kropotkin demonstrated,
in contrast to Darwin, that successful societies are founded on cooperation and
mutual aid rather than competition and that the government is unnecessary and
destructive. These anarchists took the view that cooperative interactive relations
are a natural human form that will emerge, provided people are allowed to engage
in free and open interaction. Structures of power, whatever their form, are based
on inequality and hierarchy, which create conflict and destroy the freedom nec-
essary for constructive cooperation. More recently, these ideas have been applied
to criminology through the works of Larry Tifft, Dennis Sullivan, Hal Pepinsky,
and Jeff Ferrell. The anarchist theory of crime causation is that crime is caused
by structures of power and domination. Thus, the anarchist criminologist spends
more time trying to replace structures of power than developing analyses of how
these actually cause crime.
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Anarchist criminologists (Pepinsky 1978; Tifft and Sullivan 1980, 2006; Ferrell
1994; Ferrell and Websdale 1999) believe that hierarchical systems of authority and
domination should be opposed. As Ferrell argued, nothing is more formidable than
the unchallenged supremacy of centralized authority structures that feed off divi-
sions of class, gender, and race. Anarchist criminology relates crime as a meaning-
ful activity of resistance to both its construction in social interaction and “its larger
construction through processes of political and economic authority.” Anything that
fragments the state from its seamless hierarchies of authority and power is desir-
able. Thus, anarchists believe existing structures of domination should be replaced
by a “fragmented and decentered pluralism” that “celebrates multiple interpretations
and styles” (Ferrell 1994, 163). Like postmodernists, anarchists believe that knowl-
edge and information are structures of domination to be discredited and replaced by
embracing “particularity and disorder.” Advocates are interested in “fostering social
arrangements that alleviate pain and suffering by providing for everyone’s needs”
(Tifft and Sullivan 2006, 259).
According to anarchist criminologists, state justice should be replaced by a de-
centralized system of negotiated, face-to-face justice in which all members of society
participate and share their decisions (Wieck 1978; Tifft 1979, 397), a system of
“collective negotiation as a means of problem solving” (Ferrell 1994, 162). This is
designed to bring the individual to accept responsibility for his or her behavior by
reminding offenders of their connectedness to other members of the society. The
aim is to restore the wholeness of social existence to the collective after it has been
breached by a person’s failure to accept responsibility and connectedness. In the an-
archist view, crime and deviance may be no more than indicators of difference. Such
a view demands an “anti-authoritarian justice” that “would entail respect for alterna-
tive interpretations of reality” but would oppose “any attempt to destroy, suppress,
or impose particular realities” (Ryan and Ferrell 1986, 193) and would encourage
“unresolved ambiguities of meaning” (Ferrell 1994, 163). Clearly, the logic of the
anarchist criminologists’ position is that if power is the source of domination and
thereby the source of crime, it is power and structures of power that should be re-
moved. This is precisely where abolitionists argue that punishment, as an instrument
of the state, should be removed.
Abolitionism has its origins in Norwegian criminology, particularly that of
Thomas Mathiesen (1974, 1986), and Nils Christie (1977, 1981), and, more re-
cently, in the work of Dutch criminologists Herman Bianchi and René van Swaanin-
gen (1986), and Willem de Haan (1990). Abolitionism is rooted in the notion that
punishment is never justified. It is a movement not merely to reform prisons but to
get rid of them entirely and replace them with community controls and community
treatment that attempt to deal with crime as an outcome of relationship issues. Not
only are prisons seen to fail to control crime and fail to prevent recidivism, but
they are also viewed as an inhumane mechanism used mainly for controlling the
least-productive members of the labor force. Abolitionists point out that the “cul-
tural values embedded in the conception of prisons reflect a social ethos of violence
and degradation. When prisons are expanded, so too are negative cultural values
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symbolizing acceptable strategies for resolving interpersonal conflict” (Thomas and

Boehlefeld 1991, 242). For abolitionists, like constitutive theorists, social control
should be about not inflicting more pain but reducing pain. To achieve this, it
should be decentralized and broken up into democratic community control, and
new concepts such as “redress” should be adopted (de Haan 1990). These concepts
are based on redefining crimes as undesirable events, as problems to be solved. For
example, Knopp pointed to the complete failure of the current system of punish-
ment and argued for a system of “restorative justice” founded “on social and eco-
nomic justice and on concern and respect for all its victims and victimizers, a new
system based on remedies and restoration rather than on prison, punishment and
victim neglect, a system rooted in the concept of a caring community” (1991, 183).
Although rooted in a similar humanistic concern, peacemaking criminology goes
beyond the limits of abolitionism.
Peacemaking as articulated in the teachings of Buddhism, Christianity, Judaism,
Islam, Taoism, and Native American religions is thousands of years old. Yet there
are interesting parallels with the ideas of postmodernism. Science and the Age of En-
lightenment generally relegated religion to a secondary status as a means of creating
knowledge. Empiricism became the new God, with objectivity, determinism, and
causality the new mantras. Postmodernism questioned this and opened the door for
a reconsideration, if not reconceptualization, of ancient means of dispute resolution.
According to Mason (1995), postmodernism is helpful for expanding our under-
standing of peace studies—to adjust planning and expectations to different societal
conditions, and to be conscious of Western ethnocentric assumptions. Based on a
spiritual humanistic critique of Western civilizations, peacemaking criminologists
Hal Pepinsky and Richard Quinney want to replace making war on crime with the
idea of making peace on crime (1991; Pepinsky 2006). Like crimes, penal sanctions
are intended harms, and, as Harris noted, we “need to reject the idea that those who
cause injury or harm to others should suffer severance of the common bonds of
respect and concern that bind members of a community. We should relinquish the
notion that it is acceptable to try to ‘get rid of ’ another person, whether through ex-
ecution, banishment, or caging away people about whom we do not care” (Pepinsky
and Quinney 1991, 93). Peacemaking criminologists argue that instead of escalat-
ing the violence and conflict in our already violent society by responding to it with
state violence and conflict in the form of penal sanctions, such as death and prison,
we need to de-escalate it by responding with forms of conciliation, mediation, and
dispute settlement: “The only path to peace is peace itself. Punishment merely adds
heat. . . . Relief from violence requires people to indulge in democracy, in mak-
ing music together” (Pepinsky 1991b, 109–110). By democracy, Pepinsky means a
genuine participation by all in decisions about our lives that is achievable only in a
decentralized, nonhierarchical social structure.
According to Pepinsky (2013), the opposite of violence is “responsiveness.” When
we are hurt or scared, we want people to take time to notice what they are doing to
us and change course. Instead of charging straight ahead, we want them to bend and
accommodate us. In relationships where we can depend on that room for ourselves
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to be responded to in give-and-take exchanges, we build trust, which offers us a

greater sense of safety and social (and national) security in our relations (Pepinsky
2013, 324). Along these lines, the central themes of peacemaking are as follows:
(1) connectedness to each other and to our environment and the need for reconcil-
iation, (2) caring for each other in a nurturing way as a primary objective in correc-
tions, and (3) mindfulness, meaning the cultivation of inner peace (Bracewell 1990).
To promote such a vision of justice, according to Quinney (1991), it is necessary
to recognize connectedness, or “oneness,” with other beings, the inseparable con-
nection between our personal suffering and the suffering in the world. To change
the world, we must first change ourselves. This means not retaliating against others
when they hurt us and not classifying others in ways that deny them freedom.
Inspired by the work of Pepinsky and Quinney, John Fuller (1998, 2003) con-
trasted the peacemaking perspective with the war-on-crime perspective. He showed
how “peacemaking criminology is part of a larger intellectual enterprise that spanned
the range from interpersonal issues to global concerns, thus demonstrating the inter-
connectedness of criminal justice to larger areas of social justice” (2003, 86). In his
book Criminal Justice: A Peacemaking Perspective (1998), Fuller outlined six compo-
nents: (1) advocating nonviolence in criminal justice responses, particularly oppos-
ing the premeditated violence of the death penalty; (2) social justice issues such as
sexism, racism, and inequality need to be incorporated and corrected in criminal jus-
tice responses; (3) inclusion means that every stakeholder affected by and connected
with a crime, such as the victim, families of the victim and offender, neighbors, and
so on, needs to be involved in its solution rather than restricting criminal justice to
the offender and the state; (4) correction entails involving the offenders in the set-
tlement of their cases, rather than having them imposed, and removing mechanisms
of enforcement, such as racial profiling, that contribute to further crimes rather than
those that reduce tensions; (5) “ascertainable criteria” refers to the need for victims,
offenders, and community members to fully understand the criminal justice process
that they participate in, which means the use of nonlegalese and technical jargon;
and (6) categorical imperative, which means throughout the criminal justice system
all participants should be treated with respect and dignity. Fuller argued:
As opposed to the war on crime perspective, the peacemaking perspective has the po-
tential to provide lasting solutions to the problems that lead individuals to commit
violations of law. The war on crime perspective, with its emphasis on punishment and
retribution, ensures that offenders will strive only to commit their crimes in a more
efficient manner so as not to get caught. The peacemaking perspective, on the other
hand, seeks to address the conditions of society that foster crime and to address the
problems of the individual offender. Additionally the peacemaking perspective seeks to
understand and respond to the concerns of the victims. (2003, 88)
Restorative justice has its roots in several different cultural approaches throughout
the world, including the restitution practices of the first-century Anglo-Saxons, Native
American and Aboriginal peoples’ justice, Mennonite activism, victim movements,
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abolitionist and peacemaking criminology, and Braithwaite’s ideas about reintegra-

tive shaming (Sarre 2003; Menkel-Meadow 2007). The term restorative justice was
first coined by psychologist Albert Eglash when he was writing about reparation
(1977, 95; Sarre 2003, 100–101). Restorative justice emerged as a response to an
“overly harsh criminal justice system that neither effectively deterred crime nor suc-
cessfully rehabilitated offenders,” and it includes the four Rs of repair, restore, rec-
oncile, and reintegrate (Menkel-Meadow 2007, 10.3). Like peacemaking, restorative
justice is concerned with rebuilding relationships after an offense rather than driving
a wedge between offenders and their communities, which is the hallmark of mod-
ern criminal justice systems (Sarre 2003). Restorative justice “is a victim-centered re-
sponse to crime that allows the victim, the offender, their families, and representatives
of the community to address the harm caused by the crime” (Umbreit 2001). It fo-
cuses on “repairing the harm caused by the crime” (Daly 1997) and, like restitution,
“seeks to restore losses suffered by crime victims and facilitate peace” (Coward-Yaskiw
2002). Rather than impose decisions about winners and losers through an adversarial
system, “restorative justice seeks to facilitate dialog between all agents affected by the
crime . . . including the victim, offender, their supporters, and the community at
large” (Brennan 2003, 6). It involves “a process whereby all parties with a stake in a
particular offence come together to resolve collectively how to deal with the aftermath
of the offence and its implications for the future” (Marshall 2002, 11). In the process
of coming together, victims speak of how the crime affected them; offenders may
be able to explain why they committed the offense; and community members can
offer narratives on how the community may have been changed because of the crime.
Supporters of both the victim and offender may offer their stories as well. By giving
a voice to all parties involved, it may help the victim understand why the offense was
committed (perhaps the offender had a substance-abuse problem and needed money
for drugs) and find the compassion to forgive and find treatment (Brennan 2003, 7).
According to one of the founders of this approach, “Restorative justice is about
healing rather than hurting, moral learning, community participation and com-
munity caring, respectful dialogue, forgiveness, responsibility, apology, and mak-
ing amends” (Braithwaite 2002, 11). Moreover, it “mostly works well in granting
justice, closure, restoration of dignity, transcendence of shame, and healing for the
victim” (ibid., 69). The approach is well summarized by Sarre: “A restorative system
of criminal justice endeavors to listen to, and appease, aggrieved parties to conflict
and to restore, as far as possible, right relationships between antagonists. In restor-
ative models crime is defined as a violation of one person by another, the focus is on
problem-solving, dialogue and restitution (where possible), mutuality, the repair of
social injury and the possibilities of repentance and forgiveness” (2003, 98).
In practice, restorative justice includes a whole host of forums, including family
conferencing for juveniles (Braithwaite and Mugford 1994; Strang 2000), family
violence court, victim-offender mediation conferences and programs, family group
counseling, sentencing circles, healing circles, and “other practices such as ‘repara-
tion boards’ in Vermont, services to crime victims, meetings between imprisoned
offenders and victims (or their family members)” (Daly 2000, 170).
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Unlike conventional criminal justice that focuses on the offense to the state by
individuals but does nothing to deal with the consequences of the harm to the vic-
tims and the community, restorative justice builds community trust and adds to
a community’s “social capital,” thereby providing protection against future crimes
(Coleman 1988). “Restorative justice builds on social capital because it decentralizes
the offense from merely the act of an offender breaking the law, to a breach in a
community’s trust in its members. This in turns allows the community along with
the offender and victim to collectively look for a resolution” (Brennan 2003, 8).
Critical Race Theory

Although the ideas of critical race theory have been around since the 1960s, it is
only since 1989 that the theory has been more formally constituted and not until
1998 that it has been seriously applied to criminology and criminal justice (see espe-
cially K. Russell 1998; K. Russell and Milovanovic 2001; Mann and Zatz 1998; and
Mann, Zatz, and Rodriguez 2006), though it was first applied to law and was seen as
part of critical legal studies. In that context, like radical theory, it questioned law and
the courts, whose judicial conclusions were seen as the outcome of dominant power
structures. There are similarities to anarchist theory in that critical race theory in
law also criticizes all forms of domination and subordination. One of its more con-
troversial statements translated into practice is its advocacy that black juries acquit
black defendants not seen as a danger to the community on the grounds that their
time would be more usefully spent with their families in their communities.
The first critical race theory workshop was held at a convent outside Madison,
Wisconsin, in the summer of 1989. As Richard Delgado and Jean Stefancic have
pointed out, critical race theory was founded by lawyers who had realized that civil
rights gains were not being realized and in some cases were being rolled back. It
was designed “to deal with the new types of colorblind, subtle, or institutional rac-
ism that were developing” (2005). Like feminists, whose theories we examined ear-
lier, critical race theorists point out that not only is academic scholarship (and that
would include academic criminology) dominated by white academics doing “im-
perial scholarship,” but “they took little or no notice of the work of the emerging
minority scholars” (ibid.). It is ironic then that the beginnings of critical race theory
emerged in 1982 from the politics of university struggles going on at two stellar aca-
demic institutions, Berkeley and Harvard. Each was subject to protests by “students
of color” at the lack of representation by “professors of color” on their faculties, and
they fought to establish diversity. At Harvard the students ran their own alternative
Saturday class, with guest lectures from minority faculty from around the country
presenting papers. Some of their papers ended up becoming leading statements of
critical race theory (Crenshaw et al. 1995), and several book-length treatments now
exist (Delgado 1995; Delgado and Stefancic 1998, 2001, 2012).
In their presentation to the John Jay College of Criminal Justice in 2005, Del-
gado and Stefancic said that critical race theory “provides a new and different lens
and way of systematizing the search for knowledge. It helps avoid the search for easy
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answers, focuses attention on social construction and mind-set, asks us to attend to

the material factors underlying race and racism, and to go beyond the ordinariness
of racist action and treatment.” They identified several of its core beliefs both in their
presentation and in their 1993 article. These include:
1. Racism is ordinary, not exceptional, meaning that it is the usual way that
society does business and thus represents the common, everyday experience
of most people of color.
2. Because racism can advance the interests of both white elites as well as
white working-class people, large segments of society have little incentive to
eradicate it (interest convergence).
3. The social construction of race, and the related idea of differential racial-
ization, holds that race and races are products of social thought, categories
that dominant society invents as it racializes different minority groups for
particular purposes. Recent commentary has also explored the social con-
struction of “whiteness.”
4. Intersectionality and antiessentialism mean that no person has a single,
easily stated, unitary identity. Everyone has potentially conflicting, over-
lapping identities, loyalties, and allegiances. Race is not a simple essence,
which you either have or don’t have.
5. Discontentment with incremental color-blind liberalism as a cure for the
nation’s racial ills because it has served only to sidestep the major issues.
Racism is not an accident or matter of ignorance that will go away with
education or better enforcement.
6. The need to develop a story, storytelling, and a “voice of color” and the
virtues of “naming one’s own reality.”
7. Support for cultural nationalism: black separatism, black nationalism, and
black power.
8. The importance of multiple cumulative disadvantages necessitating the
study of the intersections of race, gender, and class.
When applied to criminal justice, critical race theorists raise a series of questions
related to these issues, such as what is crime and how it should be redefined to take
into account race (K. Russell 1998, 2001), as well as why our country tolerates a
criminal justice system that results in a prison population that is “largely black and
brown” (Delgado and Stefancic 2012, 11). They point out, like critical criminolo-
gists generally, that this is because the fear of black street crime is distorted and ex-
aggerated, and the reality of harm from white-run corporate and white-collar crime,
for example, is grossly understated.
Evaluation of New Directions in Critical Criminology

Each of the critical criminological positions considered here has been subject to critical
evaluation, and we give a summary overview of some of the main criticisms below.
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Left realism has been subject to several criticisms, not least of which is the charge
that it lacks originality, taking us little further than previous theory with regard to
causation. Moreover, as both Gibbons (1994, 170) and Shoemaker (1996, 219)
pointed out, left realist policy proposals are similar to those that emerged from social
ecology theory (discussed in Chapter 8), strain theory (discussed in Chapter 9), and
mainstream sociological criminology in general. Michalowski (1991) also cautioned
that left realists use a loose concept of community that could result in right-wing
populist and racist control of the police. He warned of the contradictions in pursu-
ing criminal justice reform without accompanying structural changes from the capi-
talist system to a socialist form.
Another major criticism of left realism is that it excludes feminist concerns, re-
maining “gender blind” and “gender biased.” It makes no attempt to explain wom-
en’s experiences of crime, victimization, or justice (Carlen 1992). Some argue that
its policies calling for a strengthening of the power of the oppressive state work to
strengthen patriarchy and to defeat women’s interests (M. Schwartz and DeKeseredy
1991; DeKeseredy and Schwartz 1991).
Finally, left realists have been criticized for ignoring crimes of the powerful
such as corporate or white-collar crime (Henry 1999) and for advocating so-
called progressive policies that include reinforcing the very structures of capitalist
oppression that they are critiquing, such as “job creation programs,” “entrepre-
neurial skills training in schools and linking schools and private businesses” (De-
Keseredy 2003, 37).
Postmodernism has been sharply criticized by mainstream criminologists and even
critical criminologists (M. Schwartz and Friedrichs 1994). It is criticized for being
(1) difficult to understand, not least because of its complex language (M. Schwartz
1991); (2) nihilistic and relativistic, having no standards to judge anything as good
or bad, thus fostering an “ideology of despair” (Melichar 1988, 366; see also Hunt
1990; S. Cohen 1990, 1993; and Handler 1992); and (3) impractical and even dan-
gerous to disempowered groups (D. Currie 1992; S. Jackson 1992). The criticism
that disempowered groups are targeted has been made—particularly of postmodern-
ist feminism by socialist feminists and radical feminists. Stevi Jackson (1992) and
Lovibond (1989) argued that deconstructing gender categories may result in women
being denied a position from which to speak, allowing men to continue to dominate
through their control. Yet postmodernist feminists “insist that the challenge women
confront is to construct a contingent method of communicating feminine ways of
knowing freed from the trappings of masculine logic, sensibility and discourse” (Ar-
rigo 2003, 52). Constitutive criminology offers a solution to these problems, but it
is too soon to know whether its ideas will stand the test of critical assessment and
practical application.
Finally, postmodernism has not been well understood, and thus received, by
practitioners working in criminal justice. It has most often been applied to correc-
tional issues, where it refers to the discursive transformation of the penal process
away from rehabilitation and toward a “new penology,” designed to control “the risk
society” through the use of actuarial techniques to target offenders as social types
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who represent different amounts of risk (J. Simon 1993; Feeley and Simon 1998;
D. Garland 1996; Lucken 1998).
Yet even in the corrections arena, “postmodern penal trends remain subordinate
to modern penal trends that are still in place” (Hallsworth 2002, 145). It is less often
mentioned with regard to law enforcement (but see Kappeler and Kraska 1999). Lisa
Miller (2001) did, however, provide an excellent, simplistic example of the critical
power of postmodernist criminology in her analysis of the Seattle Weed and Seed
program that does deal with crime, politics, law enforcement, and neighbors. Per-
haps the greatest affinity of postmodern and constitutive theory is with the theorists
who have developed an approach that not only recognizes the general interconnec-
tion of people but also seeks to redesign the criminal justice system to address this.
This field comprises three related humanitarian ideas: abolitionism, peacemaking,
and restorative justice. In each case the idea is to develop a response to crime that
brings offenders and victims together in a peaceful, community-oriented context to
resolve the conflict and mitigate the harm caused by their crimes.
Both anarchism and abolitionism have been criticized, even by sympathizers,
for their romantic idealism, lack of conceptual clarity, failure to develop a well-
grounded theoretical analysis of their opposition to punishment, and the absence
of concrete practical strategies for dealing with dangerous offenders (Thomas and
Boehlefeld 1991).
Not surprisingly, the ideas of peacemaking criminologists have also met with
considerable criticism from commentators who point out that “being nice” is not
enough to stop others from committing harm, that peacemaking is unrealistic, and
that it can extend the power of the state, resulting in widening the net of social
control (S. Cohen 1985). Others have suggested that its value lies in sensitizing
us to alternatives to accepting violence (DeKeseredy and Schwartz 1996). One of
the most extensive criticisms of peacemaking was offered by Akers (2000), who
claimed that the perspective is not open to empirical scrutiny, is contradictory to
Marxist and feminist ideas that claim to inform it, offers nothing new that has not
been offered by traditional mainstream criminology, and does not offer a solution
to address wider structural causes of violence. Advocates such as Fuller accept that
the theory needs to be developed to be testable and agree that although peacemak-
ing policies “such as non-punitive treatment of offenders, mediation, restitution,
offender reintegration, rehabilitation, and so on have been advocated by traditional
criminology, unfortunately, with the war-on-crime mentality that dominates the
criminal justice system today, these policies have fallen into disuse. . . . The peace-
making perspective provides a coherent web to weave together all of these progres-
sive policies” (2003, 94).
Overall, peacemaking approaches have one common theme that is consistent with
several other of the critical approaches that we have examined: connections and the
social nature of humans, and the world we construct. All would agree that the ana-
lytical approaches that separate individuals from their social context are deficient for
leaving out much of what is important. As we have seen, the approach that has been
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most developed in this regard is that of restorative justice, though it too has received
its share of critical evaluation.
Sarre identified several criticisms that have been leveled at restorative justice that
explain a reluctance to adopt it more widely. These include the following views:
(1) it is really rehabilitation in disguise; (2) it excuses violence, particularly against
women and children; (3) it contradicts the principle of public open justice and legal
protections by use of private forums and cooption techniques on participants; (4) it
is soft on crime, ignoring the public’s retributive attitudes; (5) its community justice
and informal judgments undermine the standards of traditional legal reasoning;
(6) it contradicts the legal notion of equal treatment of like cases and the certainty
and consistency of outcomes (which under restorative justice are necessarily vari-
able); and (7) restoration assumes that the status quo is the desired outcome rather
than a transformative outcome that changes the situation of those offending and
those harmed (2003, 101–102). In addition, it has been pointed out that restorative
programs deal with less serious offenses. At the same time, there is an emerging set
of principles that mitigate some of the problems that have been identified. These
include ensuring that all parties are present voluntarily, that victims are treated
with sensitivity and have the control lost through the crime restored, that offenders
be sufficiently coerced to not use the system for self-preservation but to help solve
the problems created by their offense, that trained and unbiased facilitators be used,
and that facilitators be flexible toward the solutions proposed by the participants
(Umbreit 2001; Umbreit and Coates 1998; Umbreit et al. 2002).
There is also growing evidence that restorative justice approaches are being in-
creasingly adopted even for violent offenders. Umbreit and his colleagues suggested
that “many of the principles of restorative justice can be applied in crimes of severe
violence, including murder, with clear effectiveness in supporting both the process
of victim healing and offender accountability” (ibid., 2). However, although evi-
dence is building, at present “there is a lack of definition and a lack of data,” and
“we need to find out about the performance of each restorative model in order to
determine whether it can ‘support the hopes of its proponents . . . or succumb to the
criticisms of its detractors’” (Strang 2000, 31; Sarre 2003, 107).
In the final chapter of this book we examine integrative criminology, an approach
that, like peacemaking and restorative justice, seeks to work from the assumption
that crime is interconnected with the wider society.

In this chapter, we explored new approaches that are sensitive to the global
context in ways that earlier theories could not comprehend, including left real-
ism, postmodernism and constitutive theory, peacemaking criminology, and re-
storative justice. These theories have in common the view that criminology needs
to take a holistic, integrative approach that brings off enders, victims, and the
community back together. Although these new approaches hold much promise
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for the future, others believe that in order to fully comprehend the complexity
of the individual’s relationship with global society, we need first to incorporate
and integrate the divisions in criminological thinking. In view of this, in the next
chapter, the book’s conclusion, we will see how several criminologists have begun
to examine the reconnection of criminology to itself under the umbrella term
integrated theory.
Summary Chart: Left Realism, Postmodern/Constitutive

Theory and Abolition/Peacemaking/Restorative Justice
1. Left Realism
Basic Idea: The primary victims of crime are working-class people who are being
attacked from both above (crimes of the powerful) and from below (street crimes of
the lower class).
Human Nature: Humans are shaped by hierarchical power structures of class,
race, and gender, which produce differentials in wealth and relative deprivation. Hu-
mans are repressed and coopted for the benefit of dominant interests.
Society and Social Order: Capitalist class hierarchy uses the state to resolve con-
tradictions; gains legitimacy by coopting the powerless.
Causal Logic: Relative deprivation from conspiring forces of class inequality, rac-
ism, and patriarchy causes crime as people feel injustice and anger and take these
feelings out on those closest to them. Other crime results from state inequities in
justice and labeling of offenders.
Law, Crime, and Criminals: Crime is harm to others; it is divisive and under-
mines community, which helps maintain the capitalist system. Law is a system of
maintaining power that provides genuine protection against harm in order to gain
legitimation for the wider capitalist system. Law represents a history of victories
over the powerful, curbing their crude, arbitrary, and coercive will. Criminals are
structurally powerless, commit genuine harm, and create real fear through victim-
izing others, especially others who are powerless; criminals are also victims of cap-
italism’s structural contradictions and of the state via the criminal justice system.
Criminal Justice Policy: Ultimately should work toward a democratic socialist
society, but until then a pragmatic approach to do something now to prevent suf-
fering from crime rather than waiting for the revolution. Restructure rather than
replace criminal justice. Strengthen and control the criminal justice system of a
capitalist society and correct bias that leaves the structurally powerless more vul-
nerable to street crime. Belief that law can provide the structurally powerless with
real gains, if not ideal victories. Protecting the structurally weak through improving
social justice helps to recreate community that’s necessary to replace the existing
capitalist system with decentralized socialism.
Criminal Justice Practice: Protect rights of victims. Essential to provide equal
justice to the powerless through state protection, community policing, and neigh-
borhood-watch groups. Democratize police and subject them to community
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controls. Defends treatment, rehabilitation, and welfare against attacks from the
political right.
Evaluation: Criticized by the radical left for abandoning the socialist cause, be-
ing reformist, and being coopted by the capitalist system, which its policies seek
to strengthen, particularly its bureaucratic apparatuses. In supporting working-class
victimology, it distracts from crimes of the powerful. Focus is little different from
mainstream criminology. Feminists argue it is gender blind, treating women as vic-
tims rather than active human agents.
2. Postmodern/Constitutive
Basic Idea: The total society, particularly its discourse, is a source of crime.
Human Nature: Interrelated and coproductive of each other. Humans are so-
cially constructed “subjects” whose energy and active agency build the very social
structures that limit and channel their actions and transform them and thereby
change society in an ongoing dialectical fashion. Both are socially constructed, al-
though treated as if real.
Society and Social Order: Takes a holistic perspective of society as the emergent
outcome of human interaction that both shapes the actions and identities of human
subjects as they coproduce the society
Law, Crime, and Criminals: Law is myth, an exaggeration of one narrowly de-
fined kind of rule to the exclusion of others, such as informal norms, customs, and
so on. Crime is harm produced through the exercise of power that denies others
the ability to make a difference. Crimes of repression keep people from becoming
what they might have been; crimes of reduction undermine what they already have
become (e.g., by removing something from them, whether physically through vio-
lence, material assets through theft, or status, identity, belief, and so forth). Crimi-
nals are “excessive investors” in the use of power to dominate others; expropriate the
ability to make a difference by denying others theirs. Victim is a “recovering sub-
ject” contingent on becoming fulfilled but never completing the process, damaged
through having that progress interrupted.
Causal Logic: Crime is not so much caused as coproduced by the whole society
through its investment in social construction of difference and expert knowledge
and in building power based on this. Process of crime production is manifested
through symbolic and harmful discourse that imbues social constructions with the
appearance of objective realities and then treats them as such.
Criminal Justice Policy: Deconstruction of existing truth claims through expos-
ing their arbitrary constitution. Reconstruction of less harmful discourses. Work to-
ward decentralized superliberal democratic structure that accommodates a diversity
of voices.
Criminal Justice Practice: Replacement discourse, through media. Nonviolent
settlement-directed talking. Peacemaking alternatives such as mediation, restorative
justice, and narrative therapy. Empowering ordinary people through accepting their
voices.
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Evaluation: Unclear and complex. Excludes others through use of highly abstract
jargon. Nihilistic, lacking standards. Not open to conventional empirical testing.
Romantic about possibility of transformation.
3. Abolitionist/Peacemaking/Restorative Justice
Basic Idea: Social control should be about not inflicting more pain but reducing
pain.
Human Nature: Humans are products of power structures, repressed from being
their true humanistic cooperative selves and encouraged by hierarchical divisions to
be competitive individualists. Can restore their humanity by being reconnected with
others.
Society and Social Order: A hierarchical system of power and authority regard-
less of the basis. Socialist and even communist is as bad as capitalist because each is
dominated by a powerful centralized, bureaucratic state. All hierarchical societies
feed off and exploit divisions of class, race, and gender.
Law, Crime, and Criminals: Law is the enforcement arm of state, itself a force
of conflict that divides rather than unites communities. Crime is a reflection and an
expression of broken social relations, and harms other individuals and communities.
Criminals are the distorted product of power structures who can be reintegrated to
the community, provided they are treated with respect and allowed to actively make
amends for their harms.
Causal Logic: Concentration of power creates hierarchies that divide people and
pit them against one another in an unnatural competitive struggle in which they
lose respect and see each other as objects and obstacles in the way of personal, often
material, goals. The hierarchical system of power and authority is the cause of the
harm that is crime.
Criminal Justice Policy: Replace systems of hierarchical power. Abolish state
coercion, especially prisons, and replace with fully participatory, genuine democ-
racy based on consensual decision-making, achieved through a spiritual awakening.
Philosophy is to reintegrate offender, victim, and community, which provides an
opportunity to correct problems in wider social relations. Encourage diversity and
difference and leave ambiguities of meaning unresolved.
Criminal Justice Practice: Replace existing form of justice with a peacemaking,
restorative, decentralized system of negotiated face-to-face informal justice in which
all members participate and share their decisions as fully responsible members. Jus-
tice should be about peacemaking and healing wrongs through mediation and ne-
gotiation, with sanctions of collective persuasion and shaming. Responsibility for
offense is shared with community.
Evaluation: Seen as untestable and with an air of conspiracy theory by main-
stream critics; seen as supporting rather than challenging the status quo by radical
critics, but as part of an overall solution by moderate supporters.
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1. What are the four reasons that criminological theories are considered critical?
2. According to left realism, who are the primary crime victims and what causes
crime?
3. What is postmodernism and why is it not a theory?
4. Henry and Milovanovic created constitutive criminology. What does this the-
ory add to existing theory and how does its approach differ?
5. According to constitutive criminology, how does “power” explain crime?
6. Define harms of reduction and harms of repression, with examples.
7. Edgework theory explains “the need for speed.” How is this relevant to a con-
versation about crime causation?
8. What are the cultural underpinnings of restorative justice and how does it dif-
fer from punitive justice?
9. Explain the concept and ethos behind restorative justice. What are potential
problems with this approach?
10. How do critical theories in criminology differ from conflict, Marxist, radical,
left realist, and postmodernist theory?
Note
1. Since 2004 cultural criminology has expanded in England, specifically at the
University of Kent, which has drawn together its leading theorists, Young, Pres-
dee, Ferrell, Hayward, and Hale.
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13
Conclusion
Toward a Unified Criminology
“People. . . . Can we all get along?”

—Rodney King
In this concluding chapter we consider a group of theories, known more generally

as “integrative criminologies,” that brings together mainstream and critical theo-
ries in various combinations in an attempt to provide greater explanatory power
than any single theoretical approach. One version of these theories, “reciprocal-
interactive integrative criminology,” is a subset of integrative theory but also goes
beyond to produce new theoretical directions and takes a developmental approach
that looks at crime as the ongoing outcome of a time-structured interactive pro-
cess. This chapter includes life-course theory, developmental or pathways theory,
and reciprocal-interactive theory. The chapter ends with a review of Robert Agnew’s
theory integrating mainstream and critical criminology around the core assumptions
that we have used throughout this text.
Integrative Criminologies
Since 1979, a trend in criminology has emerged that many find exciting and fitting
with our changing global situation. Instead of developing new theories that compete
to supersede all those previously existing, some theorists have engaged in attempts
to combine what they see as the best elements of these diverse positions (R. John-
son 1979; Elliott, Huizinga, and Ageton 1985). Those engaging in integration have
done so for a variety of reasons, not least because of a desire to arrive at central
anchoring notions in theory, to provide coherence to a bewildering array of frag-
mented theories, to achieve comprehensiveness and completeness to advance scien-
tific progress, and to synthesize causation and social control (Barak 1998, 2009).
By way of conclusion, we want to briefly explore the integration of criminological
326
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13: Conclusion 327
theories, beginning with a simple definition, critically exploring some of the issues in
integration, and then illustrating integration. We provide two examples of different
kinds of integration—modernist and “holistic”—and give examples of these as they
appear in developmental and interactive-reciprocal theory.
Theoretical integration has been defined as “the combination of two or more
pre-existing theories, selected on the basis of their perceived commonalities, into a
single reformulated theoretical model with greater comprehensiveness and explana-
tory value than any one of its component theories” (Farnworth 1989, 95). So, for
example, one component of integrated theory may focus on the learning process, an-
other on the impact of social control, and a third on the effects on both of the broad
class structure or social ecology in which these different processes are located. This
sounds relatively straightforward, logical, and even, as students often tell us, plain
common sense. But it is fraught with difficulty. Let us see why.
First is the issue of what precisely is integrated. Do we integrate theoretical con-
cepts or propositions? Integrating concepts involves finding those that have similar
meanings in different theories and merging them into a common language, as has
been done in Akers’s conceptual absorption approach ([1977] 1985, 1994; Akers
and Sellers 2008). Akers merged concepts from social learning theory and social
control theory (among others) so that, for example, “belief,” which in control theory
refers to moral convictions for or against delinquency, is equated to “definitions fa-
vorable or unfavorable to crime,” taken from differential association theory, and so
on. Since this can reduce or absorb one or another concept to the other (Thornberry
1989; Hirschi 1979), even Akers asked whether it is integration or simply a “hostile
takeover” (1994, 186).
Moreover, comprehensive attempts at conceptual integration can distort, even
transform, the original concepts, as in Pearson and Weiner’s attempt to integrate ev-
ery theory (1985). So, for example, “commitment”—which in control theory refers
to the potential loss that crime may produce to those with whom one is bonded—is
combined with more simplistic classical and learning ideas of rewards and punish-
ment to become the new concept of “utility demand and reception.” But if the inte-
grated concepts are not reduced, then simply including all the major concepts would
become impracticably cumbersome.
If we integrate not concepts but merely their propositions, the problems can be
worse. Propositional integration refers to combining propositions from theories or
placing them in some causal order or sequence. As Shoemaker observed in consider-
ing the integration of differential association theory and social control theory, “If one
were to include all major components of these two theories in one comprehensive
model, there would be at least 13 variables, and most likely more than double that
amount. If other theoretical explanations were included, such as anomie, social dis-
organization, psychological and biological theories, the number of potential variables
in the analysis would soon approach 50!” (1996, 254). Testing such an integrated
theory would be impractical on account of the difficulty of the large sample size re-
quired—that is, if we rely on positivistic principles of testing.
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Beyond what is integrated is the issue of how propositions are logically related.
Propositions may be related (1) end to end, which implies a sequential causal order;
(2) side by side, which implies overlapping influences; or (3) up and down, which
suggests that the propositions from one can be derived from a more abstract form
(Hirschi 1979; Bernard and Snipes 1996).
A third related issue is the nature of causality that is assumed within the formal
structure of any integrated theory. Does the integrated theory use linear causality,
which takes the form of a sequential chain of events? Does it employ multiple
causality, in which a crime is the outcome of several different causes or a combina-
tion of them? Might interactive or reciprocal causality, in which the effects of one
event, in turn, influence its cause(s), which then influence the event, be most ap-
propriate? Alternatively, should the integrative theory use dialectical or reciprocal
causality, such that causes and events are not discrete entities but are overlapping
and interrelated, being codetermining (Einstadter and Henry 2006; Henry and
Milovanovic 1996; Barak 1998)? Clearly, the interactive and dialectical models
of causality suggest a dynamic rather than static form of integration (Einstadter
and Henry 2006). Should different causalities be integrated such that some are
dynamic and some static?
A fourth issue is the level of concepts and theories that are integrated. Should
these be of the same level or across levels? In other words, should only theories
relating to the individual level be combined with others at the individual level (mi-
crolevel integration), as in Wilson and Herrnstein’s combination of biological and
rational choice (1985), or in Hagan, Simpson, and Gillis’s (1987) power-control
integration of structural-cultural level Marxism with structural-cultural feminism
(macrolevel) integration? Should integrationists cross levels (macro-micro integra-
tion), as in Colvin and Pauly’s attempt to combine Marxist, conflict, strain sub-
culture, social learning, and social control theories (1983)? Integrational levels to be
considered then include (1) kinds of people, their human agency, and their inter-
active social processes; (2) kinds of organization, their collective agency, and their
organizational processes; and (3) kinds of culture, structure, and context (Akers
1994; Barak 1998).
The level of integration may depend on what is to be explained, or the scope of
integration—which is a fifth consideration. Is the integration intended to explain
crime in general or a specific type of crime? Is it intended to apply to the popula-
tion in general or only certain sectors of it (e.g., young, old, men, women, African
American, Hispanic, and so on)? Yet another type of integration looks at a particular
problem (e.g., human trafficking) and applies various theories to explain different
aspects of the problem.
Some have argued that by combining theories, we lose more than we gain—that
“theory competition” and “competitive isolation” are preferable to “integration.”
They point out that criminology shows a “considerable indifference and healthy
skepticism toward theoretical integration” (Akers 1994, 195; see also Gibbons
1994). Yet others see “knowledge integration” as valuable (Shoemaker 1996; Ber-
nard and Snipes 1996; Barak 1998).
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13: Conclusion 329
Clearly, these are complex issues to resolve. The result, as Einstadter and Henry
(2006) argue, may be that the original goal of reducing competitive theories is re-
placed by competition between different types of integrative theory as integrationists
argue for their particular model as the best combination.
The most frequently included theories in integrated paradigms are social learn-
ing and social control, followed by anomie and conflict, and then Marxist, ecology,
psychology/personality, and rational choice. With social learning most frequently
incorporated, there is some justification to Akers’s claim (2000) that all criminal be-
havior is based on social learning because almost all theories draw on social learning
as a component; equally, the relatively low number of inclusions of feminist theory
does little to challenge feminist views that gender has been left out of criminologi-
cal theorizing. Kraska (2006) has even proposed combining criminological theories
with those of criminal justice. Regardless, the above analysis suggests that the array
of integrated theories is now as vast as the array of original theories, as Einstadter
and Henry (2006) had predicted, which leads to some considerable confusion.
Recently, some have begun to point to ways out of this theoretical quagmire.
These involve, first, the suggestion that there are really two broad approaches to inte-
gration—modernist and postmodernist—and, second, the notion that it is possible
to provide an integration of integrated theory. We might call this hyperintegration.
Barak’s book Integrating Criminologies, which provides the most comprehensive
review of integration to date, suggests that modernist integration is in all its dif-
ferent guises really “aimed at the questionable objective of delivering some kind of
positivist prediction of ‘what causes criminal behavior,’” whereas in postmodernist
integration, “everything, at both the micro and macro levels, affects everything else,
and where these effects are continuously changing over time” (1998, 188). In what
is reminiscent of the old criminological division between functionalist and conflict
theories, we are here confronted with a clash between modernist and postmodernist
approaches (Henry and Milovanovic 1996; Milovanovic 1995).
This division is now applied to integration. Modernist integrative schemes, of the
kind discussed so far, whatever form they take, are propositional and predictive, use
linear or multiple causality, and are particularistic and static. Postmodernist inte-
grative schemes, in contrast, are conceptual and interpretive, use interactive or re-
ciprocal causality, and are holistic and dynamic. Barak argues that it is these holistic
integrative models (e.g., “interactional,” “ecological,” “constitutive”) of crime and
crime control that hold out the most promise for developing criminology. But rather
than stopping there, Barak’s hyperintegration model attempts to integrate these in-
tegrations, arguing that bringing together both modernist and postmodernist sensi-
bilities is necessary to capture the “whole picture” of the social reality of crime.
A direction in integrated theory was provided by Matthew Robinson. He at-
tempted to integrate all the factors from human “cell to society” (clustered in
twenty-two groups) in a developmental interactive sequence to show how antisocial
behavior is more or less likely. He stated, “The integrated systems theory of antiso-
cial behavior attempts to advance the state of theories . . . past its myopic state by
illustrating how risk factors at different levels of analysis from different academic
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disciplines interact to increase the probability that a person will commit antisocial
behavior” (2004, 271). Instead of discussing theories in historical sequence (he be-
lieved criminology is “stuck in the past”), instead of dividing them by disciplines
(which he said reinforces “artificial boundaries in knowledge about crime” and
“limits our understanding of it”), and instead of discussing the merits of different
theories (which he believed creates false divisions), he examined the meaningful
(tested) contribution to our understanding of crime made by each discipline (ibid.,
x–xi). How far this theory stands up to empirical testing remains to be seen, but
this is perhaps the most ambitious, comprehensive, interdisciplinary attempt so far
made to move integration of criminological theory to new heights. Since its initial
development, integrative theory has resulted in some major innovative theoretical
approaches to the study of crime. In our next section we explore some of the ex-
emplars of this approach that we call reciprocal-integrative criminology. Within
this overarching framework we review two specific theories, the first illustrating the
modernist microlevel integrative analysis and the second illustrating a macrolevel
integrative analysis.
Reciprocal Integrative Criminology

During the past twenty years there has been increasing attention given to theories
taking a developmental approach that look at crime as the ongoing outcome of a
time-structured interactive process. These theories often draw on more than one dis-
cipline and more than one level of analysis to explain how life develops across the life
course. This cluster of theories includes life-course theory, developmental or path-
ways theory, control-balance theory, differential coercion and social-support theory,
and reciprocal-interactive theory. What these theories have in common is that they
document how people interact with others, social institutions, cultures, and struc-
tures over time and how, in the process, the way people act changes in ways that can
be more or less criminal or more or less harm producing. These theories are called
reciprocally interactive because people take on aspects of the social world around
them and are changed by it. In the process, they interact with the social world and
change it in an ongoing process of mutual influence. In order to study crime over
the life course it is necessary to conduct longitudinal research.
In the 1980s, there was a debate over whether eventual offenders were more
crime-prone than nonoffenders, as argued in the “criminal propensity thesis”
(Gottfredson and Hirschi 1989), or whether offenders developed “criminal ca-
reers” as a result of a series of events across their life courses (Blumstein et al.
1986). Some would continue from the onset of their first offense to become “life-
course persistent offenders,” while others may begin but then desist from crime,
and these were called “adolescent-limited offenders” (Moffitt 1993). The work of
Albert Blumstein, Jacqueline Cohen, David Farrington, and Terrie Moffitt came
from the mainstream of criminology and tended to be psychologically oriented.
However, over the next fifteen years it became increasingly recognized that a life-
course or developmental theory of crime could accommodate a wider range of
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13: Conclusion 331
variables and multiple levels of analysis, beyond those at the individual psycholog-
ical developmental level, to include organizational-, neighborhood-, community-,
and societal-level influences, and that these could build into pathways toward or
away from crime. Although there is an important literature on the psychological
factors and childhood-profile characteristics that affect career or noncareer path-
ways to crime, and “keystone” behaviors or triggers, turning points, or catalysts,
and although there are disagreements about how many pathways exist and at what
ages or developmental stages these become critical (Nagin and Land 1993; Loeber
and Hay 1994; Loeber and Stouthamer-Loeber 1996, 1998), here we illustrate the
approach with a few milestone theories.
Developmental or Life-Course Criminology

The concept of developmental criminology first appeared in Loeber and LeBlanc’s
analysis (1990) of individual careers as a means to understanding the pathways
to delinquency, although other criminologists, from Wolfgang, Figlio, and Sellin
(1972) through Farrington (1989), LeBlanc (LeBlanc and Fréchette 1989), and
Rutter (Robbins and Rutter 1990), had been working on similar kinds of longitu-
dinal studies using related developmental concepts such as “delinquency develop-
ment” and “pathways” to conformity or deviance. In addition, Terence Thornberry
(1987, 1997) had been developing an interactive theory of crime.
A major milestone in integrative developmental theory came with Robert
Sampson and John Laub’s seminal Crime in the Making: Pathways and Turning
Points Through Life (1993), which was based on a reanalysis of data from Sheldon
Glueck and Eleanor Glueck’s (1950) classic longitudinal study of five hundred
juvenile-delinquent boys matched with five hundred nondelinquent boys from
childhood through age thirty-two. Glueck and Glueck found that not only did
stable family life insulate against involvement in delinquency and crime, but the
aging process, with its life-course effects, also promoted desistance from crime (the
“aging out” process), although the earlier the onset of crime, the longer in the life
course did it persist.
In their reanalysis, integrating social control and labeling theories, Sampson and
Laub (1993) found that social bonding operated over the life course and was part of
a long-term trajectory or a short-term transition or both. What developed and how a
person moved along these pathways and between statuses depended on the stage that
a person was in their development (or age-graded status). Although past involve-
ment in delinquency was found to predict future involvement, factors that brought
change were important. Principal among these was “social capital” that strengthened
the commitment to conformity, and resilience to crime becoming persistent, even
for those adolescents involved in youthful and adult delinquency. Having the net-
works of social capital created opportunities to return to a stable life of noncrime.
In contrast, being cut off from these pathways or transitory events that can serve as
turning points to desistance, such as occurs when juveniles or adults are channeled
into detention or prison, can promote crime persistence. As a result, life-course
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theory insists that crime-prevention programs involving parent training, job-skills

training, and education- and community-based intervention are more effective poli-
cies than incarceration (Laub, Sampson, and Allen 2001).
Reciprocal-Interactive Theory
In his book Violence and Nonviolence: Pathways to Understanding, Barak (2003)
recognized his debt to several developmental, life-course, or reciprocal theories in
criminology that reflect examples of integrated theorizing, particularly Thornberry’s
interactional theory of delinquency (1987), Moffitt’s adolescent-limited and life-
course-persistent explanation of antisocial behavior (2001), Sampson and Laub’s so-
cial development theory of antisocial behavior (2001a, 2001b), and Mark Colvin’s
reciprocal differential coercion theory (2000). In his “reciprocal theory of violence
and non-violence,” Barak argued that pathways to violence (and nonviolence) that
span “across the spheres of interpersonal, institutional and structural relations as well
as across the domains of family, subculture and culture are cumulative, mutually
reinforcing, and inversely related” (2003, 169). He pointed out that “most expla-
nations of the etiology of violence and nonviolence . . . emphasize the interpersonal
spheres to the virtual exclusion of the institutional and structural spheres” (ibid.,
155). In contrast, he said we need to take into account the dynamic interrelations
of these different levels in order to understand the pathways to violence: “The inter-
personal, institutional and structural levels of society are, indeed, part and parcel of
the same cultural relations” (ibid., 170). In an extension of this theory, Barak (2006)
argued that we need to consider the full range of behavioral motivations and socio-
cultural constraints that intersect with the spheres of interpersonal, institutional, and
structural communication. Indeed, he stated, we need also to recognize that those
in schools are not immune to the processes of violence in the wider society that he
referred to as “structural violence: postcolonial violence, corporate violence, under-
class violence, terrorist violence and institutional-structural violence” (2003, 134).
Although these wider manifestations of cultural and structural violence are rarely
considered when examining specific forms of violence, he said that such acts of
structural violence “are the products of a complex development of social and psychic
forces that have allowed masses of people the ability to deny, with only minimal, if
any feelings of shame and guilt, the humanity of whole groups of people, that their
actions or inactions victimize. In sum, these states of cultural and institutional denial
of victimization contribute to the socialized lack of empathy for, and dehumaniza-
tion of, the Other, each a prerequisite for the social reproduction of structural vio-
lence” (ibid., 135).
The major contribution Barak made to the integrative literature was to advance
our analysis of crime to include the macrocultural and structural factors and collec-
tive images, and how these can impact the life course of offenders and nonoffenders
and feed into the more microlevel analyses that we considered above. Barak’s anal-
ysis has been applied by Henry (2009) to explain school violence in general and
rampage school shootings in particular.
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13: Conclusion 333
Robert Agnew’s Unifying Criminology1

Robert Agnew points out that none of the integrated theories have attracted wide
support, partly because the integrations have been selective and partial, reflecting
the division and politics of the discipline (Agnew 2011, 191). In his major work
on integrated theory, Toward a Unified Criminology: Integrating Assumptions about
Crime, People and Society, Agnew (2011) seeks to transcend criminology’s theoretical
divisions by unifying its assumptions about crime, people, and society. Agnew orga-
nizes his integrative approach around the key dimensions of analysis: the definition
of crime, free will or determinism, human nature, view of society, and the nature of
reality. Along each dimension Agnew tries to assess the contributions of different
theoretical positions to the holistic overall unified theory. He is careful to include
both mainstream and critical criminology’s contributions, pointing out that each
explains different parts of the overall etiology of crime.
So, how far does Agnew’s unified criminology overcome or sidestep these chal-
lenges to integration? Agnew argues that recent developments in science and
social-science knowledge make it easier for criminologists to assess the relative contri-
bution of each theory’s underlying assumptions, though he notes that criminologists
have not done this. He points out that while all underlying assumptions have some
empirical support, even though they are different and often oppositional, “there is
some truth to each of the underlying assumptions . . . but that each assumption only
captures part of the truth. . . . Each theory or perspective typically has some support
but falls far short of providing a complete explanation of crime” (2011, 193–94).
Moreover, since many theories make assumptions that are contradictory, these can-
not be integrated unless the differences in underlying assumptions are first resolved.
It is toward just such a resolution that Agnew’s work is directed.
Agnew’s first task is to review and integrate definitions of crime and in doing so he
arrives at an integrated definition of crime that contains three elements. Crimes are
acts that: (1) cause blameworthy harm; (2) are condemned by the public, and (3) are
sanctioned by the state. As he acknowledges, this goes a little, but not much, further
than Hagan’s (1977; 1985) original statement in his “pyramid of crime,” and not
quite as far as our own “prism of crime” (Henry and Lanier 1998, 2001; this volume
Chapter 2), with the exception that it draws on international law to define blame-
worthy harm. However, as far as addressing the issue of what is to be integrated, all
we have is an end-to-end list of elements rather than one integrated definition. Prob-
lematic is the relativity of the definition, and its failure to define crime other than
by political process. Determining harm is anchored to the variable politics of a legal
process, albeit international. Public condemnation can be mediated by so many fac-
tors—from mass media to knowledge of harm, to perception of loss—its relativity is
reflected in its changing assessment depending on who is the perceiver and what is
his or her social context, cultural and spatial location, and historical period. Finally,
acts determined by the state are part of a power-mediated political process, which
hardly addresses the harms created by corporations or the state, or those omitted
from criminalization because of the interests of those with lobbying power over that
9780813348858-text.indd 333 10/17/14 9:42 AM

process. An integrated definition needs to go beyond simply stringing together ele-

ments of other different definitions and become transcendent and inclusive.
The next dimension tackled by Agnew is whether crime (or for that matter other
action) is determined by forces or voluntarily chosen by active human agents. This
is a version of the classic free will-versus-determinism debates, applied to crime. Ag-
new argues that recent research does not settle this issue but suggests that “behaviors
fall along a continuum, ranging from fully determined to somewhat agentic” (2011,
195). As rational-choice theorists say, human agents are not fully free but have lim-
ited or bounded rationality—what Agnew calls “bounded agency.” Agnew says that
although research does not prove the existence of agency it shows that “humans ex-
ercise greater agency when they: (a) are motivated to alter their behavior, (b) believe
they can produce change, (c) have the traits and resources to exercise agency . . .
and (d) are in environments that have weak or countervailing constraints, provide
numerous opportunities for agency and encourage agency” (2011,195). Moreover,
he says the exercise of agency is subject to guidance and influence and that “we
would expect behavior to be more unpredictable and somewhat more likely to in-
volve crime when conditions favor the exercise of agency” (2011, 195). Apart from
this being somewhat tautological in that the evidence for agency is the very defini-
tion of agency, acting freely is stated to be more likely to occur when there is less
constraint; it also begs the question of causality. If agency is more likely when there
is motivation to make behavioral change and belief that change can occur, and that
this is facilitated by resources, then what explains the motivation and belief, and
are those subject to internal or external forces, and if so, how much agency is left?
If lack of controls or confusion about controls and availability of resources to make
change are factors, then the presence or absence of these can be seen as contributing
causes of action; so, again, how free is the agency to act, and how much is a part of
the overall equation? Moreover, from the policy perspective, if agency is subject to
this amount of influence or the absence thereof, how can a person seen to be acting
with agency and thus be held accountable for his or her actions? Clearly, they cannot
be held fully accountable since the definition here does not leave agency free from a
variety of conditions.
However, an even more disturbing part of this agency-versus-determinism picture
is that the very conditions that result in highest agency are the same ones that pro-
duce the highest levels of creativity, innovation, and art; they are the hallmarks of
think tanks, and the substance of positive deviance. Indeed, rather than being more
likely to produce crime, they are as likely, or even more likely, to be expressions of
the very essence of the humanity that is to make a difference.
The problem with this integration of agency and determinacy, then, is that it
assumes agency acting freely is dangerous and harmful, and that constraint and
control and influence produces conformity, stability, and reduced deviance. How-
ever, as we know, some of the worst atrocities of humanity have been produced by
the exercise of control under the guise of producing stability. What this integra-
tion doesn’t explain is how some exercising agency relatively freely do so creatively
and positively, and others do so in ways that harm people and negatively impact
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13: Conclusion 335
humanity; nor does it explain how some conditions of constraint and control limit
others’ excesses, and yet other systems of constraint, guidance, and influence are
themselves harm producing. Integrating agency and determinism and recognizing
there is a continuum in which some of both are present is certainly an advance over
monotheoretical positions. But until we know in what proportions, and what kinds
produce negative outcomes, we will not only be unable to prevent such outcomes,
but we will also have raised serious questions about a criminal justice system that,
with a few exceptions, holds individuals as though they are fully accountable, even
when the conditions were contributing factors. Yet we do not, except in some re-
storative justice processes, ensure that the producers and systems that contributed to
the behaviors are also held accountable. To be fair, in Agnew’s (2013) commentary
on our assessment, he says “I clearly indicate that agency may result in a variety of
outcomes, including crime, conventional behavior, and great achievement. And . . .
I discuss those factors that influence whether agency results in crime or conventional
behavior in some detail [Agnew 2011, 66–68]” (Agnew 2013, 87–88).
In turning to the issue of human nature Agnew points out that research sup-
ports the view that humans are not discretely classifiable but are constituted by
more or less degrees of (1) self-interest and rationality, (2) social concern for oth-
ers, especially those members of an in-group, with whom they empathize, protect,
cooperate, and engage in reciprocal activities for mutual support, and (3) capacity
for social learning: “So people show evidence of social concern, self-interest and so-
cial learning—with the strength of these traits varying across individuals and social
circumstances” (2011, 196). Along with other integrative criminologists, Agnew
holds a more complex view of human nature, suggesting that “all theories of crime
are relevant, including those that focus on the constraints to crime and on the mo-
tivations for crime . . . [and] that criminologists need to pay much attention to
bio-psychological factors, since the underlying traits that cause crime vary across
individuals for reasons that are in part biologically based” (2011, 196). This seems
to privilege some components over others, not least because there is no explanation
of the ways that concepts are linked and no analysis of causal type or direction,
nor a recognition that biology and psychology does not stand separately from the
more meso- and macrolevels within which it is enmeshed. Agnew recognizes that
these levels affect or impact one another, but not that they are or can be mutually
constitutive, implying an interactive rather than a dialectical or even dialogical co-
production. For example, are the biological and psychological traits independent of
the culture and structure of a society, and if so why do societies have very different
rates and kinds of crimes? Can individual biology and psychology be, in part, a
product of the kind of group, place in organizations, kind of culture and social
structure, and even the discursive patterns that characterize a people’s way of life?
When Agnew says criminologists should pay attention to the ways social concern
and social interest affect crime, and how social circumstances that foster them affect
crime, this must also refer to how these elements are interrelated with each other
and coproduce the very human agents whose behavior becomes manifest as “in-
dividuals” identities and human subjects in the total social matrix. An integrative
9780813348858-text.indd 335 10/17/14 9:42 AM

theorist would want to know the relationship not just of these elements to crime,
but to each other over time. They would want, in the words of Gregg Barak (2003;
2006) to know the reciprocal interactive effects at different levels of the structure
and culture over the life course and over time.
This leads Agnew to consider what an integrative view of society looks like.
While it is important to recognize that societies have a core consensus and a com-
mon condemnation of personal theft and violence, and “beyond that the extent and
nature of consensus and conflict vary” (2011, 197), there is an assumption, based
on research, that harms and crimes are accentuated by conflict and that “Group
conflict generally increases crime among oppressors and oppressed, although cer-
tain types of conflict might reduce crime among the oppressed” (2011, 197). What
is neglected here is not just the harm produced by some kinds of conflict, such as
discrimination, that Agnew acknowledges needs more research, but research on the
ways consensus imbued with power produce harms, and the ways that conflict can
be productively healthy in reducing power differentials and balancing opposing in-
terests. A consensus about the value of a power hierarchy that is legitimated by the
fear of a chaos of competing interests in its absence is likely to produce numerous
harms of repression of the very subjects it claims to be protecting—as we have seen
too often in regimes around the globe. So it is not enough to say consensus is good
and conflict is bad (not that Agnew is this simplistic), but rather to examine the
distribution of power in a society and to assess what harms are created by different
distributions of power, both those subject to it and those expressing it, which is a
point that Agnew makes.
Agnew then attempts to integrate the conflict or consensus in society with the-
ories of causation, recognizing that it is important to examine not only a range of
macro- and microcauses, but also “the relationship between these causes, thereby
providing a better sense of why they vary and how they work together to cause
crime” (2011, 162). He states that, whereas conflict theory tends to focus on the
larger social environmental causes, it often neglects individual or microlevel mecha-
nisms. In contrast, mainstream theories, including those rooted in a consensus per-
spective, focus on individual-level causes, neglecting the ways these are impacted by
the wider social-environmental causes. He says “since the integrative theory draws
on both conflict and consensus perspectives, it provides a good vehicle for cross-
level integration” (2011, 162). Importantly, Agnew also recognizes that causes do
not necessarily apply to all people and all types of crime, but that an integrative
approach suggests that “the applicability of the causes sometimes depends on the
nature of society, the groups to which people belong and the type of crime being
explained. It is therefore critical that criminologists devote more attention to con-
textual issues when explaining crime. As indicated, societies differ in the extent
and nature of consensus/conflict. And this difference has some effect on the causes
of crime that are most applicable” (2011, 162–163). Indeed, he says causes differ
across groups, particularly across more or less advantaged groups, across types of
group affiliation, and vary depending on the type of crime. He says integrated the-
ory needs to pay more attention to the role of context in facilitating or mitigating
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13: Conclusion 337
crime causation and how this varies across different societies. He emphasizes too
that integrative theory needs to recognize that not all causes of crime increase its
likelihood, since crime is only one response to these causes and, indeed, the mo-
tives for such action may be not to harm others as much as reduce their own pain,
frustration, or oppression: “The response taken is shaped or conditioned by a range
of factors. . . . [I]ntegrative theory should describe those factors that condition the
responses to the causes of crime” (2011, 163).
Insofar as the research on crime, human agents, and society is subject to the as-
sumptions about whether social reality can be measured, it raises questions about
the extent of its socially constructed nature. Agnew sees this as a problem of design-
ing more effective measurement techniques to take account of both objective and
subjective features of reality, since both affect the way crime is produced and the
effectiveness of prevention and intervention. Importantly, he recognizes the value of
tapping multiple knowledge producers, seeing these not only as objective disciplinary
based knowledge by criminologists in organized academia, but also spontaneous and
less organized professional and subjective knowledge produced by practitioners and
professionals in communities, in order to reduce the bias of existing measures (see
Henry, 2012a on moving from interdisciplinary to transdisciplinary producers of
knowledge in criminology).
Overall, the goal of Agnew’s book “is to lay the foundation for a unified theory
of crime, one that examines a broad range of crimes and incorporates the key argu-
ments of all major theories and perspectives” because all have some relevance (2011,
201). How far he succeeds in this endeavor is open to interpretation. In arriving
at that assessment there are a number of observations to be made. First, it was sur-
prising that this book attempts integration of criminological thought without first
systematically reviewing previous attempts at integrating criminological theory that
have occurred over the past thirty-three years. To be fair, in his follow-up commen-
tary, Agnew (2013) points out that he does not develop an integrated theory of
crime: “I integrate the underlying assumptions that criminologists make in several
areas, which is quite different. For example, I integrate the assumptions that crim-
inologists make about human nature, developing a more complete description of
human nature. While this description has strong implications for the development
of an integrated theory, implications which I describe, it is not appropriate to evalu-
ate this description using criteria developed for integrated theories” (2013, 81–82).
However, if that is the case, then it is surprising that the book that proposed integra-
tion around core assumptions of theory and advocates that “criminologists actively
discuss the assumptions proposed” does not review previous criminological discus-
sions of these assumptions (that have also occurred during the past thirty years). So,
how new the foundation of a unified criminology is remains questionable. What
is new, and is to Agnew’s great credit, is that he marries these two approaches us-
ing the core assumptions as a vehicle for theoretical integration. This has not been
done before and represents a major innovation in criminological thinking. How-
ever, because he fails to systematically review the previous literature on integrative
theory Agnew does not address the core questions raised by this previous work, but
9780813348858-text.indd 337 10/17/14 9:42 AM

rather sidesteps them. Nonetheless, as a mainstream theorist responsible for one of

the central theories in criminology, general or revised strain theory, Toward Unifying
Criminology represents a major shift, recognizing not only the value of the main-
stream contribution, but also the contribution by critical criminology to the field.
Ironically, that Agnew does not tell us precisely what concepts and propositions
should be integrated, in what ways, and at what level, or how much contribution
each theoretical explanation makes to the overall causal explanation of what kinds of
crimes or offenders, and in what ways this combination varies for different agencies,
entities or peoples, may be less significant to the field than the symbolic impact that
one of its leading single-theory advocates has made the integrative turn. On balance,
Agnew’s unifying criminology restates the need for integration, raises many of the
same questions other integrationalists have raised, does not answer them, but lays
out a research agenda for how they may be answered, and does all this in a unique
and accessible way.

We began this book by reviewing how the world has undergone major changes—
indeed, a great transformation—during the past twenty years, which has involved a
globalization of economics, health, politics, and social and cultural life. We showed
how this change has impacted production, consumption and distribution, commu-
nications, technology, transportation, and privatization. We showed how the world’s
societies now face changing kinds of threats from disease, security, and terrorism
that are changing our physical and emotional landscapes. Underlying these changes
is an increased interdependence with others in societies across the world. We argued
that traditional criminological approaches that fail to acknowledge this global inter-
connectedness and criminal justice approaches that adopt a war metaphor against
crime are inadequate to address the emerging problems, harms, and crimes of the
twenty-first century. Throughout the text we have shown how this global change
impacts crime and our theorizing about crime. In this final section we reiterate that
context shapes not only perception but also behavior. We anticipate even greater,
and more rapid, changes in the future as globalization and technology spread and as
the limits of the market economy are reached. Changing positions of world domi-
nance (the European commonwealth, China, India, Russia, and the United States,
for example), trade and the economy, and global fiscal crises will inevitably affect all
societies and all people. Anticipating this change is one challenge we leave you with.
At the beginning of the twentieth century, criminology had but two very different
paradigms to rub together: classical (free will) versus positivism (determinism). As
the twentieth century progressed, the number and diversity of theories proliferated,
and calls for integration abounded. In the twenty-first century, we are invited to
reconstitute the criminological enterprise anew from the perspective of a postpost-
modernist, hyperintegrative theory. How much this will take hold remains to be
seen. As to what causes crime, we leave that for you to ponder, but each of the the-
ories presented in this book makes a contribution, and we hope that now that you
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13: Conclusion 339
have read them you will have an enhanced understanding of the complexity of crime
and criminality.
Likewise, we do not conclude this book with a solution to the crime problem.
There is no single policy solution, and there are no easy answers. As should be
apparent from reading the often-contradictory theories presented here, there is no
consensus on how to address crime. Even if a consensus did exist, it would be prob-
lematic, because without conflict and differences of opinion evolutionary progress
is not possible. This book is descriptive, not prescriptive. It is ultimately up to
readers—the future criminological scholars and policy makers—to arrive at future
crime solutions. Our goal has been to show what has transpired and where future
directions in theory are leading us. Good luck!
1. Why is integrated or interdisciplinary analysis of crime important?
2. What is “theoretical integration” and what are its benefits?
3. What does the term “propositional integration” refer to?
4. What are the propositions of developmental or life-course criminology?
5. What are some of the limitations of theoretical integration?
6. What advances does Agnew’s Unified Criminology make over previous at-
tempts at theoretical integration?
Note
1. This section is an edited version of an article that first appeared in Henry (2012b).
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9780813348858-text.indd 340 10/17/14 9:42 AM
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Index
Abnormal behavior, 99–100 Altruism suppressing criminal thought,

Abolitionism, 298, 313–314, 320 260, 271
Abrahamsen, David, 103 The American Criminal: An Anthropological
Achilles, Mary, 11 Study (Hooton), 78
Acoby, Renée, 273 American Dream ideology
Adaptations goals met by illegal means, 208, 210, 233
to the environment, 193 materialist, competitive, market-driven,
Garofalo’s Darwinian principle, 77 219, 232, 234
individual modes, 220–223, 225, and strain theory, 238–240
239–240 through globalization, 216–217
related to ecological, evolutionary, American Gangster (TV series), 207
psychology, 117, 119, 121 Anarchist criminology, 312–317, 320
to strain, 211–212, 227, 232 Anderson, Elijah, 197
Adler, Alfred, 103 Anderson, Scott, 125
Adler, Freda, 276, 281 Andrade, Leandro, 54
Adler, Mortimer J., 15 Androgens, 84, 89–90
Adler, William, 208 Anger
Adolescent-limited offenders, 330, 332 combined with strain, 210, 229–230, 232
Adoption studies, 81–82, 84, 94, 95 as motivation to criminal behavior, 114
Adversarial trial, 45, 69 Anomie theory/strain theory
Affectionless characters, 103, 155 introduced, 207–213
Affirmative postmodernism, 304, 306 differential opportunity structures, 218–
African Americans, 55–57, 181, 184, 208, 221, 223–225
228, 243–244, 318 of Durkheim, 213–214, 218–220, 260
Agentic perspective, 122, 138, 334 as global, 214–218(box), 236–237
Agnew, Robert, 6, 147, 148, 210, 212, institutional anomie theory, 232–236,
228–232, 240, 241, 333–338 239, 241
Aichhorn, August, 102(table), 103 instrumental anomie, 218–222
Akers, Ronald L., 62, 104, 110, 134–137, revised strain theory (Agnew), 229–232
149, 154, 162, 320, 327, 329 status frustration (Cohen), 222–223
Akers, Timothy A., 85–87(box) criticisms, 227–228, 235–236
Alihan, M. A., 189 conclusion and summary chart, 237–241
Allport, Gordon, 105 See also Strain theory revised
397
9780813348858-text.indd 397 10/17/14 9:42 AM

398 Index
Anthony, Casey, 278(box) Berger, Ronald, 35

Anthropological biocriminology, 91–92 Bernard, Thomas J., 244
Antisocial behavior Bernburg, Jon Gunnar, 170, 236
integrated systems theory, 329–330 Biaggio, Maryka, 84
linked to sensation seeking, 89 Bianchi, Herman, 313
personality traits, 105(table), 106 Biocriminological theories, 72–73, 88–92,
related to biological and social factors, 118
83, 88 Bioethicism, 71
Antisocial personality disorder (ASPD), Biological determinism, 76, 86(box), 93,
106, 111(table) 286, 296
Appetites, according to strain theory, 211, Biological explanations of criminal behavior
213–214, 219 background, 72–74
Armstrong, Taylor, 134 biosocial criminology, 82–90
Arrigo, Bruce, 55, 303–304, 307–308 criminal anthropology, 74, 75, 78
Arter, M. L., 232 family-type and body-type theories,
Asylums (Goffman), 170 78–79
Atavism theory (Lombroso), 75–77 genetic theory of crime, 79–80, 82, 83, 94
Attachment theory (Bowlby), 102(table), of Lombroso, Ferri, Garofalo, 75–77
103, 155–156 twin and adoption studies, 80–82
Attachment to others, 154–157 policy implications, 90–92
Attention deficit disorder (ADD), 84 conclusion and summary chart, 93–95
Attention deficit hyperactivity disorder Biosocial criminology
(ADHD), 84 background, 82–83
Austin, James, 8 with multiple factors (genetic and
Autonomic nervous system (ANS), 83–84 environmental), 82, 91
possibly reciprocal with environment,
Baier, Colin J., 134, 161 behavior, 88
Baker Act, 109(box) policy implications, 91–92
Bakunin, Mikhail, 312 Blankenship, M. B., 143
Balkan, Sheila, 35 Blatier, Catherine, 116
Ball, Richard A., 194 Blumer, Herbert, 166
Bandura, Albert, 102(table), 112, 114–116, Blumstein, Alfred, 330
133, 135–139, 144–145 Bobbitt, Lorena, 97
Barak, Gregg, 15, 32, 89, 99, 265, 329, Bonding theory (Hirschi), 153–157, 161,
332, 336 165, 175–176
Barbour, Miranda, 273–274 Bones (TV series), 85(box)
Bartol, Curt R., 96, 98 Bonger, Willem, 260–261, 269
Beccaria, Cesare, 40, 44–46, 48, 49, 56, 74 Booth, Charles, 181
Beck, Aaron, 102(table), 115 Born criminals, 75–76, 93, 99
Beck, Allen, 163(box) Boston Marathon bombing, 1, 25
Becker, Howard S., 7, 18, 165, 168–170 Bourgois, Philippe, 7–8
Behavioral learning theories, 104–105, Bowers, William, 56
111–112 Bowlby, John, 102(table), 103, 155–156
Beirne, Piers, 9 Braithwaite, John, 171, 173, 315–316
Belknap, Joanne, 276 Bridewell workhouse prison in London,
Bellair, Paul, 180, 193(box), 199 40, 43
Bentham, Jeremy, 40, 46–47, 49, 53 British Crime Survey, 189
9780813348858-text.indd 398 10/17/14 9:42 AM

Index 399
Broken windows thesis, 195 indeterminate (constitutive criminology),

Broken-bond theory, 155 306
Bronner, Augusta, 102(table), 103 physical, anthropological, social, 75–77
Brown, A., 256 post-traumatic stress disorder, 98
Brutalization thesis, 56–57 power and domination structures
Bryan, Valerie, 291 (anarchism), 312
Buckley, Walter, 193 related to gender differences, 276,
Bullying 280–283
cyber bullying, 13 related to integrative theory, 336–337
as school violence factor, 33, 165–166 for school violence, 32–33
source of strain, 229, 230 social factors, 76
Burgess, Ernest, 16–17, 184 Causes of Delinquency (Hirschi), 156
Burgess, Robert, 134, 135 Cernkovich, Steven A., 235–236
Burglary, 58–59, 63 Certainty of punishment principle, 46, 53,
Bursik, Robert, Jr., 193–195 57
Chambers brothers gang, 207–209, 224,
Calhoun, Georgia B., 110 225
California Chambliss, William J., 169, 246, 261
court-mandated realignment of offenders Changing Status and Role of Women
(2011), 173 (Hancock), 278–279(box)
reduces prison population, 11 Chaos theory, 306
three-strikes law with attempted Chapman, Mark David, 97
amendment, 53–55 Cheater theory (Ellis), 90, 119
California Psychological Inventory (CPI), Chechnya, 216
110 Chesney-Lind, Meda, 275, 284, 289
Calley, William, 124–125 Chicago Area Project (CAP), 188, 205
Calnon, Jennifer M., 244 Chicago School
Canada, 21, 84, 265–266, 267(box), 273, social ecology theory, 181–182, 190
301 view of gangs, 197–200
Capital punishment. See Death penalty policy implications and criticisms,
Capitalism 188–190
left realism’s criticisms, 300 Child abuse, 84, 89, 129, 152, 155, 277,
Marx’s analysis of societies, 256–260 278(box)
produces crime, 256, 259 Children/youth, 154, 158–159. See also
replaced by socialist system, 287–288, Family; Juvenile delinquency
296, 323 China, 4, 10, 204, 206, 216(box), 322, 338
shapes social action, 262 Chivalry hypothesis, 282–283
source of strain, sense of injustice, 299 Choice structuring, 58–59
Capitalism, Patriarchy, and Crime Christiansen, Karl, 80–81
(Messerschmidt), 288 Christie, Nils, 313
Causes of crime Chromosomal theory of crime, 83
biological explanations, 82–88, 90–93 Church, Wesley T., II, 134
differential associations with deviant City Gangs and Public Policy (Nurge),
behavior, 134 201–203(box)
explained by social ecology, 184–189 Clarke, Ronald V., 58–62
failed childhood socialization, 152–153 Class conflict. See Economic class conflict
at global level of economics, 236–237 Class patriarchy, 287, 288, 296
9780813348858-text.indd 399 10/17/14 9:42 AM

400 Index
Class-based societies and conflicts, 19, 41, Conflict theory

295 introduced, 18–19, 243–248
Classical theory/movement structural conflict, 248–252
described, 39–44 contemporary criminology, 252–254
Beccaria, 44–46 definitions of crime, 18–20
Bentham, 46–47 in relation to global politics, 253–254
revised to form justice model, 49–54 policy implications and criticisms,
and rational-choice theory, 58–67 254–256
Classification of Mental Disorders (World See also Culture conflict theory
Health Organization), 106 Conforming/nonconforming conduct, 209,
Cleckley, Hervey, 102(table), 106, 107 220–221
Cloward, Richard, 210, 223–225, 226, Conger, Rand D., 174
227, 240, 241 Consensus approaches, 16–18, 38, 247, 336
Cocaine, 51, 54, 208 Conservative theory, 50, 68
Cochran, John K., 92 Constitutive criminology, 20–21, 27, 298,
Cognitive dissonance, 137 304–312, 319–320, 323–324
Cognitive psychology, 114 Consumerism, 201(box), 215(box), 236–237
Cognitive social learning theory Containment theory (Reckless), 156
introduced, 137–139 Control agents, labeling by, 165–167, 169,
moral disengagement theory, 144–145 172, 174, 176–177
neutralization theories, 139–144 Control theory. See Self-control theory;
policy implications and criticisms, Social control theory
145–148 Cooley, Charles Horton, 166
conclusion, 148–149 Cooper, Dana, 125
Cognitive theories relevant to criminology, Copes, Heath, 137, 144, 146–148
114–116 Corcoran, Katie E., 134
Cohen, Albert, 210, 222–225, 227, 240, Cornish, Derek B., 58–62
241 Corporate crime. See White-collar crime/
Cohen, Jacqueline, 330 corporate crime
Cohen, Lawrence, 58, 192–193 Correctional settings. See Prisons/
Collective efficacy, 192, 194, 200, 205, 301 correctional settings
Columbine High School shootings, 28, 29, Costello, Barbara J., 161
165–166 Coup, Mike, 109(box)
Colvin, Mark, 328, 332 Craniology, phrenology, human
Commitment physiognomy, 72
to conformity, 154, 155, 331 Craun, Sarah W., 279
in control theory, 327 Cressey, Donald, 85–87(box), 130, 137,
of offenders to conventional values, 147, 139, 145
157 Crime
Competitive individualism, 214(box), 234, as acts or omissions, 6, 15
237, 299, 312 as adaptation to societal strain, 211–212
Competitive success, 28, 90 associated with increased executions, 57
Concentric Zone Theory, 184–189 breaks social contract, 45
Conditional free will, 83 as coping mechanism, 210, 230
Conflict criminology compared to radical and failure to achieve economic success,
criminology, 246–248 235–236
Conflict subcultures, 225, 240 measures to reduce (Turk), 255
9780813348858-text.indd 400 10/17/14 9:42 AM

Index 401
as outcome of Freudian guilt complex, Chicago School research, 187–188

101–102 higher in disorganized areas, 189
as outcome of rational calculation, 69 higher rates of males explained by ENA,
as product of capitalism, 258, 261–262 89–90
social reality of, 254, 329 low, in Japan, Switzerland, 241, 271
as violating social, conduct, norms, 100 lower in areas with high social capital, 194
See also Violent crime; under specific types lower where economic deprivation is
of crime avoided, 237
Crime, Law, and Social Change (journal), 270 middle-class vs. lower-class offenders, 35
Crime, Shame, and Reintegration underreported toward women, 277
(Braithwaite), 171 victim numbers, 23
Crime and the American Dream (Messner, of women, 274
Rosenfeld), 232 Crime-free neighborhoods, 14
Crime control Crimes of domination and repression,
with community networks, 193–194, 195 248, 263
prevention through alternative risky Crimes of reduction and repression, 305,
activities, 92 323
radical criminology theory, 265 Crimes of the powerful, 36–37, 247,
situational prevention strategies, 61 264–265, 299, 319
through restitution, 10 Criminal anthropology, 7, 74–78, 91–92
through urban design, defensible space, Criminal behavior
190–191 biological explanations, 72–73, 90–91
Crime definitions cognitive theories, 114–116
capitalist society conflicts, 19 as combination of hereditary and
consensus, conflict, approaches, 16–20, 38 environment, 71, 82
from constitutive criminology, 305 cultural transmission of patterns, 186–187
contextual, 14, 17 as learned content in social context,
with cultural, historical, variability, 15 17–18, 125, 128–131, 135
as deprivation and harm, 12 linked to sensation seeking, 89
deviance as continuous variable, 21–23 as manly, masculine, 292–293
integrated (Agnew), 333–334 occasional vs. long-term, repetitive, 91
legal, 15–16, 31 propositions of differential association,
political, 132 reinforcement, 132, 135
pyramid and prism, 21–38 when conventional behavior is rewarded,
as social event of interactions, 20 122, 136–137
violation of human rights, 10–11, 20 Criminal Justice: A Peacemaking Perspective
Crime displacement, 62 (Fuller), 315
Crime in the Making . . . (Sampson, Laub), Criminal justice system
331 as term, 7
Crime: Its Causes and Remedies (Lombroso), according to rational principles, 48
76 arrests, charges, convicts, the powerless,
Crime Prevention Through Environmental 35
Design (CPTED), 191 corruption within, 42
Crime rates and DNA, 71
appear to increase under War on Poverty, global context, 66
226–227 policy implications, 48, 49 (see also under
arrest data on gender, 280 end-of-chapter Summary Charts)
9780813348858-text.indd 401 10/17/14 9:42 AM

402 Index
Criminal justice system (continued) left realism, 298–301

from rehabilitation to justice theory, postmodernism, 301–304
49–50 criticisms, 318–321
transformation principles (Turk), 255 Critical Criminology (journal), 270
Criminal law Critical ecology, 192
conflict model, 17 Critical gang studies, 197–200
international definition of blameworthy Critical race theory, 317–318
harm, 333 Cromwell, Paul, 147
requires intent and willful behavior, 97 Culhane, S. E., 256
shaped by upper economic classes, 261 Cullen, Francis, 158, 162, 194
specifies acts that constitute crime, 15 Cults, 124, 125, 129, 196, 273–274
susceptible to neutralization, 141 Cultural criminology, 195–197, 198, 298,
The Criminal Man (Lombroso), 75 309–312
Criminal Minds (TV series), 98 Culture Conflict and Crime (Sellin), 196
Criminal personality Culture conflict theory, 19, 132, 196–197,
with dysfunctional thinking patterns 205–206, 248
(cognitive theory), 114–116 Currie, Elliott, 5–6(box)
and neutralization, 146 Cybercrime and Internet crimes, 2–4, 13,
psychological vs. differential theories, 130 14, 280
traits, 105–107, 110
typology, 110 Dahmer, Jeffrey, 97–98
Criminal sociology, 76 Dahrendorf, Ralf, 250–251, 252
Criminal subcultures, 225, 240, 310 Daly, Kathleen, 275, 292
Criminality and the Legal Order (Turk), Dann, Robert, 56–57
252 The Dark Knight Rises (movie), 96
Criminally insane, 75, 76, 97–98, 99 Darwin, Charles, 74, 91
Criminogenic nature of capitalism, 259, Darwinism, 49, 74–77, 312
261, 269–270, 271 Date rape, 24, 90, 296
Criminology De Haan, Willem, 313
qualitative and quantitative methods, The Death and Life of Great American Cities
7–8 (Jacobs), 190
as science, 75–77, 302 Death penalty, 47, 50, 56–58, 76–77, 315
unifying (Agnew), 333–338 Decarceration, 172, 173
See also under specific theories Decision-making processes for offenders,
Criminology: A Global Perspective (Winslow, 62, 69, 253
Zhang), 9 Deconstruction analysis (postmodernism),
Criminology of the shadow/stranger, 303–304, 319, 324
307–308 Defensible space theory, 61, 191
Critical criminological theories Degenerative theory, 78
introduced, defined, 19, 297–298 Dehumanization, 115, 145, 171, 259, 308,
anarchism, abolitionism, peacemaking, 332
restorative justice, 312–321 Delgado, Richard, 317–318
constitutive criminology, 304–308 Delinquency
critical race theory, 317–318 being male as predictor, 134
cultural criminology, 198, 298, 309–312 gender differences, 161, 291
edgework, 309–310 interrelated to mainstream culture, 131
global dimensions, 265 neutralization effects on violence, 147
9780813348858-text.indd 402 10/17/14 9:42 AM

Index 403
potential among human trafficking Differential reinforcement theory, 134,

victims, 162–164(box) 136–137
as rebellion against middle-class values, 223 Differential social control, 172
resulting from inadequate socialization, Dispute-resolution training, 34
154 Diversion, 25–26, 172, 173, 177
subcultures, 141 DNA tests and profiling, 58, 71
See also Juvenile delinquency Doing gender, 291–292, 294
DeLisi, Matt, 158, 162 Dollard, John, 102(table), 103
Della Porta, Giambattista, 72 Domestic violence, 13, 24, 37, 115, 146
Denmark, 80–81 Donohue, John J., 57
Denver, Colorado, 18, 96–97 Dopamine, 84, 88–89, 94
Depression Drift between criminal and conventional
with long-term consequences, 28 action, 140–142, 148–151
from low levels of dopamine, 88–89 Drug offenses, 51–52(box), 53, 207–208
as mental illness, 107(box) DSM (Diagnostic and Statistical Manual of
MMPI measurements, 110 Mental Disorders), 106
as school violence factor, 33 Due process model, 40, 67–68, 69, 281–282
and strain theory, 229 Dugdale, Richard Louis, 78
Deregulation, 3, 236 Durkheim, Émile, 16, 17, 209, 311
Deserving and undeserving poor, 39–40, 42 DynCorp International, 267(box)
Determinate sentences. See Mandatory
sentencing Earls, Felton, 194, 195
Determinism Ecological psychology, 117–120
vs. free will, 74, 338 Economic class conflict, 256–257, 262,
integrated with agency, 334–335 264, 266
social vs. biological, 86(box) Economic crisis of 2008, 2, 16, 126, 215
See also Positivism Economic growth, 215–216(box), 236, 262
Deterrence of crime, 45–54, 55–57 Economic inequality
Detroit, Michigan, 51, 207–208 related to lethal violence, 235
Developmental criminology, 331 as source of conflict, 245, 247–248, 272
Deviance amplification, 169, 177 structuring social relationships, 266
Deviance labeling process, 168–169 Economic institutions, 210, 232, 235, 239,
Deviant behavior 240
created by overreacting to rule breaking, Economic polarization, 3, 183, 194
165 Edgework studies, 107, 307, 308–310
as extreme sports, 308–310 Eglash, Albert, 316
primary, secondary, rule breaking Ehrlich, Isaac, 56
(Lemert), 167–168 Einstadter, Werner, 66–67, 172, 235, 290,
seriousness of acts, 21–23, 29 329
Dezhbakhsh, Hashem, 57 Elliott, Currie, 5–6(box), 301
Diagnosis, 49, 104, 106, 110 Elliott, Delbert S., 134, 228
Dialectical conflict (Dahrendorf), 250–251, Ellis, Lee, 88–90, 102(table), 113
252 Emancipation thesis, 274
Differential association theory, 130, Embezzlement, 139, 143, 145, 157, 273,
131–134, 136 287
Differential opportunity structures, Embry, Randa, 282–283
218–227, 238 Emergent interactive agency, 138
9780813348858-text.indd 403 10/17/14 9:42 AM

404 Index
Employee theft, 143, 145–146, 174 role in failed childhood socialization,

ENA (evolutionary neuroandrogenic) 152–153, 158–159
theory, 89–90 role in social learning theory, 113–114
Endorphins, 88–89 with single-mothers, 291
Engel, Robin Shepard, 244 types according to gender, class-power,
Engels, Friedrich, 256, 259–260, 266, 289–290
269, 287 Family-type criminological theories, 77–79
England, 39–42, 47 Farrington, David, 330, 331
The Enlightenment, 39–40, 49, 302, 314 FBI Behavioral Science Unit, 98
Enron scandal, 66, 278(box) Fear of crime, 42, 63, 66, 120, 134, 183,
Environmental conditions manipulated, 66 198–199
Environmental design for crime prevention, Featherstone, R. A., 161
66, 190–192 Female criminality
Environmental factors blurred boundaries, as both offenders and
conditions manipulated, 63, 66 victims, 279
with genetic predispositions, 82–83 changing status as perpetrators,
as global concerns, 265 278–279(box)
impact individuals, 117–118, 137 patterns based on sexist assumptions, 283
related to crime, 76, 86–88(box) in relation to gender-role socialization,
Epidemiological criminology, 85–87(box) 289–290
“Epidemiology and Individual Conduct” rising rates, 278–279(box), 281
article (Cressey), 86(box) Female murderers, 276, 278–279(box)
Epistemology and postmodern feminism, Feminist criminology
293–294 background, 274–280
Equality before the law, 40, 45, 69 gendered theory of crime, 292–293
Espinoza, R. K., 256 liberal feminism, 280–283
Esqueda, C. W., 256 Marxist feminism, 286–288
Ethnic and racial conflict, 18–19, 244 postmodern, 293–294
Eugenics movement, 78, 86, 91–92, 94 radical feminism, 283–286
Evolutionary biology, 74 socialist feminism, 288–292
Evolutionary biosocial criminology (Ellis), criticisms, 282, 286, 288, 290–291
91 conclusion and summary chart, 294–296
Evolutionary ecological theory, 192–193 Feminist positivist empiricism, 294
Evolutionary neuroandrogenic theory Fenton, Lynne, 97
(ENA), 89–90 Ferrell, Jeff, 198, 310–313
Evolutionary psychology, 118–119, 120 Ferrell, Roderick (Rod), 125
Ewing, Gary, 54 Ferrero, William, 280
Ewing v. California (2003), 55 Ferri, Enrico, 74–77
Excuses and justification techniques, Festinger, Leon, 137
142–144 Figlio, Robert M., 331
Eysenck, Hans, 102(table), 107, 110–111 Financial collapse of 2008–2009. See
Economic crisis of 2008
Failure-to-bond theory, 155–156 Fishbein, Diana H., 79, 80, 88
Family Flavin, Jeanne, 276, 277–278, 293
and delinquency, 79, 331 Florida, 108–109(box), 164(box)
intervention programs (differential Forensic psychology, 98
association theory), 136 Forgione, Anthony, 108–109(box)
9780813348858-text.indd 404 10/17/14 9:42 AM

Index 405
Forst, M., 56–57 Genetic Evolutionary Psychology

Free will Perspective, 118
and choice structuring, 59 Genetic theory of crime, 79–84, 94, 95
as conditional, 83 Geographic gangs, 179
vs. determinism, 74, 75, 76, 334, 338 Geographical space connected to crime, 180
emphasized by Beccaria, 77 Georgia’s two-strikes law, 54
integrated with rational choice thinking The German Ideology (Marx, Engels),
patterns, 114 266–267
French Code of 1791 and 1819, 48 Gillis, A. R., 328
Freud, Sigmund, 101–104, 123 Giordano, Peggy C., 235–236
Friedlander, Kate, 102(table), 103 Glaser, Brian A., 110
Frustration-aggression theory, 102(table), Glaser, Daniel, 136
103 Global anomie, 214–218(box), 236–237
Fuller, John, 315, 320 Global communications, 2–3, 215(box)
Functionalist analysis of crime, 209–210 Globalization
Funk, P., 170 described, 2–7
failed states as security contract clients,
Gaarder, Emily, 276 267(box)
Gabarino, James, 32 and gangs, 198
Gall, Franz Joseph, 72 human trafficking, 162–164(box), 287
Galton, Francis, 91 market economy limits, 322, 338
The Gang (Thrasher), 186 and neoliberalism, 214–217
Gangland (TV series), 179 women’s changing status, roles, 278(box)
Gangs Globalized city for social change, 198–199,
described, formation, 179–180, 224–225 200, 205
conditions created by social Glueck, Eleanor, 79, 331
disorganization, 186–187 Glueck, Sheldon, 79, 133, 331
exemplify strain theory, 208–209 Goddard, Henry H., 92
and MAOA enzyme regulation, 82 Goffman, Erving, 170–171, 177
public policy, 201–203(box) Gorman, D. M., 136
social ecology in globalized city, Goth, 129
197–200, 205 Gottfredson, Michael R., 153–154, 157–161
suppression activities, 192 Gove, Walter R., 92
Gant, Andrew, 108–109(box) Government agency crimes and corruption,
Garofalo, Raffaele, 6, 74–77 36, 66, 244–245, 270
Geek profiling, 166 GPS monitoring of gang members,
Gender bias, 18, 28, 277, 319 201(box)
Gender differences Grasmick, Harold, 158–159, 193–195
in crime rates, 274, 280 Greenberg, Jerald, 146
in delinquency, 161 Grossman, Dave, 112–113
in sentence length, 282–283 Group conflict (Simmel), 249–250
Gendered theory of crime, 292–293 Groves, W. Byron, 189, 256
Gender-ratio problem, 274, 275, 281, Guerry, André Michel, 76, 181
283–284
General strain theory (Agnew), 228–232, 241 Hagan, John, 21–23, 289–291, 328, 333
A General Theory of Crime (Hirschi, Hagedorn, John, 192, 198–200
Gottfredson), 157 Halleck, Seymour, 102(table), 103–104
9780813348858-text.indd 405 10/17/14 9:42 AM

406 Index
Hamlin, John E., 147 Humanitarian reforms, 75–77

Hancock, Katie, 278–279(box) Humphreys, Laud, 7
Harding, Sandra, 293 Hunter, Albert J., 194
Hare, Robert D., 89, 106
Harms, critical elements, 27–28, 31, 35, Immigrants in cities, 78, 184, 186, 196–199,
45–46, 301–302 204–206
Harvard University, 278, 317 In re Winship (1970), 97
Hate crimes, 24, 115, 134, 305 Incapacitation, 50, 54–57, 94
Hathaway, Starke, 110 Incarceration
Hawdon, James, 134 African Americans disproportionately
Hawkins, Robbie, 152–153 represented, 55–57, 318
Hay, Carter, 162 costs in US, 11
Haynes, Stacy H., 134 of gang leaders in 1990s, 199
Head Start programs, 226–228, 240 growing percentage of women, 279(box)
Healy, William, 102(table), 103 impact on offenders’ families, 55
Hedonistic or felicity calculus (Bentham), more likely for mentally ill than hospitals,
46–47 99
Hegel, Georg, 250, 256 Incest, 25
Heimer, Karen, 172 India, 280
Henry, Lukas, 298 Individual modes of adaptation (Merton),
Henry, Stuart, 21, 24, 32, 53, 64–67, 219–222, 221(table)
126–128(box), 172, 235, 267(box), Individual sovereignty, 45, 69, 70
290, 298, 304, 329, 332 Individualism, 5, 124, 201(box),
Heredity linked to criminality, 75, 78, 214–215(box), 234, 239. See also
82–84, 118. See also Adoption studies; Competitive individualism
Biological explanations of criminal Inequalities
behavior; Twin studies as breeding ground for crime, 5–6(box)
Herrnstein, Richard, 328 in capitalist material success, 233,
Hezbollah terrorists, 134 234–235
Hinckley, John, 97 dimensions (Weber), 249
Hindelang, Michael, 147 as inevitable (Dahrendorf), 250
Hirschi, Travis, 153–154, 156–164 of social class and gender, 287
Hispanics, racial profiling of, 244 Informal labeling, 172, 177
Historical materialism, 256–257 Innocence Project, 58
Hobbes, Thomas, 40, 44, 213 Insanity defenses, 97–98
Holmes, James Eagan, 96–97 Institutional anomie theory (Messner,
Homelessness, 7–8, 18, 42, 108(box) Rosenfeld), 232–236, 239, 241
Homicide, 25, 56–57, 275. See also School Instrumental anomie (Merton), 218–222
violence; Violent crime Instrumental Marxism, 264, 269, 271
Hooton, E. A., 78 Integrated and systemic ecology, 192–195
Hormones as causal agents in criminality, Integrating Criminologies (Barak), 329
84, 88, 90, 275 Integrative criminologies
Horney, Julie, 117–118 introduced, defined, 326–330
Howe, Adrian, 293 developmental/life-course criminology,
Human Genome Project, 71 331–332
Human trafficking victims, 162–164(box), reciprocal-interactive theory, 330–331,
287 332
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Index 407
unifying criminology (Agnew), 333–338 collective responses, 223

conclusion, 338–339 and drift to maturational reform, 140
Integrative developmental theory, 331 explained by lack of self-control,
Interactionist theory, 165–172, 177 157–158
Interdisciplinary approaches to family life, 79, 291, 331
criminological theory, 9, 85–86(box), Philadelphia study, 8
118, 330 policy proposals (Agnew), 231
Interventions in urban environments, 228
biological (eugenics), 91–92 zone rates in Chicago (Shaw, McKay),
cognitive self-change treatment, 116 185(fig), 187–188
early in child’s development, 160–161 Juvenile Delinquency Prevention and
measurability of personality traits, Control Act (1961), 226
110–111
neighborhood-level, 120 Kaczynski, Theodore, 98
preventive (left realism), 300 Katz, Jack, 115, 309–310
resocialization treatment, 136 Katz, John, 166
Intimate partner violence, 37(table), 277, Keesee, Charity Lynn, 125
279, 285, 287 Kelling, George, 195
IQ scores, 92, 94, 97, 107, 122 Kennedy, Robert, 226
Iran, 4 Kercher, G. A., 84
Iraq, US occupation of, 267(box) Kern, Roger, 161
Isolation, 3, 155, 195, 225, 328 Khoza, V., 251
Italian School, 74–77 King, Rodney, 143–144, 326
Klein, Dorie, 276
Jackson, Stevi, 319 Kobrin, Solomon, 189
Jacobs, Jane, 190 Kohlberg, Lawrence, 114
Jagger, Alison, 289 Konty, Mark, 237
James, William, 114 Koresh, David, 196
Japan, 171, 219, 241, 269, 270 Kornhauser, Ruth, 156, 183
Jefferson, Thomas, 44 Kraska, P. B., 329
Jeffrey, C. Ray, 134–135, 191 Krohn, Marvin D., 161, 170
Johns-Manville asbestos company, 20 Kropotkin, Pyotr, 312
Johnson, Lee Michael, 174
Johnson, Lyndon, 226 Labeling theory, 165–174, 176–177, 331
Johnson, M. C., 84 LaGrange, Randy L., 161
Johnstone, John W., 189 Land of Opportunity . . . (W. Adler), 208
Judicial discretion, 53, 54–55 Lanier, Mark M., 24, 52, 107–109(box),
The Jukes: A Study in Crime . . . (Dugdale), 162–164(box)
78 Laub, John H., 133, 331, 332
Jung, Carl, 107 Lavater, Johann Kaspar, 72
Just deserts model, 46, 49, 50, 69 Law-and-order approach to crime control,
Justice theory, 49 50, 68, 300
Justificatory moral disengagement Lea, John, 299
mechanisms, 144–145 Learning theory. See Cognitive social
Juvenile delinquency learning theory; Social learning
behavior in interactive groups, gangs, 222 theories
body types, aging, 79 LeBlanc, Marc, 331
9780813348858-text.indd 407 10/17/14 9:42 AM

408 Index
Left idealism, 299, 300 Maruna, Shad, 137, 142, 144, 146–148
Left realism, 298–301, 319 Marx, Karl, 19, 245–247, 256–260, 266,
Lehmann, Peter, 279 269, 306
Leiber, M. J., 161 Marxist conflict theory, 19, 256–260
Leighton, Paul, 35 Marxist feminism, 286–288, 295
Lemert, Edwin M., 165, 167–168, 170, Maryland sniper killings (2002), 98
177 Masculinity of men, 63, 292–296
Lennon, John, 97 Mask of Insanity (Cleckley), 106
Levine, Murray, 117, 119 Massachusetts Institute of Technology
Liberal feminism, 280–283 (MIT), 3
Life-course theory of crime, 330–332 Materialism, 219, 234, 256
Lilly, J. Robert, 194 Maternal attachment, 155, 161, 289
Limited discretion, 50, 68 Mathiesen, Thomas, 313
Locke, John, 40, 44 Matsueda, Ross, 172, 174
Loeber, Rolf, 331 Matthews, Roger, 301
Lombroso, Cesare, 74–78, 280 Matusitz, Jonathan, 134
Lombroso-Ferraro, Gina, 75, 76 Matza, David, 131, 140–145, 147–148,
Lost Boys (Garbarino), 32 150, 162
Lovibond, Sabina, 319 Maudsley, Henry, 99
Low self-control characteristics, 158, Mayhew, Henry, 181
159(table), 162, 174–175 McDonald’s, 208
Lowman, John, 301 McKay, Henry D., 184–189, 194
Lukas, Scott, 298 Mead, George Herbert, 166
Lynch, Michael J., 256, 265 Media’s role in framing crime, 23–24,
Lyng, Stephen, 308–310 28–29, 31, 33, 99, 112–113, 130,
Lyons, Phillip M., Jr., 282–283 133, 306
Medical model of criminal justice, 91, 94,
Machalek, Richard, 192–193 117
Mack, K. Y., 161 Mendel, Gregor, 80
MacKinnon, Catharine, 283, 286 Mendelsohn, Benjamin, 10
Madoff, Bernie L., 125, 126–128(box), Mental hospitals’ stigma process, 170–171
129, 162 Mental illness, 97–99, 107–109(box)
Magon de la Villehuchet, René-Thierry, Merton, Robert K., 209, 210, 218–222,
126–127 239–240
Mandatory sentencing, 50–53, 68, 69, 255 Messerschmidt, James, 9, 288, 291,
MAOA (monamine oxidase), 82 292–293
Marginalization Messner, Steven, 210, 232–236, 239, 240
economic, 283, 299 Mexican Americans, 256
of feminist contributions, 276 Michael, Jerome, 15
and gangs, 197–198, 200, 201–203(box) Michalowski, Raymond, 20, 261, 319
as school violence factor, 33, 166 Michigan, 51–52(box)
Marianna, Arkansas, 208 Miczek, 88
Marijuana, legality/illegality, 15, 18, 20, Middle class, 35, 41–43, 169, 223
31, 208 Miller, Cloud H., 52
Marlan, Russ, 52(box) Miller, Jody, 274, 277
Marquart, J. W., 235 Miller, Lisa, 319–320
Martinson, Robert, 49 Mills, C. Wright, 139
9780813348858-text.indd 408 10/17/14 9:42 AM

Index 409
Milovanovic, Dragan, 21, 55, 304, 305, Neufeld, Peter, 58

307–308, 310 Neurotransmitters, 84–85, 88
Minnesota Multiphasic Personality Neutralization and drift theory, 131,
Inventory (MMPI), 110 137–146
Modernist integrative schemes, 327, 329, 330 Neutralization techniques, 142–144
Moffitt, Terrie, 330, 332 The New Criminology (Taylor, Walton,
Monamine oxidase (MAOA), 82 Young), 261–262, 299
Monique’s Law proposed legislation, New Jack City (movie), 207
201(box) New York State, 56
Monitoring children or gangs, 159–160, Newman, Katherine S., 32
176, 201–202(box) Newman, Oscar, 191
Moral development of children, 33, 114 9/11. See September 11, 2001 attacks
Moral disengagement theory (Bandura), Nixon, Richard M., 66
144–146 Nofziger, S., 162
Moral entrepreneurs, 18, 168, 176, Nonstranger felony murders, 57
201(box) Norm resisters, 252, 253
Moral regulation of behavior/moral Norms of domination/deference, 252
controls, 144, 209, 211, 213–214, 240 Northern Illinois University shootings, 28
Morality Northern Ireland, 4, 253
corrupted by competitive success, 28 Norway, 84, 313
neutralization of, 140–146 Nowak, Lisa, 278(box)
in Piaget’s ideas, 114 Nurge, Dana, 201–203(box)
secular, 214 Nye, F. Ivan, 156
shared, universal, in consensus theories,
16–17, 38 Observational learning, 113, 122, 130,
undermined by capitalism, 259–260 137–138
Moriarty, Laura J., 61 Occasional criminals, 75–76
Movie theater shooting, Aurora, Colorado, O’Connor, Sandra Day, 55
96–97 Odom, Teri, 107(box)
Mugford, Steve, 309–310 Office of Economic Opportunity, 226
Mullings, J., 235 Ohlin, Lloyd, 210, 223–225, 226, 227,
Multidimensional Personality 240, 241
Questionnaire, 110 Olaussen, Leif Petter, 254
Mumbai hotel takeover in 2008, 4 Omaha, Nebraska, mall shootings, 153
Mussolini, Benito, 77 O’Malley, Pat, 309–310
My Lai massacre, 124–125 On Crimes and Punishment (Beccaria), 44
On the Origin of Species (Darwin), 74
National Crime Victimization Survey, 10–11 Operant conditioning, 105, 111–112, 122,
National Youth Study/Survey (NYS), 134, 135, 149
147 Organized crime, 172, 216, 221, 251, 267,
Negative stereotyping, 165–166, 170, 176, 270
198, 276 Outrage, moral and social, 16–17, 25, 28,
Neighborhood-based networks, 193–194, 201–202(box)
199–200 Outsiders (Becker), 7, 168
Neoclassicism, 48
Neoliberalism, 214–217, 236–237, Palmer, Craig, 118–119
267–268(box) Palmer, Monique, 201(box)
9780813348858-text.indd 409 10/17/14 9:42 AM

410 Index
Parental attachment, 161, 162 foundation for scientific criminology,

Park, Robert, 183–184 74, 93
Passas, Nikos, 210, 214–218(box), 228, searches for measurable cause and effect,
236–237, 239, 240, 301 73–74
Paternoster, Ray, 57 criticisms, 261–262
Patriarchy See also Biological determinism;
as basis for women’s subordination, 284 Determinism; Soft determinism
interrelated with capitalism, 288, 291 Posner, Richard, 57
and mothers’ influences on sons, 290 Postclassicism, 48–49
strengthened with state’s power, 319 Postmodernism, 20–21, 301–304,
See also Class patriarchy 319–320, 329
Patriot Act of 2001, 67 Postmodernist feminism, 293–294
Pauly, John, 328 Post-traumatic stress disorder, 84, 98
Pavarini, M., 18 Potgieter, P. J., 251
Pavlov, Ivan, 102(table), 104–105, 107, 111 Power
Peacemaking criminology, 34, 134, 161, accomplished by social processes, 29
196, 298, 312, 314–316, 320–321, crimes of domination, 248, 263
324–325 dimensions, 35
Pearson, Frank S., 327 expressed as crime, 21
Peer associations responsible for learning, as root of harm production, 298, 305
130, 134, 172 shapes opportunities, arrests, convictions,
Penology/new penology of incapacitation, 35–36, 38
55–56, 307–308, 319–320. See also Power differentials, 253, 286, 298, 305,
Prisons/correctional settings 336
Pepinsky, Hal, 34, 310, 312, 314, 315 Power-control theory (Hagan), 283,
Perkins, David, 117, 119 289–290, 291, 328
Personality traits, deviant and criminal, Pratt, Travis C., 158, 162
105–106, 110, 229, 230 Preclassical era, 41
Petrocelli, John V., 110 Predatory sexual behavior, 63, 89, 90, 273
Physical features linked to types of Predispositions of criminal behavior
criminals, 72, 74, 75, 78–79 biological/genetic factors, 73, 80–83, 91,
Piaget, Jean, 114 93–94
Picower Foundation, 127 diverse psychological perspectives, 100,
Pierce, Glenn, 56 105, 107, 117
Piquero, Nicole Leeper, 143 Presumption of innocence, 40, 45, 69
Platt, Tony, 92 Prichard, James, 99
Plea bargaining, 51, 52(box), 52–53 Principles of Criminology (Sutherland), 131
Pluralist conflict theories, 18–19, 20, 250, Prism of crime, 24–38
256 Prisoners of Hate (Beck), 115
Police, as agents of social control, 165, 166, Prisons/correctional settings
243–244, 282, 300 applying cognitive theory, 137
Political factors affecting crime, 181, 192, neutralization, habitual excuse-making,
197–203, 216 146
Polk, Kenneth, 275 overcrowding causes, 51, 51(box), 54
Ponzi scheme, 125, 126–128(box), 129 with private security contractors,
Positivism businesses, 267(box)
feminist positivist empiricism, 294 stigma process, 170–171
9780813348858-text.indd 410 10/17/14 9:42 AM

Index 411
unequal treatment of women, 282–283 Race

as violent, failed, crime control, 171, 308, accentuated by African-American
313 incapacitation, 55–56
Privacy rights violations, 36, 64(box), 67, 92 delinquency rates based on, 189–190
Private Security Contracting . . . of as dimension of power, 35
Capitalist Expansion, 267–269(box) and involuntary sterilization, 91–92
Privatization, 1–3, 236, 321, 338 Racial profiling, 243–244, 317
Profiling. See DNA tests and profiling; Rader, Nicole E., 134
Psychological profiling; Racial Radical criminology
profiling Marx and Engels, 256–260
Property crimes, 63, 212, 273, 275, 283 Bonger’s criminality, 260–261
Prostitution, 15, 22, 163(box), 273, 279, compared to conflict criminology,
284 246–248
Proudhon, Pierre-Joseph, 312 contemporary theory, 261–266, 298
Psychoanalytical approach, 101, 103–105 policy implications and criticisms, 266,
Psychological profiling, 98 269–270
Psychological theories of crime conclusion and summary chart, 270–272
introduced, 96–100 Radical Criminology (journal), 265–266
behavioral learning theory, 111–112 Radical Criminology Manifesto, 266
cognitive theories, 114–116 Radical cultural feminism, 286
ecological psychology, 117–118 Radical feminist criminology, 283–286
evolutionary psychology, 118–119 Radical libertarian feminism, 286
psychoanalytical theory and subtheories, Radical Marxist criminology. See Radical
101–105 criminology
social learning and modeling theory, Radical nonintervention, 172, 177
112–113 Rafter, Nicole Hahn, 73, 74, 78, 107
theories compared, 100, 102(table) Raine, Adrian, 83
trait-based psychology, 105–110 Rampage: Social Roots of School Shootings
criticisms, 104–105, 110–111, 113–114, (Newman et al.), 32
119–120 Rankin, Joseph H., 159, 161
conclusion and summary chart, 120–123 Rape
Psychopathic personality, 89, 105(table), considered crime by consensus, 16, 25
106, 107, 110 as mate selection, adaptive process, 90,
Punishment of crime 118–119, 120
certainty vs. severity impacts, 57 social, historical, contexts, 17–18
in differential reinforcement theory, 135 victims blamed, 63
disciplinary, set equally (classical justice), Rational thought
40, 68, 69 and accountability, 83
never justified, completely fails, 313–314 in decisions to commit crime, 59, 62
not negative reinforcement, 112 with declining perceived risk of arrest,
proportionate to harm caused, 45–46, 69 56, 57
Pyramid of crime (Hagan), 21–23, 35 postmodernists’ perceptions, 302–303
Rational-choice theory
Quételet, Lambert Adolphe Jacques, 76, applies scientific method to all fields, 48
181 offenders consciously choose to commit
Quinney, Richard, 19, 20, 254, 261, 269, crimes, 58–62
314–315 policy implications and criticisms, 61–68
9780813348858-text.indd 411 10/17/14 9:42 AM

412 Index
Rationalizations, neutralization, and Rohlman, Eric, 108–109(box)

verbalizations, 139–140, 142, 145, 150 Rohlman, Mark, 108–109(box)
Raudenbush, Stephen W., 194, 195 Role modeling, 33, 112–113, 122, 137,
Ray, Isaac, 99 182–183, 225, 289
Reaction formation, 101, 223 Role-playing in social contexts, 129, 165
Reagan, Ronald, 97, 261 Rosenfeld, Richard, 210, 232–236, 239,
Reasoning Criminal (Cornish, Clarke), 240
60(fig) Roshier, Bob, 17
Rebellon, Cesar J., 134 Ross, Evelyn, 109(box)
Recidivism, 49, 116, 170, 313 Rothwell, Samantha, 278(box)
Reciprocal-interactive model/theory, Rottenberg, Jona, 54
138–139, 330–331, 332 Rousseau, Jean-Jacques, 40, 44
Reckless, Walter C., 156 Routine-activities theory, 59, 61–68, 191
Reddit website, 2–3 Rubin, Paul, 57
Rehabilitation models and programs, 49, Rudolph, Jennifer, 235–236
58, 173 Russell, Stuart, 270
Reiman, Jeffrey H., 35, 67 Russia, 216–217(box), 270, 322
Reintegrative shaming, 146, 171, 173, Rutter, Michael L., 331
315–316
Reiss, Albert J., Jr., 156 Samenow, Stanton, 102(table), 114, 116
Relative deprivation, 219, 236, 298, Sampson, Earl, 243
299–300, 322 Sampson, Robert J., 183, 189, 194, 195,
Reparation. See Restitution and reparation 199–200, 331, 332
Repeat offenders, 47, 53 San Diego Gang Commission, 201(box)
Reproduction and reproductive drives, 89, Sanders, Clinton, 198
119, 185, 283–284 Sandy Hook Elementary School shootings,
Restitution and reparation, 10, 26, 77, 149, 28
172–173, 177, 300, 315–316 Sarre, Rick, 316, 319–320, 321
Restorative justice, 11, 173, 298, 315–317, Saudi Arabia, 1, 278(box)
320–321 Savolainen, Jukka, 235
Retreatism and retreatist subcultures, 216, Schafer, Stephen, 10–11
221–222, 225, 240 Scheck, Barry, 58
Revolution in Penology (Arrigo, Scheinost, Miroslav, 8
Milovanovic), 307 Schlossman, S., 188
Rewards, 113, 122, 134–137 Schmalleger, Frank, 50
Reynolds, Mike, 53 Schmidt, Janet, 35
The Rich Get Richer and the Poor Get Prison Schonberg, Jeff, 7–8
(Reiman, Leighton), 35, 67, 261 School violence
Righteous Dopefiend (Bourgois, Schonberg), defined, 27–28, 31
7–8 fueled by negative stereotypes, 165–166
Risk taking as deviance or delinquency, 89, multiple dimensions, causes, 26–33
92, 280, 289, 308–309 prevention policies, 33–34, 63
Rivera, C. J., 170 rampage shootings, 28, 165–166, 274,
r/K theory (Ellis), 89, 118 332
Robinson, Matthew, 329–330 Schulze, Corina, 291
Roe v. Wade (1973), 15 Schur, Edwin, 172
Rohlman, Adam, 108–109(box) Schwartz, Martin D., 301
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Index 413
Schwendinger, Herman, 253 Skinner, B. F., 102(table), 104–105, 111,

Schwendinger, Julia, 253 113, 134
Securities and Exchange Commission, 66, Smart, Carol, 276–277, 282, 293
126 Snowden, Edward, 14
Seductions of Crime (Jack Katz), 309 Social action, 3, 16–17, 194, 252, 262, 306
Segal, David, 3 Social bonding, 157, 175, 331. See also
Self-control theory, 107, 154, 156–162, Bonding theory
175–176 Social capital, 65(box), 193, 205, 301, 317,
Self-efficacy, 115, 146 331
Self-identity, 146, 148, 165–167 Social classes, 35, 36, 41–42. See also Class-
Selfish gene, 82, 89, 102(table) based societies and conflicts
Self-regulation (Bandura), 139, 144 Social cognitive theory, 115–116, 138–139
Sellin, Thorsten, 19, 196–197, 205–206, Social conflict, 248, 261
248, 331 Social contract (classicist), 10, 44–45, 68–69
Sensation-seeking and arousal theory, 74, Social control theory, 154, 156, 161–162,
88–90, 94, 107, 309, 310 174, 327, 331
Sentencing, 51, 53–54 Social determinism, 86(box)
September 11, 2001 attacks, 1, 2, 4, 23, 67, Social deviations and social diversions,
278–279(box) 25–26
Serial murderers, 97–98, 153, 274 Social disorganization theory, 133, 186–
Serotonin, 84, 88, 94 190, 193, 197, 199, 204
Sexism, 26–29, 92, 248, 305, 315 Social ecology theory
Sexual assault, 30(table), 37(table), 277, 285 background and history, 179–183
Sexual harassment, 24, 28, 296 Chicago School, 183–189
Shaming, disintegrative and reintegrative, critical ecology, 192
171 critical gang studies, 197–200
Shantz, Jeff, 265–266 culture conflict theory, 196–197
Sharp, E. B., 256 integrated and systemic ecology, 192–195
Shaw, Clifford R., 184–189, 194 urban design and environmental
Sheldon, William, 79 criminology, 190–192
Shepherd, Joanna, 57 policy implications and criticisms,
Shoemaker, Donald J., 188, 319, 327 188–190, .201–203(box)
Shoham, S. Giora, 115 conclusion and summary chart, 203–206
Shootings, 27–29, 72, 96–98, 153, Social Justice journal, 267(box), 270
165–166 Social learning theories, 112–114, 130–137,
Shoplifting, 62, 147 149, 327, 329
Siegert, Richard, 120 Social media, 28–29
Simmel, Georg, 245, 249–250, 251 Social process theories
Simmons, Catherine A., 279 introduced, 129–130
Simon, Rita, 276, 281 differential association theory, 131–134
Simons, Ronald, 174 differential identification theory, 135–136
Simpson, John, 328 differential reinforcement theory, 134–135
Simpson, Sally S., 276 policy implications and criticisms, 133,
Sin concept, 13–14 136–137
Sisters in Crime . . . (Adler), 281 conclusion and summary chart, 149–150
Situational-choice theory, 40, 59, 62 Social reality of crime, 254, 297, 303, 329,
Skeptical postmodernism, 304, 306 337
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414 Index
The Social Reality of Crime (Quinney), 254 Subcultures, deviance and delinquency,
Socialist feminism, 288–292 141, 223–225, 240, 280, 300
Socialist revolution, 269, 291, 300 Suicide, 33, 97, 204, 221–222, 274, 289
Socialization Suite crimes, 19, 35, 36, 66, 98. See also
abnormal or traumatic, 100 White-collar crime/corporate crime
failed, 153–154, 158 Sullivan, Dennis, 21, 312
family and childhood, 128, 129 Supreme Court rulings, 15, 54–55, 97
negative (labeling theory), 165 Surveillability for residential security, 190
Sociobiological determinism, 86–87(box) Sutherland, Edwin, 15, 16, 19–20, 130–133
Sociobiology (Wilson), 82 Swartz, Aaron, 2–3
Sociopaths, 105(table), 106 Switzerland, 241, 269
Soft determinism, 140–141 Sykes, Gresham, 131, 140–143, 162
Sons of Anarchy (TV series), 179 Symbolic interactionist theory, 166–167
South Africa, 251, 267(box) Systemic ecology and crime model (Bellair),
South Korea, 278(box) 192–195, 193(fig)
Spielberg, Steven, 126, 128 Szasz, Thomas, 98
Sports/extreme sports, 28, 92, 280,
308–310 Tannenbaum, Frank, 166–167
Staffelbach, Darlene, 84 Tappan, Paul W., 15
Stalking perpetration and victimization, Tarde, Gabriel, 102(table), 112, 131
134, 296 Target hardening, 61, 66, 312
Standpoint feminist epistemology, 293, 303 Taylor, Carl, 208
Stark, Rodney, 182 Taylor, Ian, 261–262
Status frustration, 222–223, 240 Tearoom Trade (Humphreys), 7
Status striving, 90 Terrorism
Stefancic, Jean, 317–318 as criminal, 24–25
Steffensmeier, Darrell, 282 Boston Marathon bombing, 1, 25
Stewart, Martha, 278(box) female terrorists and suicide bombers,
Stigma process, 170–171, 173, 177 274, 278–279(box)
Stop Teaching Our Kids to Kill . . . forces criminal justice system to be
(Grossman), 112–113 repressive, 66–67
Strain, 226, 229, 230, 311 Hezbollah’s interactions,
Strain theory. See Anomie theory/strain communications, 134
theory; Strain theory revised Mumbai hotel takeover in 2008, 4
Strain theory revised, 212, 228–231, 240, September 11, 2001 attacks, 4, 23, 67,
241 278–279(box)
Street crime See also Cybercrime and Internet crimes
arrests of the powerless, 35–36 Thailand financial crisis (1997), 215
committed by working-class people, 322 Theoretical Criminology (Vold), 251
compared to white-collar crimes, 19, 299 Thomas, William I., 186
offenders profiled, 98 Thornberry, Terrence, 331, 332
in preclassical era, 42 Thornhill, Randy, 118–119
reduced by urban design, 190–191 Thrasher, Frederic M., 186, 197
Stretesky, Paul B., 265 Three-strikes laws, 50, 53–55
Structural Marxism, 264, 269, 271 Thurman, Quint, 147
Student-on-student/teacher acts of violence, Thurston High in Springfield, Oregon
27, 31 shootings, 165–166
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Index 415
Tibbetts, S. G., 143 Victimizations

Tifft, Larry, 12, 21, 312 of girls in male-dominated contexts, 284
Toby, Jackson, 156 hot spots, 63
Tong, Rosemarie, 285, 286 human trafficking, 162–164(box), 287
Total institutions, 170–171, 173 personal, in home, 63
Toward a Unified Criminology (Agnew), 6, redefined by constitutive theory, 305–306
333 reduced, 61, 62
Trafficking in Persons Report (2008), Victimizations by type of crime, 30(table),
163(box) 37(table)
Trafficking Victims Protection Act (TVPA), Victimless crimes
164(box) as consensual, 22–23, 29
Trahan, A. J., 235 decriminalization of, 172, 177, 255, 272
Trait-based personality theories, 105–111 Victimology, 10–11, 323
“Transformation Versus Revolutionism and Video game role modeling, 112–113
Reformism” article (Turk), 255 Vietnam, 124–125
Trauma, 98, 101 Vila, Bryan, 192–193
Turk, Austin, 250–256 Violence and Nonviolence . . . (Barak), 32,
Twin studies, 80–81, 94, 95 332
Two-strikes laws, 54 Violent crime
introduced, with crime prism, 24–34
Unabomber crimes, 98 collective solution for the powerless, 300
Unconscious processes, 101, 104–105, gang-related, 201–203(box)
120–123, 303–304 increased by globalization, 5–6(box)
Unemployment, 3, 258, 265 male gender as strong correlate, 89–90,
Unifying criminology (Agnew), 333–338 275
University of California at Berkeley, 261, related to biological and social factors,
317 82, 83
University of Texas at Austin shootings, 72 with restorative justice applied to
Urban design and environmental offenders, 321
criminology, 190–192 spontaneous, 68
US Bureau for Social Hygiene, 92 women as perpetrators, 273–274,
US Centers for Disease Control and 278–279(box), 282
Prevention, 87(box) See also School violence; under specific
US Department of State, 162–163(box) forms of violence
US National Youth Gang Survey, 180 Virginia Polytechnic Institute shootings, 28
U.S. News & World Report, 82 Vold, George, 251–252
Utilitarian philosophy, 40, 43, 211, 218 Von Hentig, Hans, 10
Utility principle, 47, 68, 327 Vowell, Paul R., 161
Valier, Claire, 190 Walsh, Anthony, 89–90, 113

Vampire Clan Killings, 125 Walton, Paul, 261–262
Van Swaaningen, René, 313 Ward, Tony, 102(table), 120
Varieties of Delinquent Youth (Sheldon), 79 Warner, Barbara D., 195
Vazsonyi, Alexander T., 162 Washington State, 15, 53
Verbalizations. See Rationalizations, Weber, Max, 245, 249–250, 251
neutralization, and verbalizations Weiner, Neil A., 327
Verri, Pietro and Alessandro, 44 Weinstein, Dan, 84
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416 Index
Weiss, Robert P., 267–268(box) Winslow, Robert W., 9

Wells, 159 Without Conscience. (Hare), 106
Welsh, Wayne N., 33 Wolfers, Justin, 57
Wendorf, Heather, 125 Wolfgang, Marvin E., 331
White, Helene Raskin, 136, 161 Wolpe, David, 162
White-collar crime/corporate crime Women and Crime (Simon), 281
and anomie theory, 212, 236 Women in America: Crime and Violence
as crimes of the powerful, 36, 319 (White House), 273
criminalization minimized by legislators’ Wood, Elizabeth, 190
influence, 16 Wood, Peter B., 92
environmental disincentives called for, 68 Working-class as offenders and victims,
excluded from legal definition of crime, 35, 259–260, 289–290, 299, 318,
13, 15 322–323
exemplifies strain theory, 209, 237 Wright, Bradley R. E., 134, 161
linked to sensation seeking, risk taking, 89 Wundt, Wilhelm, 114
neutralizations used, 143 Wuornos, Aileen, 274
range of offenses, 36
vs. street crime, 19, 299 Yates, Andrea, 278(box)
by women, 277–278 Yeshiva University, 58, 126, 127–128
Whitman, Charles J., 72 Yochelson, Samuel, 114, 116
Whittaker, Joseph, 85–87(box) Young, Alison, 293
Wiesel, Elie, 126, 128 Young, Jock, 169, 256, 259, 261–262, 299
Wilkins, Leslie, 169 Young, T. R., 303
Williams, James E., 61
Wilson, E. O., 82, 331–332 Zehr, Howard, 11
Wilson, James Q., 195, 328 Zhang, Sheldon X., 9
Wilson, William Julius, 183 Znaniecki, Florian, 186
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ESSENTIAL

9780813348858-text.indd i 10/17/14 9:42 AM

A Member of the Perseus Books Group

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Copyright © 2015 by Westview Press

Find us on the World Wide Web at www.westviewpress.com.

Library of Congress Cataloging-in-Publication Data

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List of Tables and Figures ix

1 What Is Criminology? The Study of Crime,

2 What Is Crime? Deﬁning the Problem 13

3 Classical, Neoclassical, and Rational-Choice Theories 39

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Redefining Rational Choice: Situational Factors

4 “Born to Be Bad”: Biological, Physiological,

5 Criminal Minds: Psychiatric and

6 Learning Criminal Behavior: Social Process Theories 124

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Cognitive Social Learning Theory 137

7 Failed Socialization: Control Theory,

8 Crimes of Place: Social Ecology

9 The Sick Society: Anomie, Strain,

10 Capitalism as a Criminogenic Society:

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Contemporary Conflict Criminology 252

11 Patriarchy, Gender and Crime:

12 New Directions in Critical Criminological Theory 297

13 Conclusion: Toward a Uniﬁed Criminology 326

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As authors, we also reflect difference; Stuart was raised in working-class South

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Mark M. Lanier, Stuart Henry, Desiré J. M. Anastasia

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“There is so much good in the worst of us,

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BOX 1.1 The Global Market Context of US Crime and Punishment

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BOX 1.1 (CONTINUED)

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national boundaries, and the failure of national enforcement agencies to prevent

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Righteous Dopefiend (2009), which is a gripping ethnography of homelessness and

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What is Comparative and Global Criminology?

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Criminology and Public Policy

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Regardless of one’s theoretical inclinations, preferred research tools, or policy

Summary and Conclusion

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