An Evidence-Based Approach to Corrections

Home , Corrections

An Evidence-Based Approach to Corrections “I will restore the basic principle that government decisions should be based on the best available, scientifi cally valid evidence and not on ideological predispositions of agency offi cials or political appointees.” —President Barack Obama, campaign speech during the Science Debate, 2008

Describe how corrections is part of the larger criminal justice system and how decisions made along the way contrib- 1 ute to case dismissals, convictions, and potential disparity. Compare and contrast both diversion and postsentencing options, and institutional- and community-based 2 corrections. Explain the key reasons for the rise in incarceration rates since the 1980s and the overall effect that it has had on 3 individuals, communities, and the crime rate. Analyze the relationships among mass media, public opin- 4 ion, and the making of correctional policy. Characterize the meaning of evidence-based practices and 5 why it is significant to improving the correctional system.

Source: © Visions of America, LLC/Alamy 1

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 1 111/15/111/15/11 4:494:49 PMPM INTRO HOW DO MEDIA SOURCES INFLUENCE PUBLIC PERCEPTIONS OF CRIME?

In January 2011, Representative Gabrielle Giffords a 9-year-old community visitor. Investigators said that welcomed members of the public at a constituent the incident was a deliberate, planned attempt to mur- event held at a local shopping plaza in Tucson, Arizona. der Giffords. There was also evidence to indicate that That morning, 22-year-old Jared Lee Loughner entered Loughner obtained a gun in advance; that he visited and opened fire using a 9mm Internet websites that encour- handgun. By the time Loughner DISCUSS Do the media cause or aged hate, violence, and anti- was apprehended, he had killed government extremism; and 6 people and wounded 13 oth- contribute to violence? Are the that he had a mental illness. ers. Representative Giffords media neutral in the reporting of The horrific shooting tragedy in suffered brain trauma and was violent incidents, or do they affect Arizona reopened the debate severely wounded in the attack. not only about gun control laws, Among those who died were people in other ways? How? What but also about the influence federal judge John Roll, one of impact do the media have on public of media exposure in certain Giffords’s staff members, and perceptions about crime in general? violent crimes.

▶ Corrections: An Integral Part of the CJ System

In the context of the criminal justice system, corrections is victim reports by phone or the Internet. Other than traffic enforce- an important component that follows the court process after ment, it is clear that the police rely on citizens to bring most crimes a defendant has been found guilty or that aids the court dur- to their attention. Then, based on the quality of this information, ing the process prior to the sentence. We begin first by briefly police can investigate further and then decide whether there is introducing how criminal cases get to court through the police. enough evidence to act. In less serious cases, such as exceeding the speed limit, police can decide to issue a warning or a citation . In more serious cases, such as domestic violence, an officer must Police arrest one or both defendants if there are visible injuries. When an When a crime is committed, a victim or witness reports the situa- arrest is made, the police drive the suspect to a city or county jail tion to the police . In serious cases, the police take the report in per- to be booked. In the most serious felony cases, the reporting officer son and may collect evidence or testimony. In less serious cases, the relies on detectives to spend the time collecting evidence.

What is the sequence of events in the criminal justice system?

Sentencing and Entry into the system Prosecution and pretrial services Adjudication sanctions Corrections Refusal to indict Charge dismissed Acquitted Appeal Habeas Pardon and Probation Grand jury corpus clemency Capital punishment Arraignment Trial Convicted Sentencing Revocation Felonies Unsolved Release Release Charges Charges Prison or not without without dropped dropped Guilty plea Out of system arrested prosecution prosecution or dismissed or dismissed (registration, Information notification) Reported Parole and observed Reduction Intermediate crime Investi- Initial Bailor of charge sanctions Revocation gation Charges Prelim- Out of system Arrest appear- inary detention Charge filed ance hearing hearing dismissed Acquitted Jail Crime

Information Arraignment Trial Convicted Sentencing Revocation Out of system Misdemeanors Guilty plea Prosec- ution Unsuccessful Probation as a diversion juvenile Out of system Diversion by law enforcement, prosecutor, or court Police Probation or other Intake Waived to nonresidential disposition juvenile criminal court Formal juvenile or youthful unit hearing offender court processing Adjudication Disposition Revocation Juvenile Residential offenders placement Informal processing Out of system Nonpolice referrals diversion Aftercare Released Released Released or diverted or diverted Revocation Note: This chart gives a simplified view of caseflow through the criminal justice system. Source: Adapted from The challenge of crime in a free society. President’s Commission on Law Procedures vary among jurisdictions. The weights of the lines are not intended to show Enforcement and Administration of Justice, 1967. This revision, a result of the Symposium on the 30th actual size of caseloads. Anniversary of the President’s Commission, was prepared by the Bureau of Justice Statistics in 1997.

FIGURE 1.1 Criminal Justice System Flowchart.

2 Chapter 1 An Evidence-Based Approach to Corrections

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 2 111/15/111/15/11 4:494:49 PMPM The police enforce the law, There are four main decision LEARNING Describe how correc- keep social order, and preserve OUTCOMES tions is part of the public safety for their particular points that prosecutors have: 1 larger criminal justice jurisdiction. For example, local system and how police have boundaries within initial case screening, charging, decisions made along the way a city or county, while state contribute to case dismissals, con- police focus on highways and plea offers, and case disposition. victions, and potential disparity. interstates within the state. A federal law enforcement agency court appearances are out in the community on a bond that GLOSSARY enforces laws in places that are secures their reappearance, or they are on some form of pretrial corrections The network of gov- considered federal areas (such supervision in the community. ernment and private agencies as national parks and post The pretrial release decision is made following arrest so that responsible for the pre- and post- offices) or enforces violations of conviction custody, supervision, defendants who qualify can be effectively released and super- and treatment of persons accused federal law (such as counterfeit- vised in the community prior to their next court date. This or convicted of crimes. ing or terrorism) anywhere in allows defendants to return to work or school and to prepare for the United States. In using their their defense, and it keeps local jails from becoming too crowded police Law enforcement officials discretion, the police truly are while a criminal case is pending. A risk assessment instrument who are sworn to uphold the law, the gatekeepers of the crimi- has been developed for the federal system to predict who would keep social order, and preserve nal justice system. Following an public safety. likely pose a threat to the public safety or likely not return for a arrest or a citation, the case later court appearance (Lowenkamp & Whetzel 2009). citation A police-issued ticket moves to the courts, which is ordering a citizen to pay a fine for the next social control agency. a minor law violation. ▶ Corrections as Community- booked When a suspect is identi- Pretrial/Courts Based or Institutional fied and fingerprinted in jail after being arrested for an alleged crime. The courts depend on the police’s Misdemeanor or first-time felony offenders may be offered ability to identify the right diversion. Upon successful completion of diversionary super- jurisdiction A predefined suspect and to collect enough vision, the offender’s charge is dropped and the individual geographic area. quality evidence, if needed, to does not have a formal record of conviction. If the offender dismissed When a case is corroborate the case. There are on diversion supervision does not comply with the conditions, dropped for lack of evidence and four main decision points that a formal execution of the sentence ensues and a record of the does not proceed any further. prosecutors have: initial case conviction remains. pretrial supervision The com- screening, charging, plea offers, The last two decision points for prosecutors are plea offers munity supervision of a defendant and case disposition. At the ini- that lead to a recommendation to the judge for case disposi- who has not yet been convicted tial case screening, prosecutors tion. Most defendants plead guilty, after which they are formally but is waiting for his or her next will likely dismiss cases if the sentenced by the court. A wide variety of sentencing options are court hearing date. evidence is weak or inadequately available within the correctional system continuum of sanctions. linked to that defendant for a The continuum of sanctions means that correctional supervision particular offense. Depending typically involves combining one or more options within the com- on the jurisdiction and the severity of the offense, between one- munity or an institutional setting to achieve more than one goal. third and one-half of all cases are dismissed. In cases of petty offenses and misdemeanors, a citation may be Prosecutors will go forward with charging cases in which issued for the payment of a fine. For nonviolent felony offenses, they believe there is enough evidence to hold the defendant community-based supervision may be an option, while for preda- accountable for the crime. A small percent of defendants (between tory felony cases, the focus may be achieving public safety. 1 percent and 5 percent) request a criminal trial Preadjudication and enter a plea of “not Diversion guilty,” in which case, the decision lies in the hands of a judge or jury. While the average criminal trial Victim Offender Problem lasts only one to three Deferred Mediation Solving Court days, the court’s dockets Probation are typically filled 12 to 18 months out, so a trial Community may not be decided until Restitution Drug Court Mental Health DWI Court 18 months after the initial Service Court arrest. During this time, defendants with pending FIGURE 1.2 Diversion Programs.

Corrections as Community-Based or Institutional 3

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 3 111/15/111/15/11 4:494:49 PMPM LEARNING Compare and con- Community OUTCOMES about 95 percent of trast both diversion Corrections % 2 and postsentencing 95 incarcerated prisoners will options, and Community corrections pro- be released someday, so we must institutional- and community- grams depend on correctional based corrections. resources available in the com- consider their reentry back into the munity to assist the offender community. GLOSSARY in seeking help and abiding diversion A form of commu- by certain conditions. The nity supervision for individuals philosophy behind commu- Institutional Corrections who have not been formally nity corrections assumes that Institutional corrections sentenced but who agree to house offenders in an institutional complete stipulations such as most offenders have made poor environment, apart from their community, friends, and fam- treatment or community service decisions along the way, but ily. Visits are restricted to weekends if at all. Institutional in exchange for having their their need to retain responsi- corrections operate under the philosophy that some people charges dropped. bility and/or change overrides need to be separated from the elements of daily life to protect their threat to public safety and others’ safety or to pay for their crimes by having their free- continuum of sanctions One or therefore they do not require more sentencing options within dom taken away. Jails are primarily for pretrial detainees who the community or an institution incarceration. Community cor- have not been convicted of a crime. Jails also detain people that can be combined with one rectional programs are more convicted of misdemeanors who are serving less than one year another to achieve a range of likely than jails and prisons to of time. Prisons are long-term institutions designed to house sentencing goals. offer rehabilitation programs convicted felons who are serving more than one year of time. that meet the offender’s court- Furthermore, about 95 percent of incarcerated prisoners will community corrections Court- ordered conditions. In addi- ordered supervision and treatment be released someday, so we must consider their reentry back while the offender remains at tion, the offender can enlist into the community. Only a very small number of offenders liberty in the community. the help of his or her family for are locked up permanently. Some of the programs pictured support. Forms of community in the orange boxes in Figure 1.3 can be used during stays of net widening When offenders corrections include probation, incarceration, on a case-by-case basis. receive a level of correctional restitution, electronic monitor- control or punishment that is ing, and day-reporting centers. greater than what they really Outpatient require, resulting in bringing At times, all of these add-on Treatment more people into the system. alternatives may be used to excess and thus offenders on Straight Probation institutional corrections probation are required to do Fines, Fees, and Incarceration of offenders in a jail or too much or to do more than Restitution prison, apart from the community. they need for adequate punishment. Had these programs Probation Day Reporting not been available, judges Center would have used straight probation anyway, but sometimes they have a tendency to use a sanction just because it’s Intensive Electronic there—not because it truly benefits an Supervision Monitoring/GPS offender. This principle is called net Probation widening . Community-Based Home Visits

Drug Treatment Probation Residential Sentencing Community Corrections Facility Halfway House Probation

FIGURE 1.3 Postsentencing Correctional Sanctions. Following sentencing, the judge decides whether the offender Jail Work Release Community Service is eligible for a community sentence. Note that the sanctions within the orange boxes can Institutional be used in conjunction with probation, parole, jail, and prison as long as they are related to the Prison Parole crime itself or the risk the offender poses.

4 Chapter 1 An Evidence-Based Approach to Corrections

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 4 111/15/111/15/11 4:494:49 PMPM ▶ Incarceration Rates % women now comprise nearly Despite recent declines in the use of prison, the U.S. incarceration 7 7 percent of the overall prisoner rate per 100,000 men and women remains the highest in the population in the United States. world, surpassing all other countries. While other countries have been relatively steady, U.S. rates were similar to other European countries until the 1970s, but beginning in the sentencing, support a view of racial bias in some jurisdictions. 1980s, the United States began to increase incarceration for Another view suggests that while young males across all racial drug offenders and lengthen sentences for repeat and violent groups engage in criminal offenses in their teens and early 20s offenders. The war on drugs had a pronounced negative effect (as suggested by self-report data), African-American males on increasing the percent of incarcerated women—who now engage in more violent felony offenses and continue offend- comprise nearly 7 percent of the overall prisoner population in ing behavior for a longer duration than males of other racial the United States. Tonry (2004) provided evidence that severe groups (Walker, Spohn, & punishment has had little effect on decreases in crime. Over the Delone 2012). A third obser- last 40 years, the United States reached a high of over 700 peo- LEARNING Explain the key rea- vation suggests that the war on OUTCOMES sons for the rise in ple per 100,000. This number is more pronounced and deeply drugs has worsened racial dis- affects Latino and African-American communities. 3 incarceration rates parities in that it has affected since the 1980s and Using arrest and incarceration as a control mechanism both men and women from the overall effect that it has had dates back to the end of the Civil War. Although slavery low-income, urban commu- on individuals, communities, and ended, many people of color were incarcerated for minor nities. These views by them- the crime rate. offenses and treated differently than Caucasians. Historians selves clearly do not explain contend that dehumanization and differential treatment was all cases, nor are they limited GLOSSARY simply transferred from slavery on plantation farms to pris- to African-Americans. History incarceration rate The propor- ons. Then it took a different form with regard to the southern shows that arrest and incar- tion of people in jail and prison states’ use of the convict leasing system. By the 1950s, African- ceration has long been a tool per 100,000 residents in a given area. Americans constituted about one-third of inmates admitted to control and limit the lives to prison (Mauer 1999). People of Hispanic descent have also of Native Americans, Latinos, economic mobility The likelihood experienced hardships with the criminal justice system on and, most recently, undocu- that individuals can rise and account of their heritage. mented immigrants (Walker, maintain a higher socioeconomic One perspective on why this is the case is that police may Spohn, & Delone 2012). status than they were born target people of a certain race/ethnic group more often than Racial disparities in cor- into, through employment and earnings. Caucasians and that increased police contact results in a greater rections continue to widen likelihood of an arrest for some people because of their race and affect entire communi- or ethnicity. Studies investigating the “driving while black” (or ties, many of which are poor “driving while brown”) phenomenon and various points in communities that lack political influence. The corrections the criminal justice system, such as the charging decision or system, especially incarceration, hinders economic mobility of individuals and their children and thus hinders their ability Despite recent declines in the use to move up the economic ladder (The Pew Charitable Trusts 2010). These disparities, in turn, reinforce stereotypes that of prison, the U.S. incarceration some people hold about dangerousness and who is perceived to be a criminal. It is precisely for these reasons that in this rate per 100,000 men and women book, one common underlying theme that runs throughout is remains the highest in the world, drawing attention to the history and contemporary situation of racial disparity and socioeconomic differences in the cor- surpassing all other countries. rectional system, where applicable.

Think About It... About 7.3 million people are currently under some form of correctional supervision in the United States. Of this number, 2.3 million are serving time in local, state, and federal institutions, like the women pictured here. These numbers don’t even count the estimated 20 million people with felony records and the millions of people who have misdemeanors criminal records but are not currently in the system. The grand total could be as many as 100 million people nationwide with a criminal record of Source: Rob Schoenbaum/ZUMA Press/ ()some kind (Cassidy 2010). Does knowing this change your perception of offenders? Newscom

Incarceration Rates 5

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 5 111/15/111/15/11 4:494:49 PMPM viewers think that they are getting information about public issues when, more often than not, they are simply gathering factoids that have no useful purpose in public debate

representative of the “real” judicial process. Few people actually understand the realities of sentencing options and the correctional process. Yanich warns that viewers think that they are getting information about public issues when, more often than not, they are simply gathering factoids that have no useful purpose in public debate.… But, the news system communicates them to make us think that they do. Who among us can take the time to deconstruct a news story about a violent crime when we are bombarded by images of victims, suspects, and yellow crime scene tape? FIGURE 1.4 Incarceration Rates between the United States and Europe. To understand that the reality that we are being shown is Source: Carr/MCT/Newscom designed to hold us as consumers until the next commercial break and not to inform us as citizens? The danger is that we think that we are being informed, when in fact, we are only being sold. (2004, 560) ▶ Media Influence on Public Research on media influence and crime indicates support Opinion and Correctional Policy for cultivation theory , otherwise known as the “mean world syn- The mass media provide us with global news, entertainment, drome.” Cultivation theory suggests that violence in the media, and education and has perhaps the greatest influence on how by itself, does not cause individuals to become violent. Rather, most people learn and develop opinions about various social repeated and cumulative exposure to violence eventually creates issues. The media also play a significant role in influencing pub- a sense of insecurity and irrational fear of violent victimization lic opinion and encouraging political involvement in the pun- and anxiety about certain types of people (Gorham 2006). This ishment of offenders. Public opinion on crime and punishment leads to a potential for widespread “moral panic” about child issues remain deeply rooted in television programs depicting abductions, child molestations, and homicide (Zgoba 2007). crime scene investigations, courtroom dramas, and scenes of The relationship between media and crime has other uses the agitated, difficult prisoner. News programs and newspapers as well, such as criminals who directly contact the media them- remain wedded to headlining only the most horrific crimes that selves to use writers and reporters to convey a specific message. have occurred that particular day, while at the same time ignor- Another way criminals may use mass media is to create or visit ing more common crimes (Dowler, Fleming, & Muzzatti 2006). websites to network with like-minded people. It is no wonder This creates a public perception that violence is random and why repeated exposure to extreme crimes leads the average frequent, while ignoring the true likelihood of victimization of person to become confused and fearful about crime in general. violence and its contributing factors. When it comes to public opinion on punishments and treatment Despite concerns about the economy, employment, educa- for people who break the law, the public seems to recognize that tion, health care, and dwindling social security, violent crime in the urban core dominates local news stations’ aims to increase ratings for a specific target audience (Yanich 2004). violence in the media, by itself, When it comes to discussing punishments for particular crimes, the media are not privy to attorney conversations does not cause individuals to about the lack of evidence that lead to possible dismissals, become violent. Rather, repeated charge reductions, and plea bargaining, so only the maximum possible penalty is reported. When the actual sentence is later and cumulative exposure to publicized, it is not surprising that citizens feel angered or disconnected with what they perceive as injustice. Being that violence eventually creates a crimes are rarely followed through the entire justice process, sense of insecurity and irrational people rely on what they see on the latest episode of Law and Order or read on the latest blog and personal website page as fear of violent victimization

6 Chapter 1 An Evidence-Based Approach to Corrections

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 6 111/15/111/15/11 4:494:49 PMPM certain types of offenders need local levels. These expensive approaches, coupled with our LEARNING Analyze the relation- community-based treatment or recent economic troubles, have led to budget shortfalls and OUTCOMES ships among mass shorter sentences (Applegate & underfunded community supervision programs left to super- 4 media, public opin- Davis 2006; Applegate, Davis, & vise a high number of clients. Despite increasing corrections ion, and the making Cullen 2009) than other types expenditures, recidivism rates remain high with about half of all of correctional policy. of offenders (Cullen, Fisher, & persons released from prison returning within three years. To GLOSSARY Applegate 2000). Public opin- complicate the problem, offenders cycle in and out of the justice mass media Broadcast and print ion on more extreme forms of system from the same communities that are also underserved forms of expression for consumer punishment, such as support and impoverished. news, education, and entertain- for the death penalty, is more ment, such as television, movies, strongly related to resentment internet, DVDs, video games, and the inability to connect with ▶ radio, books, newspapers, and racial minorities than to views Evidence-Based Practices magazines. on the moral decline of society The Bureau of Justice Assistance (BJA) started the Justice Reinvestment Initiative in 2006 to address these budgetary con- cultivation theory Repeated or fear of uncontrolled violence viewing and cumulative exposure (Unnever & Cullen 2010). cerns. In 2010 a National Summit was held and BJA was joined to violence in the media eventu- by nonprofit organizations such as the Pew Center on the ally creates a sense of insecurity Crime Control Policy States, the Council of State Governments Justice Center, and the and irrational fear of violent Public Welfare Foundation. In February 2011 the report from victimization and about people in Media influences and public the National Summit was released. The report concluded that the world in general. opinion are also related, in incarceration is a very high cost response with very low posi- part, to the formation of crime crime control policy A course tive returns on investment. Included in its recommendations control policy. Throughout the were that correctional programs become more cost effective by of action to respond to criminal book, you will consider phi- behavior in the best interest of using objective assessments to separate the offenders that pose losophies, practices, and pro- the public. the greatest risk to public safety from offenders who should cedures that are being used to be in community corrections programs that work. Technical implement crime control pol- assistance and financial grants were provided to states that used icy. Many of these policies were collected data to identify strategies to reduce costs and support developed in piecemeal fashion by state and federal legislatures the data analysis, policy recommendations, implementation, for responses to an immediate problem or in reaction to some- and measurement phases of the project. thing other states are doing. Crime policies in the United States The four-step Justice Reinvestment Initiative process is as appear to be distinctly different—more punitive—than crime follows: policies in other Western countries in the world. More punitive crime policies have led to responses that have 1. Analyze trends to understand factors driving jail and prison relied substantially on incarceration. This has caused correc- population growth. tional spending to increase faster than most other government 2. Develop and implement policy options to generate sav- budget items. Correctional spending is now the fourth largest ings—examples include respond to offender risks and line item in most states’ budgets after education, health care, needs based on sustainable, evidence-based approaches; and transportation (Vera Institute of Justice 2010). Annual develop new approaches to promote successful offender corrections’ costs accounts for over $173 billion at state and reintegration.

TABLE 1.1 1.1 Making Crime Policy: Why the United States Is Different.

United States Other Westernized Countries

Judges and Prosecutors Elected at state and local levels—influenced by Career civil servants—receive special training and politics and short-term terms remain there as a career Legislative Organization Vulnerable to voting according to party lines or Various parties are present according to what other states are doing Funding Reliance on federal funding; vulnerable to loss of Centralized single system federal funding; 50 state systems Sentencing and Release Decisions Micromanaged by legislators Managed by the courts and corrections system Legislative Style of Decision Making Political action committees; lobbyists; appeal to Rational decision making human emotions

Source: Derived from THINKING ABOUT CRIME: Sense and Sensibility in American Penal Culture by M. Tonry (2004) Oxford University Press.

Evidence-Based Practices 7

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 7 111/15/111/15/11 4:494:49 PMPM POSSIBLE OUTCOMES OF EBP IN CORRECTIONS

An outcome is a way to measure whether a program or practice works. Outcomes will differ for each program, and there may be separate outcomes for various segments of a single program. Goals are typically focused on the offender and may include the following:

• Reduced number of new crimes committed while on supervision • Increased number of drug-free days • Reduced number of new crimes after supervision • Increased number of days offender is working or employed while • Reduction in the number of people who stay out of jail and/ on supervision or prison • More effective assessments—matching risk and need with super- • Offender change in thinking patterns vision levels

3. Reinvest money saved back into selected high-risk communities and other prevention-oriented strategies. EBP challenges anecdotal 4. Measure the impact of policy changes and reinvestment evidence by requiring programs resources. to prove with statistical evidence At about the same time as the Justice Reinvestment Initiative began, the term evidence-based practices (EBP) also surfaced that what they do works. on the criminal justice scene. EBP is used in fields such as medicine, education, social work, and mental health. EBP allows academics and practitioners to come together with pro- another jurisdiction to work with the offender population or grams that work and make a difference on intended outcomes. risk funds going elsewhere to agencies that are adhering to In corrections, the chief concerns (and thus the intended performance-based outcomes. outcomes) are achieving public safety through no new crimes while on supervision and reducing offender recidivism after supervision. How to Determine What Works Before EBP, academic research may have been passed Evidence-based practice encourages academics to engage over as not necessary because practitioners may have felt in policy-relevant research, while at the same time, requires that they could tell what works based on years of experience agency practitioners to use programs that have been empiri- and anecdotal evidence. Some agencies had been reluctant cally shown through methodologically sound academic to try anything new or better because “this is what we’ve research to meet the intended outcome. So, only studies con- always done.” EBP challenges anecdotal evidence by requir- ducted with a strong methodology and those that have found ing programs to prove with statistical evidence that what a true difference are counted. This is harder to find than it they do works. If it doesn’t work, agencies are required to sounds as only a small percent of published studies meet all change to a curriculum or technique that has been shown in the criteria for a quality study.

General academic focus on rigorous and well-thought-out program Does It evaluations Determines what programs work, what Work? is promising, what does not work, and what is unknown

The specific applicationof the most Applying effective techniques within a program the The most effective ways for staff members to relate to offenders Techniques

FIGURE 1.5 Two Parts to Evidence-Based Practices.

8 Chapter 1 An Evidence-Based Approach to Corrections

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 8 111/15/111/15/11 4:494:49 PMPM Once a published study has been judged to be of high quality, or “rigorous,” it is considered to be part of the overall Using EBP techniques, however, score card kept on the results of each correctional program or is more specific to how treatment intervention. From there, a program needs a certain number of valid studies to be placed into one of four categories: what interventions are implemented works, what’s promising, what doesn’t work, and what we need to know more about. by practitioners when time and resources are limited. EBP Techniques The “what works” literature is more general in terms of correc- limited. Agencies are increasingly required to continue to add tional philosophies achieved (such as deterrence, rehabilitation, to the body of knowledge by measuring what they do and hav- and incapacitation), but it can also be targeted toward a specific ing an evaluator statistically examine their data. outcome (such as recidivism reduction). Using EBP techniques, The basis of applying EBP techniques in corrections however, is more specific to how treatment interventions are (pretrial or postconviction) begins with a valid assessment implemented by practitioners when time and resources are instrument to measure the level of risk the offender poses and

Inadequate for RIGOROUS Study if ALL Evidence-Based of These Exist Research if One or More Conditions Exist

Use of bivariate and multivariate statistical significance tests

Lack of quantitative statistical analysis Sample can be generalized to a larger population

Adequate sample size for each Sample size fewer than 40 group

Random assignment*

No comparison group Treatment group and an equivalent comparison group that has not been exposed to the program

Comparison group is too different from treatment group Significant difference was found between treatment and control group that can be attributed to the program

Valid and reliable measuring instrument

* True random assignment is rare in the social sciences, so there are plenty of quasi-experimental and matched group designs that are still considered rigorous.

FIGURE 1.6 How to Identify RIGOROUS Studies Used in EBP .

Evidence-Based Practices 9

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 9 111/15/111/15/11 4:494:49 PMPM LEARNING Characterize the problem areas (needs) that greatest gains in recidivism reduction. These factors include the OUTCOMES the meaning of should be emphasized with the following: evidence-based 5 offender during his or her sen- Antisocial attitudes, values, beliefs, and emotional states practices and why • tence. One of the most effec- (criminal thinking) it is signifi cant to improving the tive assessment instruments at correctional system. the current time is the Level • Pro-criminal associates and isolation from pro-social associates GLOSSARY of Service Inventory-Revised (LSI-R). Once the risk and Egocentrism, weak problem-solving and self-regulation skills Justice Reinvestment Initiative • A data-driven approach to encour- needs are accurately measured, • Criminal history correctional supervision and age states to reduce correctional • Familial factors (low levels of affection and cohesiveness, spending and reinvest savings treatment can commence. Risk poor parental supervision and discipline practices, neglect in strategies designed to prevent and needs assessments are also crime. States and localities col- used to make decisions about and abuse) lect and analyze data on factors prison custody level, housing, • Low levels of personal, vocational, and educational related to prison population growth and institutional release. achievement and costs, implement changes to Another technique of EBP • Substance abuse increase efficiencies, and measure is that intervention should both the fiscal and public safety be based on social learning Correctional treatment should actually target higher-risk impacts of those changes. and/or cognitive behavioral offenders. Intensive treatment for lower-risk offenders can evidence-based practices approaches . Treatment inter- increase recidivism. Correctional interventions for ventions should also match the Finally, how staff members relate to offenders is extremely which there is consistent and learning styles, abilities, and important to achieving lasting behavioral change. Staff should solid scientific evidence show- demographics of the offender. be well trained in criminal thinking errors, establishing rap- ing that they work to meet the For example, treatment inter- port, increasing offender motivation, and using positive intended outcomes, such as ventions that are gender reinforcement with rewards and incentives over the use of recidivism reduction. focused seem to be more effec- instilling fear through negative reinforcement. The quality of social learning Changing old tive than developing programs the visit or appointment is more important than the quantity. behavior through modeling new to help both men and women An EBP would also favor graduated sanctions over incarcerat- skills and desirable behavior. simultaneously. ing someone for violating his or her probation or parole. At least six states—California, Florida, Kansas, New Hampshire, cognitive behavioral Treatment interventions approaches Changing thinking should target risk factors that Pennsylvania, South Carolina—implemented evidence-based patterns and habits that lead are most closely associated practices for offender supervision in 2010. An additional to criminal behavior, such as with criminal behavior for the six states—Indiana, Iowa, Louisiana, Nevada, Oregon, and self-control, anger management, social perspective taking, moral reasoning, problem solving, and attitudinal change.

What Works What’s What Doesn’t What We Need Must have two or Promising Work to Know More more RIGOROUS At least one At least two evaluations About rigorous study rigorous studies showing Not enough showing that have reported significant research effectiveness or no significant difference on the conducted to a significant difference on the outcome between draw any difference outcome between the group exposed conclusions between two the group exposed to the program groups to the program and the group not and the group not exposed exposed

FIGURE 1.7 Uniform Criteria for Classifying Correctional Practices. Source: “Uniform Criteria for Classifying Correctional Practices” in PREVENTING CRIME: What Works, What Doesn’t, What’s Promising by L. W. Sherman, D. Gottfredson, D. MacKenzie, J. Eck, P. Reuter, & S. Bushway. Washington, DC: National Institute of Justice, 1997.

10 Chapter 1 An Evidence-Based Approach to Corrections

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 1010 111/15/111/15/11 4:494:49 PMPM Assess Risk & Needs and Link to Treatment Use Cognitive- Focus on High- Behavioral Risk Offenders for Treatment 3–9 Months

Make Rewards and Intervention Incentives—Use Specific to Gender, More Positive PRINCIPLES OF Culture, and Reinforcement EVIDENCE‐BASED Learning PRACTICES Styles

Routinely Collect Use Motivational and Measure Interviewing to Outcomes Build Rapport

Aid in Community Provide Feedback Reentry and Positive to Offenders, Staff, Social Networks and the Public

FIGURE 1.8 Principles of Evidence-Based Practices. Adapted from: Crime and Justice Institute (2004)

Virginia—are considering the use of evidence-based or best applying EBP techniques practices in the future. in corrections begins with a In conclusion, the complexity of public opinion, the inter- ests of the media, and the factors that influence passing or valid assessment instrument to not passing crime control legislation is indeed an important consideration as you read this book. Further, understanding measure the risk the offender the importance of using programs and strategies that work poses and the problem areas are a part of the evidence-based approach. We will refer to the two parts to EBP in this book as “does it work?” and “applying (needs) that should be EBP techniques.” A final goal of this book is to provide a base for that knowledge so you can intelligently engage in a discus- emphasized with the offender sion of both philosophies of punishment as well as effective during his or her sentence. and salient correctional strategies.

Evidence-Based Practices 11

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 1111 111/15/111/15/11 4:494:49 PMPM THE CASE Using EBP to Address Racial Disparities

Cases that are brought into the corrections system depend on charged with possession of drug paraphernalia were prosecuted, decision making that occurs beforehand. No one knows that better compared to only 59 percent of white defendants. Upon closer than Milwaukee County district attorney John Chisholm. Chisholm examination of the data, the disparity originated with differences in was interested in collecting and analyzing evidence-based data to perceptions between prosecutors. Prosecutors with less experience identify possible racial or ethnic bias in cases originating out of his aggressively prosecuted individuals arrested for possession of Wisconsin county between arrest and sentencing. The ultimate goal crack pipes but not individuals in possession of other forms of was to build public confidence in the criminal justice process and to paraphernalia. More experienced prosecutors decided against explain case outcomes from the courts to the corrections system. pursuing most drug paraphernalia cases, seeing them as too This was quite challenging because most case information in his minor and not worth the effort. Once the source of the disparity office was maintained as hard copy files, and none of it was kept was identified, District Attorney Chisholm encouraged his at any one agency. A team of experts listed key data that were junior prosecutors to view possession of paraphernalia as a necessary to assemble for each individual defendant to determine treatment issue that qualified for dismissal or diversion rather how a system operated during key discretion points in the process: than prosecution. He also implemented a policy that required arrest, initial case screening, charging, plea offers, and sentencing. prosecutors to seek a supervisor’s approval if they wanted to Data were entered in a single computerized database, not only by prosecute such charges. individual defendant, but also including multiple charges, some of Following that change in policy and practice, racial disparities in which were dismissed and others that were charged. The database possession of drug paraphernalia disappeared. also accounted for the various charges that may lead to different Source: McKenzie, W., Stemen, D., and Coursen, D. (2009). plea agreements and different sentences. Prosecution and racial justice: Using data to advance fairness in The data revealed a disparity in misdemeanor possession of drug criminal prosecution. New York, NY Vera Institute of Justice. Retrieved paraphernalia cases. About 73 percent of non-white defendants online from www.vera.org/centers/prosecution-and-racial-justice .

The case in Milwaukee County raises several interesting questions: 1. Given that district attorneys like Chisholm are elected to their position, what are the potential ramifi cations for one’s political career of doing a study such as this? Is Chisholm a change agent or is he destined to end his D.A. career prematurely? 2. Decisions made by prosecutors are considered to be one of the most infl uential in the system, yet these decisions are rarely scru- tinized. Should the scrutiny held to Milwaukee County prosecutors be expanded to other counties and even other states? 3. When it comes to issues of racial/ethnic disparity, how important is it that the public has confi dence in our criminal justice system?

12 Chapter 1 An Evidence-Based Approach to Corrections

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 1212 111/15/111/15/11 4:494:49 PMPM CHAPTER 1 An Evidence-Based Approach to Corrections

LEARNING Describe how corrections is part of the larger 4. If a case is dismissed, can the same case be OUTCOMES criminal justice system and how decisions made brought up for prosecution at a later time? If so, 1 along the way contribute to case dismissals, how? If not, why not? convictions, and potential disparity. 5. What circumstances about an offender’s past The three main social control agencies of the criminal jus- might make him or her a good candidate for pre- tice system are the police, the courts, and the corrections trial community supervision? system. The police are the gatekeepers of the system. corrections The network of government and private agencies The courts depend on the efficiency and professionalism responsible for the pre- and postconviction custody, supervision, of the police to determine whether the suspected law- and treatment of persons accused or convicted of crimes. breaker is the right suspect and whether this suspect broke police Law enforcement officials who are sworn to uphold the the law in the manner that he or she is being accused. law, keep social order, and preserve public safety. Corrections serve to carry out the sentence of the court. citation A police-issued ticket ordering a citizen to pay a fine for a minor law violation. 1. What role do local police play, if any, in racial booked When a suspect is identified and fingerprinted in jail and economic disparity in jails and prisons? after being arrested for an alleged crime. 2. How can prosecutors and/or judges correct jurisdiction A predefined geographic area. racial and economic disparities that exist in dismissed When a case is dropped for lack of evidence and their jurisdiction? does not proceed any further. pretrial supervision The community supervision of a defendant Do gender disparities exist in the corrections 3. who has not yet been convicted but is waiting for his or her next system? If so, where and how can these dis- court hearing date. parities be corrected?

LEARNING Compare and contrast both diversion and diversion A form of community supervision for individuals who OUTCOMES postsentencing options, and institutional- and have not been formally sentenced, but who agree to complete 2 community-based corrections. stipulations such as treatment or community service in exchange Corrections programs involve not only individuals for having their charges dropped. who have not yet been sentenced, but also misdemean- continuum of sanctions One or more sentencing options within ants and felons who have been formally convicted or have the community or an institution that can be combined with one pled guilty. another to achieve a range of sentencing goals. Offenders who are in jail or prison are separated from the community corrections Court-ordered supervision and treatment elements of daily life to protect the safety of others or to pay while the offender remains at liberty in the community. for their crimes by having their freedom taken away. net widening When offenders receive a level of correctional control or punishment that is greater than what they really require, 1. What factors determine if a case or an resulting in bringing more people into the system. offender is qualified for diversion and who institutional corrections Incarceration of offenders in a jail or makes the decision? prison, apart from the community. 2. Which crimes and/or offender situations would be best suited for community supervision, and why? 3. What crimes and/or offender situations would best qualify for institutional corrections, and why?

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 1313 111/15/111/15/11 4:494:49 PMPM LEARNING Explain the key reasons for the rise in incarcera- 2. If the United States has the highest incar- OUTCOMES tion rates since the 1980s and the overall effect ceration rates in the world, is it because 3 that it has had on individuals, communities, and Americans are just more violent or criminal the crime rate. than the rest of the world, or are there other The U.S. incarceration rate per 100,000 men and women reasons? If so, what? remains the highest in the world, yet incarceration is the 3. Why do incarceration rates have such a small most expensive option and yields only a small impact on the impact on crime rates? crime rate. 4. Can we build our way out of the crime problem Incarceration negatively affects the emotional mobility of enough to make a significant decrease in the individuals and can impact entire communities, especially crime rate? If so, how many people would those areas that are underserved and are composed primar- need to be incarcerated to make this differ- ily of families of Latino and African-American heritage. ence and at what cost? If not, what are Increases in the prison population since 1980 are related to other options? politicization of criminal behavior based on emotions, changes in sentencing laws for drugs and violent offenses, decreased incarceration rate The proportion of people in jail and prison rates of release on discretionary parole, and decisions made per 100,000 residents in a given area. about responding to parole and probation violators. economic mobility The likelihood at which individuals can rise and maintain a higher socioeconomic status than they were born 1. How much of the correctional system is a into, through employment and earnings. response to earlier decisions made by legislators, police, and courts?

LEARNING Analyze the relationships among mass media, pub- 3. If citizens are in support of alternatives to OUTCOMES lic opinion, and the making of correctional policy. prison, why haven’t we developed more pro- 4 Media sources inform public opinion of crime and grams and options in this direction? responses to it more often than learning experi- 4. What other ways exist to develop rational crime ences at school, home, or other settings. policies? Citizens are generally in favor of rehabilitation and preven- 5. If we continue down the same path of prison tion programs and support alternatives to incarceration expansion, how might other societal institutions when available. be affected? U.S. crime policy making is unique compared to other Westernized countries, due to its system of electing or mass media Broadcast and print forms of expression for consumer appointing state/local judges and prosecutors, legislative news, education, and entertainment, such as television, movies, inter- micromanagement of sentencing/parole, and state reliance net, DVDs, video games, radio, books, newspapers, and magazines. on federal funding. cultivation theory Repeated viewing and cumulative exposure Correctional policy trends may not be representative of pub- to violence in the media eventually creates a sense of insecurity lic opinion in the long-term, but they have affected the overall and irrational fear of violent victimization and about people in the expansion of the corrections system, the growth of women world in general. under correctional supervision, the incarceration rate, and crime control policy A course of action to respond to criminal the burgeoning cost. behavior in the best interest of the public.

1. What other ways do the media inform public opinion on social issues? 2. How have legislators been major definers of the “crime problem”?

14 Chapter 1 An Evidence-Based Approach to Corrections

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 1414 111/15/111/15/11 4:494:49 PMPM LEARNING Characterize the meaning of evidence-based 4. Is EBP seen as more demanding for offenders OUTCOMES practices and why it is significant to improving overall or as an intervention that is less punitive? the correctional system. 5 5. How is EBP different from the Justice EBP requires agencies to use programs that have Reinvestment Initiative? been empirically shown through methodologically sound academic research to work, thus becoming more effective over time at reducing recidivism. Justice Reinvestment Initiative A data-driven approach to encourage states to reduce correctional spending and reinvest Specific EBP techniques for lasting behavior change savings in strategies designed to prevent crime. States and include assessing risk/needs, using cognitive behavioral localities collect and analyze data on factors related to prison approaches, having a program duration between three and population growth and costs, implement changes to increase effi- nine months, targeting high-risk offenders, being responsive ciencies, and measure both the fiscal and public safety impacts to demographics of the population, using motivational inter- of those changes. viewing, and using rewards/incentives. evidence-based practices Correctional interventions for which It is important that EBPs are continually measured through there is consistent and solid scientific evidence showing that data collection, evaluation, and dissemination of that EBP prac- they work to meet the intended outcomes, such as recidivism tice or intervention so that minor adjustments may be made. r eduction. social learning Changing old behavior through modeling new 1. How does EBP help achieve public safety? skills and desirable behavior. 2. How is EBP different from correctional supervi- cognitive behavioral approaches Changing thinking patterns sion used two decades ago? and habits that lead to criminal behavior, such as self-control, 3. Is EBP applicable to correctional officers in anger management, social perspective taking, moral reasoning, prison who are tasked with supervision of problem solving, and attitudinal change. inmates but not treatment? If so, how? If not, why not?

MyCJLabMyCJLab Additional Links

Go to the Chapter 1 section in Visit the National Conference of State Legislature website and click on the “bookstore” tab to MyCJLab to test your understanding learn what criminal justice books legislative staff members are reading: www.ncsl.org. Check to see what correctional policies were a part of the 2010 legislative session in your state: of this chapter, access customized www.ncsl.org/default.aspx?tabid=20763 . study content, engage in interactive Visit the VERA Institute of Justice, Center on Sentencing and Corrections to review simulations, complete critical thinking recent legislative trends in reducing prison populations: www.vera.org/content/ and research assignments, and view continuing-fiscal-crisis-in-corrections. View The Mean World Syndrome —a video by George Gerbner and Michael Morgan, related online videos. about the effect of media violence on perceptions of the world using cultivation theory: www.youtube.com/watch?v=ylhqasb1chI&feature=related . A shortened explanation of this video is entitled Media as Storytellers: Nothing to Tell, but a Lot to Sell. Watch a short video explaining evidence-based practices from George Keiser, the division chief of the National Institute of Corrections: http:// nicic.gov/EvidenceBasedPractices. Listen to how EBP can be applied in community corrections and to treatment programs by scroll- ing down to the list of previous podcasts from July 6, 2009: www.corrections.com/podcasts .

AA_71048_ch01_ptg10_hr.4c.indd_71048_ch01_ptg10_hr.4c.indd 1515 111/15/111/15/11 4:494:49 PMPM