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- Creators: Arizona State University
- Creators: Samuelson, Melissa
- Member of: Theses and Dissertations
- Member of: Barrett, The Honors College Thesis/Creative Project Collection
- Status: Published
Description
Research examining the long-term impacts of federal interventions under the Civil Rights of Institutionalized Persons Act on correctional institutions has been scant. The result has been a failure to understand the sustainability of reforms aimed at protecting the civil rights of confined persons. This dissertation examined the long-term reforms at the Arizona Department of Juvenile Corrections following a consent decree with the U.S. Department of Justice from 2004 to 2007. Interviews were conducted with current and former ADJC employees, juvenile justice advocates across Arizona, and county court representatives to determine how each of these groups perceived the status of the reforms at the ADJC. The findings of the current dissertation suggest that long-term reforms following consent decrees imposed on correctional institutions are possible. At the ADJC, the methods for securing the reform required that the agency reform its culture, implement a Quality Assurance process, revamp the Investigations and Inspections unit at the agency, and consider the perspectives of external agencies. One of the primary reasons why the department has been committed to making these reforms is because of the perceived loss of legitimacy and resources that would occur if they failed to reform. Such a failure for the agency could have potentially resulted in a closure of the agency. However, the increase in punitive and preventive policies used to enforce the reforms may have negative repercussions on the organizational culture in the long term. Policy implications for future CRIPA consent decrees are outlined, limitations are addressed, and suggestions for future research are made.
ContributorsTaylor, Melanie Ann (Author) / Decker, Scott H. (Thesis advisor) / Katz, Charles M. (Committee member) / Fox, Kathleen (Committee member) / Arizona State University (Publisher)
Created2013
Description
Inmate misconduct, and the formal disciplinary proceeding that follow official misconduct, is a common occurrence within correctional institutions. Decisions regarding punishment sanction post-disciplinary proceeding are important because they have direct implications for inmate freedom of movement within the institutional setting, yet this decision point has rarely been the subject of empirical research. Research that does look at this decision point commonly focuses on the presence or absence of a single category of disciplinary punishment – that being solitary confinement or disciplinary segregation. As such, prior research fails to observe the full range of post-disciplinary punishment options.
Addressing this gap in the literature, this study provides the first rigorous empirical examination of the inmate-level characteristics that influence punishment outcome following guilty institutional misconduct proceedings. Guided by criminal sentencing literature, the inmate- level characteristics are divided into groups of legal factors, quasi-legal factors, and extra-legal factors. Representing a significant advancement beyond prior research, this study operationalizes punishment outcome in two ways – as an interval-level ordered sanction severity scale and as individual punishment categories. A series of multivariate models with sample selection corrections are estimated to model the direct and interactive effects of the legal, quasi-legal, and extra-legal inmate characteristics on punishment outcome.
Results of the fully-saturated direct effects models reveal a consistent pattern across both operationalizations of the punishment outcome. The legal factor of misconduct offense and the prosocial behavior quasi-legal factors of working a prison job and program involvement are significantly related to punishment outcomes. The quasi-legal factor representing criminogenic risk and the extra-legal factors of inmate gender and race/ethnicity are not significantly related to punishment outcomes. When the direct effects models re-estimated on samples split by inmate gender and race/ethnicity, however, the extra-legal factors of gender and race/ethnicity condition the effects of some of the legal and quasi-legal factors on punishment outcome. Results of this study suggest that, holding constant the effect of legal misconduct-related factors, disparities exist in post-disciplinary sanctioning based on inmate race/ethnicity and gender.
Addressing this gap in the literature, this study provides the first rigorous empirical examination of the inmate-level characteristics that influence punishment outcome following guilty institutional misconduct proceedings. Guided by criminal sentencing literature, the inmate- level characteristics are divided into groups of legal factors, quasi-legal factors, and extra-legal factors. Representing a significant advancement beyond prior research, this study operationalizes punishment outcome in two ways – as an interval-level ordered sanction severity scale and as individual punishment categories. A series of multivariate models with sample selection corrections are estimated to model the direct and interactive effects of the legal, quasi-legal, and extra-legal inmate characteristics on punishment outcome.
Results of the fully-saturated direct effects models reveal a consistent pattern across both operationalizations of the punishment outcome. The legal factor of misconduct offense and the prosocial behavior quasi-legal factors of working a prison job and program involvement are significantly related to punishment outcomes. The quasi-legal factor representing criminogenic risk and the extra-legal factors of inmate gender and race/ethnicity are not significantly related to punishment outcomes. When the direct effects models re-estimated on samples split by inmate gender and race/ethnicity, however, the extra-legal factors of gender and race/ethnicity condition the effects of some of the legal and quasi-legal factors on punishment outcome. Results of this study suggest that, holding constant the effect of legal misconduct-related factors, disparities exist in post-disciplinary sanctioning based on inmate race/ethnicity and gender.
ContributorsGinsburg Kempany, Katherine (Author) / Hepburn, John R. (Thesis advisor) / Reisig, Michael D (Committee member) / Spohn, Cassia (Committee member) / Arizona State University (Publisher)
Created2018
Description
Executive compensation is broken into two parts: one fixed and one variable. The fixed component of executive compensation is the annual salary and the variable components are performance-based incentives. Clawback provisions of executive compensation are designed to require executives to return performance-based, variable compensation that was erroneously awarded in the year of a misstatement. This research shows the need for the use of a new clawback provision that combines aspects of the two currently in regulation. In our current federal regulation, there are two clawback provisions in play: Section 304 of Sarbanes-Oxley and section 954 of The Dodd\u2014Frank Wall Street Reform and Consumer Protection Act. This paper argues for the use of an optimal clawback provision that combines aspects of both the current SOX provision and the Dodd-Frank provision, by integrating the principles of loss aversion and narcissism. These two factors are important to consider when designing a clawback provision, as it is generally accepted that average individuals are loss averse and executives are becoming increasingly narcissistic. Therefore, when attempting to mitigate the risk of a leader keeping erroneously awarded executive compensation, the decision making factors of narcissism and loss aversion must be taken into account. Additionally, this paper predicts how compensation structures will shift post-implementation. Through a survey analyzing the level of both loss- aversion and narcissism in respondents, the research question justifies the principle that people are loss averse and that a subset of the population show narcissistic tendencies. Both loss aversion and narcissism drove the results to suggest there are benefits to both clawback provisions and that a new provision that combines elements of both is most beneficial in mitigating the risk of executives receiving erroneously awarded compensation. I concluded the most optimal clawback provision is mandatory for all public companies (Dodd-Frank), targets all executives (Dodd-Frank), and requires the recuperation of the entire bonus, not just that which was in excess of what should have been received (SOX).
ContributorsLarscheid, Elizabeth (Author) / Samuelson, Melissa (Thesis director) / Casas-Arce, Pablo (Committee member) / WPC Graduate Programs (Contributor) / School of Accountancy (Contributor) / Barrett, The Honors College (Contributor)
Created2018-12
Description
Given its impact on the accounting profession and public corporations, Sarbanes-Oxley Act of 2002(SOX) is a widely researched regulation among accounting scholars. Research typically focuses on the impact it has had on corporations, executives and auditors, however, there is limited research that illustrates the impact SOX may have on average Americans. There were several US criminal code sections that resulted from the passing of SOX. Statute 1519, which is often referred to as the "anti-shredding provision", penalizes anyone who "knowingly alters, destroys, mutilates, conceals, covers up, falsifies, or makes a false entry in any record, document, or tangible object with the intent to" obstruct a current or foreseeable federal investigation. This statute, although intended to punish behavior similar to that which occurred in the early 2000s by corporations and auditors, has been used to charge people beyond its original intent. Several issues with the crafting of the statute cause its broad application and some litigation even reached the Supreme Court due to its vague wording. Not only is the statute being applied beyond the intent, there are other issues that legal scholars have critiqued it for. This statute is far from being the only law facing these issues as the same issues and critiques are found in the 14th amendment. Rewriting the statute seems to be the most effective way to address the concerns of judges, lawyers and defendants regarding the statute. In addition, Congress could have passed this statute outside of SOX to avoid being seen as overreaching if obstruction of justice related to documents was actually an issue outside of corporate fraud.
ContributorsGonzalez, Joana (Author) / Samuelson, Melissa (Thesis director) / Lowe, Jordan (Committee member) / School of Accountancy (Contributor) / Barrett, The Honors College (Contributor)
Created2016-12
Description
Whether through scaring incarcerated people straight or encouraging rehabilitation through treatment, most people hope that, one way or another, incarceration will alter an individual’s path towards a better life. Current forms of incarceration are not achieving this goal and instead inflict undue amounts of pain (Crewe, 2011; Sykes 1958). In times of deprivation and isolation, some people have found ways to not only persevere, but to thrive. Though these individuals are not commonly the focus of criminal justice literature, there is much value in shifting attention to people thriving in prison including the opportunity to gain knowledge on the multi-faceted nature of well-being broadly and the rehabilitation of incarcerated people more specifically. The current study uses structured interview data from 386 men serving time in a medium-security prison unit to explore the correlates of life satisfaction among people in prison. To identify contributing factors to well-being during incarceration, logistic and multinomial regressions analyze variation in the life satisfaction scores of these incarcerated men. The results from these analyses suggest that perceptions of life meaning, generativity, flourishing, and age are all positively associated with thriving in prison and frequency of experiences with incarceration are not related, positively or negatively, to life satisfaction. This study provides some support to current well-being literature and also introduces complexities to the existing knowledge regarding the relationships between demographics such as race or relationship status, and well-being.
ContributorsSutton, Madison Murphy (Author) / Wright, Kevin A. (Thesis advisor) / Telep, Cody (Committee member) / Young, Jacob T.N. (Committee member) / Arizona State University (Publisher)
Created2021
Description
People who participate in correctional treatment programming are viewed as making positive steps towards their reentry into society. However, this is often assessed through a simple “yes” or “no” response to whether they are currently participating without much emphasis on how, why, or to what degree that participation is meaningful for reentry preparedness. The present study aims to a) identify to what extent there is variation in the degree to which women participate in programming and are prepared for reentry, b) identify the characteristics that distinguish highly-involved programmers from less involved programmers, c) identify the characteristics that distinguish women who are highly-prepared for reentry from women who are less prepared, and d) assess whether levels of involvement in programming relates to levels of reentry preparedness. The sample comes from interviewer-proctored surveys of 200 incarcerated women in Arizona. Two indices were created: one for the primary independent variable of program involvement and one for the dependent variable of reentry preparedness. Logistic and multivariate regressions were run to determine the indices’ relatedness to each other and the characteristic variables. The two indices did not have a statistically significant relationship with each other. However, variation across them is found. This indicates that programmers may not be a homogenous group and that they may engage with programming to varying degrees based on a multitude of indicators.
ContributorsRodriguez, Bianca (Author) / Wright, Kevin (Thesis advisor) / Young, Jacob (Committee member) / Telep, Cody (Committee member) / Arizona State University (Publisher)
Created2020
Description
Although the earliest discussions on deliberate self-harm can be traced in medical literature as early as the mid-1800s, it wasn’t until the 1960s when the psychiatry community became interested in studying self-harming behavior (Favazza, 1998). Since then, psychiatrists and psychologists alike have spent time researching self-harm behaviors and evaluating treatment methods for individuals who engage in self-harming behaviors. The vast majority of the existing research focuses on patients in the community who self-harm. However, little research has been dedicated to examining self-harming behaviors among the incarcerated population. This dissertation seeks to fill the gap in the literature by analyzing self-harming behaviors among prison inmates in Arizona. Based on record reviews, data was gathered on every self-harm event that happened between September 1, 2018 until September 30th, 2019 by the inmate population incarcerated within the state of Arizona’s 16 state and private prisons. During the 13-month study time period, a total of 2,845 self-harm events were gathered, which were produced by 647 inmates. The results indicate that a large portion of the deliberate self-harm events that occurred in the prison setting served a functional purpose for those who engaged in the self-harm. Specifically, offenders who engaged in deliberate self-harm behaviors did so to obtain a desired outcome or for some kind of secondary gain. The results also indicated that many offenders engaged in deliberate self-harm to obtain a transfer to a safe housing location, and that the number of self-harm event these offenders engaged in decreased once they were transferred to their coveted housing location.
ContributorsRaak, Jessica Leigh (Author) / Fradella, Henry F. (Thesis advisor) / Hepburn, John R. (Committee member) / Wright, Kevin (Committee member) / Arizona State University (Publisher)
Created2021
Description
Critiques of mass incarceration and its far-reaching effects have become a growing field of study in academia, drawing attention to the inequities and injustices created by prisons and the systems of white supremacy and patriarchy underlying the carceral logics of the prison. Prisons, as a form of social control, are not only to police and regulate individual bodies and spirits, but entire communities. While people of color are locked into systems of incarceration, their families (spouses, partners, parents, and children) are also caught up with the financial and emotional burdens of incarceration. This dissertation focuses on a population I call Mainline Mamas: Black women with relationship to prisons—through visitation or incarceration—while engaging with family, children, partners, and other women. Drawing on autoethnography and interviews with seven women who have navigated prisons as visitors, and some as incarcerated persons, this dissertation, therefore, interrogates how Black women are forced into a relationship with prisons, through incarceration and/or visitation, define, practice, and experience mothering. Our stories show how Mainline Mamas form communities as they navigate the entrenched hierarchies of the prison industrial complex. Mainline Mama, as a population, practice, and theory, is therefore a reimagining of possibility from the margins; a particular form of precarity that also searches for joy, family, and connection in the midst of a carceral state violence.
ContributorsHarris, Keeonna (Author) / Quan, H.L.T. (Thesis advisor) / James, Stanlie (Committee member) / Cheng, Wendy (Committee member) / Arizona State University (Publisher)
Created2021
DescriptionDo existing programs offered during incarceration successfully reduce recidivism rates in the United States and if so, how can criminology theories be leveraged to understand why?
ContributorsMorken, Maya (Author) / Hostal, Katherine (Co-author) / Samuelson, Melissa (Thesis director) / Korets, Lora (Committee member) / Barrett, The Honors College (Contributor) / Department of Economics (Contributor) / School of Civic & Economic Thought and Leadership (Contributor) / Dean, W.P. Carey School of Business (Contributor)
Created2022-05