Monetary Sanctions: Legal Financial Obligations in US Systems of Justice

Annual Review of Criminology

Vol. 1:471-495 (Volume publication date January 2018)
First published as a Review in Advance on October 13, 2017
https://doi.org/10.1146/annurev-criminol-032317-091915

Karin D. Martin,1 Bryan L. Sykes,2 Sarah Shannon,3 Frank Edwards,4 and Alexes Harris5

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Abstract

This review assesses the current state of knowledge about monetary sanctions, e.g., fines, fees, surcharges, restitution, and any other financial liability related to contact with systems of justice, which are used more widely than prison, jail, probation, or parole in the United States. The review describes the most important consequences of the punishment of monetary sanctions in the United States, which include a significant capacity for exacerbating economic inequality by race, prolonged contact and involvement with the criminal justice system, driver's license suspension, voting restrictions, damaged credit, and incarceration. Given the lack of consistent laws and policies that govern monetary sanctions, jurisdictions vary greatly in their imposition, enforcement, and collection practices of fines, fees, court costs, and restitution. A review of federally collected data on monetary sanctions reveals that a lack of consistent and exhaustive measures of monetary sanctions presents a unique problem for tracking both the prevalence and amount of legal financial obligations (LFOs) over time. We conclude with promising directions for future research and policy on monetary sanctions.

Keywords

monetary sanctions, fines, legal financial obligations

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  • Figures
  • Tables
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Figure 1  The proportion of convictions with sentenced fines among counties in all waves of the State Court Processing Statistics (SCPS), 1990–2009. Violent convictions are the solid line; property and drug convictions are the dashed line. Source: authors’ calculations of the State Court Processing Statistics.

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...the SCPS provides little evidence of a clear national trend in the sentencing of fines for felonies in the included counties. Figure 1 shows the proportion of defendants convicted of violent, ...

  • Figures
  • Tables

Table 1  Legal financial obligations and time to full payment for driving with a suspended license (Harris et al. 2016)

StateFineFeesSurchargesAdded chargesAmount due at sentencingTotal paid, $50 monthly, on-time paymentsMonths until paid
California$300–$1,000$4, incarceration costs$60–20012% interest, $946–$2,276$1,310–$3,480$1,310–$5,98331–120
Georgia$500–$1,000$0$405–$805NA$905–$1,805$905–$1,80519–37
Illinois$0–$2,500$310, incarceration costs$85–$1,022.50NA$395–$3,832.50$395–$3,832.508–77
Minnesota$200$3–$13$75$0$279.50–$289.50$279.50–$289.506
Missouri$150–$500$12, incarceration costs$19.50–$44.50$25$206.50–$582.50$206.50–$582.505–12
North Carolina$0-$200$125.50$35.504% interest$188–$388$214.52–$431.315–9
New York$200–$500$50$83NA$333–633$333–$6337–13
Texas$0–$500$62.10$0–$300$25$62.10–$862.10$87.10–$887.102–18
Washington$0–$1,000$200$25012% interest, $100 annual$450–$1,450$686.85–$2,222.8814–45

Abbreviation: NA, not available.

Table 2  The prevalence of survey items on monetary sanctions in national and state data

YearData sourceQuestionAnswer type
1972Survey of Jail InmatesDo you or did you have a lawyer or public defender and if so, did you or your family have to pay for the lawyer's services?Binary (Y/N)
1978Survey of Jail InmatesDid you have to pay for legal counsel?Binary (Y/N)
1979Survey of Inmates in State Correctional FacilitiesWhat type of disciplinary action taken: restitution?Binary (Y/N)
1983Survey of Inmates in Local JailsAre you in jail today because you could not afford to pay a fine imposed by the court? (does not include bail or restitution)Binary (Y/N)
1986Survey of Inmates in State Correctional FacilitiesWhat type of disciplinary action taken: fee/restitution?Binary (Y/N)
1988Survey of Inmates in Local JailsDid your sentence include any special conditions or restrictions, that is anything other than jail time, prison time, parole, or probation, like restitution to the victim?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		Does your sentence include any special conditions or restrictions, such as fines, court costs, restitution, community service, drug testing or treatment, or any other conditions?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		Do these special conditions or restrictions include a fine?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		Do these special conditions or restrictions include restitution?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		Do these special conditions or restrictions include court costs?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		Do these special conditions or restrictions include community service?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		Do these special conditions or restrictions include mandatory drug testing?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		Do these special conditions or restrictions include mandatory drug treatment program?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		Do these special conditions or restrictions include alcohol treatment program?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		Do these special conditions or restrictions include sex offender treatment program?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		Do these special conditions or restrictions include psychiatric or psychological counseling?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		Do these special conditions or restrictions include any other special conditions or restrictions?Binary (Y/N)
1991Survey of Inmates in State Correctional Facilities
Survey of Inmates of Federal Correctional Facilities		What were the specific reasons that your parole/other conditional release was revoked: failure to pay fines, restitution, or other financial obligations (e.g., child support)?Binary (Y/N)
1996, 2002Survey of Inmates in Local JailsDoes your sentence include a fine?Binary (Y/N)
1996, 2002Survey of Inmates in Local JailsDoes your sentence include court costs?Binary (Y/N)
1996, 2002Survey of Inmates in Local JailsDoes your sentence include restitution to the victim?Binary (Y/N)
1996, 2002Survey of Inmates in Local JailsDoes your sentence include other types of fees or monetary sanctions?Binary (Y/N)
1996Survey of Inmates in Local JailsIf yes, how much was the total dollar amount?Continuous
1996, 2002Survey of Inmates in Local JailsDo these special conditions or restrictions include community service?Binary (Y/N)
1996, 2002Survey of Inmates in Local JailsDo these special conditions or restrictions include mandatory drug testing?Binary (Y/N)
1996, 2002Survey of Inmates in Local JailsDo these special conditions or restrictions include mandatory drug or alcohol treatment program?Binary (Y/N)
1996, 2002Survey of Inmates in Local JailsDo these special conditions or restrictions include sex offender treatment program?Binary (Y/N)
1996, 2002Survey of Inmates in Local JailsDo these special conditions or restrictions include psychiatric or psychological counseling?Binary (Y/N)
1996, 2002Survey of Inmates in Local JailsDo these special conditions or restrictions include any other special conditions or restrictions?Binary (Y/N)
1997, 2004Survey of Inmates in State and Federal Correctional FacilitiesWhat were the specific reasons that your parole or supervised release was taken
away or revoked: failure to pay fines, restitution, or other financial obligations (e.g., child support)?		Binary (Y/N)
1997, 2004Survey of Inmates in State and Federal Correctional FacilitiesDid your sentence include court costs?Binary (Y/N)
1997, 2004Survey of Inmates in State and Federal Correctional FacilitiesDid your sentence include a fine?Binary (Y/N)
1997, 2004Survey of Inmates in State and Federal Correctional FacilitiesDid your sentence include restitution to the victim?Binary (Y/N)
1997, 2004Survey of Inmates in State and Federal Correctional FacilitiesDid your sentence include another type of fee or monetary sanction?Binary (Y/N)
1997, 2004Survey of Inmates in State and Federal Correctional FacilitiesDo these special conditions or restrictions include community service?Binary (Y/N)
1997, 2004Survey of Inmates in State and Federal Correctional FacilitiesDo these special conditions or restrictions include mandatory drug testing?Binary (Y/N)
1997, 2004Survey of Inmates in State and Federal Correctional FacilitiesDo these special conditions or restrictions include mandatory drug or alcohol treatment program?Binary (Y/N)
1997, 2004Survey of Inmates in State and Federal Correctional FacilitiesDo these special conditions or restrictions include sex offender treatment program?Binary (Y/N)
1997, 2004Survey of Inmates in State and Federal Correctional FacilitiesDo these special conditions or restrictions include psychiatric or psychological counseling?Binary (Y/N)
1997, 2004Survey of Inmates in State and Federal Correctional FacilitiesDo these special conditions or restrictions include any other special conditions or restrictions?Binary (Y/N)
1988–1989, 1990–1991National Pretrial Reporting ProgramSentence received: fine?Binary (Y/N)
1988–1989, 1990–1991, 1992–1993National Pretrial Reporting ProgramFine amount?Continuous
1990–1991National Pretrial Reporting ProgramCombined sentenced received: fine?Binary (Y/N)
1990–1991National Pretrial Reporting ProgramCombined sentenced received: restitution?Binary (Y/N)
1990–1991, 1992–1993National Pretrial Reporting ProgramSentence received: restitution?Binary (Y/N)
1990–1991, 1992–1993National Pretrial Reporting ProgramRestitution amount?Continuous
1992–1993National Pretrial Reporting ProgramSentence received: fine, restitution, and/or community service?Binary (Y/N)
1990–2009State Court Processing StatisticsFine imposed?Binary (Y/N)
1990–2009State Court Processing StatisticsFine amount?Continuous
1990–2009State Court Processing StatisticsRestitution required?Binary (Y/N)
1990–2009State Court Processing StatisticsRestitution amount?Continuous
2006–2015Annual Parole SurveyOn December 31, how many adult parolees supervised by your agency had a status of only having financial conditions remaining?Continuous

Table 3  County coverage in the state court processing statistics (SCPS), 1990–2009

CountyPercent of waves includeda
Maricopa, AZ; Los Angeles, CA; San Bernardino, CA; Broward, FL; Dade, FL; Cook, IL; Wayne, MI; Bronx, NY; Kings, NY; Shelby, TN; Dallas, TX; Harris, TX100
Pima, AZ; Orange, CA; Santa Clara, CA; Honolulu, HI; Essex, NJ; Philadelphia, PA80
Hillsborough, FL; Marion, IN; Montgomery, MD; St Louis, MO; New York, NY; Hamilton, OH; Tarrant, TX; Salt Lake, UT; King, WA70
Jefferson, AL; Alameda, CA; Fulton, GA; Queens, NY; Fairfax, VA; Milwaukee, WI60
Sacramento, CA; San Diego, CA; Ventura, CA; Orange, FL; Palm Beach, FL; Pinellas, FL; Baltimore (County), MD; Erie, NY; Monroe, NY; Suffolk, NY; Franklin, OH; Allegheny, PA; El Paso, TX50
San Francisco, CA; Nassau, NY; Montgomery, PA40
Contra Costa, CA; Riverside, CA; San Mateo, CA; DuPage, IL; Jefferson, KY; Baltimore (City), MD; Jackson, MO; Westchester, NY; Travis, TX30
Hartford, CT; Washington, DC; Duval, FL; Essex, MA; Suffolk, MA; Prince George, MD; Macomb, MI; Oakland, MI; Wake, NC; Middlesex, NJ; Cuyahoga, OH20
New Haven, CT; Middlesex, MA10

aAuthors’ calculations of the SCPS.

Table 4  Sentenced fines and restitution among counties included in all waves of the state court processing statistics (SCPS), 1990–2009a

CountyPercent of convictions with finePercent of convictions with restitutionMedian fine ($)Median restitution ($)
Maricopa, AZ40181,5511,580
Los Angeles, CA917308294
San Bernardino, CA1025306679
Broward, FL1654171,065
Dade, FL2433881,455
Cook, IL72680484
Wayne, MI72954876
Bronx, NYb70320NA
Kings, NY100323171
Shelby, TN721769603
Dallas, TX72148621,208
Harris, TX1118621,846
Full SCPS, all waves2012506400
National difference between SCPS 2009 wave and 1990 wave333810

aAuthors’ calculations of the SCPS.

bThe median restitution for Bronx, NY, is unobservable because no cases included in the SCPS reported a restitution sentence. Fines and restitution are expressed in 2016 dollars.

Abbreviation: NA, not available.

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