Monitoring and enforcement of restitution orders

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  Collection of ordered restitution is important to maintain the credibility of the probation department (or other collection/monitoring agency).
  
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  Promising restitution through court orders without collecting and disbursing the funds leads to dissatisfaction of victims.
  

The study found that closer monitoring of offenders’ payments increased their compliance with restitution orders. Further, regular updates to victims about the status of their restitution accounts helps them feel better informed (Davis & Smith, 1993).
PROMISING PRACTICES FOR MONITORING AND ENFORCING RESTITUTION ORDERS

The following practices were identified through the project survey and literature reviews as crucial for effective monitoring and enforcement of restitution orders.

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  The restitution program designates a specific agency(ies) and assigns trained individuals within the agency to monitor and enforce offenders’ payment of restitution. This is clearly communicated to victims, offenders, and other stakeholders in the justice system and the community.
  
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  The restitution program defines and clearly communicates to offenders that payment of restitution is expected and will be treated as a priority by the monitoring agency.
  
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  The program holds offenders accountable for paying victim restitution (e.g., to a victim compensation or restitution fund) even when their crime is considered “victimless,” the identity of the victim of their crime is unclear, or the victim does not wish to receive restitution.
  
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  The restitution program uses monitoring and enforcement practices that increase the likelihood offenders will meet their restitution obligations, such as:
  
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  administrative and collaborative practices that keep supervisory staff informed of collections;
  
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  providing training for staff on monitoring and enforcing collections;
  
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  case management procedures for monitoring payments and encouraging offenders to pay their restitution obligations;
  

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  providing programs that increase offenders’ ability to pay; and
  
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  administering incentives for payment and penalties for nonpayment.
  
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  The program has procedures for monitoring and enforcement, collection, and disbursement of restitution payments across jurisdictional boundaries.
  

This chapter explores each of these practices using both survey data and program examples.
AGENCIES AND STAFF RESPONSIBLE FOR MONITORING AND ENFORCING RESTITUTION

Incarcerated Offenders

Often, incarcerated offenders are not held accountable for restitution payments while they are in custody, and only after they return to the community on probation or parole supervision are restitution orders enforced. However, Figure 6a shows the array of types of agencies responsible for monitoring restitution payments from incarcerated juvenile and adult offenders in those cases where restitution is collected while they are incarcerated. According to the survey responses, agencies most likely to have responsibility for monitoring restitution payments by incarcerated offenders were adult probation, juvenile probation, adult corrections, adult parole, and court clerks.

Besides the agencies shown in Figure 6a, survey respondents reported that pretrial diversion and tax collection agencies also monitored incarcerated offenders’ restitution payments in some locations.

Offenders in the Community

By far, the agencies most likely to monitor restitution payments by offenders in the community are adult and juvenile probation departments, as shown in Figure 6b. Besides those, adult and juvenile parole agencies, court clerks, prosecutors, victim/witness agencies, and courts also sometimes have responsibility for monitoring restitution payments of offenders in the community. Other agencies not shown in Figure 6b that respondents indicated were involved in restitution monitoring included diversion programs, restitution centers, and a private probation company. The following examples illustrate an array of agencies responsible for monitoring and enforcing restitution payments by offenders.

Highland County, Ohio Court of Common Pleas


In the Matter of:

Local Criminal Rule 10-A

. . . .[I]t is the finding of the Court that reasonable procedures for payment of restitution by convicted offenders should be adopted. . . . Therefore, it is the order of this Court that Local Criminal Rule 10-A be and is hereby adopted with regard to payment of restitution in all criminal cases in this Court, whether ordered as part of a sentence imposed upon a defendant, or as a term of probation, or as part of a plea agreement entered into between the parties and approved by the Court.

The provisions of said rule are as follows:

(A) Restitution ordered by the Court will be paid by the offender in a lump sum to the victim, unless the Court finds the offender is unable to do so solely due to his financial status.

(B) Periodic payments of restitution by offenders will be through the Highland County Prosecuting Attorney’s Office, Victims’ Restitution Escrow Account, to be established by that office.

. . . .

(D) The offenders who utilize said payment program will pay a fee of $5.00 for each payment to the Prosecuting Attorney’s Victims’ Restitution Escrow Account, which funds will be used by the offender [sic] to pay for expenses of maintaining records of said restitution, the Victims’ Restitution Escrow Account, postage, stationery, supplies and equipment needed to maintain said account, and payment of personnel for the time spent on such duties

Said fee will be deducted from each payment made, and the balance applied to restitution.

. . . .

(G) The Prosecuting Attorney’s Office is authorized to communicate directly with the offender regarding all restitution matters, including payments, balances, receipts, failure to pay, etc., unless the attorney for the offender notifies the Prosecuting Attorney’s Office, in writing, that he is counsel for the offender. Thereafter, all contact is to be made through that attorney as provided in the Code of Professional Responsibility. [italics added]

(H) Offenders making payments will be given receipts by the Prosecuting Attorney’s Office, and current balances will be maintained.

. . . .

Robert B. McMullen, Judge

The Court of Common Pleas in Highland County, Ohio entered a decision in 1994 placing responsibility for monitoring and enforcement of restitution payments with the Prosecuting Attorney’s Office. Exhibit 6a contains excerpts from this ruling.South Carolina Pretrial Intervention Program

Monitoring and enforcing restitution payments usually occurs through the prosecutor’s offices and probation and parole departments, but sometimes other programs have these responsibilities. South Carolina has legislated that pretrial intervention programs may be used to divert first-time nonviolent offenders from prosecution, and these agencies monitor restitution payments of offenders in the program. Regarding restitution to victims, the legislation (SC§ 17-22-140) stipulates that, “Prior to completion of the pretrial intervention program the offender shall make restitution, as determined by the solicitor, to the victim, if any.” According to materials prepared by the Ninth Judicial Circuit Pre-Trial Intervention program (David P. Schwacke, Solicitor), the charges that were filed against program participants are held in abeyance by the prosecutor as long as offenders are abiding by the program’s requirements. Upon successful completion of program goals, the criminal charges are dismissed and the person’s criminal record is expunged. Requirements for completion of the pretrial intervention program include:

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  payment of $350 in nonrefundable program fees ($100 application fee and $250 participation fee);
  
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  submitting to and successfully passing random drug tests, if required;
  
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  if unemployed, finding a job or enrolling in school full time;
  
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  actively participating in the program developed by the counselor or case manager;
  
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  attending a prison tour when scheduled;
  
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  remaining in the program a minimum of 90 days to a maximum of one year;
  
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  repaying victims for losses incurred as a result of the participant’s criminal behavior [italics added];
  
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  remaining free from further arrest while participating in the pretrial intervention program; and
  
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  remaining within the State until charges have been dropped, unless specific permission to travel has been granted by the pretrial intervention program.²