Lawrence W. Sherman’s Defiance Theory seeks to explain why punishment does not always deter crime. Instead of assuming uniform effects, Sherman argues that sanctions can produce three distinct reactions:
- Deterrence: PunishmentThe imposition of a penalty in response to an offense or crime, intended to deter, reform, or incapacitate. successfully discourages further crime.
- Irrelevance: Punishment has no effect on future offending.
- Defiance: Punishment actually intensifies deviant behaviour.
Key Points
Defiance Theory
Main Proponent: Lawrence W. Sherman
First Published: 1993
Country of Origin: United States
Core Idea: Sanctions can have three distinct effects: they can deter crime, have no effect (irrelevance), or provoke defiance—where punishment actually increases future offending by creating anger, humiliation, and alienation.
Key Factors Promoting Defiance: Perceived injustice, lack of respect for the punisher, weak social bonds, stigmatizing sanctions, feelings of rejection.
Foundation For: Restorative Justice Approaches (with John Braithwaite), PolicingThe practice of maintaining public order and enforcing laws through authorized institutions. Strategies, Courtroom Interaction Studies
Theory
Sherman’s theory builds on—but also critiques—the labelling approach and Braithwaite’s Reintegrative Shaming Theory. Like labelling theorists, Sherman is interested in the paradoxical effects of punishment, especially how it can produce resistance rather than compliance. But while labelling theory often focuses on the stigma of criminal labels, Sherman zeroes in on the emotional and social processes that convert punishment into angry defiance.
He argues that whether sanctions deter, fail, or provoke defiance depends on multiple conditions. Defiance, as Sherman defines it, is a state of angry pride that emerges when punishment is seen as unjust, humiliating, or illegitimate. Offenders who feel defiance may escalate their criminal behaviour in response.
What triggers defiance?
- Perception of unfair, arbitrary, or excessive punishment
- Disrespect or humiliation by the punisher
- Weak or alienated bonds with the community and authorities
- Stigmatization and exclusion, rather than reintegration
- Failure to evoke genuine shame or remorse
Sherman emphasizes that defiance is more likely when offenders do not respect the punisher, feel disconnected from the sanctioning community, or see punishment as discriminatory. This brings his theory close to Braithwaite’s notion that shaming must be reintegrative to avoid reinforcing deviant identities.
Empirical Patterns
Sherman argues that empirical studies show punishment is more effective (i.e. deterrent) for some groups than others. For example:
- Sanctions work better on employed men than the unemployed.
- They deter older offenders more than younger ones.
- Personality and social integration shape how punishment is received.
He suggests that these patterns reflect how punishment interacts with social bonds, legitimacy, and personal pride.
Defiance as a Social Process
Sherman also highlights the interactional dynamics between offenders and sanctioning authorities. For example, police, judges, or probation officers may impose harsher penalties if they perceive defiance or disrespect. In turn, offenders see this as unfair, intensifying their anger and sense of exclusion. This creates a vicious circle of escalating defiance and punitive reactions.
Infobox: The Defiance CycleDefiance Theory describes a feedback loop:
- Offender perceives punishment as unfair or humiliating
- Feels anger and injured pride („defiance“)
- Engages in further or more serious crime as a reaction
- Authorities respond with harsher punishment
- Offender perceives greater injustice, reinforcing defiance
This cycle can only be broken if punishment is perceived as fair, respectful, and legitimate—echoing Braithwaite’s emphasis on reintegrative shaming.
Implications for Criminal Policy
Sherman’s and Braithwaite’s work strongly influenced the development of Restorative Justice. This approach seeks to break the defiance cycle by avoiding stigmatization and focusing on respect, dialogue, and reintegration. Restorative Justice aims to:
- Hear the needs and perspectives of victims, offenders, and communities
- Facilitate mutual understanding and acceptance of responsibility
- Avoid humiliation, arbitrary punishment, and exclusion
- Promote reintegration and healing rather than alienation
Sherman and Braithwaite also argue that even within traditional systems, authorities should avoid unnecessary humiliation, arbitrary enforcement, and discrimination to prevent fostering defiance.
Critical Appraisal & Relevance
Sherman’s Defiance Theory has been praised for its integrative approach: it links empirical findings with psychological mechanisms, social bonds, and institutional practices. It provides a framework for understanding why some punishments deter while others provoke further crime.
However, Sherman himself later refined and critiqued the theory, acknowledging ambiguities in the concept of „defiance“ (emotion vs. behaviour). Critics also note challenges in operationalizing subjective perceptions of fairness or disrespect. Nevertheless, the theory remains highly influential for designing fairer, more effective, and more legitimate justice practices.
Literature
Primary Literature
- Sherman, Lawrence H. (1993). „Defiance, Deterrence, and Irrelevance: A Theory of Criminal Sanctions.“ Journal of Research in CrimeActs or omissions that violate criminal laws and are punishable by the state. and Delinquency, 30(4), 445–473.