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U.S. Department of Justice National Institute of Justice

Research Program Plan Fiscal Year 1989

'------113180 U.S. Department 01 Justice Natlonallnstltute of Justice duced exactly as received from the This document has bee~ !epro olnts of view or opinions stated person or organization originating It. P thors and do not necessarily In this document are tho.s.e of the laC~es of the National Institute of represent the official posItion or po I Justice. . """j...hted material has been permission to reproduce thIs COI"'I' "''' granted by • P u b J i c DOroa..in+'N.LJ------;- =:_u...-Sr.-----D-8-pa-r-tment--G-f---:-J-U-&i;-~-C e to the National Criminal Justice Reference ServIce (NCJRS). Further reproduction outside of the NCJRS system requires permIs­ sion of the CGD~f;igllt owner. Research Program Plan Fiscal Year 1989

November 1988

NCJ 113180

N·CJRS

NOV 4 \988

AGQU.J.SiTIONS National Institute of Justice

James K. Stewart

Director

The Assistant Attorney General, Office of Justice Programs coordinates the activities of the following program Offices and Bureaus: National Institute of Justice, Bureau of Justice Statistics, Bureau of Justice Assistance, Office of Juvenile Justice and Delinquency Prevention, and Office for Victims of Crime. Foreword

Two decades ago, there was little or no strengthening their link to their systematic, objective infonnation avail­ communities. able on crime and criminal justice poli­ cies. Over the years, the National Institute • cut drug-related robberies and burgla­ of Justice has sponsored research that ries through police strategies to stop spurred an evolution of understanding of street-level traffickers. crime and its impact. Today, we recognize • offer judges intennediate punishments that the costs of crime are far greater, its that avoid the "prison or nothing" choice effects on victims more traumatic, and its through use of such alternatives as propor­ corrosion more widely spread throughout tionate fines, house arrest, electronic our society than we realized two decades monitoring, and restitution. ago. Insights provided by research have set in motion a rethinking of how we view • marshal resources beyond the criminal crime and criminal offenders. justice system-in the private sector and the community-to bolster safety and The accretion of such knowledge laid the solve specific crime problems. groundwork for a new direction in re­ search that has in the past 5 years acceler­ • measure the effects of various policies ated our momentum. Moving beyond the with far greater precision and understand­ limits of general surveys and descriptive ing of the costs and benefits of policy studies, the National Institute refocused its choices. efforts-away from studying institutions • develop and apply new tools of meas­ and toward research aimed at infonning urement to address our field of science policy and practice. and to collect far more accurate and real­ The value of research can be seen in the istic data. emerging policies that are making a • estimate the cost of not imprisoning difference in our ability to safeguard the high-rate offenders. public and concentrate scarce criminal justice resources where they will do the Research in the seventies confirmed the most good. Today, we have the potential existence of the career criminal, for to: example, and documented his specific impact. Following up on this important • cut the demand for drugs among crimi­ insight, the Institute supported surveys to nals through court-supervised drug gauge the impact of the high-rate offender testing. on crime and on criminal justice opera­ • reduce the chances of repeat violence tions. From this basic knowledge came against victims of spouse assault, and at the idea of focusing criminal justice re­ the same time lower the murder rate. sources selectively on career criminals and trying to differentiate more clearly • reduce the number of victims through between official records and actual crime new strategies for deploying police and iii ~------

rates. Today, the concept of the career efficiency. Analysis of police calls in one criminal and the high risk offender is major city, for example, revealed that in a firmly entrenched in criminology and I-year period over 50 percent of the criminal justice-a dramatic rethinking of repeat calls were from less than 3 percent policy and practice. Now research is of the addresses. By getting at the source examining ways to identify these offend­ of these calls, police can intervene to ers more accurately, moving toward the reduce this enormous drain on their recommendation of one recent study that resources. Research has demonstrated that concluded that public safety would clearly proactive problem-oriented policing can benefit from incarcerating a larger propor­ be effective in solving problems that tion of high-risk probationers and prison­ would otherwise lead to crime and disor­ ers, and for longer periods of time. der. The solutions are not restricted to police resources but have a wider applica­ Research also corroborated the link tion. The problem-solving approach between drug abuse and crime. We have reduced crime in targeted areas through known for several years that drugs accel­ solutions that drew upon a wide variety of erate an individual's crime rate from four public and private resources in Newport to six times what it is when the offender is News, Virginia, the real-world laboratory relatively drug free. Now, we no longer for the test. need to watch helplessly as drug-spawned crime vitiates entire neighborhoods. We These and other contributions are the can do something. Policies, informed by product of the increasingly fruitful empirical research, can make an enormous collaboration between practitioner and re­ difference without great cost or violation searcher. It has been gratifying to see the of individual rights. marked increase in the use of research by practitioners and policymakers and in the Recent experiments in Washington, D.C., working relationships between researchers and New York revealed that arrestees and practitioners that only rarely existed a using drugs were more likely to be re­ decade or so ago. arrested than those not on drugs. Manda­ tory, court-supervised drug testing repre­ The use of and involvement in research by sents a scientific, objective test for policy makers, I believe, emanates from distinguishing these high-risk defendants several important developments. from low-risk defendants. With these data, judges are in a position to decide First, crime and its consequences are far empirically the appropriate conditions for more important than many realize. The the pretrial period, including periodic costs of crime and criminal justice to our testing. society have become so great that we can no longer afford lIot to measure effective­ In the area of law enforcement, we have ness and assess consequences. Fiscal demonstrated various options for deploy­ limitations force tradeoffs that demand a ing forces with greater effectiveness and better understanding of the benefits and iv costs of various approaches. This crisis fication, to name just a few. This prob­ has created an opportunity for policy­ lem-oriented approach will help avoid the oriented research to help agencies work fragmented response of the past and smarter, not harder. Practitioners have assess how the policies of each criminal recognized the need for solid, objective justice institution can contribute its information, and researchers have em­ resources to reducing crime--our ultimate ployed their skills to respond to that need. objective. Second, we have moved far in creating a Fourth, we have made striking advances favorable climate for collaboration, in the methods of criminal justice re­ building understanding and respect search. In the past, we lacked the meas­ between those who design and conduct urement tools to disclose with precision research and those who set and carry out the benefits of changes in policy. Accord­ crime control policies. The National ingly, much research tended to report no Institute of Justice maintains a continuing difference or no measurable effectiveness. dialog with criminal justice practitioners Now, through experiments and more and policymakers to ensure that research sophisticated methodologies we can is attuned to the challenges they face and heighten the reliability of research find­ that the new information we gain is ings and the strength of our policy disseminated in the most accessible and recommendations. useful way. In the 1960's, field experiments in crimi­ Third, we have reorganized the way the nal justice were rare. They increased National Institute allocates its resources. somewhat in the 1970's, but it was not In the past, research funds were funneled until the 1980's that every area of crimi­ primarily to the three sectors of the nal justice policy making saw scores of criminal justice field: police, courts, and experiments completed and more in corrections. Each of these institutions had progress. its own set of problems, and these expen­ ditures undoubtedly improved their This year's Program Plan reflects the functioning. But this approach also tended National Institute's continuing interest in to compartmentalize our thinking and experimentation as a uniquely valuable information and to fragment our justice tool. More than any other type of re­ system. search, the expedment holds the promise of delivering the hard knowledge we need We have made a fundamental change, as to tackle fundamental issues and to evidenced in this Program Plan, to generate needed change. address the overarching problems that face not only the separate institutions but Ultimately, we need experimentation criminal justice as a whole: career crimi­ because it simply is too costly to adopt nals, drugs, victims, prediction and classi- new policies and new technologies without rigorous testing. Nor can we

v afford to continue to follow traditional similar circumstances do not, and what approaches without analysis and testing to factors intervene to cause individuals to see if they are working as we want them drop out of careers in crime. From this to. The unintended consequences of effort will come insights into more appealing but poorly researched policies successful ways to enforce good conduct. can be disastrous. Finally, one of the chief aims of the We are not yet at the level of the medical National Institute has been the develop­ profession where new treatments are ment of a corps of talented research always tested before they are introduced scientists to gather reliable data and solve for wide-scale use, but substantial prog­ problems. The sheer brain power now ress has been made in harnessing the mobilized for research against crime is power of the experiment for criminal immensely encouraging, and the National justice policymaking. Together, we have Institute of Justice will continue to nurture shown the credibility of research in this vital source of our progress. helping to understand many dimensions of criminal justice policy. The National Institute of Justice has guided a modest investment in research One of the most dramatic examples of the that has produced lucrative returns. New value of experimentation and the growing strategies to prevent and deter crime and influence of research is the Minneapolis streamline criminal justice operations Domestic Violence Experiment. By have paid for themselves in dollars and changing police policy, future violence cents-and, most important, in lives saved was reduced by as much as 50 percent. and communities rescued from the Three years ago, only 10 percent of large depredations of crime. urban police departments made arrest the official response to spouse assault. Today, The record of accomplishment shol.vs that nearly half the departments have instituted the field of criminal justice research and this policy, a dramatic shift that was development has advanced toward the spurred largely through research. critical mass capable of sustaining and expanding progress. Important work is also proceeding through prospective longitudinal studies In facing other threats to our national well of human development. These longer term being, we have relied upon research to efforts offer the advantage of building a guide our policies and practices. Medical comprehensive knowledge base that will practice today, for example, is reaping the help us understand not only why individu­ benefits of a continuing and expanding als commit crime but why others in Federal investment in health care re-

vi search. As medical researchers contrib­ heightened public concern, resource uted the great advances we have seen in constraints and difficult policy choices, the treatment of disease over the past 50 we need the continued involvement of years, the value of a sustained commit­ knowledgeable practitioners and skillful, ment to research was manifest. analytical researchers to produce the best information so individuals, our economy, Investment in justice research to date has and our society as a whole can prosper. been limited. In fact, the per capita investment in public safety research is 8 cents, compared to the $'36 allocated for health care research. This .is not surprising given the still early stage of development James K. Stewart of justice research as a recognized field of Director scientific endeavor. As we begin the third decade vf justice research, however, I believe we have demonstrated our ability to invest the funds entrusted to us wisely and effec­ tively. As we move toward greater reliance on experiments, we recognize the need to mobilize resources not only from the Federal Government, but from the private sector, national org!lnizations and private foundations to support this more costly type of research. But if we are to realize the added dimension of usefulness experiments can give us, we need a sustained and expanded commitment of resources. Then, criminal justice research can cross the threshold to major advances that will enable us to fashion new and more effective crime control policies. We are fortunate to have such momentum as we look toward the 21st century and the enomlOUS challenges we face in combating new forms of crime spawned by new technology. In presenting this Program Plan, we look forward once again to your creative ideas and well­ thought-out proposals. At a time of vii Contents and Application Deadlines

Foreword ..... u ...... iii Center for Crime Control Research ...... 45 Application procedures and requirements of award recipients ...... 1 Criminal careers and the control of crime ...... 47

Research Program Plan Single Cycle.' February 24,1989 Announcements: Drugs, alcohol, and crime ...... 52 Office of Crime Prevention and Criminal Justice Research ...... 9 Cycle 1.' January 25,1989 Cycle 2: May 3,1989 Apprehension, prosecution and adjudication of criminal Forensic science and criminal offenders ...... Ii ...... 11 justice technology ...... 59 Cycle 1: February 3,1989 Single cycle.' March 15, 1989 Cycle 2: June 2,1989 Offender classification and Public safety and security ...... 18 prediction of criminal behavior ...... 63 Cycle 1: January 27,1989 Cycle 1.' JanualY 18,1989 Cycle 2.' May 26,1989 Cycle 2: April 19, 1989

Punishment and control Violent criminal behavior ...... 68 of offenders ...... I, ...... 26 Cycle 1.' FebrualY 1,1989 Cycle 1.' January 13, 1989 Cycle 2: April 25, 1989 Cycle 2: May 12, 1989 Fellowship programs ...... 73 Victims of crime ...... u ...... 31 Visiting Fellowships ...... 73 Cycle 1: January 20,1989 Cycle 2: May 19, 1989 Single cycle.' FebrualY 17, 1989

White collar and organized crime ...... 36 Graduate Research Fellowships ...... 76 Cycle 1.' January 6,1989 Single cycle: February 17.1989 Cycle 2.' May 5,1989 Summer Research Fellowships ...... ,..... 80 Single eye/e.' February 3,1989

ix Other programs .•... ,...... ,...... 83 Organization of the National Institute of Justice ...... 90 Crime and Justice research volumes Criminal Justice Interdiction of Staff of the National Institute Retail Drug Trafficking of Justice ...... ,...... 91 Data Resources Program

Human Development and Criminal Peer reviewers u ...... 95 Behavior Program National Assessment Program Grant app~lcation forms ...... lOS National Criminal Justice Reference Service Professional Conference Series Research Applications Program Technical Assistance Program Technology Assessment Program

Applicants should be aware that the announcements of available funding contained in this plan are contingent upon the appropriation of funds by the Congress. Further, the amount of appropriated funds ultimately available will be determined after any sequestration under Public Law 99-177. the "Balanced Budget and Emergency Deficit Control Act of 1985. II

x Application procedures and requirelnents of award recipients

Program announcements projects will be limited in the type and number of products anticipated. Success­ Proposals submitted to the National ful proposals will clearly identify the Institute of Justice should respond directly nature of the grant products that can to one of the 13 Research Announcements reasonably be expected should they be described on pages 9 to 82.1 Prior to funded. expending the considerable effort neces­ sary to develop a competitive proposal, prospective applicants are strongly How to apply encouraged to "all the program managers listed in these announcements to discuss The following procedures are required for the appropriateness of possible research all submissions requesting research topics under their program area. sponsorship (unless otherwise specified in a particular program announcement). Projects that contemplate the provision of services in addition to research are Applicants should submit ten (10) copies eligible for NIJ support but only for the of their complete proposals by the dead~ resources necessary to conduct the re­ line established for their particular re­ search tasks outlined in the proposal. Ide­ search program: Submissions must ally, projects should have a national include: impact or have potential relevance to a Standard Form 424 number of jurisdictions. Projects that address the unique concerns of single A copy of this form (with instructions) is jurisdictions are likely to receive little attached at the back of this announcement. consideration. Please follow instructions carefully and include all parts and pages.2 Products

Each project is expected to generate 1. The Institute may publish additional solici~ tangible research products. These may tations during the year. These wHl be an­ nounced in the Federal Register and dissemi­ include articles in refereed scientific nated by the National Criminal Justice journals, policy-oriented journals, or in Reference Service (NCJRS). professional criminal justice publications. Machine-readable data used in NIJ 2. Please note the following Catalog of research are an important and increasingly Federal Domestic Assistance (CFDA) numbers valued research product. Other potential required by question 6a on Standard Form 424. products include 2,500-word summaries For all but Visiting Fellows and Graduate of research findings published by NU, Research Fellows applications, the CFDA conference presentations and papers, im­ number is 16.560. For Visiting Fellows plementation manuals, videotape training applications, the CFDA number is 16.561. For materials, and formal press releases. Most Graduate Research Fellows applications, the CFDA number is 16.562. 1 Budget narrative • A statement of the project's anticipated contribution to criminal justice policy and Budget narratives should list all planned practice. It is important that applicants expenditures and detail the salaries, briefly cite those particular issues and materials, and costs assumptions used to concerns of present-day criminal justice estimate project costs. Narratives and cost policy that stimulate the proposed line of estimates should be presented under the inquiry and suggest what their own following standard budget categories: investigation would contribute to the personnel, fringe benefits, travel, equip­ knowledge base for mar-Jng an informed ment, supplies, contracts, other, and choice among policy opti.ons. indirect costs. The total amount requested

must include the full amount of NIJ o A detailed statement of the proposed funding for this project. research design and analytical methodolo­ gies. Delineate carefully and completely All proposals should include in their the proposed data sources, data collection travel budgets $1,000.00 for each year of strategies, variables to be examined, and the project to pay for the costs of attend­ procedures of analysis to be employed. ing a 2-day Program Review Conference. The budget narrative should state that this • A description of the expected research is a "standard NIJ estimate to cover the products (reports, journal articles, data expense of travel to the annual Program sets, etc.). Review Conference." • The organization and management plan Oneupage abstract to conduct the study. Include a list of The abstract of the full proposal should major milestones of events, activities, highlight the project's purposes, methods, products, and a timetable for completion, activities, and when known, the including the time commitments of key location(s) of field research. Abstracts staff to individual project tasks. All grant should not exceed one page. activities, including writing the final report, should generally be completed Program narrative within 24 months.

A program narrative is the technical e The author(s) of the proposal should be portion of the proposal. It should consist clearly identified. of: Copies of vitae • A clear, concise statement of the issues surrounding the problem area and of the Vitae for the professional staff should research hypotheses or questions to be summarize education, research experi­ explored. A discussion of the relationship ence, and bibliographic information of the proposed work to the existing lit­ related to the proposed work. erature is expected.

2

L____ ~ Human subjects protection prior to the beginning of any research activity. Research with human subjects plays an vital part in expanding our knowledge Coordination about how to combat criminal behavior. It is essential, however, that research be per­ Applicants are expected to identify all formed without needless risk of distress other Federal, local, or private sources of and with the willing and informed coop­ support, includin~ the other Institute eration of research subjects. programs, to which this or a closely related proposal has been or will be Research or statistical information identi­ submitted. This information permits NIJ fiable to a participant in NU spor'~ored to consider the possibility of joint funding research is protected by statute from being and limits the possibility of inadvertent used in legal proceedings. duplicate funding. Concurrent submission to other agencies or other appropriate NIJ [S]uch infonnation and copies thereof programs is not discouraged as long as the shall be immune from legal process, and shall not, without the consent of proposal is directly responsive to each the person furnishing such infonnation, agency or program area where it is be admitted as evidence or used for any submitted. Each NIJ program's peer purpose in any action, suit, or other review process is independent and mul­ judicial, legislative, or administrative tiple submissions will not jeopardize the proceedings. likelihood of an award. [42 United States Code 3789gJ Deadlines In addition, the Institute has adopted the Proposals must be received by the dates U.S. Department of Health and Human and times specified in the individual Services Model Policy on Human Re­ program announcements. search Subjects. This policy requires that each institution engaged in NIJ research Page limit provide written assurances that it will No page limits are enforced. However, comply with these regulations as codified authors of proposals are encouraged to at 45 Code of Federal Regulations 46. keep program narratives to a reasonable Pursuant to that policy, each research length. Technical materials that support or project falling within the guidelines supplement the description of the pro­ established by the Department of Health posed research should be relegated to an and Human Services must be approved by appendix. the recipient's Institutional Review Board (IRB) prior to the initiation of the project. length of awards Approval by the lRB need not precede the submission of a proposal to NU but it The Institute limits its awards to a maxi­ must be given by the IRB and sent to NIJ mum period of 2 years. Studies requiring more than 2 years to complete should be

3 designed in phases. Support for the first areas of continuing interest. Because phase of a project, however, does not many research programs announce a wide guarantee support for subsequent phases. scope of research or multiple areas of Continuation proposals must undergo interest, a variety of research projects or competitive peer review prior to second approaches to a problem area are typically phase funding. funded. Legibility The Institute awards grants to, or enters into cooperative agreements with, educa­ Proposals that are miscollated, incom­ tional institutions, nonprofit organiza~ plete, or handwritten will be judged as tions, public agencies, individuals, and submitted or, at NIJ's discretion, will be profitmaking organizations that are returned without a deadline extension. No willing to waive their fees. National additions to the original submission are Institute of Justice programs support a allowed. wide variety of principal investigators and institutions. Excluding the Graduate Program budgets Research Fellowship Program, 295 separate awards were made under NIJ Except for the Visiting, Summer and competitive research programs between Graduate Research Fellowship Programs, 1982 and 1986. One hundred and sixty each program in this announcement is one different institutions received awards tentatively budgeted between $500,000 to and 220 separate individuals served as $1,000,000 for fiscal year 1989. Typi­ principal investigators. Educational cally, this amount supports from three to institutions received nearly half (144) of six awards per program. Actual funding these awards, private nonprofit institu­ allocations among programs are based on tions received 10 1, operational agencies the quality of the proposals received. 31, and profitmaking institutions and Average award amounts and total pro­ individuals were awarded 19 grants. gram budgets for the Visiting, Summer, NIJ expects that its competitive research and Graduate Research Fellowships are programs will continue to support a wide considerably lower and are described in variety of researchers and research the specific program announcements. institutions. Although there is some con­ centration of research awards in larger universities and in nonprofit organiza­ The NIJ review process tions, the Institute does not believe that good ideas or quality research are limited The Institute makes almost aU of its to these institutions. research awards on the basis of national competitions. The competitions may Peer review culminate in a single award for a defined research problem or in multiple awards in After all applications for a competition have been received, the Institute selects 4 three to five persons from the research Review criteria and practitioner communities to serve as The essential question asked of each the review panel for that program. These application is, "If this line of research experts are chosen for their research were successful, how would criminal experience and operational expertise, as justice policies or operations be well as for their knowledge in the substan­ improved?" tive areas covered by the competition. The individuals who served on NIJ peer Five criteria are applied in the evaluation review panels in the past 3 years are listed process: technical merit, understanding of on pages 95 to 104. the problem, importance of the research, qualifications of the applicant, and project The panel members read each proposal costs. received and convene in Washington, D.C., to assess the technical merits and Technical merits are judged by the likeli­ the policy relevance of the research hood that the research design would proposed. Their assessment of each sub­ produce convincing findings. Reviewers mission is forwarded to the Director of the take into account the logic and timing of Institute. the research plan, the validity and reliabil­ ity of measures proposed, the appropriate­ The review period normally takes 6 to 10 ness of statistical methods to be used, and weeks, depending on the number of the applicant's awareness of factors that applications received. Each applicant might dilute the credibility of the findings. receives written comments from the peer Applications must rate well on technical review panel concerning the strengths and merit in order to be evaluated under the weaknesses of his or her proposal. These remaining criteria. comments may include suggestions for how a revised or subsequent application to Applicants bear the responsibility of NIJ might be improved. demonstrating to the panel that the re­ search proposed is a contribution to the Under law, the Director has sole authority knowledge base in a given field and that for awarding grants. Thus, panel assess­ the body of research findings could ulti­ ments of the program submissions, mately contribute to a practical applica­ together with the Institute program tion in law enforcement or criminal manager's assessments, are submitted for justice. Reviewers will assess the appli­ consideration by the Director. At the con­ cants' awareness of related research and clusion of his review and after thorough their ability to point their research toward scrutiny of the proposed financial esti­ answering questions of policy or improv­ mates, the Director formally awards ing the state of criminal justice operations. successful proposals by signing the appropriate award documents. Applicant qualifications are evaluated both in terms of the depth of experience and the relevance of that experience to the 5 research proposed. Costs are evaluated in should pay particular attention to the terms of the reasonableness of each regulations in this document. individual item and in terms of the utility of the project to the Institute's program. The Institute awards grants and enters into cooperative research agreements, depend­ Research methodologies ing upon the degree of administrative control that it believes necessary in its The Institute supports a wide range of various research projects. Grants, which research designs and methodologies in­ constitute the majority of awards, give cluding simple descriptive studies and researchers considerable responsibility secondary data analysis. Experimental and discretion in project decisions. designs are strongly encouraged because Cooperative agreements are usually of their potential relevance to policymak­ awarded when the nature of the project ing and the strength of the evidence they suggests that frequent and continuing NIJ can produce. Proposals for field experi­ participation in project decisions is ments need to be sufficiently definitive to desirable. In either case, award recipients permit an informed review, yet suffi­ incur a number of responsibilities as part ciently open to the kind of revisions that of their participation in Govemment­ result from the extensive collaboration sponsored research. with operational agencies actually imple­ menting the experiment. Some of these responsibilities are high­ lighted below. Standards of Communications performance by recipients Project monitors should be kept informed of research progress. Written progress The National Institute of Justice expects reports are required on a quarterly basis. individuals and institutions receiving its All awards use standard quarterly report­ support to work diligently and profession­ ing periods-January 1 through March 31, ally toward completing a high quality April 1 through June 30, etc.-regardless research product. Besides this general ex­ of the project's start date. Progress reports pectation, the Institute must impose some need not be lengthy, but they should tell specific requirements to ensure that the monitor which tasks have been proper financial and administrative completed and whether significant delays controls are applied to the project. Finan­ or departures from the original workplan cial and general reporting requirements are expected. are detailed in an Office of Justice Pro­ grams document, "Financial and Adminis­ trative Guide for Grants." This guideline Timeliness manual is sent to recipient institutions Principal investigators are expected to with the award documents. Project direc­ complete award products within the tors and recipient financial administrators 6 timeframes that they have set for them­ project findings to the research and policy selves. The Institute recognizes that there communities. Two-thousand word articles are legitimate reasons-such as site appropriate for NIJ Reports or slightly startup delays and unexpected changes in longer presentations in the NIJ Research programs-for project extensions. It does in Brief series are examples of available not consider the assumption of additional mechanisms used from time to time to research projects that impinge upon communicate project findings to a wider previous time commitments as legitimate audience. reasons for delay. Projects with unreason­ able delays can be terminated administra­ Research agencies occasionally find it tively. In this situation, any funds remain­ worthwhile to give important research ing are withdrawn. Future applications findings to the media. In such instances, from either the principal investigator or the Institute requires that copies of press the recipient institution are subject to releases about NIJ research be sent to the severe scrutiny and may be denied support Institute at least 20 days in advance of the based on past failure to meet minimal actual release. This policy alerts the standards. Department of Justice public infonnatiQn office to possible press inquiries and en­ Publications ables the Institute to coordinate press coverage of Institute-sponsored research The Institute encourages grantees to findings. disseminate their findings through a variety of media such as professional Data sets journals, books, and conferences. Copies of such publications should be sent to the Copies of all machine-readable data sets project monitor as they become available generated in conjunction with Institute­ even if they appear well after a project's supported research must be provided to expiration. NIJ imposes no restriction on the Institute at the end of the project dissemination other than the following ac­ period, along with code books and docu­ knowledgment and disclaimer: mentation. This requirement is strictly enforced. Alternative arrangements This research was supported by require the explicit approval of the Direc­ grant number _ from the National tor at the time of award. Institute of Justice. Points of view are those of the author[s] and do not necessarily represent the position of the U.S. Department of Justlce. Depending on the nature of a project, a variety of alternative publication formats may be appropriate for disseminating

7 Research Program Plan Announcements

Office of Crime Prevention and Criminal Justice Research Apprehension, prosecution, and adjudication of criminal offenders

Crime has a dramatic detrimental impact released because of court orders to reduce on individuals and society. An estimated crowding. five out of every six citizens are in jeop­ ardy of being victims during their lifetime The criminal justice process is fraught and many are victimized more than once.! with competing interests, conflicting That impact is exacerbated when the theories, and varied discretionary prac­ response to crime by the criminal justice tices. Jurisdictions may present enormous system is seen by the public to be less variations in their apprehension, prosecu­ than effective. Citizens generally expect tion, adjudicatory and sentencing ap­ that the system will fairly and effectively proaches. These suggest significant apprehend, convict, and sanction criminal consequences to justice system policy in offenders. Such an effectively functioning terms of future public safety. However, system is not only a response to the the common central issue in the system's current crime problem but should also effectiveness in sanctioning serious of­ communicate the consequences of crime fenders is the establishment of a suffi­ to the criminal and thus reduce future ciency of evidence to determine gUilt victimization. beyond a reasonable doubt. While a criminal justice system perfectly While variation exists in prosecution effective in this regard is certainly not screening practices throughout the coun­ realizable in practice, improved effective­ try, a common reason among prosecutors ness in the sanctioning of those gUilty of for rejecting cases centers on evidence serious crime must remain a goal for the problems. Many cases are declined due to criminal justice system. Many crimes go insufficient evidence or to witness prob­ unsolved although research suggests that lems such as reluctance to testify, unclear most of the persisting criminals are or inconsistent statements, and failure to eventually caught.2 De facto decriminali­ appear. Given career criminal and high~ zation, such as no-charge or no-jail rate offender patterns, these evidentiary policies for certain property or narcotic problems can have a serious impact on offenders, may be the response of an over­ safety in our communities. burdened system. but such policies are not Evidence may take several forms: physi­ without a consequence to society. cal, documentary, and testimonial, and In current practice, for each felony crime each of these may present special prob­ cleared by arrest, four go unsolved.3 Five lems. Whatever the evidentiary form, the of every six atTests for felony offenses police present this information to the result in no conviction or conviction on a prosecutor for a determination of its sufficiency. The definition of insufficient ~~sser charge. Over 40 percent are dis­ missed at screening by the prosecutor or evidence may vary, with some prosecutors at the charging hearing by the court for willing to take more of a risk by flling insufficient evidence.4 Meanwhile, pris­ charges in a case that might prove com­ ons are crowded; and incarcerated, paratively difficult at trial. sometimes violent, offenders are being 11 r'"'""':'~''''~''~ I . l"",,: _____ .. :::'" The practice of plea bargaining continues eyewitness account. With a higher level of to be a controversial one. Public percep­ confidence in scientific evidence, the new tions of plea bargaining include the view challenge has become how to successfully that the criminal offender is receiving less integrate new technical advances into the than his "just deserts" and that the system system. is doing less than a good job. Many prosecutors would argue, however, that Within some jurisdictions problems some form of discretionary power, continue in regard to management issues. generally expressed by the phrase "plea For example, concerns exist regarding bargaining," is both endemic to the alternative methods for handling misde­ process and on balance beneficial to meanor cases or delays in the trial proc­ society's demand for justice. ess. Courts attempting to address this latter problem have prioritized criminal The State of Alaska continues a "no plea over civil matters, established speedy trial bargaining policy" instituted over 10 rules, initiated delay reduction programs, years ago,S and a number of prosecutors' developed alternatives to traditional offices in other States practice a similar adjudication, and instituted programs to philosophy. A district attorney in Califor­ enhance judicial resources. Successful nia, who implemented a policy restricting jurisdictions have found that enSUl.ing bargaining with charges and sentences, firm trial dates and maintaining continu­ states: "Many applauded the demise of a ous control of the case have been key system where criminals expected and got factors in addressing a delay problem.7 something for nothing with legitimate Case management problems remain, charges 'broken down' for the sake of however, in many jurisdictions that have expedience, and the sentences worked out been unable to implement or sustain in advance by the lawyers."6 Debate effective delay reduction programs. regarding plea bargaining-its purposes, effects, and the extent of its use--con­ A number of studies and reports suggest a tinue among both academicians and view of the criminal justice system as if it practitioners. were an enclosed but flexible system­ when pushed in one area, it reacts in Recent advances relevant to physical another in order to maintain some sem­ evidence may be able to make the differ­ blance of the status quo.s For example, ence in certain cases where testimonial reducing judicial discretion at sentencing evidence and a weak prosecutorial bar­ is said to increase the prosecutor's discre­ gaining position have been problematic. tion at charging. The prosecutor decides New fingerprint technology, the use of what a judge hears and the bounds uf his DNA as an identifier, the development sentencing. This discretion by the prose­ and application of voice print, and the use cutor may thus be the most powerful and of "artificial intelligence" in serial murder also the least informed by research. cases are among the forensic advances that do not rely on the often unreliable 12 ------

Scope example, independent pretrial services agencies provide magistrates with the Criminal justice policymakers, faced with means for deciding release conditions that what seems to be an obvious system are intended to ensure the defendant's overload, have attacked tile crime problem appearance in court and to reduce the risk in a variety of ways. Perhaps most notable of the defendants committing crimes at the local level have been those pro­ while on bail. \0 Laws have been passed by grams concemed with the concentration the States and the Federal Government to of resources on the apprehension and allow the detention CJf defendants at high charging of major felony offenders, and risk. NIJ is supporting a Bail Guidelines on improving police and prosecutor Study in Phoenix and Miami that provides coordination.9 magistrates with an assessment of the probability of a defendant's fai1ure-to~ Finding better ways to gather evidence appear or committing crimes while on lllcludes knowing what to look for and bail. Among the conditions be.ing tested where to find it. An NIJ extension of the is one using urine monitoring to VICAP Crime Analysis Study in Seattle is dctennine whether the use of drugs by focused on improving homicide investiga~ arrested defendants might aid the release tion. This research includes the develop­ decision. I I ment of a model statewide homicide information system and the identification These changes reflect a general consensus of critical "solvability" factors and salient that there are ways in which the "system" characteristics of homicides. Over 1,200 faUs short, The system is costly, and solved and unsolved Washington State varying k.vels of injustice, unfairness, and homicide cases between 1981 and 1986 lack of protection of the innocent are make up the data base upon which the perceived. In this overburdened system, analyses will be drawn. This research will the directions of most beneficial policy also provide police management with change are by no means self-evident. informatic;n necessary to allocate man­ Research has provided some solutions to power and investigative resources more aid the system such as better identification efficiently. Other research impacting on of offenders and assessment of their risk

evidentiary issues focuses on DNA as an to the community I or guidelines for judges identifier. This technology offers the to use in making pretrial release decisions. promise of the unique identification of offenders from the biological evidence Some recent attention focuses on evidence such as blood, semen, or hair they leave at problems which, as noted above, are a the scene of a crime. common reason for prosecutors to reject cases. Research in regard to methods of The criminal justice system has managed aiding victim and eyewitness recall of to cope with its overload by making events has been completed and additional changes in its administration of the pre~ work is ongoing. trial phase of the offender's career. For

13 Completed research has addressed the use and corrections information from the of a technique known as the cognitive Department of Corrections. These com­ interview, and also the forensic use of bined data systems will pennit tracking of hypnosis. The former approach offers a offenders from the 1977 sentencing period structured method for enabling a witness for subsequent crimes, and it will allow to recall an event from a variety of for an examination of the effects of perspectives and it is now being studied various sentences on subsequent with regard to children as witnesses. The recidivism thus providing judges with latter has been thought to enhance recall feedback information on the results of through the relaxed state of hypnosis. their decisions. Recent research suggests, however, that hypnosis does not increase recall-at least The following topic areas, although not intended to be complete in their coverage, not in the absence of emotion~laden memories. Current research continues to are presented as examples of research address this subject of facilitating eyewit­ themes that would fall within the general ness recall through a comparative exami­ scope of this program. Other areas and nation of hypnosis and the "cognitive issues of relevance to criminal apprehen­ interview" techniques with subjects who sion, prosecution, and adjudication may experience varying degrees of memory also be addressed. A primary concern is loss in stressful situations. the projected utility and generalizability of the research. A backlog of cases in the criminal court creates witness attrition and works to the Focusing resources on the most disadvantage of conducting a speedy and serious and perSistent offenders fair trial. Thus, research sponsored by NIJ A variety of apprehension and prosecution within the adjudication area has addressed programs and policies have been inaugu­ topics such as case processing, delay rated, which are aimed at removing from reduction in the trial and pretrial process, the community those offenders who pose the use of lawyers who volunteer as the greatest threat in terms of the fre­ judges to reduce case backlog, court quency and seriousness of their crimes. organization, and alternatives ~o the These include: traditional adjudication process. • Targeting police investigations on In the field of sentencing, NIJ research individuals who fit established criteria as has focused on sentencing guidelines and "career criminals" or "repeat offenders." such innovations as the "day fine" method. A current study of sentencing • Coordinating efforts between State effects is being undertaken as a joint and local agencies and the Federal effort of researchers and practitioners in Government. New Jersey. A comprehensive data set is • Coordination within a criminal justice being developed which merges a 1977 system-among police, pros.ecutors, and sentencing file of over 15,000 cases with jUdges-to realize the common goals of criminal history files from the State police justice and societal safety. 14 Studies thus might examine the relative relevant research is encouraged. How do effectiveness of enforcement and prosecu­ such alternatives compare to traditional tion schemes for prioritizing particular forms of adjudication? What would be the classes of criminals such as repeat offend­ results of an experiment involving a ers or major drug offenders, and might random assignment of misdemeanants to investigate methods for improved policy an alternative approach such as mediation coordination. or arbitration versus traditional case processing? Investigating and charging practices in the criminal case Investigation and enforcement procedures, Deadlines and particularly in regard to search and seizure further information issues, continue to be an important area in which research can continue to provide Ten (10) copies offully executed propos­ useful information. als should be sent to: Decisionmaking in regard to case screen­ Apprehension, Prosecution, and Adjudica­ ing, plea bargaining, and evidentiary tion Program issues and problems are also of interest National Institute of Justice under this request for proposals. 633 Indiana Avenue NW. Washington, DC 20531 Specific crimes and substantive topics that have prompted many police and prosecu­ To be considered, completed proposals tor agencies to establish specialized units must be received at the National Institute are also of considerable interest. These of Justice before 5 p.m. February 3, 1989, include the investigation and prosecution for Cycle 1, and before 5 p.m. June 2, of domestic violence cases, physical and 1989, for Cycle 2. These deadlines will sexual abuse of children, and drug cases. not be extended. Impact of reforms and innovations To obtain further information about this In the criminal justice system solicitation, researchers may write to Studies of effective reforms and innova­ Bernard Auchter, Program Manager, tions within the criminal justice system, Apprehension, Prosecution, and Adjudica­ particularly those that have been main­ tion Program, at the above address, or call tained over time, are of interest. him at 202-724-2952. Experimental studies are encouraged to discover the actual difference between References and various choices and strategies used in related grants police prosecution and judicial settings. The alternative dispute resolution area 1. Criminal Victimization in the United also remains as an area in which policy- States 1985, A National Crime Survey 15 Report, Bureau of Justice Statistics, May 10. "Development and implementation of 1987. bail guidelines: highlights and issues," John S. Goldkamp, National Institute of 2. Cohen, Jacqueline, "Incapacitation as a Justice, 1984. strategy for crime control," in Crime and Justice, University of Chicago Press, 11. "Drug Use Forecasting: New York 1983. 1984 to 1986," National Institute of Justice Research in Action, 1987; "Drugs 3. Uniform Crime Reports, 1975, 1985, and crime," NIJ Reports, National Insti­ and 1987, Federal Bureau of Investiga­ tute of Justice 1987. tion, U.S. Department of Justice. 87-IJ-CX-0056-Phoenix Repeat Of­ 4. Criminal Victimization 1985, n. 1 fender Experiment Program, The RAND above. Corporation. 5. See Alaska Bans Plea Bargaining by 87-IJ-CX-0052-The Use and Effective­ Michael L. Rubinstein, Stevens H. Clarke, ness of Hypnosis and the Cognitive Inter­ and Teresa J. White, National Institute of view for Enhancing Eyewitness Recall, Justice, July 1980. Institute of Pennsylvania Hospital. 6. Bradbury, Michael D., "Plea bargain­ 87-IJ-CX-0026-Improving the Invnsti­ ing: the carnival leaves the courthouse for gation of Homicide and the Apprehension good," Prosecutor's Brief, Fa111986. Rate of Murderers, Washington State 7. See "Caseflow management and delay Attorney General's Office. reduction in urban trial courts" by Barry 87-IJ-CX-0007-Drug Abuse and Mis­ Mahoney, Report to the National Institute conduct During Pretrial Release, Temple of Justice and the Bureau of Justice University. Assistance, May 1987; State Court Journal 9, 4, (Fall 1985); and others. 87-IJ-CX-OOOI-An Experiment on the Use of Day Fines in Criminal Court, Vera 8. See The Nature of System Change by Institute of Justice. Raymond T. Nimmer, American Bar Foundation 1978; "Order in the court: 86-IJ-CX-0046-Evaluation of Mental consistency in criminal-court decisions," Health Expert Assistance for Indigent by Shari S. Diamond in The Master Defendants, National Center for State Lecture Series, Vol. 2, Psychology and Courts. the Law, American Psychological Asso­ ciation, 1982; and others. 85-IJ-CX-4007-Reducing Avoidable Felony Case Attrition, Hindelang Crimi­ 9. "Criminal career research: a review of nal Justice Research Center. recent evidence," Joan Peters ilia in Crime and Justice 2, Universit.y of Chicago 85-IJ-CX-0051-Altemative Procedures Press, 1980. for Reducing Delay in Criminal Appeals, Justice Resources. 16 85-lJ-CX-0044-Reducing Trial Time, Nddonal Center for State Courts. 85-lJ-CX-0005--The Effects of Sen­ tences on Subsequent Criminal Behavior. State of New Jersey Administrative Office of the Courts. 84-IJ-CX-0077-Il11plcmcntution of Dclay Reduction Programs in Urban Trial Courts, National Cl.!nter for State Courts. 84-IJ-CX-0072-How Police and Prose­ cution Procedures AI'fcct Case Attrition Rates. The RAND Corporation. 84-IJ-CX-0056-Assessing the Utility of Bail Guidelines. Temple University. 83-IJ-CX-0008-Public Danger as a Criterion in Pretrial Release Decisions. Toborg Associates.

,"

17 Public safety and security

In addition to theil responsibility for the Issues of public safety and security are investigation of crimes and the apprehen­ growing concerns and may be a conse­ sion of criminals, police can playa very quence of past policies that limited police basic role as managers of a region's level primarily to responding to calls for of safety and security. Through proactive service. With such policy, police place efforts, police can serve as a catalyst in less emphasis on disorder and community developing a comprehensive approach to problems, which may result in increased the prevention and control of crime. fear of victimization. The public's con­ Strategies to reduce crime and fear may cern about crime is not unfounded and has require the effective coordination of an empirical basis in the fact that one actions involving the police, community household in four is likely to be victim­ groups, and other public and private ized by crime each year and the chances agencies that are concerned about quality of becoming a violent crime victim are of life issues. The emphasis here is on greater than the chances of being injured preventing crime and reducing fear in a traffic accident. During their lifetime, through cooperative efforts to deal with five out of every six Americans will be crime, disorder, and a variety of commu­ victims of a violent crime, and among nity problems. young black men in this country, homi­ cide is the leading cause of death. The One reason for forming governments is to lifetime risk of being murdered is as high provide citizens with protection. How­ as 1 in 30 among black males. 1 The nature ever. the demands for public safety often and patterns of crime and victimization exceed the government's capacity to deal have also undergone change. We now see effectively with perceived threats in the new kinds of victims and new kinds of community. As a result, many citizens crime, criminals, a~1d modus operandi, es­ experience an increasing sense of vulnera­ pecially as they relate to drug use and bility and are seeking alternative means of distribution. preventing and controlling crime. These alternatives include the use of private As the Nation nears the end of the 20th police, security devices, and participation century, the nature of crime, victimiza­ in citizen efforts to prevent crime and tion, and citizen fear presents a new and enhance criminal justice operations, e.g., unusual challenge to the institutions citizen patrols and Crime Stoppers responsible for law and order. Traditional programs. While police are part of the responses of current institutions are ill criminal justice system, private security is prepared to cope with the scope, depth, not. It has specific clients who view and variety of crime-related needs ex­ private security services as a better option pressed by citizens who view the threat of for meeting their special needs compared crime as one of the major problems in to raising taxes for more public police to their lives and in America. Accordingly, be distributed in neighborhoods far from research must help to support a more their tax base. meaningful and responsive crime control effort commensurate with the threats to 18 public safety and security. Many citizens view crime as one of the limits the economic and social mobility of major threats to their well-being. This the citizens who reside there.5 Fear of perception of threat has been enhanced by crime is generated not only through direct the link between drugs and crime and the victimization experiences but also through violence that drug trafficking often unreliable, second-hand information about engenders. Homicides, including those of crime that is communicated through a innocent bystanders, have increased variety of informal social networks. In dramatically in a number of urban areas addition, signs of physical and social where drug activity has become a way of disorder are major determinants of citizen life. EffOIts to establish and maintain fear of crime.6 Litter, graffiti, abandoned social control are seriously jeopardized in cars, loitering youths, and public evidence those settings when enterprising youth are of alcohol and drug abuse all convey a able to earn more in a few days engaging sense that things are out of control. Since in drug-related activities than working full many offenders are rearrested in the same time for a year as a fast-food employee.2 community after conviction and release from prison or while on bail awaiting t:ial, The impact of crime in a community is citizen fear is also impacted by justice experienced in terms of a variety of system policy that is directed at shorter economic and social-psychological sentences, probation, and community consequences. In 1988, our society will release programs for potentially danger­ spend more than $51 billion at all levels ous offenders. Therefore, strategies to of government on public crime control reduce fear need to address signs of efforts along with about $43 billion on physical decay and social disorder as well 3 private security protection. The direct as more direct efforts to prevent and costs of crime to victims are also signifi­ control crime. cant-estimated, for example, at a total of $13 billion in 1985. The most pervasive Research has highlighted the analogy impact of crime, however, is often social­ between society's response to social psychological in nature. For victims, fear problems dealing with crime and those is usually the most serious and enduring involving disease. Just as there is a need legacy of their experience with crime. For to focus on promoting health through others, fear often has a contagious effect prevention as well as curing illness, so too that spreads the negative impact of there is a need to enhance community criminal victimization. security through preventive strategies along with efforts to sanction crime when About two-fifths of the population express it occurs. Personal withdrawal from concern about being victimized, and 45 community life, the weakening of infor­ percent restrict their daily activities in mal social controls, and the decline in the order to reduce their vulnerabiIity.4 Not organizational and economic life of a only does fear limit citizen activities and neighborhood are all quality of life fea­ lifestyle but it also reduces opportunities tures that need to be addressed in an effort for economic growth, development, and to enhance community security. revitalization of neighborhoods and thus 19 NIJ research and evaluation efforts have social control as well as police activity documented the fact that many of the can influence a community's sense of established forms of crime prevention and security. 10 Studies of police operations policing have had limited effects in concerned with public safety have shown promoting community safety and security. how police can deal more effectively and In the past, reliance on individual citizen efficiently with citizen calls for service, actions and traditional forms of patrolling patrol deployment, and criminal investiga­ and police investigation were often tions. II Efforts to reduce fear of crime ineffective in reducing crime and the fear have incorporated innovative strategies of crime.7 that promote more positive and sustained interaction between police and citizens. 12 In large part this was due to the fact that Research that addresses crime and fear of citizen and police crime control efforts crime from a policy-oriented perspective were generally carried out as parallel and has also highlighted the effectiveness of somewhat independent sets of activities. identifying and responding to these A major theme that has emerged from problems through the coordinated use of research on the limited impact of these community resources. 13 past efforts is a recognitiot~ of the neces­ shy for co-production of community safety Since police work is evolving away from and security. NIJ research has helped to merely responding to calls for service and make clear that the level of crime, disor­ apprehending criminals, current NIJ der and fear in a community is determined research is giving special attention to by the action of citizens, police, and other various means by which police and citi­ municipal agents and groups in the private zens can work together more effectively sector. There is a growing recognition that in identifying problems that merit a prior­ both crime and the fear of crime need to ity focus within particular neighborhood be addressed in a more comprehensive, settings as well as the strategies that are collective, and coordinated manner. most likely to be effective in dealing with these problems. Studies are examining the organizational structure and policies of Scope the police that facilitate a more problem­ oriented approach to community problems Research has demonstrated how a com­ and that enable the police to utilize a prehensive focus on citizen, police, and greater variety of resources in dealing environmental strategies can help to with problems of crime and fear. This reduce crime and fear in urban neighbor­ includes the use of new forms of technol­ s hoods. Specific forms of physical and ogy and policing procedures. In addition, social disorder have also been identified the National Institute is supporting the as major sources of fear with attention Executive Session on Policing at Harvard given to means of mobilizing communi­ University, which is examining the nature 9 ties to deal with these problems. Re­ and implications of major changes in search has also shown how informal policing. Several important topics have 20 been addressed through this forum, by cooperative efforts with other public including new forms of policing and agencies and with private sector resources addressing the fear of crime. 14 rather than solely within a law enforce­ ment framework. Co-production strategies This solicitation requests proposals that to enhance public safety and security are identify new ideas for research or that particularly important because this build on the results of past research. Of approach can be effective in reducing specific interest are proposals concerned crime and its impact on community life. with "co-production" of community safety Within law enforcement, police have and security in terms of developing more begun to experiment with a number of useful and effective means of integrating proactive approaches to crime problems. citizen, police, and other public and Of special interest here are th~ strategies private sector resources in order to reduce that police can use to promote co-produc­ crime and the fear of crime. In addition, tion of public safety and security and the there is interest in improving the effec­ implications of this approach for police tiveness and efficiency of police services organization, management, and service and operations that impact on public operations. safety and that influence public support and satisfaction with the police. This Other issues that merit special attention includes, but is not limited to, new or include procedures that police can use to improved proactive problem- and commu­ analyze the range of existing community nity-oriented approaches to crime control problems in order to identify those that by police, private security, community are most amenable to a coordinated, groups, and other public institutions, in problem-solving approach. Strategies that order to identify those strategies that are are effective in dealing with particular most effective in reducing fear, victimiza­ kinds of problems also need to be ad­ tion, and their destructive impacts on dressed in order to develop meaningful society. forms of proactive policing. Methods that police can use to mobilize other municipal The following research topic areas, while resources in order to provide a more not intended as an exhaustive list, identify comprehensive approach to community some issues of particular concern and the safety and security also need to be exam­ direction in which research and action are ined as well as law enforcement strategies moving. dealing with drugs and crime that effec­ Co-production of public tively incorporate the actions and re­ safety and security sponse of both the public and private sectors of the community. Traditional policing consists largely of reactive responses to calls for police A focus on the public's role in co-produc­ services. However, there is a growing ing safety and security is also of interest, recognition that certain kinds of public with a special emphasis on the develop­ safety problems can be better dealt with ment of more effective means of integrat- 21 ing community responses to crime and between police and the private security fear with those of the police, other mu­ industry as they deal with crime problems nicipal agencies, and the private sector. in commercial and residential settings. Research that examitlles the community's Evaluations of the effectiveness of private role and responsibilHy in dealing with security operations on crime displacement major problems linked to drugs and crime and deterrence and case studies of suc­ within specific neighborhoods is of cessful projects such as the Oakland particular interest. center city project are also of interest. 16 Research is needed to assess various Pollee efficiency and effectiveness strategies that community groups can use Research that can be useful to police both to determine specific community concerns in carrying out traditional police services about public safety and security and to as well as some of the newer forms of promote more proactive forms of commu­ policing is encouraged. Reduced re­ nity crime prevention. This could include sources mean that police should be helped public support for the development and to work smarter, not necessarily harder, implementation of more effective security and research can be useful here. For ordinances or the innovative use of example, the Institute has funded several various forms of code enforcement (e.g., efforts aimed at applying computer tech­ housing, trespass, etc.) to deal with nology to ease and simplify police man­ special neighborhood problems, including agement, planning, and reactive opera­ those related to drugs and crime. tions. The PISTOL project in St. Peters­ Limited public funding fot police is burg, Florida, which seeks a paperless beginning to create vacuums of police police information system using lap and service, which are being addressed more personal computer technology, is but one and more by private security. The example. In addition, computer mapping Hallcrest Report, which was based on of crime pattems at specific locations 1979 data, reported an annual growth rate allows the police and the community to be of 15 percent for private security along more effective in dealing with particular with U.S. Department of Labor figures concerns about public safety and security. projecting higher growths of nevi jobs in The use of these tools in innovative private security. This study also reported programs provides departments with the the lack of firm and ongoing relations potential to use manpower more effec­ between public and private security tively in dealing with a variety of commu­ forces. 15 Of special interest are studies nity problems. Computer~based "expert" that assess the use of public and private systems, such as that being investigated sector resources to provide more proactive for burglary by the Baltimore County forms of crime prevention as well as more Police Department, can also provide more efficient strategies to deal with chronic efficient and effective police operations. security concerns. Research is also needed Projects that examine and test procedures to develop more effective means of for improving police efficiency and collaboration and information-sharing 22 effectiveness in reducing crime and fear Ten (10) copies ofjully executed propos­ are of interest, especially those that relate als should be sent to: to major problems involving drugs and crime. Fear of crime studies in Newark, Research Program on Public Safety and New Jersey, and Houston, Texas, and Security problem-oriented policing (POP) research, National Institute of Justice such as that in Newport News, Virginia, 633 Indiana Avenue NW. are revealing new ways to save police Washington, DC 20531 resources and to use them more Completed proposals must be received at effectively. the National Institute of Justice no later than 5 p.m. on the dates specified for each cycle. This program's first cycle deadline Deadlines and is January 27, 1989. The second cycle is further information May 26, 1989. Extensions will not be granted. A variety of research designs and method­ ologies will be considered eligible under Applicants are encouraged to contact the this program, including evaluations of Institute to discuss topic viability or existing programs, field experiments, and proposal content before submitting their those research projects aimed at the proposals. To obtain further infonnation, development and testing of new strategies. potential applicants may contact George Since the National Institute of Justice is Shollenberger at 202-724-2956. only authorized to support research, projects that deal with training or other operational activities are not eligible References and under this program. related grants Proposals must include a one-page ab­ 1. Bureau of Justice Statistics, Report to stract of the project and contain clear the Nation on Crime and Justice, second definitions of the problem(s) to be ad­ edition, 1988. dressed and a discussion of the related research. They must identify the key 2. New York Times Magazine, June 12, research variables showing their relevance 1988. to crime control, victimization and improved public safety, security and 3. William Cunningham and Todd Taylor, quality of life. Applicants must also The Hal/crest Report: Private Security provide detailed descriptions of their and Police in America, Chancellor Press, proposed research designs, including their 1985. data sources, data collection methods, and 4. Report to the Nation, n. 1 above. analysis plans. Letters of cooperation should be furnished from data sources. 5. James K. Stewart, "The urban strangler," Policy Review, 1986. 23 6. Wesley Skogan, "Fear of crime and the National Institute of Justice. The first neighborhood change," in Communities three papers published were George L. and Crime, University of Chicago Press, Kelling, "Police and Communities: the 1986. Quiet Revolution"; Mark H. Moore, Robert C. Trojanowicz, and Kelling, 7. Joan Petersilia, The Influence of Crimi­ "Crime and Policing"; and Moore and nal Justice Research, RAND Corporation, Trojanowicz, "Policing and the Fear of 1987. Crime," all June 1988. 8. F. Fowler and T. Mangione, Neighbor­ 15. Ha/lcrest Report, n. 3 above. hood Crime, Fear and Social Control, National Institute of Justice, 1982. 16. A.J. Reiss, Policing a City's Central District: The Oakland Story, National 9. D. Lewis, Reactions to Crime, Sage, Institute of Justice, 1985. 1981. 88-IJ-CX-0003-Impact of Crime on 10. S. Greenberg et al., Informal Citizen Neighborhood Business Viability, North­ Action and Crime Prevention at the eastern University. Neighborhood Level, National Institut~ of Justice, 1985. 87-IJ-CX-0006-The Community Patrol Officer Program, Vera Institute of Justice. 11. William Spelman and Dale Brown, Calling the Police, Police Executive 87-U-CX-OOIO-Evaluation of Commu­ Research Forum (PERF), 1984; John Eck, nity Crime/problem Resolution Through Solving Crimes, PERF, 1983; and R.C. Police Directed Patrol, Research Manage­ Larson and M.F. Cahn, Synthesizing and ment Associates. Extending the Results of Patrol Studies, National Institute of Justice, 1985. 87-IJ-CX-0055-Neighborhood Ori­ ented Policing, Houston Police Depart­ 12. A. Pate et al., Reducing Fear of Crime ment. in Houston and Newark, Police Executive Research Forum and National Institute of 87-I1-CX-0062-Evaluation of Justice, 1986. Madison's Experimental Police District, Police Foundation. 13. John Eck and William Spelman, Problem-Solving: Problem-Oriented 86-IJ-CX-0008-Improving Police Ef­ Policing in Newport News, Police Execu­ fectiveness in Police-Citizen Interactions, tive Research Forum and National Insti­ Police Foundation. tute of Justice, 1987. 86-IJ-CX-0037-Repeat Complaint 14. See Perspectives in Policing, a series Address Policing (RECAP), Crime of policy discussions at the Executive Control Institute. Sessions on Policing, John F. Kennedy 86-IJ-CX-0074-Mapping Crime in Its School of Government, Harvard Univer­ Community Setting, Chicago Police sity, sponsored in part and published by Department. 14 85-IJ-CX-0070-Downtown Safety, Security and Economic Development Program: Phase IV, Regional Plan Asso­ ciation, New York City. 85-IJ-CX-0074-Disorder, Crime, and Community Decline, Northwestern University. 84-IJ-CX-004(),-Crime Analysis Proj­ ect, Police Executive Research Forum.

25 Punishment and control of offenders

The 1980's have witnessed a reduction in mediate sanction option strong face victimization for all types of violent and validity. But the need exists for better property crimes. There are probably classification systems that will minimize several reasons for this decline. Changes the risk of future offending by matching in the age composition of the popUlation defendants/offenders to appropriate levels and crime prevention efforts may have of supervision. reduced victimization. But the decline in As criminal justice administrators con­ crime rates may be associated with tinue to cope with the critical issues of changes in punishment and control of prison and jail crowding, the involvement offenders: the number of convicted felons of the private sector in the field of correc­ now imprisoned is greater than ever tions is becoming more visible. Although before in our Nation's history. Between prison construction bonds have been 1980 and 1987, the U.S. prison population approved by voters in some States, the increased from 329,122 inmates to scarcity of public resources and the 581,609. 1 expanding needs of correctional agencies What is clear is that crime remains a have led other States to consider the use central concern of the public, and citizens and cost effectiveness of the private sector are demanding that criminals be treated as a service provider. The President's more punitively. Offender control is Commission on Privatization reports that especially important in view of continuing the United States is experiencing a crowding in many of our prisons and jails. renewed interest in the systematic exami­ Correctional authorities have, therefore, nation of the boundary between public been experimenting with methods of and private delivery of goods and serv­ managing offenders' behavior-within ices. Furthermore, "the interest also and outside of institutions-that will reflects a belief that new arrangements relieve some of the popUlation pressure on between the government and the private incarcerative facilities but at the same sector might improve efficiency while time will preserve public safety. offering new opportunities and greater satisfaction for the people served."2 Some jurisdictions have expanded the options available by developing interme­ The large number of offenders incarcer­ diate sanctions, which are not as severe as ated or under supervision, coupled with imprisonment but which provide more the lack of adequate correctional facilities punishment and control than traditional and the concern to reduce future offend­ probation. These programs aim to provide ing, raise a number of issues that need to stringent constraints on offender freedom, be examined carefully. The National with some requiring compensatory Institute of Justice is interested in support­ payments to victims and society. Both the ing projects that will provide better intensity of supervision provided and the information to criminal justice poli­ number of punitive components of many cymakers and administrators about of the Nation's programs give this inter- options that might be considered in the management of correctional resources to 26 achieve improved control over crime in requiring him to progress through levels our society. of diminished supervision. The Institute is supporting research re­ Scope lated to another sanction innovation, "shock incarceration." This ongoing study This announcement seeks proposals that is evaluating a military-like "boot camp" will examine the relative cost and benefits program, initiated by the Louisiana of a variety of innovative policies of Department of Corrections. Inmates are punishment and control, both in the given intensive supervision 7 days a week community and within institutions, that for 3 to 6 months while going through a both improve offender supervisi~n and program of physical training, drill, decrease the risk of further offending inspections, and therapy. Changes that while in the community. These studies occur as a result of its implementation at may relate to management concerns, both the system and the individual levels operational strategies or program effec­ are examined. Findings from this study tiveness. The following topic areas, al­ should be of interest to other jurisdictions though not intended to exclude others, are interested in developing similar programs. presented as examples of research themes The use of electronic monitors, telemetry in which the National Institute is devices designed to verify that an offender interested. is at a specified location during specified Application of times, h.t:; been receiving increasing intermediate sanctions attei1tio~ from correctional administrators as wdl as other parts of the criminal The primary penal sanctions employed to justice system. NIJ has responded to the punish and control criminal offenders are need for information through both staff­ incarceration and probation. However, conducted research and funded projects. many jurisdictions are increasing their use Electronic monitoring has the potential of of other sanctions, including fines, house improving offender supervision, particu­ arrest, electronic monitoring, community larly during curfew hours, without in­ service orders, weekend confinement, creasing the number of labor-intensive intensive supervision, and a variety of site visits of traditional supervision. treatment and control programs for Although this technology has been in use substance abusers. Other jurisdictions are for only 3 years, as ofPebrual'Y 14, 1988, exploring a mix of sanctions such as 32 States were using the monitors on ap­ "shock probation" (a brief prison stay proximately 2,500 offenders.3 pnor to probation) or "split sentences" (in which the offender spends a period of NIJ is also supporting research on other time in jail ao; a condition of probation), sentencing options including ongoing Many models of intermediate sanctions assessments of Intensive Supervision seek to enable the offender to assume Probation (ISP) program~ in New Jersey greater control over his behavior by and Massachusetts. Findings from the

27 New Jersey ISP program revealed that Privatization of corrections participants were rearrested less fre­ A recently completed study on issues in quently than a comparable group of prison contracting for the private operation of releasees. Cautiously stated, the program prisons and jail demonstrates how a public saves a modest amount of prison space fa~ility can be managed and operated by a without increasing the risk of recidivism. pnvate entrepreneur.6 This NIJ study It has been cost effective compared to undertook an exploratory analysis of the ordinary terms of imprisonment and decisions State administrators and legisla­ parole, and it has been monetarily benefi­ tors must face before contracting for the cial in terms of earnings, taxes, payments operation of correctional facilities with to a fund for victims, etc.4 the private sector. Kentucky'S minimum Research, particularly experimental re­ security Marion Adjustment Center was search, is needed to define the benefits the primary institution under study. and drawbacks of sentencing alternatives Trends in contracting for State correc­ and combinations and to determine how tional facilities were reviewed and issues and when they can be more effectively that have developed in the privatization employed with particular groups of effort. were examined using the Kentu~ky criminal offenders. Of special interest are expenence as an example. the impact of these sanctions in terms of To help policymakers arrive at informed consequences for public safety and the decisions, a number of issues merit effectiveness of varying levels of face-to­ continued attention: the appropriate role face supervision. Experimental studies of the private sector in these operations, that address the selection of offenders mechanisms for determining when and appropriate for intermediate sanctions, where private sector involvement is most capitalizing on those most likely to useful and cost effective, and the assess­ succeed, also represent a particular ment of specific private sector correc­ research interest. tional experiences. In 1986, over 54 percent of those incarcer­ ated in the Nation's prisons had been convicted of a violent offense.s These Deadlines and individuals may present a special potential further information for violence directed at both staff and other inmates. Not enough is known about Tell (10) copies offully executed propos­ the effectiveness of the varied strategies als should be sent to: prison administrators have adopted to control violence within institutions. Research Program on the Punishment and Research is therefore encouraged to Control of Offenders examine the factors contributing to the National Institute of Justice development of violence within institu­ 633 Indiana Avenue NW. tions and the effectiveness of control Washington, DC 20531 strategies to mitigate it. 28 · ,

" , ',' :', '~"" " '~'" ,', ,', ,', .,',.\'\ "',' '," ':', . ,':~"",'"

Completed proposals must be received at 87-IJ-CX-OOI4-Reducing Prisoner the National Institute of Justice no later Violence Through More Effective Classi­ than 5 p.m. on the dates sIJe'~ified for each fications Management, National Council cycle. This program's first cycle deadline on Crime and Delinquency. is January 13, 1989. The second cycle deadline is May 12, 1989. Extensions will 87-IJ-CX-0020-The Impact of Inten­ not be granted. sive Incarceration in Louisiana, Louisiana State University. To obtain information about this solicita­ tion, researchers may write to Voncile 87-IJ-CX-0023-Evaluation of the Flor­ Gowdy, Program Manager, Punishment ida Community Control Program, Florida and Control Program, at the above ad­ Department of Corrections. dress, or contact her at 202-724-2951. 87-IJ-CX-0027-Analysis of the Cost Effectiveness of Private and Public Correctional Facilities, Urban Institute. References and recent related grants 86-IJ-CX-004O-Electronic Surveillance of Work Furlough Inmates, San Diego 1. "Prisoners in 1987," Bureau of Justice Association of Governments. Statistics Bulletin, April 1988. 86-IJ-CX-041-Electronic Monitoring 2. David Linowes et aI., President's of Nonviolent Convicted Felons: An Ex­ Commission on Privatization. Privatiza­ periment in Home Detention, Indiana Uni­ tion Toward More Effective Government, versity. U.S. Government Printing Office, March 86-IJ-CX-0064-Validity and Reliability 1988. of Eight Types of Electronic Monitoring 3. Annesley K. Schmidt, The Use of Elec­ Equipment, Utah State Department of tronic Monitoring by Criminal Justice Corrections. Agencies, Discussion Paper, National 86-IJ-CX-0080-EIectronic Surveillance Institute of Justice, 1988. of Pretrial Releases as a Jail Crowding 4. Frank Pearson, Evaluation ofNew Reduction Strategy: Evaluation of a Jersey's Intensive Supervision Program, Controlled Experiment in Indianapolis, Rutgers University, May 1988. Toborg Associates. 5. "Profile of State prison inmates, 1986," 85-IJ-CX-0036-Impact of Intensive Bureau of Justice Statistics Special Re­ Probation Supervision in Massachusetts, port, January 1988. University of Massachusetts at Lowell. 6. The Council of State Governments and 85-IJ-CX-0060-Evaluation of an Inter­ the Urban Institute, "Issues in Contracting agency Vocational Rehabilitation Pro­ for the Private Operation of Prisons and gram for Youthful Offenders, North Jails/, National Institute of Justice, 1987. Carolina State University. 29 85-IJ-CX-0065-A Review and Evalu­ ation of Specialized Programs for Two Prisoner Groups; American Correctional Association.

30 VictiltllS of Crime

Criminal victimization in the United has played an important role in the re­ States, as measured by the National Crime thinking of public policies about crime Survey, shows beneficial reductions in the victims. Institute projects have provided period 1979-1985 from the extraordinary legislators, criminal justice planners, and levels of the previous decade. Nonethe­ practitioners with new information on the less, in 1985, one household in 13 was effects of crime on victims, on the success burglarized or had one of its members of programs to help victims deal with the raped, robbed, or assaulted by a stranger. impact of crime, and on ways to assist One household in four suffered at least victims who are involved in the criminal one crime of violence or theft-a total of justice process. The importance of victims more than 22 million households. The to the criminal justice system-both as chance of being a violent crime victim is aggrieved citizens deserving of considera­ greater than that of being hurt in a traffic tion and justice, and as impOitant ele­ accident. One is more likely to be a victim ments in the process of criminal apprehen­ of personal theft than of accidental injury sion and prosecution-has also become at work. Criminal homicide is one of the more apparent. The judiciary, for ex­ 15 most frequent causes of death, and, for amp1e, has shown increasing receptivity to the 15- to 34-year age group, it is second research showing the major role the courts only to accidents as a cause of death play in the process of victim recovery and during those years. Over an entire life­ restoration. In response to these needs, the time, at current (1985) crime rates, five­ Victims of Crime Act of 1984 made sixths of us will be victims of personal matching Federal funds available to the theft at least three times, and victims of States for services and compensation to violent crime at least once. Half of all crime victims. More than 30 States have urban households will be victims of two passed victim bill-of-rights legislation. or more burglaries in a 20-year period. We have witnessed the emergence of victims as a force within the body politic These are national rates. For some sub­ and within the criminal justice system, populations, rates are considerably higher. and this development is likely to continue. Moreover, in the years 1983-86, increases in violent crime were greatest in the Research has thus been helpful in making suburbs. l Victimization levels may be us more aware of the needs of crime somewhat lower than before, but crime victims and how to meet those needs. and the fear of crime are still very real Substantial policy changes in most States parts of all of our lives, and crime and provide a unique opportunity for research, drugs combined were a clear flrst choice experimentation, and evaluation. For vic­ as the "most importar t community timology, emphasis should shift to the problem" by respondents to the national more fundamental question of how to 1986 New York Times/CBS poll. better understand the process of criminal victimization and the implications for Research, much of it conducted or spon­ individual and collective actions (includ­ sored by the National Institute of Justice, ing public policy) of a clearer grasp of the

31 victimizing event and its consequences. community criminal careers,8 and the em­ The aim is to reduce the level of victimi­ ployment9 or communitylO contexts of in­ zation in the first instance, as well as to dividual or collective victimization. deal more effectively with its aftermath Studies of collective victimization may where necessary. lead to more effective individual and collective responses as well as policies to Over the past 20 years or so, victimology reduce risk. has greatly enlarged our knowledge of how the characteristics of victim and offender, and the effects of time and place, result in particular types of cdme.2 Scope We also know more about the aftermath of victimization: medical, economic, A continuing area of investigation at NIJ behavioral, and psychologicaI,3 and the has been the etiology o/victimization, characteristics of those who do and do not both at the level of the individual and of seek help through established victim as­ the neighborhood or community. At the sistance programs. There is some ques­ individual level, we are continuing to seek tion, though, about our progress in under­ improvements in basic data sets and their standing the process of victimization well utilization, and new ways of using these enough to reduce the amount of victimiza­ data. In our research on problem-oriented tion. It has been argued that we need policing, we are showing how police can better studies of the criminal event and the investigate and address public disorder micro and macro contexts and environ­ crimes and quality-of-life issues. The ments in which it occurs,4 as well as the topics of victimization, criminal investiga­ routine activities of the various partici­ tion, and the reduction of crime and fear pants.s A significant problem here con­ are being approached in a more compre­ cerns data sources. Victimology research hensive, integrated, and effective manner. may have to break. out of its current We are also examining how individual at­ convenience sample of available data sets. tributes and routines interact with envi­ Some reconceptualization may also be ronmental contexts in the production of necessary, which is likely to include victimization, and how individual and incorporation of perspectives from neighborhood security factors detennine situational crime prevention,6 offender the outcome of residential burglary. travel and decisionmaking,7 and lifestyle/ Elements that are and are not in the routine activities, among others. More individual's control can be more clearly victim-nonvictim comparisons may be specified in this research approach, needed to highlight risk factors that are ultimately leading to more appropriate subject to change in terms of activities, and effective individual responses and preventive behavior, places visited, etc. public policy. Other possible research areas that appear We are also beginning to examine the eti­ to be relevant and worthy of more atten­ ology of victimization at the neighbor­ tion include the growing emphasis on hood and community levels. Ecological 32 and epidemiological studies are one of the oldest traditions in criminology and we Program of research are continuing that tradition with our investigations of community careers in Research proposals are sought in two crime. Commul1ities can be victims of main topic areas, as follows: public and private policy decisions at all 1. Studies of the etiology or process of levels including international (e.g., drugs) victimization that include consideration of or of migratory flows of popUlation and routine daily activities and environmental resources. By the time these changes charactedstics as factors in the victimiza­ manifest themselves in public disorder tion of persons and property. Studies and crime, an almost irreversible process integrating individual-level and organiza­ of decline may have been set in motion. tional or community-level factors in Research is identifying land use and victimization. Studies of how these factors demographic changes that seem to appear may change over time. Implications for when a neighborhood is entering early individual or collective actions and behav­ stages of the deterioration cycle. As our ior, as well as for policy at a broader ability to identify at-risk neighborhoods level. improves, implications for policy and practice should become more evident. 2. Studies of the financial, psychological, and behavioral costs and consequences of Another continuing area of investigation criminal victimization; of maladaptive vs. at NIJ has been the impact of victimiza­ effective coping; and of satisfaction/dis­ tion. We are examining both the psycho­ satisfaction with the criminal justice sys­ logical and medical impacts of victimiza­ tem. How these aftermaths may vary with tion by burglary, rape, robbery, or crimi­ types of crime, of victim, or of societal nal and vehicular homicide of a loved one. response. How the passage of time affects the impact of some of these crimes is also being examined. This information on the Deadlines and impact of victimization will enhance our further information understanding of the victim's response to efforts to deal with the psychological con­ Ten (10) copies offully executed propos­ sequences and to alter behavior in ways als should be sent to: that decrease the likelihood of revictimi­ zation. How individual-level impacts Research Program on Victims of Crime iliffuse through social networks to in­ National Institute of Justice crease area-Ie~d fear and concern may 633 Indiana Avenue NW. also become better understood. . Washington, DC 20531

33 Completed proposals must be received at predatory victimization," Journal of the National Institute of Justice no later Criminal Law and Criminology 3, 4 than 5 p.m. on the dates specified for each (1987). cycle. This program's first cycle deadline is January 20, 1989. This program's 5. M.G. Maxfield, "Lifestyle and routine second cycle is May 19, 1989. Extensions activity theories of crime," Journal of will not be granted. Quantitative Criminology 3, 4 (1987). Applicants are encouraged to contact the 6. R.V. Clarke, "Situational crime preven­ Institute to discuss topic viability or tion," Crime and Justice 4, 1983. proposal content before submitting their 7. PJ. Brantingham and P.L. Branting­ proposals. To obtain further information, ham, "A theoretical model of crime site potential applicants may contact Dr. selection," in Crime, Law and Sanctions, Richard M. Titus at 202-724-7686. ed. M.D. Krohn and R.L. Akers, Sage, 1978; "The reasoning criminal," ed. D.B. Cornish and R.V. Clarke, Springer­ References and Verlag, 1986, related grants 8. AJ. Reiss, Jr., "Towards a revitaliza­ 1. Report to the Nation on Crime and tion of theory and research on victimiza­ Justice, second edition. Bureau of Justice tion by crime, " Journal of Criminal Law Statistics, 1988. and Criminology 72,2 (1981); --, "Why are communities important in un­ 2. M.R. Gottfredson, "Substantive contri­ derstanding crime?," Crime and Justice 8, butions of victimization surveys," Crime 1986; R.P. Taub et aI., "Paths of neigh­ and Justice 7, 1986. borhood change," University of Chicago Press, 1984; Crime and Justice 8, 1986, 3. P. Mayhew, "The effects of crime: vic­ entire issue. tims, the public, and fear.," in Council of Europe, Research on Victimization, 1985; 9. J.P. Lynch, "Routine activity and vic­ American Psychological Association, timization at work," J.P. Lynch, Journal Task Force on Victims of Crime and of Quantitative Criminology, 3, 4 (1987). Violence Final Report, 1984; J. Garofalo, "The fear of crime: causes and 10. "Linking the micro and macro level," consequences," Journal of Criminal Law n. 4 above. and Criminology 92, 2 (1981). 87-U-CX-0017-Criminal and Vehicular 4. W.G. Skogan, "Assessing the behav­ Homicide: A Study of Surviving Family ioral context of victimization, " Journal of Members, Medical University of South Criminal Law and Criminology 72, 2 Carolina. (1981); R.J. Sampson and J.D. 87-U-CX-0005-Teaching Victims to Woolredge, "Linking the. micro and macro Reduce Their Vulnerability to Crime, level of dimensions of lifestyles-routine Victim Services Agency. activity and opportunity models of

34 86-IJ-CX-0074-Mapping Crime in Its Community Setting, Chicago Police Department. 86-IJ-CX-0037-Repeat Address Com­ plaint Policing, Crime Control Institute. 85-IJ-CX-0074-Disorder, Crime, and Community Decline, Northwestern University. 85-IJ-CX-0042-Reactions of Female and Male Victims of Rape and Robbery, University of Missouri. 85-IJ-CX-0038-8omatic Impact of Criminal Victimization, Kent State Uni­ versity. 85-IJ-CX-0029-Adjusting UCR Data for Research, Northeastern University. 84-IJ-CX-004O--Crime Analysis Re­ port, Police Executive Research Forum. 78-NI-AX-0127-Crime and Changing Neighborhoods, University of Southetn California. NIJ in-house research project-Com­ pleted and Attempted Burglaries in the Victim Risk Supplement, R.M. Titus, in preparation.

3S White-collar and organized crime

White-collar and organized criminal F. Boesky made more than $50 million on activities have become increasingly illegal stock market trades based on inside pervasive and their effects are being felt informatio,n fti.~ce~ved from fonner invest­ by millions of Americans. The alarm~ng ment banker Dennis n.. Levine. scale and prevalence of these sophisti­ Similarly t the expansion, diversification, cated crimes are just beginning to be illu~ minated, as recent successes in major case and growing profitabllity of drug trafficku investigations and prosecutions have pro­ ing have provide:d opportunities and in­ duced new sources of data to increase our centives for the emergence and growth of current awareness and provide a basis for new organized criminal groups and enter­ further research. prises. Recognizing this, the President's Commission on Organized Crime stated While they may not generate in the public that "This Commission has found drug the paralyzing fear elicited by such violent trafficking to be the most widespread and crimes as robbery and rape, these complex lucrative organized crime activity in the and predatory offenses have far-reaching United States."1 In fact, it could be argued consequences that threaten our economic that the illicit drug trade is the fastest security, corrupt our legitimate institu­ growing and most profitable industry in tions, and undermine public trust in the United States, if not the world. The government and law. Moreover, their global drug trade may bring in up to $500 intricate and covert nature makes them billion a year and the American market­ especially resistant to law enforcement the world's biggest illegal drug market­ intervention. In an effort to address these produces annual revenues of at least $100 special problems, this program announce­ billion, more than twice the amount spent ment requests proposals for research that for all criminal and civil justice services will improve our understanding, preven­ by all levels of government. The size and tion, and control of white-collar and pervasiveness of the illegal drug industry, organized crime. and the criminality associated with it, have created new types of organized Today, conditions exist that have caused crime cartels that are so wealthy and many of these crimes to reach critical pro­ powerful that they seem almost impervi­ portions, dramatically greater in fre­ ous to conventional methods of interdic­ quency and scope than they were even 5 tion and control. years ago. For example, the computeriza­ tion of financial and investment transac­ These huge profits from drugs and other tions, facilitating electronic fund transfer organized crime enterprises have contrib­ and international stock market trading, has uted to another major problem: that of created opportunities and incentives for money laundering. To finance additional white-collar theft on a grander scale than drug inventories, pay their employees, and was possible in the past. This was evident, enjoy a lavish life, drug traffickers need to for instance, in a 1986 Wall Street insider­ get their cash out of the country and trading scandal, in which speculator Ivan convert it into a form that will disguise its

36 illegal origin. Thus, growing amounts are arrest, conviction, and sanctions for deter­ sent out in bulk packages or by wire trans­ rence to be effective. Second, because fers from U.S. banks to foreign accounts they often involve continuing patterns of in places with strict bank secrecy laws, criminal activity rather than representing such as Panama, Paraguay, and Hong merely discrete incidents of crime com­ Kong. Stopping this flow of illegal funds mission, white-collar and organized through laundering collection centers like crimes may require special operational Miami, New York City, and Los Angeles planning to develop innovative, proactive has become an increasingly critical prob­ strategies for their detection, prevention, lem for the U.S. Treasury Department and and control. And finally because of the U.S. Customs Service, as well as for complexity and sophistication of many of criminal justice officials. Although the these offenses, the coordinated efforts of a recent suspension of banking activities in wide range of technical specialists and Panama, caused by the Federal indict­ criminal justice agencies are often essen­ ments of General Manuel Noriega, may tial for their effective investigation and have temporarily suspended laundering prosecution. activities in that country, few experts feel this impact will be long lasting. Some For all of these reasons, then, it is essen­ more permanent and comprehensive solu­ tial that priority attention be given to tions will be necessary if drug traders and white-collar and organized crime in order other criminals are to be deprived of the to improve our current understanding of income from their illegal enterprises. and response to these major national problems and prevent their further It is clear from these recent examples that escalation. insider trading, narcotics trafficking, and money laundering; and such equally seri­ ous white-collar and organized criminal Scope activities as labor racketeering, illegal toxic waste disposal, bid rigging, and pub­ Over the past years, the National Institute lic corruption pose special challenges for of Justice has supported a substantial criminal justice officials charged with program of research addressing these and their prevention and control. First, be­ other critical white-collar and organized cause of the greater profitability of many crime problems. of these offenses beyond that of other types of serious crimes, many white-collar White-collar crime and organized crime offenders have White-collar crime projects have high­ virtually unlimited financial resources to lighted issues of detection, proactive pre­ employ in evading or corrupting law vention strategies, and coordination of enforcement efforts to control their skills and agencies to combat offenses activities. At the same time, these greater against government, private businesses criminal benefits require correspondingly and industries, and individual consumers. greater risks of criminal justice detection, 37 ----.. _------

For example, research on fraud and abuse arsenal against drug trafficking cartels, in Federal benefit programs suggested and this Federal expertise can contribute methods for improving the detection and to State and local law enforcement effec­ investigation of these crimes as well as tiveness in investigations of local-level strategies for preventing them more traffickers, who often launder their illegal effectively ,2 profits close to home so their "clean" cash will be more easily accessible. Crimes against businesses have been ad­ dressed in a number of Institute projects, The Institute has also just completed in­ For example, research on employee theft house research on the theft of trade secrets led to the recommendation of a proactive from high-technology industries, a white­ preventive approach involving a well­ collar crime that can affect the competi­ articulated policy against theft, publicized tive position of a victimized company sanctions, and sympathetic treatrnent of both nationally and internationally. This employees as a potentially effective study found that almost half of its sample means for reducing these white-collar of­ of high technology companies had been fenses. 3 Other business-oriented studies victims of such thefts and that many of examined strategies for preventing price­ these had been victimized multiple times. fixing and bid-rigging offenses more ef~ Most frequently stolen were research and fectively and for better detecting them development data and information on new when they do occur," technology, generally by offenders inside the company,7 Among studies addressing crimes against consumers, research has assessed the Organized crime effectiveness of local economic crime The Institute has also supported an exten­ units in assisting individual victims. Fea­ sive program of organized crime research, tures identified as contributing to success­ directed toward the improvement of law ful operations included an organizational enforcement detection, prevention and independence of these units within the control. In one such study, researchers prosecutor's office and a continuing coor~ found that illegal bookmaking and num­ dination between investigative and prose­ bers operations in New York City fol­ cutodal staff in developing cases.s lowed the same basic principles of More recently, research on money marketing and economics as legitimate laundering examined the enforcement business enterprises, creating special op­ strategies employed by experienced portunities for law enforcement detection Federal~level investigators and prosecu­ and intervention and for the imposition of tors and adapted them to provide guide­ regulatory controls.s For example, find­ lines for State and local officials ings showed that the need to advertise consistent with their particular needs and their goods and services to potential resources.6 For example, since 1984, the customers made these gambling opera­ FBI has used money-laundering investiga­ tions vulnerable to law enforcement tion as a major tool in its investigative detection and that the need to keep 38 records of payments received and owed covert and deceptive nature of their created a "paper trail" that could provide operations. Also recommended wailS re­ evidence for successful prosecution. search utilizing the growing body of pub­ lic record infOlmation as an important Other studies have used this business and source of data for studying the structure marketing model to suggest strategies for and parasitic nature of all types of existing detecting and controlling organized crime organized criminal groups, their business corruption of legitimate industries as enterprises, and their methods of opera­ 9 well. For example, a study of the waste tion and for evaluating the effectiveness disposal industry in Long Island found it of current strategies for organized crime to be dominated by an organized crime­ detection, investigation, prosecution, and controlled cartel that allotted territory to sanctioning. Responding to symposium each cartel member and prevented other recommendations, a current NIJ study is businesses from competing for their cus·· using court indictment records and other tomers. Therefore, regulatory and finan­ public data to "profile" the patterns of cial remedies were suggested to facilitate activities engaged in by different types of new (noncartel) business entry into the organized crime business enterprises in an market and thus reopen it to competi­ effort to help guide future investigations to tion. Underscoring the utility of NIJ re­ and prosecutions of similar syndicate op­ search, New York City officials have erations. 12 Another current Institute study recently announced plans to implement addresses one of the most serious enforce­ these study recommendations in an effort ment problems discussed at the sympo­ to remove cOITUption from the industry sium-control of drug trafficking-by and restore its legitimate financial seeking to develop strategies to incapaci­ opportunities. tate narcotics wholesalers. 13 More recently, the Institute sponsored a Most recently, the Institute has funded re­ 1986 symposium of experts in organized search on another critical law enforcement crime control policy, practice, and re­ problem-racketeer-dominated or search to discuss critical enforcement -influenced labor unions. The seriousness problems requiring research attention,u of this problem was underscored by the Among the many issues discussed, President's Commission on Organized symposium participants noted that impor­ Crime, which reported that labor racket­ tant advances had been made in Federal eering has enabled organized crime to legislation and law enforcement opera­ "control segments of entire economic tions and stressed the need for expanding markets and ... distort the cost of doing these and for adapting them to State and business ... through theft, extortion, local problems and resources. In addition, burglruy, price fixing, fraud, and restraint they expressed the need for a more precise of trade. "14 Despite attempts to combat assessment of the size of organized crimi­ labor racketeering through the conviction nal groups, activities, and profits, espe­ and incarceration of corrupt officials, cially difficult to quantify because of the certain unions have remained under 39 syndicate control. Recently, in an innova­ crime" studies may focus on the entire tive use of the RICO statute to achieve a range of legal and illegal business enter­ more effective and permanent solution to prises engaged in by traditional syndicates the problem, the organized crime-domi­ such as Cos a Nostra, or by any of the nated Teamsters Local 560 in New Jersey more recently emerging organized crimi­ was placed in trusteeship by the court. NIJ nal groups, such as Asian racketeering is conducting a case study of this court­ organizations, Latin American and other imposed RICO trusteeship in order to drug trafficking cartels, and violent mo­ monitor its implementation and assess its torcycle and prison gangs. All proposals effectiveness as a strategy for eliminating should have as a major objective, how­ racketeer corruption from the union. IS The ever, the advancement of our state of findings of this research will be invaluable knowledge and understanding about to criminal justice and labor officials in white-collar or organized crim€~ in order to their efforts to restore democracy to other, contribute to the development of effective similarly corrupted local unions and to the legislative, criminal justice, regulatory, Department of Justice in its efforts to use administrative, or private sector strategies this trusteeship strategy to combat organ­ for prevention and control, esp(~cially at ized crime domination of the Teamsters the State and local levels. Union nationwide. The following topic areas, while not in­ tended to be exclusive, identify some Focus of this program issues of particular concern. White-collar crime This program announcement requests Based on the findings of previous studies proposals that will build on the advances and on the results of an Institute-spon­ made by previous research to develop sored colloquium designed to identify new, more effective approaches to white­ fruitful directions for future policy­ collar and organized crime prevention and relevant research,16 some white-collar control. The £litimate goals of the program crime issues of particular interest are are to reduce victimization and decrease detailed below. the costs of these complex corruptive crimes to individuals, businesses, the Improved prevention and control of criminal justice system, and society as a white-collar crime require a better under­ whole. standing of the conditions that may facilitate or constrain the commission of To permit a wide range of research ideas, these offenses, such as the extent of broad defmitions are adopted for this computerization, the types and levels of program. "White-collar crime" proposals management controls and customer sur­ may address any of the various illegal veillance, and the degree of commitment forms of deception, concealment, or to accepted standards of professional breach of trust engaged in for purposes of ethics. Vulnerability studies may be used financial or personal gain. "Organized

40 to identify which factors influence white­ Issues related to the prevention and deter­ collar criminal activities in various types rence of white-collar crime also merit sig­ of situations. For example, attention could nificant research attention. For example, be given to ider1tifying situational differ­ proposals might examine the relative ef­ ences associated with the occurrence or fectiveness of alternative strategies to re­ nonoccurrence of such crimes as com~ duce the opportunities for offenses to puter-aided theft and business or insur­ occur or to increase the risk or severity of ance fraud in order to design the kinds of sanctions. The fonner might include interventions that will be most likely to strategies which businesses and institu­ prevent these crimes from taking place. tions can employ to prevent their victimi­ Research on environmental and market zation. The latter might include the range conditions that arrest or promote the de­ of criminal sanctions that can be imposed velopment of white-collar criminal as well as the use of extra-legal mecha­ activities could also contribute to effective nisms such as licensing, professional, and prevention strategy design. corporate self-policing, or the enforce­ ment of business and professional associa­ Another important need is for research on tion codes of ethics. Ref~arch aimed at the alternative types of remedies for control­ identification and testing of strategies to ling various kinds of white-collar of­ reinfol'ce noncriminal behavior is also en­ fenses. Studies might focus on the cou' .., f;d. The aim of all of these studies effectiveness of such criminal, civil, and ShOUld be to develop policies and strate­ regulatory remedies as incarceration; gies that reduce white-collar crime vic­ monetary fines; victim restitution; civil timization by more effectively preventing suits, injunctions, and orders of divest­ the occurrence of such offenses. ment; license revocation; and aggressive perfonnance code inspection. Proposals Also of particular interest are studies fo­ might also examine investigative and cusing on computer crime, in which com­ prosecutorial strategies contributing to puter technology is either targeted directly successful case convictions, such as those or is utilized as a means for illegally employed in the recent cases against stock acquiring possession of money, property, market insider trading in New York. The or infonnation. As society becomes in­ impacts of other law enforcement policies, creasingly dependent on computers in car­ such as those establishing special target­ rying out its economic, administrative, ing priorities or minimum crime severity social, and scientific functions, new thresholds for detennining case selection, opportunities for crime have been created might be studied as well. Of special and new types of criminals have emerged importance is research that promotes the to take advantage of them. This has effective employment of a variety of created a critical need for research to remedies as part of a multistrategy ap­ improve law enforcement skills and proach to white-collar crime control, since strategies for detecting and investigating this is considered a major weakness in these offenses, to develop more effective current responses to the problem. legislative and prosecutive remedies for 41 sanctioning offender.s, and to suggest in­ ary and manpower resources available to novative private sector approaches for state and local agencies. preventing crime victimization. • To help broaden organized crime en­ Organized crime forcement efforts beyond their traditional Cosa Nostra syndicate targets to include Based on the 1986 NIJ symposium recom­ the wide range of organized criminal mendations and on the findings of other groups which have emerged more organized crime studies, applicants might recently, such as Asian racketeering or­ consider research addressing the follow­ ganizations, Latin American and other ing objectives: ethnic or racial drug cartels, violent ~ To help jurisdictions effectively target motorcycle and prison gangs, and other enforcement efforts by identifying reliable less established criminal syndicates. More direct and indirect measures to detect the comprehensive targeting of criminal presence, types, and levels of organized activities is also needed, going beyond the crime activity. Such measures can be im­ traditional law enforcement focus on portant in guiding criminal justice policy, illegal racketeering enterprises to include allocating resources, and assessing the the infiltration and corruption of legiti­ impact of particular law enforcement mate industries and institutions by organ­ initiatives. ized criminal groups. Of special interest is research aimed at the development of • To increase criminal justice capabilities strategies designed to respond to the spe­ for proactive enforcement operations by cific features and vulnerabilities of par· developing and promoting the adoptioh ticular criminal groups and enterprises. of effective intelligence data collection and analysis. Research might address • To help combat one of the most serious how intelligence gathering can be accom­ current criminal justice and social prob­ plished with the limited resources avail­ lems-drug abuse-by increasing the able to State and local agencies or how state of knowledge about major drug traf­ intelligence data can contribute to suc­ ficking groups and operations and by cessful interventions. developing strategies for improved detec­ tion, interdiction, and control. Not only • To improve organized crime enforce­ are these organized criminal syndicates ment operations by developing and pro­ responsible for the "supply side" of the moting the adoption of (a) investigative drug abuse problem and all of the social strategies involving increased interagency, dysfunctions it produces, but they corrupt interlevel, and interspecialist coordina­ legitimate institutions and undermine tion; or (b) prosecution and sanctioning public respect for government and law. strategies involving increased use of Yet the wealth and power of these groups Federal and State RICO statutes and their and their sophisticated organizational. asset forfeiture provh~ions. Of special resources make them particularly refiistant importance are strategies for achieving to law enforcement controls, creath'tg a these objectives within the limited budget- need for special research attention. 42 Deadline!:} and Abuse, Drug Trafficking and Organized further information Crime, March 1986: 6. 2. John Gardiner et al., Fraud in Govel'll­ Proposals must contain a clear statement ment Benefit Programs: Suggested State/ of the problem to be addressed and clear Local Prevention Strategies, National definitions of the key research variables. Institute of Justice, February 1982. Applicants must also provide detailed de­ scriptions of their proposed research 3. John Clark and Richard Hollinger, designs, including their data sources, data Theft by Employees in Work Organiza­ collection methods, and analysis plans. tions, National Institute of Justice, September 1983. Ten (10) copies offully executed propos­ als should be sent to: 4. Michael Block et al., Deterrent Effect ofAntitrust Enforcement, National Insti­ Research Program on White-Collar and tute of Justice, 1980; Fred Nold et aI., Organized Crime COllstruction Industry, National Institute National Institute of Justice of Justice, 1983. 633 Indiana Avenue NW. Washington, D.C. 20531 5. Peter Finn and Alan Hoffman, Prosecu­ tion of Economic Crime: San Diego and Completed proposals must be received at Seattle Fraud Divisions, National Institute the National Institute of Justice no later of Justice Exemplary Projects, March than 5 p.m. on the dates specified for each 1976: Debra Whitcomb et al., Connecticut cycle. This program's first cycle deadline Economic Crime Unit, National Institute is January 6, 1989. The second cycle is of Justice Exemplary Project, 1979. May 5, 1989. Extensions will not be granted. 6. Clifford Karchmer, Illegal Money Laundering: A Strategy and Resource Applicants are encouraged to contact the Guide for Law Enforcement Agencies, Institute to discuss topic viability or Police Executive Research Forum, April proposal content before submitting their 1988. proposals. To obtain further information, potential applicants may contact Lois 7. Lois Felson Mock and Dennis Rosen­ Mock at 202-724-7684. baum, A Study of Trade Secrets Theft in High Technology Industries, draft internal NIJ report, May 1988. References and 8. Peter Reuter and Jonathan Rubinstein, recent related grants Illegal Gambling in New York: A Case Study in the Operation, Structure, and 1. President's Commission on Organized Regulation of an Illegal Market, National Crime, Report to the President and the At­ Institute of Justice, Apri11982. torney General, America's Habit: Drug

43 9. Peter Reuter et al., Racketeering in Le­ gitimate Industries: Two Case Studies, National Institute of Justice, January 1983: Peter Reuter, The Organization of Illegal Markets: An Economic Analysis, National Institute of Justice, February 1985. 10. Peter Reuter, Racketeering in Legiti­ mate Industries: A Study in the Economics of Intimldation, RAND Corporation, October 1987. 11. Herbert Edelhertz, ed., Major Issues in Organized Crime Control: Symposium Proceedings, National Institute of Justice, September 1987. 12. Grant No. 87-U-CX-0053-A Study of Organized Crime Business Activities and Their Implications for Law Enforce­ ment, Northwest Policy Study Center. 13. Grant No. 86--IJ-CX-0079-Research on Strategies To Incapacitate Narcotics Wholesalers, Police Executive Research Forum. 14. President's Commission on Organized Crime, Report to the President and the Attorney General, The Edge: Organized Crime, Business, and Labor Unions, March 1986: viii. 15. Grant No. 88-U-CX-0012-Team­ sters Local 560: A Case Study of a Court­ Imposed RICO Trusteeship, Harvard Uni­ versity, John F. Kennedy School of Government. 16. Herbert Edelhertz and Thomas Overcast, eds., White-Collar Crime: An Agenda for Research, Lexington Books, D.C. Heath, 1982.

44 Research Program Plan Announcements

Center for Crime Control Research Criminal careers and the control of crime

The dramatic rise in the level of crime in one of the fundamental characteristics of American society during the last 30 years any organized society. has stimulated an unprecedented level of public and professional concern about Policymakers in America today devote what official actions can be taken to cope increasing attention to the specific issues with this serious problem. A recent Roper of crime and punishment even as purse survey found that crime and drugs were strings are tightened. Laws are passed and the most frequently mentioned societal tax dollars spent on programs that clearly problems facing the nation-outdistanc­ aim at enhancing general deterrence ing inflation, unemployment, and nuclear through the threat of stiffer penalties for disarmament. Informed by research, our certain types of crimes. Police depart­ understanding of the effects of crime is ments and prosecutors have established that it is not only a discrete transaction programs aimed directly at increasing the between victim and aggressor but also has chances of incapacitating high rate effects on entire neighborhoods, commu­ offenders during their most criminally nities, and regions. active years. These actions have not taken place in the absence of research. In fact, The FBI crime reports for 1987 indicate criminal justice policymakers have, in the that 13.5 million index crimes were re­ past 20 years, become increasingly ported to the police, a 2 percent increase responsive to social science research over the previous year. Victimization has findings in developing new crime control also created a fear index measured by policies. investment in personal, corporate, and community security. The year 1987 saw But virtually everywhere there are major the United States reach an all-time high in concerns about prison population size and the number of individuals imprisoned prison costs. Yet 70 p~rcent of all con­ (581,609). However, the rate of imprison­ victed felons are not sentenced to prison ment per crime in 1987 is only about half but are on some form of release, usually that reported in 1960. The annual cost tu into communities already experiencing the taxpayer for this level of imprison .. significant crime. Determining which ment exceeds $7.5 billion. Yet the costs of offenders to incapacitate has become a crime may far exceed the costs of primary issue of policy debate. Recent implisonment. evidence from California suggests that 65 percent of felony probationers are re­ The dilemma posed by simultaneously arrested at least once within 2 years of high levels of crime and imprisonment their release. I emphasizes what has always been a central policy question in criminal justice: The State correction systems are over­ "What is the effect of punishment on stressed. ledges are forced to choose crime?" The idea that punishment (or the between prison and virtually unfettered threat of punishment) will be effective in release. This system has no intermediate controlling criminal behavior is certainly torque: we are maybe both too harsh and too lenient. A series of progressively more 47 -~------

serious intermediate punishments that emy of Sciences concluded that, in incapacitate the offender, protect the contrast to the beliefs of many criminolo­ community, and rehabilitate are needed. gists of the 1950's and 1960's, the Understanding which offenders pose the available scientific evidence "favors a greatest risk is critical as is the formula­ proposition supporting deterrence more tion of new methods of social control that than it favors one asserting that deterrence provide more adequate protection to is absent."3 society. And naturally this leads to questions regarding the crime control This rather guarded statement reflects the effectiveness of intermediate punishments fact that scientific support for deterrence that protect future victims and redirect the and incapacitation as mechanisms of energies and motivations of offenders. crime control is still limited with respect to the size and direction of the effects that The broad mandate of this program is to can reasonably be expected from alterna­ support an accumulation of sound re­ tive sanctions. Research on State and local search on the crime control effectiveness aggregate crime rates since the of official sanctions. The findings from Academy's 1978 report has explored the this research would serve as a scientific deterrent effects of sanctions for a variety basis for the continued evolution of in­ of index offenses as well as specific formed and more effective policies aimed crimes such as bank robbery and drunk at the reduction of crime. driving. In addition, policy experiments have attributed 50 percent reductions in repeat violence in spouse assault cases to Scope the specific deterrent effects of arrest.

Public preferences in the past decade have In 1978 the National Academy of Sci­ shifted away from the ideal of rehabilita­ ences found that crime control effects tive treatment. This shift coincided with from incapacitation were "plausible" but an emerging scientific consensus ac­ without a firm empirical base.4 In a 1986 knowledging that most rehabilitation report the Academy reviewed the exten­ programs lacked scientific evidence of sive research of the past decade and effectiveness for most offenders.2 Al­ estimated that incarceration policies though rehabilitation has not been accom­ designed to incapacitate high rate offend­ plished in most cases, the Institute contin­ ers offer crime reduction effects up to 10 ues to support research on a wide range of percent, with no increase in prison options to improve selection and classifi­ populati.ons.5 cation, and reduce recidivism. Research All of these estimates are based on as­ advances of the past decade have also sumptions and estimation procedures for generated evidence that crime rates are, in determining rates of participation in fact, responsive to more certain and more crime, the age at which criminal careers severe sanctions. In a 1978 review of the start and stop, the rate of offending over literature, a panel of the National Acad- time, the seriousness and variety of of- fenses, the number of offenders per crime, tion generated by different sanction levels. and the nature of the social networks National time series and State-level among the criminally active. Most of analyses have spawned efforts that use these assumptions and all of these estima­ county-, city-, and neighborhood-level tion procedures are open to question, data to estimat~ the crime control effects further testing, and refinement. This of sanction policies. Of course, research program is designed to support research conducted at a more local level is also that addresses one or more of these as­ hampered by data and measurement prob­ pects of criminal careers.6 But we are lems.7 A more local focus also raises such interested as well in supporting those issues as whether some communities have using other approaches to increase our a "crime rate ceiling." When an active of­ understanding of the effects of official fender is arrested and incapacitated, crime sanctions on crime. The following list of drops. However, it seems to return in a project classes, while not intended to be few days to prior levels. Why? Currently complete in its coverage, is intended to efforts are underway to estimate the deter­ illustrate the scope and variety of the rent effects of arrest on crime at the neigh­ program's interests: borhood level and the magnitude of the effects of official sanctions (conceptual­ Crime li:areer research-Directed ized as jail incarceration risk and police toward a thorough understanding of the aggressiveness in patrols) on serious participation in, rate of criminal activity, criminal offending in 171 American cities. seriousness and length of criminal careers. This sort of research seeks to determine Perceptions research-Investigating the amount of crime and crime costs pre­ why the assessment of sanction risk or vented by incarceration and to obtain a sanction cost differs greatly among better grasp on how incarceration and/or various subpopulations and whether the other sanctions retard or accelerate the de­ criminal justice systems can communicate velopment of offenders' subsequent sanction threats more effectively. How is criminal behavior. Studies in this category the risk of punishment understood by have in the past estimated the annual those engaged in crime? Is the imposition crime commission rates of offenders and of sanctions too diluted or too harsh to examined one or several crime types, the alter the desire to commit illegal acts? duration of their criminal careers, the Past efforts have involved longitudinal number of crimes committed during a studies of adolescents to determine the se­ career and, most important for this quencing of criminal behavior and percep­ program, the impact of incarceration or tions of sanction risks. A current effort is other sanctions on careers in crime. attempting to better understand how of­ fenders decide to end their criminal ca­ Neighborhood and community-level reers, Related NIJ-supported research is studies-Building on an extensive re­ planned for this area under the Ethnogra­ search tradition that has estimated such phies of Property Offenders Program. things as the relative gains in crime reduc-

49 Measuring crime-Has been a perennial research project for which funding is topic for researchers interested in crime sought but also precisely how this re­ and criminal justice. The accurate inter­ search might benefit the continued pretation of official crime statistics, victim development of criminal justice policy. surveys, and self-reports of crime is vital to improving the understanding of crimi­ nal careers. The importance of improving Deadlines and techniques to measure self-reports of further information crime was emphasized again recently in a reanalysis of a 1978 RAND Corporation Ten (10) copies offully executed propos­ survey of jail and prison inmates.s An als should be sent to: important contribution of this RAND survey is the highlighting of the variabil­ Criminal Careers and the Control of ity of the rates at which individual offend­ Crime Program ers commit crimes. The estimates of these National Institute of Justice rates, especially for burglary and robbery, 633 Indiana Avenue NW., Room 900 are dependent upon researcher decisions Washington, DC 20531 about the interpretation of ambiguous survey responses. There is also a problem The deadline for this program will be of veracity in the self-reports of crime. It February 24, 1989. Completed proposals is apparent from the RAND survey that must be received at the National Institute some respondents overreported and some of Justice no later than 5 p.m., on that respondents underreported the frequency date. Extensions of this deadline will not with which they committed criminal acts. be permitted. This program includes support for research on improved measures of crimi­ To obtain further information about this nality in the context of understanding solicitation, researchers may write to criminal careers and the control of crime. Winifred Reed, Program Manager, Crimi­ nal Careers and the Control of Crime, at The variety of crime types and research the above address, or contact her at disciplines represented in this program 202-724-7636. Potential applicants who should not obscure the highly focused may want to clarify the appropriateness of program theme-the effectiveness of offi­ a specific research idea for funding under cial sanctions on crime. Crime control this program are encouraged to call Mrs. effects derived from sources such as Reed to discuss it with her before under­ private protection or demographic vari­ taking the considerable effort required to ations are of interest to this program only prepare a proposal that would be insofar as they offer plausible and testable competitive. competing explanations for the observed reductions associated with official sanc­ tions. Proposal authors should keep this objective in mind. All proposals should, therefore, describe clearly not only the 50 References and 86-IJ-CX-0047-Termination of Crimi­ recent related grants nal Careers, Carnegie-Mellon University. 86-IJ-CX-0060-Effects of Local Sanc­ 1. Prison Versus Probation in California, tions on Serious Criminal Offenders, Joan Petersilia, Susan Turner, with Joyce University of Illinois. Peterson, Santa Monica, California, The RAND Corporation, 1986. 86-IJ-CX-0068-Perceptual Deterrence and Desistance from Crime, University of 2. The Effectiveness of Correctional Tennessee. Treatment: A Survey of Treatment Evalu­ ation Studies, D. Lipton, R. Martinson, 86-IJ-CX-0076-Modeling the Deter­ and J. Wilks, Praeger, New York, 1975; rence Process at a Neighborhood Level, and The Rehabilitation of Criminal Of­ University of Oklahoma. fenders: Problems and Prospects, ed. L. 87-IJ-CX-0022-Criminal Careers and Sechrest, S. White, and E. Brown, Na­ Crime Control, Northwestern University. tional Academy of Sciences, Washington, D.C., 1979. 87-IJ-CX-0057-Focusing on High Risk Parolees. An Experiment to Reduce 3. D1terrence and Incapacitation: Esti­ Commitments to the Texas Department of mating the Effects of Criminal Sanctions Corrections, The RAND Corporation. on Crime Rates, ed. A. Blumstein, J. Cohen, and D. Nagin, National Academy 87-IJ-CX-0060-Assessing the Effects of Sciences, Washington, D.C., 1978: 7. of Imprisonment: A Randomized Experi­ ment in Marion County, Oregon, The 4. Blumstein et al. above, p. 7. RAND Corporation. 5. Criminal Careers and "Career Crimi­ nals" (2 volumes), ed. A. Blumstein, 1. Cohen, J. Roth, and C. Vis her, National Academy of Sciences, Washington, D.C., 1986. 6. A. J. Reiss, Jr., and M. Tonry, eds., Communities and Crime, v. 8 in Crime and Justice, University of Chicago Press, 1986. 7. "The RAND Inmate Survey: A Re­ analysis," C. Visher in Criminal Careers and "Career Criminals," Vol. 2, ed. A. Blumstein National Academy of Sciences, Washington, D.C., 1986. 8. C. Visher, note above. 51 Drugs, alcohol, and crime

Drug-related crime and the pervasive offense rates of heroin-abusing criminals problems that drug and alcohol abuse tend to increase about 4 to 6 times during bring are among the most serious chal­ periods of use over the same offenders' lenges facing our Nation and the world rates during periods when not addicted. today. Americans rank them at the top of Urine tests have shown that drug-positive their personal concerns and give them offenders typically have pretrial re-arrest highest priorities for governmental action. rates about 50 percent higher than those who are drug negative, with multiple­ As part of our Nation's team contributing drug users presenting the greatest risks to to the fight against these scourges, the the community. National Institute of Justice places re­ search in support of our war against drugs The problem of drug abuse has spread as its highest priority. Developing im­ through all segments of Ollr society. Drug­ proved knowledge of the factors affecting related crime and violence have essen­ drug and alcohol abuse and their impacts tially taken over some neighborhoods in on criminal behaviors, combined with many of our major cities. High propor­ more sensitive and effective tools to tions of our youth admit to using a variety detect drug-using offenders and make this of drugs, from alcohol and marijuana to information available in release decisions hallucinogens and narcotics. Although to lessen risk to the community, contrib­ there are encouraging signs from the most utes to the development of more effective recent surveys of high school students public policies and criminal justice indicating the numbers of users of illicit interventions aimed at reducing drug drugs in the general population have demand and control of drug-related crime. stabilized or slightly decreased, these trends do not appear to be reflected in Although the news media are filled with criminally active populations. Objective stories of how drugs are affecting us all, diagnostic tests on arrestees indicate not we are developing improved tools to meet only that their rates of drug usage are the challenges of increasingly sophisti­ much higher than in the general popula­ cated and violent drug traffickers. NIJ tion, but that in some areas their usage of studies have shown that much of the such drugs as cocaine is increasing. violent, predatory, and property crime in many of our major cities is committed by The picture is thus one of continual drug-abusing offenders. Among arrestees change. New forms of illicit drugs, such tested in cities across the Nation by the as the synthetic analogs ("designer NIJ-developed Drug Use Forecasting drugs"), have appeared and present an (DUF) system, from half to over three­ entirely new range of legal, educational, quarters showed evide~ce of illegal drug enforcement, and treatment challenges. consumption within the preceding 2 to 3 The highly potent form of cocaine, days. Other NIJ-supported studies have "crack," has spread rapidly across the shown the accelerative and intensifying Nation and affected all segments of our effects of drug usage, indicating that the society from prominent sport stars to

S2 inner-city youth, bringing with it a tripling recognize that we do not have "a drug of the number of drug-related emergency problem," but have many types of drug cases in hospitals since 1981. problems, with differing underlying causal mechanisms. To provide an ade­ As a result of all these factors, the annual quate picture of their interrelated effects, costs of drug- and alcohol-related prob­ we must be able to deal with crimes lems are staggering and increasing. related both to drug consumption and to Taking into account the social and eco­ drug trafficking. nomic impact of crime, criminal justice costs, decreased productivity, treatment, and lost lives, 1985 estimates placed these Scope costs at $46.9 billion and $89.5 billion respectively. This program has dual objectives:

In addition to being tremendously com­ (1) increasing our understanding of the plex and costly, drug problems and pos­ nature and extent of drug- and alcohol­ sible solutions to them are also highly related crimes, and the factors that affect controversial. Proposals for dealing with them, and them range from "get tough" and "crack­ downs" on the one hand to "decriminali­ (2) improving our abilities to apply such zation" and "legaHzation" on the other, knowledge to the control of drug and and from "supply reduction" aimed at alcohol abuse and related criminality, and traffickers to "demand reduction" aimed thus reduce their social and economic at users. To support the development and costs and number of victims. evaluation of soundly based public poli­ The following examples illustrate the cies, it is imperative that we develop the types of policy-relevant research issues of best possible analytic approaches for particular interest to this program: assesfting how different drug control strategies will interact to affect all aspects Improving the effectiveness of drug of drug abuse and drug-related crime. supply control efforts and evaluation of local Interventions Research plays a vital role in these efforts. Through it we have come a long way Research is needed to assess the changing toward revealing how drugs and alcohol nature of local drug trafficking systems interact with other complex social, legal, and to contribute to the development and psychological, and pharmacological testing of a wide range of strategies to factors to influence the behavior of control traffickers' activities. NIJ­ substance-abusing offenders. But we also supported studies have indicated that en­ know that illicit drugs serve as powerful forcement efforts aimed at street drug stimuli for criminal behavior among those markets may produce significant reduc­ who do not use these drugs themselves­ tions in drug trafficking and drug-related through the economic incentives related to crimes, such as burglary and robbery. But their production and distribution. We thus it is clear that the problem is too large and S3 complex for law enforcement efforts cross-section of the public have called for alone to do the whole job. Other NIJ­ fundamental change in these policies so as supported studies are examining to make illicit drug use unacceptable community-based strategies that aim to either in the workplace or socially. bring about closer cooperation between Reducing the demand for drugs, espe­ the police and citizens in identifying and cially those shown to be closely linked to eliminating local drug trafficking. crime, such as narcotics, cocaine, and PCP, is essential if we are to succeed in The potential roles of the criminal justice reversing the present levels of drug abuse system in helping to reduce and eliminate and related crime. illicit drug markets by raising costs and risks of arrest, cutting profits, and reduc­ This solicitation encourages research ing access between dealers and customers efforts that will explore ways to reduce are of major interest. Studies might the demand for drugs, both among crimi­ address such issues as: a) developing the nal offenders and the general public, optimal mix of efforts directed toward through the criminal justice system's dealers and mid- and high-level traffick­ sanctions and cooperative efforts with the ers, b) assessing the effectiveness of public. A wide range of approaches is enforcement strategies aimed at sellers possible, such as: a) enhancing the effec­ (buy-and-bust) and at users, c) enhancing tiveness of general and specific deterrence present methods of detection and investi­ through increased emphasis on detection gation, d) and integrating initiatives that by urinalysis or other objective drug tests, cut across the criminal justice system and b) assessment of the relative results of other civilian and governmental agencies, alternative sanctions, such as license such as coordinated initiatives involving revocations, asset or vehicle forfeitures, police, courts, regulatory agencies, tax and other alternatives to incarceration, and authorities, customs officials, and finan­ c) the effectiveness of community-based cial institutions. Street dealers and small­ prevention and intervention efforts aimed scale suppliers should be a focus of at youths or high-risk groups in reducing research to detemline the effects of both drug abuse and drug-related crime. disruption at this level on local markets and mid- and large-scale drug distribution Recent NIJ studies relating to these issues, systems. in addition to the studies cited above using urine-based tests to monitor drug Enhancing the criminal justice usage among offenders, have included: a) system's role In reducing the an investigation of the potential to en­ demand for illicit drugs hance current urine-based detection capabilities to permit detection over wider A policy of concentrating enforcement time periods by analysis of hair samples, efforts on major dealers and effectively b) the application of urine tests to moni­ ignoring the users of illicit drugs has been toring of juvenile offenders in a detention argued to be a ete facto decriminalization center, c) evaluating the effectiveness of of use. Our Government and a broad 54 intensive supervision duting probation in NIJ's DUF system is now expanding to reducing drug usage and crime, and d) many cities across the Nation to provide assessing the deterrent impact of law timely and sensitive local assistance as an enforcement efforts on cocaine sellers '. Early Warning System focused on the perceptions of risk and decisions to drug-using offender population, plus continue or stop dealing. providing feedback to local jurisdictions advising them not only of local trends, but Improving our abilities to measure also how well their local strategies are the nature and extent of drug abuse working. Accurate &11d sensitive measure­ and drug-related crime ments are, of course, of fundamental NIJ and other research sources have importance in uetecting events, revealing revealed the close associations between relations, and evaluating changes and drug abuse and crime. They have also impacts of interventions. DUF has shown shown that not only are many offenders that, in addition to the value of objective, active drug abusers, but that reduction of timely data on drug status for individual their drug usage is typically associated case decisions, such as urinalysis of with reduction of their criminal activity arrestees and parole/probationers, this and that treatment can help achieve these information can help local jurisdictions reductions in drug abuse and ctiminality. allocate resources for interdiction, treat­ ment, and prevention efforts. Recent NIJ The drug scene is also highly dynamic, activities in these areas have also included and changes are continually occurring that studies to a) develop mathematical models bring new substances or forms of drugs for estimating the prevalence of cocaine into prominence (e.g., synthetic analogs, usage at State and local levels and b) "crack" cocaine), with associated changes improve criteria for reporting of drug­ in market conditions and usage patterns. related homicides, based on a conceptual Recently these have seen the spread of the framework encompassing drug consump­ potent form of cocaine ("crack") with tion or known drug involvement by either changes in the marketing form and the victim or offender and evidence of reduction of unit price, so that many more drugs or drug-related contraband at the youths are becoming involved both as scene of the crime. The FBI's Uniform UGers and sellers, accompanied by escalat­ Crime Reports (UCR) has also been ing gang-related violence associated with redesigned to obtain more dru.g-related this drug trafficking. In the faces of such data within criminal incidents than has shifts, efforts are continually needed to heretofore been possible. update and improve our approaches to monitoring the nature of local drug Data acquisition, however, is only half the conditions and assess the changing sizes problem; data analysis and interpretation and characteristics of various substance­ are the other. We have made significant abusing populations, so as to support our advances in our abilities to measure and efforts to combat these developments estimate how many crimes of various more effectively. types are drug- or alcohol-related. But the 55 nature of the roles these substances played relating to prevention and cessation of in contributing to the occurrence or drug usage would contribute toward more severity of the criminal acts, or how much effective policies aimed at the reduction reduction in various types of crime can be of demand for illicit drugs and a corre­ obtained with a given reduction in drug sponding reduction of drug-related usage, are still inadequate for our policy crimes. information needs. Further studies are needed to improve our abilities to monitor In addition to the NU studies of urine and assess how different types of drugs monitoring of arrestees, the DUF system, are contributing to different types of crime and the study of youthful offenders in and how best to integrate the information detention facilities, other recent NU available from various indicators for studies related to these issues have fo­ criminal justice policy issues. cused on: a) the characteristics of drug­ abusing inner-city youths and their social Patterns of drug/alcohol use and support systems compared to those who relations to development and are not drug abusers, b) patterns of cessation of patterns of violence in families with histories of drug delinquency and crime and alcohol abuse, and c) the nature and extent of psychopathology among drug­ Research has indicated that drug and alco­ and alcohOl-abusing offenders. hol abuse affects both the nature and intensity of patterns of crime in youth and adults. But risk factors alone do not Deadlines and explain why some individuals develop these patterns while others do not. Efforts further information at prevention require further research to Ten (10) copies offully executed propos­ clarify these processes of onset, intensifi­ should be sent to: cation, and cessation of drug abuse and als drug-related problems. They also need to Drugs and Crime Research Program address such questions as how and why National Institute of Justice many individuals in high-risk groups do 633 Indiana Avenue NW., Room 900 not develop drug-related problems. For Washington, DC 20531 those individuals who are at especially high risk, methods for identifying them and encouraging prevention through This program will offer two opportunities abstinence might be developed. to submit proposals this year. Completed proposals must be received at the National Treatment and the potential roles of the Institute of Justice no later than 5 p.m. criminal justice system in breaking these January 25, 1989, to be considered for the drug-crime linkages are high priority. first cycle, and no later than 5 p.m. May 3, Improving our understanding of individ­ 1989, for the second cycle. Extensions of ual and environmental characteristics and these deadlines will not be permitted. the effects of life events and interventions 56 To obtain further information about this ington, D.C., National Academy Press, solicitation, researchers may write to Dr. 1986. Bernard Gropper, Program Manager, Drugs and Crime Research Program, at 7. M.G. Graham, "Controlling drug abuse the above address, or contact him at and crime: a research update," in N/J 202-724-7631. Potential applicants who Reports 202, March-April 1987: 2-7. may want to clarify the appropriateness of 8. B.A. Gropper, "Probing the Links a specific research idea for funding under Between Drugs and Crime," NIJ Research this program are encouraged to call Dr. in Brief, February 1985. Gropper to discuss it with him before undertaking the considerable effort re­ 9. N.J. Kozel and E.H. Adams, "Epidemi­ quired to prepare a proposal that would be ology of drug abuse: an overview." competitive. Science 234, November 21, 1986: 28-32. 10. E.D. Wish and B.D. Johnson, "The References and impact of substance abuse on criminal careers," in Criminal Careers and "Ca­ recent related grants reer Criminals," V.2: 52-88, Washington, D.C., National Academy Press, 1986. 1. "Attorney General announces NIJ Drug Use Forecasting system," in N/J Reports 88-U-CX-OOSI-Crime and Minimum 208, March-April 1988. Legal Drinking Age Laws, Mid-America Research, Inc. 2. "Jailing drunk drivers: impact on the criminal justice system," in N/J Reports 88-U-CX-004O-Assessing the Links 192, July 1985. Among Drugs, Alcohol and Campus Crime: Nationwide Campus Survey, 3. Report to the Nation, Second Edition, Towson State University. Bureau of Justice Statistics, 1988. 88-U-CX-0037-Drug Use: Its Role in 4. M.D. Anglin and G. Speckart, "Narcot­ Predatory and Yiolent Offending, Carne­ ics use and crime: a multisample, gie-Mellon University. multi method analysis," Criminology 26, 2 (May 1988): 197-233. 88-U-CX-0036-Criminal Careers of Narcotic Addict Offenders, University of 5. J.A. Carver, "Controlling pretrial drug California at Los Angeles. use and reducing risk through testing," NIl Reports 199, September-October 88-I1-CX-0035-Validation of the Drug 1986: 2-7. Use Forecasting (DUF) System, Institute for Social Analysis. 6. J.1. Collins, "The relationship of prob­ lem drinking to individual offending 88-I1-CX-0034-Cost and Conse­ sequences," in Criminal Careers and quences of Crack Abatement, San Diego "Career Criminals," V.2: 89-120, Wash- Association of Governments.

57 . . • ,I \ , , ,I I. .: ., . ~ ~.. " . ~. . 88-U-CX-0032-Neighborhood Report­ 87-U-CX-0033-Drug Use and Psycho­ ing of Drug Crimes, American Bar pathology as Predictors of Criminality, Association. Northwestern Memorial Hospital. 88-IJ-CX-OOl6-Marijuana as a Cash 86-U-CX-0084-Urine Tests of Ar- Crop: Study of U.S. Illicit Drug Gr~wers, res tees to Identify Hidden Drug Abusers, IlUnois State University. Toborg Associates. 88·-U-CX-0015--Controlling Street 86-IJ-CX-0069-Optimization of Legal Drug Markets: Community-Oriented Ap­ Supervision for Chronic Addict Offend­ proaches (Birmingham, Alabama): ers, University of California at Los 87-U-CX-0058 (Oakland, California), Angeles. Police Foundation. 86-J-CX-0050-Urine Testing of Juve­ 87··U-CX-0064-Changing Patterns of nile Detainees to Identify High-Risk Drug Abuse and Criminality Among Youths, Phase 2, University of South Crack Cocaine Users, New York City Florida. Criminal Justice Agency. 86-U-CX-0035-Alcohol and Drug 87-IJ-CX-0059-Breaking the Drug­ Aspects of Inter- and Intra-generational Crime Connection, RAND Corporation. Domestic Violence, Research Institute on Alcoholism. 87-IJ-CX-0050-Patterns of Drug Abuse in Inner Citie,s, Urban Institute. 86-IJ-CX-0029-Detection and Evalu­ ation of Substance Abuse Histories 87-U-CX-0046-Drug-Related Crime Through Hair Analysis, Ianus Analyses: Homicide (Phase 2), Narcotic Foundation. and Drug Research, Inc. 87-U·-CX-0043-lmproving Methods of MeaslJring the Incidence and Prevalence of Drug Abuse at State and Local Levels, Lazar Institute. 87-U-CX-0042--Cocaine Prevalence Estimation, University of California at Los Angeles. 87-U-CX-0036-Indirect Criminal Jus­ tice Pressures on Cocaine Sellers, Scientific Analysis Corp. 87-U-CX-0035-Assessment of Mul­ tiple Drug Use Indicators, San Diego Association of Governments.

58 Forensic science and criminal justice technology

Forensic science and technology have from new Institute research on scientific proven to be invaluable tools for criminal evidence. Blood~alcohol evidence, for justice and will become even more example, has now become the major imp0l1ant as we move into the 21st factor in DWI convictions. Also, medical Century. The changing concept of scien~ research into the genetic markers present tific evidence makes such physical items in human body fluids-blood, semen, as fingerprints, ballistics, fibers, hair, perspiration, saliva-has significantly body fluids, voiceprints, and genes play improved the ability to identify perpetra~ an increasingly important role in police tors of violent crime. Using techniques investigations and prosecutions. Continu~ developed in Great Britain, the Institute ing innovations in forensics and technol~ pioneered the widespread American use ogy have helped provide credible of electrophoresis whereby even minus~ evidence in criminal investigations with a cule samples of physical evidence can be resulting increase in convictions. They analyzed to provide invaluable informa .. also have categorically cleared innocent tion in criminal investigations. With suspects of a crime. In addition, such electrophoresis, a tiny fleck of an advances have supplemented and im~ assailant's blood found at a crime scene proved many operations and procedures in can help lead police to the attacker or the various segments of the system. narrow the field of suspects. Research is essential in ensuring that New recombinant DNA science, under criminal justice agencies and organiza~ investigation by the Institute, is expected tions use the most up~to~date technology and resources, both to investigate crime to produce even more advances in blood and to prevent it. "fingerprinting." Voice analysis research is also supported by the Institute and is There exists a strong potential for chan~ expected to playa significant role in law neling advances by the scientific commu~ enforcement responses to terrorism, tele­ nity toward the improvement of the entire phone threats, wiretaps, and other law criminal justice system. Research findings enforcement evidence collection opera­ are used to prepare evidence scientifically tions against organized crime. New re­ to pass rigorous admissibility tests in search in hair analysis also indicates that accordance with the procedure known as information on an individual's history of the Frye Rule. In addition, Institute~ drug use for a period of several months sponsored projects have led to dramatic can be found in human hair, a significant results in many areas including forensics, advance over current urine testing patrol allocation, computer~aided tran~ approaches. scription, artificial intelligence for investi~ gating murder and burglary, and the Technology also plays an important role protection of law enforcement personnel in criminal justice since it can be used to in the line of duty. improve the criminal justice system's productivity. Advances in computer The criminal justice system continually technology both in applying existing benefits and will do so into the future 59 :, I',' ~ , ': ~ :.' .I. '~ , '. ,.' 1'1 I ~u ' , ... , . ~. \' , 'if1' ' f • , \" , " ',' '," I ' 'i ' ..... ," I~',~' ',,'-: #. "' ~ ,"i~\,Jt,,' "< I) _ :,~ i 'rt I,' "',,, \

technology and developing new ones, Forensic sciences have improved a wide variety of agency The forensic sciences have provided one operations. Police patrol patterns, court of the most promising avenues for growth scheduling, electronic monitoring of and improvement in the area of crime in­ offenders, and communication and record vestigation. Advances in the techniques keeping are enhanced by computers. Now and equipment used to study evidentiary in several jurisdictions "paperless" materials have literally transfonned the systems are working effectively. modern ability to solve and study crime. Another breakthrough demonstrating the Several years ago the Institute sponsored impact of close cooperation between what has become a fundamental resource science and law enforcement was the in laboratories across the country-the development of soft body armor for police Sourcebook of Forensic Serology, Immu­ officers. nology, and Biochemistry by Robert E. These few examples illustrate how scien­ Gaensslen, Ph.D. Other projects include tific and technological progress can be the identification of assailants using hair focused to improve our ability to control lost during struggles with victims, the crime. The National Institute of Justice is conclusive examination of gunshot committed to funding research that will residue on hands and c10thing using facilitate the use of scientific innovation electron microscopes, the study of human throughout the criminal justice system to speech patterns resulting in technology save lives, improve crime clearance rates, capable of identifying individual "voice­ reduce apprehension and conviction prints," Md the study of cell structures of times, and deter future crime by increas­ partially digested vegetables found in the ing the likelihood of detection. stomach of homicide victims to assist in establishing the time of death. Scope The Institute for several years has sup· ported the application of DNA techniques The Institute seeks proposals for research in forensic applications. Dr. George in the physical and biological sciences and Sensabaugh at the University of Califor­ their technologies, addressing develop­ nia, Bl!rkeley, has with some success ments of equipment or techniques that studied the problem of size of evidence will aid in crime prevention, crime limitations in current systems as well as detection, investigation, and adjudication. the use of radiological isotope labeling of Presented below are a number of broad probes. Dr. Carol Jenny at the University topical areas where research efforts may of Washington has researched the use of be beneficial. It is not intended that the additional probes for forensic applications areas mentioned here should limit areas of and the use of current techniques in case potential research but suggest, rathel', that work. Drs. Robert Gaensslen and Henry they illustrate the kinds of research that Lee are examining the application of may improve the efficiency and effective­ DNA techniques to identify skeletonized ness of criminal justice operations. 60 remains, an important issue both to law parties involved, the use of weapons is enforcement and to such agencies as the restricted by legal precedents and local Army. Although the "fingerprint" tech­ policy. The availability of a less-than­ nique may be limited in use to a small lethal alternative weapon would better number of public and pdvate laboratodes, equip law enforcement to handle encoun­ it will involve additional study in new and ters with amled suspects, hostage takers, uniform methods for collecting, storing, drug addicts and other mentally ill sus­ and recording the results of DNA analy­ pects, as well as fleeing felons. ses. The impact on the investigative and progecutorial processes has yet to be Many new weapons, such as plastic guns, estimated. plastique explosives, and the like are capable of being transported through Research proposals in forensics can be of current detection barriers and safeguards. wide and varied nature. The Institute Research proposals for new tools which solicits projects that aim to develop improve detection capabilities for both equipment or techniques that enhance traditional and nontraditional weaponry forensic capabilities. In addition, studies are of interest. A breakthrough in this area that propose evaluation and improvement offers the potential for greatly reducing of the use of forensic evidence are violence by detecting such weapons on welcome. persons entering protected areas, such as assassins, hostage takers, skyjackers, and Criminal justice technology terrorists in general. The Institute actively considers proposals Special attention should also be directed for technological advances with potential to technology that facilitates tracing application to areas of the criminal justice organized crime transactions. For example system. In short, proposals in the areas of research on the detection of illegal drugs science and technology are not limited by being transported in various fashions focus or specific subject matters, but are through otherwise legitimate channels and judged according to their potential utility improved means of identifying the in addressing today's criminal justice offenders involved are of interest. needs in particular, as they would affect reductions in all forms of violent crime. Institute research addressing the use of computer technology includes efforts to For example, the Institute has long been enhance police planning and management involved in the search for a viable, non­ as well as both reactive and proactive lethal alternative to the police officer's police operations. For example, the most distinctive weapon-the handgun. PISTOL project in Chicago has developed The Attorney General of the United States a paperless police information system has held an international conference on using lap and personal computer technol­ this subject. Since a decision on the part ogy. Computer mapping of crime patterns of an officer to use a gun can often mean at specific locations is being used to help serious injury or even death to one of the police be more responsive to specific 61 crime problems. Computer-based patrol Recent lelated grants allocation models have also been devel­ oped with Institute support and at present 87-U-CX-0061-Use of Polymeric computer-based "expert" systems are Trace Ev Idence in Forensic Investiga­ being developed and tested in Baltimore tions, Research Foundation of City Uni­ County as a means of enhancing police versity of New York, John Jay College. investigation and apprehension. 87-U-CX-0041-Identification of Research primarily focused on the devel­ I-Iuman Remains from Blood Groups in opment of criminal justice technology Bones, University of New Haven. should be pru1icularly innovative, address a problem of national interest, and offer 87-U-CX-004O-Forensic Aspects of unique capabilities to a broad spectrum of DNA Typing, University of Washington. criminal justice operational elements. 87-IJ-CX-0030-Timed Fluorescence Imaging for Detecting Finger Prints, Texas Tech University. Deadlines and fur!:~er information

Ten (10) copies offully executed propos­ als should be sent to: Research Program on Forensic and Criminal Justice Technology National Institute of Justice 633 Indiana Avenue NW. Washington, D.C. 20531

Completed proposals must be received at the National Institute of Justice no later than 5 p.m. on March 15, 1989. Exten­ sions will not be granted. Applicants are encouraged to contact the Institute before submitting proposals to discuss topic viability or proposal cor.tent" To obtain further information, potential applicants may contact Dr. Richard M. Rau at 202-724-7631.

62 Offender classification and prediction of crintinal behavior

Crime continues to be one of the most for both specialized offenders (such as significant problems in our society. As a rapists) and those offenders who commit a consequence of the high rates of crime variety of crimes many of which are and the rising demand by society that the serious. These research findings impact perpetrators of these crimes be punished, directly upon criminal justice policies increasing numbers of persons are being pertaining to sentencing, probation and convicted and sentenced to jail or prison. parole, and jail and prison management. In 1987, the number of incarcerated of­ fenders exceeded one-half million. This This program is designed to support the means that criminal justice officials are accumulation of a body of research on the being confronted with a number of press­ classification of offenders and the predic­ ing problems having to do with managing tion of future dangerousness. Research these people in limited jail and prison results from this program have had and facilities and then releasing these people will continue to have direct policy impacts back into society. Prison riots such as upon the following criminal justice those in Attica, New York, or in New practices: jail and prison construction Mexico cannot be t\)lerated. Victimization needs; pretrial release decisions; priority of some inmates by other predatory-type prosecution decisions; sentencing deci­ inmates is unacceptable. Victimization of sions; the management of existing jails citizens by persons on pretrial release or and prisons; the management of probation on probation/parole must be eliminated. and parole; the timing and conditions of parole; and in some jurisdictions, the Issues as to the precise amount and types selection of cases for early release. As can of punishment for incarcerated offenders be seen, classificatIon and prediction are still being debated, but questions as to research cuts across all the boundaries of the conditions of confinement, and risk to the criminal justice system and deals with the public, correctional staff, and other most of the critical problems facing inmates are management decisions which criminal justice administrators daily. In must and can be improved through addition to these criminal justice system research. Although rehabilitation does not benefits, improved classification and appear to work for most offenders, prediction procedures will save millions approximately one-third of those released of dollars as well as reduce victimization from prisons are not rearrested. Improved and the fear of crime. classification and prediction systems may permit us to develop procedures to iden­ tify the best risks for release and the Scope poorest risks for continued incarceration. NIJ research to date has been very prom­ The recent book, Prediction and Classifi~ ising in its examination of the methodo­ cation: Criminal Justice Decisionmaking, logical bases to improve classification and edited by Don Gottfredson and Michael prediction and in developing and testing Tonry, is a significant product of this new classification and prediction systems research program. It brings together much

63 of what is known about key topics of this study are being detailed in a future offender classification and prediction. Institute report. It includes a careful discussion of the legal and ethical issues involved in the The University of Washington implementation of classification and (86-IJ-CX-0072) is concluding a re­ prediction systems in applied settings. search project to develop and validate a Many of the methodological problems classification system for incoming prison­ of classification and prediction are ers. A variety of tests are being considered examined. for inclusion in this system including the Minnesota Multiphasic (MMPI), an IQ One of the major contributors to the jail test, a suicide potential test, and several crowding problem is the growth in recent other screening devices. Concurrent with years of the pretrial population. The this research is a project by the University solution is not simply to identify those of Cincinnati (85-IJ-CX-0063) to com­ who can safdy be released. Research pare for cost and effectiveness five must also identify the conditions for diff't:rent psychological classification release such as remaining drug free, systems for offenders. Florida State participating in a drug rehabilitation University (84-IJ-CX-0016) is finishing program, participating in a job training its final report, which evaluated the utility program, etc. Currently the Wisconsin of the Megargee MMPI-based classifica­ Correctional Service (87-II-CX-0047) is tion system for mentally disturbed and developing a prediction model to deter­ older offender populations. The Massa­ mine which pretrial offenders are most chusetts Treatment Center and Brandeis likely to return for trial if released and, at University (85-U-CX-0072) have devel­ the same time, are least likely to commit oped and validated a classification system new offenses. The study will cover misde­ for child molesters. Currently this re­ meanant cases as well as felony cases and search team is validating a classification will include a consideration of several system that has been developed for types of release options including release rapists. This research has demonstrated on recognizance (ROR), supervision, and that both child molesters and rapists are the provision of social services (such as composed of several subtypes each of enrollment in a drug rehabilitation which have their own unique but identifi­ program). able characteristics and have varying prognoses for treatment and release. Under NIJ sponsorship, Brandeis Univer­ Using these classification systems, sity (84-IJ-CX-0055) recently completed criminal justice officials are better able to a research project which evaluated criteria make decisions as to which sex offenders that could be or were being used by to keep incarcerated for further treatment prosecutors to select the most serious (that or for community safety and which can be is, the most violent, persistent, and high­ safely released and under what kinds of rate) criminals for priority prosecution. supervision. The research identified several criteria useful for this purpose. The full results of 64 Carnegie-Mellon University Development and testing of new (86-U-CX-0039) is conducting research or existing classification systems to develop a methodology to permit There are a variety of classification correctional agencies to compare existing schemes being used in the Nation's cor­ prediction scales when these agencies are rections systems. Some of them are based faced with questions about early release. essentially upon the expert opinion of ex­ These scales include the "Rand Scale", perienced criminal justice personnel. Salient Factor Score, Iowa Risk Assess­ Other, more elaborate systems find their ment, etc. This methodology will enable long history of development in crimino­ an organization to compare the scales with logical applications of psychometric each other using several measures of testing. These latter systems especially predictive effectiveness using their own were often developed for populations offender population characteristics. different from the ones to which they are While substantial research progress has now being applied (e.g., juvenile vs. adult been and is continuing to be made, it is offenders) or for system objectives that clear that additional research that builds are not at this time the dominating con­ upon the above studies is still necessary. cern of system management (e.g., identifi­ The next section describes specific re­ cation of individual rehabilitation vs. the search topics of concern for fiscal year need to maintain order and control in a 1989. Obviously, this listing is intended to crowded institution). Generally research be illustrative rather than exhaustive. findings to date support the position that objective or actuarially based predictions Development of Improved analytiC are better than clinically based predic­ methods for classification or tions. Further research may be of help in prediction of criminal behavior revising and refining objective classifica­ Recent research has shown considerable tion systems through a thorough assess­ interest in the adaptation of improved sta­ ment of their ability to assign each tistical tools and mathematical models for individual to a unique subclass and the assessment of risks that are important in power of the reSUlting classification to criminal justice decisions. The predictive assess risk potentials that are of major power of most of these methods has yet to concern to managers. be demonstrated in thoroughgoing empiri­ However it should be noted that this cal tests. This program has an interest in program does not encourage applications supporting further development of innova­ that are routine validations of existing tive methods. All applications must, classification and prediction systems for a however, include tests that would be particular jurisdiction. Research projects indicative of the results that would be undertaken for NU must be innovative, be obtained if the methodology would be experimental (if feasible and appropriate), routinely applied as a prediction device or and bear results that are generalizable to a classification system to inform criminal other jurisdictions. justice decisions. 6S Criminal career forecasting of Justice no t)(~~r than 5 p.m., January 18, 1989, to be c01s,~!dered for the first cycle, Over the last decade or so there has emerged a body of research literature that and 5 p.m., April 19, 1989, for the second. attempts to identify classes of offenders Extensions of these deadlines will not be permitted. that are significantly different in their patterns and rates of offending and that To obtain further information about this tries to infer from the sequence of events solicitation, researchers may write to Dr. in criminal histories what are the signifi­ Richard S. Laymon, Program Manager, cant determinants of individual criminal Offender Classification and Prediction of career paths. Criminal Behavior Program, at the above The scientific goal and ultimately the address, or cont"ct him at 202-724-7633. policy significance of this line of research is obviously to achieve an understanding References and of how an offender's criminal career is likely to continue to evolve, given what is related grants known at a particular point about his history of deviance. 1. D. M. Gottfredson and M. Tonry, ed., Prediction and Classification: Criminal Applicants who wish to pursue some Justice Decisionmaking, Chicago, Univer­ aspect of this field of inquiry are again sity of Chicago Press, 1987. strongly encouraged to incorporate an emphical test of predictive power into 2. N. Morris and M. Miller, "Predictions their research design if this is at all of Dangerousness in the Criminal Law," possible. Research in Brief, 1987, NCJ 104599. 3. A. Blumstein et al., Criminal Careers and "Career Criminals," two volumes, Deadlines and Washington, D.C., National Academy further information Press, 1986.

Ten copies ofjillly executed proposals 4. 1. Chaiken and M. Chaiken, Varieties of should be sent to: Criminal Behavior, Santa Monica, Cali­ fornia, RAND Corporation, 1982. Offender Classification and Prediction of Criminal Behavior Program 5. D. P. Farrington and R. "farling, Predic­ National Institute of Justice tion in Criminology, Albany, New York, 633 Indiana Avenue NW., Room 900 State University of New York Press, Washington, D.C. 20531 1985. 6. D. C. Gibbons, "Offender typologies­ There will be two opportunities to submit two decades later," British Journal of proposals this year. Completed proposals Psychology 15,2 (1975): 140-156. must be received at the National Institute 66 7. R. Hood and R. Sparks, Key Issues in 85-IJ-CX-0063-Psychological Classifi­ Criminology, New York, McGraw-Hill cation of the Adult, Male Prison Inmate, Book Co., 1975. University of Cincinnati. 8. E. 1. Megargee and M. J. Bohn, Jr., Classifying Criminal Offenders, Beverly Hills, California, Sage Publications, 1979. 9. J. Monahan, Clinical Prediction of Violent Behavior, Rockville, Maryland, U.S. Department of Health and Human Services, 1981. 87-IJ-CX-0045-Patterns of Drug Use and Their Relation to Improving Predic­ tion of Patterns of Delinquency and Crime, University of Iowa. 87-IJ-CX-0047-Predicting Pretrial Success: A Comparison of Techniques, Wisconsin Correctional Service. 87-IJ-CX-0048-Improving Self-Report Methodology for Obtaining More Reliable Offending Rate Data, Colorado Division of Criminal Justice. 86-U-CX-0052-Violt::nt Offenders in Two Birth Cohorts: Patterns in Violent and Serious Nonviolent Recidivism and Their Implications for Public Policy, University of Pennsylvania. 86-IJ--CX-0048--Classification, Predic­ tion and Criminal Justice Policy, Justice Policy Research Corporation. 86-IJ-CX-0039-Improved Techniques for Assessing the Accuracy of Recidivism Prediction Scales, Carnegie-Mellon University. 85-U-CX-0072-Developmental Factors Associated with Sexual Dangerousness, Brandeis University and the Massachu­ setts Treatment Center at Bridgewater. 67 Violent criminal behavior

Violent criminal behavior is one of the violence being directed at elderly parents most frightening experiences in the by their adult children. evolution of human communities. It can destroy the future. Our social responsibil­ Domestic violence may be the most ity is to control these despicable acts. common violent crime and the most difficult to control. Courts are unable to The National Institute of Justice has do much to protect family member vic­ demonstrated some policies that can thns from future victimizations. While reduce future violence. However, more statistics show that violence occurs most research is needed. According to the 1987 often among persons acquainted with one Uniform Crime Report a violent crime-a another, one of the most significant fears murder, a rape, a robbery, or an aggra­ is of being attacked by a stranger, either at vated assault-occurred on average every home or elsewhere. This pervasiveness 21 seconds. The rate of violent crimes per and fear of violent crime make it one of 100,000 population has increased sharply the most important priorities within the in the last quarter century: 159.0 (1960) criminal justice system. and 609.7 (1987). A recent report by Langan and Innes 1 estimated that 6 One of the major goals of the Violent million Americans are targets of violent Criminal Behavior Program is to obtain a crime annually. Recently, the influence of better understanding of the factors essen­ illegal drugs upon the origin of violent tial to preventing and reducing the poten­ criminal behavior has become of concern tial for criminal violence within an as well as the effect of such drugs in individual and large social groups like escalating less serious crimes into violent gangs. Another goal of significant interest crimes. Violent crimes not only bring to the program is the development of suffering and hardship to victims and their interventions to prevent violence, particu­ families, but also impact upon the quality larly prospective interventions. The of life of everyone in our society. successful implementation of such pro­ grams in communities throughout the According to the FBI, 47 percent of all country should have a significant impact homicides are caused by arguments; 55 in reducing violent crimes. Finally, the percent of all homicides involve people program is concerned with the assessment who know each other and 25 percent of the risk of future violence-an assess­ involve family members. The evidem:e on ment that enters into some of the most rape and assault from victim surveys difficult decisions that must be made in indicates a similar pattern: 40 percent of criminal justice. all rapes and assaults involve acquain­ tances or family members. Of great Described briefly below are some of the concern is violence directed at children. research projects that have been funded According to one study,2 over 1 million under this program. children have been beaten by a parent Florida State University during childhood. There is even evidence (88-U-CX-0006) is implementing a that there is a significant amount of 68 study to identify the psychological, Indiana University (86-IJ--CX-0033) is physical, and cultural/social indicators conducting a study to determine whether that differentiate violent offenders, even violent criminal behavior is transmitted with similar profiles, from nonviolent of­ between generations within families. fenders. The determination of these Official records from over 2,000 cases of factors will be of critical assistance in child abuse of young children will be isolating those factors in individuals correlated against subsequent criminal which produce the potential for violence. records of these same people as adults. This group will be compared with a A major issue is the relation between matched sample of children who were not mental illness and violent criminal behav­ abused. Preliminary results5 conclude that ior. Prior research results are contradic­ 3 less than one-fifth of adults who were tory. Monahan and Steadman have abused as children perpetrate abuse upon concluded that the correlates of crime their own children, and that in prospective among the mentally ill appear to be the studies using children that were neglected same as the correlates of crime among any or abused, the incidence of subsequent other group. They further state that delinquency was about 20 per cent. correlates of mental disorder among criminal offenders appear to be the same Listed below are examples of some of the as the correlates of mental illness among areas of interest to the program this year. other groups. However, Collins and This listing is intended only to be sugges­ Schalenget have concluded that psychiat­ tive of the program's scope. ric disorders among male felons are much higher than in the general population. The Assaults issues of violence and mental disorder While we have detailed data on homicide, must be investigated to resolve these the Uniform Crime Reports provide only conflicting reports and to develop infor­ aggregate data on offenses other than mation upon which policy can be made. homicide. Research that increases knowl­ Two projects are currently addressing this edge at the interface between medical and problem. The Research Triangle Institute criminal justice information on personal (86-IJ-CX-0034), using more than 1,000 violence might help to fill this gap. These prison inmates, is studying the relation data are important not only because most between mental disorders and psychiatric criminal violence falls into this area, but symptoms and violent criminal behavior. also oocause correct interpretation of the The Social Science Research Institute homicide data requires knowledge of the of the University of California incidence of other types of violence. The (87-IJ-CX-0063), using a birth cohort of difference between homicide and assault over 64,000 men and women for which in many cases may simply be an artifact there is over 40 years of data, is examin­ of the quality of medical service, emer­ ing the relation between arrest informa­ gency service, or the availability of a tion and mental hospital admissions and weapon. discharges. 69 Intergenerational teristic such as race, religion, ethnicity, transmission of violence national origin, regional affiliation, Findings from studies on the question of membership in groups such as unions. or sexual orientation) are of particular whether abuse and neglect lead to later concern. violent criminal behavior are contradic­ tory. While the current NIJ research suggests a modest amount of transmis­ Deadlines and sion, other studies have produced opposite findings. further information This program is interested in research Ten copies ofjully executed proposals examining the consequences of experienc­ should be sent to: ing and observing violent abuse and severe neglect, with an emphasis upon Violent Criminal. Behavior Program addressing causality questions. National Institute of Justice 633 Indiana Avenue NW., Room 900 Questions of interest include: In what Washington, DC 20531 context(s) do the long-term effects of abuse, neglect, or both occur? For ex­ ample, what are the consequences of Completed proposals must be received at abuse and neglect in the larger context of the National Institute of Justice no later the caretaking environment? Is early than 5 p.m. February 1, 1989, to be sexual abuse an antecedent to later considered for the first cycle, and 5 p.m. crimes? Does the perpetrator of the abuse Apri125, 1989, for the second cycle. make a difference in terms of the conse­ Extensions of these deadlines will not be quences of early abusive experiences? permitted. What are the long-tenn consequences of early sexual victimization and how do they differ in males and females? Applicants are encouraged to contact the Institute before submitting proposals to Violence prevention discuss topic viability or proposal content. Research applications are invited which To obtain further information about this investigate criminal justice, educational, solicitation, researchers may write to Dr. mental health, and social service violence Richard M. Rau, Program Manager, prevention and control interventions. For Violent Criminal Behavior Program, at example, applicants may propose system­ the above address, or telephone him at atic field observation of experimental 202-724-7631. treatments used by police, prosecutors, and the courts in dealing with violent offenders. Studies of the etiology of hate violence (violence directed against an individual because of an intrinsic charac- 70 ~------'I"

'>- " \' ' '.' ,~... , ! t >- ~ I ~ ,j, . 'I,"', '.,',',', . .... / '" \\ . '. '.r i "!, I"" , I, , ' , , ' ~,~ , • J/ '_ : ',' "'t' :~', ' ,i. v'" •• References and 86-IJ-CX-0033-Child Abuse, Neglect, and Violent Behavior, Indiana University recent related grants at Bloomington. 1. P. A. Langan and C. A. Innes, Risks of Violent Crime, Bureau of Justice Statistics Special Reports, May 1985. 2. Cathy Spatz Widom, Does Violence Beget Violence? A Critical Examination of the Literature, National Institute of Justice, unpublished, 1987. 3. J. Monahan and H. Steadman, "Crime and mental disorder: An epidemiological approach," Crime and Justice 4, ed. M. Tonry and N. Morris, Chicago, University of Chicago Press, 1983. 4. Jr. Collins and W. Schalenger, "Preva­ lence of Psychiatric Disorder Among Adlmissions to Prison," paper presented to the American Society of Criminology, November 1983. 5. Widom, n. 2 above. 88-IJ-CX-0006-A Longitudinal Study of Violent Criminal Behavior, Florida State University. 88-IJ-CX-0002-Stakes and Risk in the Assessment of Violent Criminal Behavior, Justice Policy Research Corporation. 87-IJ-CX-0063-Crime and Mental Ill­ ness in a Birth Cohort, Univer~ity of Southern California Social Science Research Institute. 86-IJ-CX-0034-Mental Disorder and Violent Behavior, Research Triangle Institute.

71 Visiting Fellowships

f! . \ . , . '. ·e '> ~ , ',' , , " , .' \ ' ,I :' '.', ':',' .l;, . " :", 1..- ....,.. I, " . " .. The Visiting Fellowship Program offers National Institute of Justice seeks in criminal justice practitioners and research­ candidates for the progrrun. ers a real opportunity to undertake inde­ pendent research on policy-relevant issues The collection and enforcement of fines is in the criminal justice area. It is a path for a matter of concern in light of attempts to the investigation of new approaches to increase the use of monetary sanctions as resolving personally nagging operational a viable sentencing alternative. Dr. issues as well as becoming involved in a George Cole, during the period of his national program on criminal justice Visiting Fellowship, will undertake a research directed at meeting the needs of study to identify, investigate, and describe Federal, State, and local agencies. innovative techniques and procedures in operations at the Federal, State, and local Selection of the Visiting Fellows is based levels to increase the effectiveness of on a competitive review and evaluation of fines collection and enforcement. The proposals for independent study. Recipi­ major product resulting from this effort ents of the awards are located at the will be a manual sui.table for publication National Institute of Justice for a perivd of and distribution to judges, court adminis­ 6 to 18 months. While at the Institute the trators, and criminal justice planners who Fellows have the opportunity to partici. have a need for such infonnation. pate in the development of plans for criminal justice research programs of Because police-prosecutor coordination national scope, interact with Institute staff appears at times to be fraught with prob­ and other Visiting Fellows, and present lems, Lt. John Buchanan II of the Phoenix seminars on their own research. The Police Department will examine the program provides for full financial as well current status of police-prosecutor team as logistical support and access to the efforts that are being conducted in various abundant criminal justice resources in and jurisdictions. His study will assess the around the Nation's Capital. effectiveness of such teams, where and how they are utilized, their impact on case The research of interest to the Institute outcomes, and the potential for expansion specifically includes those topics de­ of such joint operations into other worth­ scribed under each program in this vol­ while areas. ume, though proposals addressing other topics are also welcome. Applicants are advised, however, that their proposals Scope must meet the criteria specified in the section titled, uApplication Procedures The Visiting Fellows Programs solicits and Requirements of Award Recipients." proposals from two groups of criminal justice professionals, emphasizing the The Institute'S most recent fellows are nexus between research and practice. prime illustrations of the broad range of Based upon their backgrounds and cre­ experience, purpose, and background the dentials, candidates are classified as:

73 I q' <, • ~ , ',' ", ~ I.. ' ,'" ',,' '", . :', ' ,,: '. . :,' ' ,t I :, :'." . :' . ", (' ";' ,

1) Practitioners-Middle- and upper-level 4) Projects from former NIJ Visiting criminal justice personnel who are usually Fellows. employees of State or local government. The candidates bring with them an active Successful candidates are invited to join knowledge of how the local communities the National Institute of Justice staff in function, of policy development and Washington, D.C. There they enjoy the command structures of the justice system, opportunity to interact with the Institute and of innovations occurring at the local staff, national leaders in their field, and level. They include representatives from other Visiting Fellows as well as the the police, the courts, corrections facili­ opportunity to develop, carry out, and ties, probation agencies, and victims present their projects. Eighty percent services, and show a potential for future (80%) of the fellowship period must be leadership. spent at the Institute. 2) Researchers-Personnel with broad and extensive criminal justice research Requirements experience. Candidates are usually drawn for the program: from colleges and universities and they usually propose research from which the • Projects must begin between January findings could improve either the assump­ 1989 and December 1989. They can run tions on which criminal jUStiCl~ operations from 6 to 18 months. are based or actual field operations. • NIJ funds will cover Fellow's salary, Selection for the program is competitive. fringe benefits, reasonable relocation It is biased on the background and experi­ costs, travel essential to the project, ence of the individual candidate as well as supplementary expenses (some special the quality and viability of the proposed equipment, etc.), and office (telephone, project. Submissions to the Visiting supplies, furniture, etc.). Fellows program will be reviewed by panels based upon the applicant's status as • Awards can be made in two ways: 1) to individuals, and 2) through IP A (intergov­ either a practitioner or a researcher. Tht~ following types of proposals are not ernmental personnel action) to the eligible for consideration. recipient's parent facility. To be eligible for an IP A appointment, candidate must 1) Action-oriented programs where re­ be an official of State or local government search plays only a minor role (actual or a nonprofit criminal justice organiza­ provision of training or treatment pro­ tion certified as eligible by the U.S. Office grams, etc.), of Personnel Management. 2) Part-time research efforts, 3) Projects from students seeking support for graduate or undergraduate work, and

74 Deadlines and struction Initiative Which Identifies Cost­ Effective Means for Building New further information Facilities. Funding for this program has been tenta­ Dr. Barry Ruback, Professor of Psychol­ tively set at $250,000, which will typi­ ogy, Georgia State University. Study of cally support three to five fellowships. How Victims of Vio!...\lt Crimes Make Application and selection procedures for Decisions To Involve the Criminal Justice the Visiting Fellows Program are largely System or Not. the same as those for other grant programs. Dr. Patricia Mayhew, Home Office Research and Planning Unit, London, Ten (10) copies of/ully executed propos­ England. Examined National Crime als should be sent to: Surveys To Compare Burglary Statistics Visiting Fellowships Program for the United States. Canada, and National Institute of Justice England. 633 Indiana Avenue NW. Dr. Garry M1endez, National Urban Washington, DC 20531 League, New York, N.Y. Examination of Crime Prevention in African-American Completed proposals must be received at Communities Using Ethnicity, Culture, the National Institute of Justice no later and History Values as a Basis. than 5 p.m. on February 17, 1989. Exten­ Dr. Charles H. Logan, University of sions will not be granted. Connecticut. Prepared a Monograph to Applicants are encouraged to contact the Clarify the Issues on Both Sides of the Institute before submitting proposals to Debate Over Privatization in Corrections. discuss topic viability or proposal content. Kenneth R. Freeman, Assistant District To obtain further information, potential Attorney for Lt.J Angeles. A Study to applicants may contact Dr. Richard M. Find More Effective Ways To Prevent Rau at 202-724-7631. Victims of Child Sexual AbU!ie. Dr. George Cole, University of Connecti­ Recent fellows and cut. Collection and Enforcement of Fines: research endeavors Issues and Innovations.

Lt. Michael McCampbell, Sheriff's Lt. John Buchanan II, Phoenix Police Department, Arlington County, Virgmia. Department. Assessing the Current Status Evaluation of Police Recruit Training of Police-Prosecutor Team Efforts. Programs. Dr. William McDonald, Georgetown Charles De Witt, Santa Clara, California, University. Criminal Prosecution: Policy Planner-County Official. Prison Con- Choices in the Organization of the Accu­ satory and Adjudicative Processes. 75 Graduate Research Fellowships

The purpose of the Graduate Research examination of some of the fiscal year Fellowship Program is to encourage 1987 competitive winners demonstrates scholars to undertake research in criminal this point. justice or directly related fields and to develop a continuing and capable cadre of With the elimination of the old paraffin individuals who can conduct research as and nitre acid tests as valid techniques to well as operations directed at resolving identify gunshot residues, investigations critical issues in the criminal justice have had to resort to rather involved environment. procedures and use of limited and expen­ sive equipment systems to establish the The National Institute of Justice, under presence of gunshot residues. Edgard O. congressional mandate, has vigorously Espinoza of the University of California, supported this program for the past 20 Berkeley, has demonstrated through a years by supporting graduate students at thorough study of diphenylamine (a the critical dissertation stage of their common gunpOWder stabilizer) a poten­ academic careers. Through their sponsor­ tially feasible, rapid, and inexpensive ing universities, doctoral students are route to establish the presence of gunshot awarded grants of up to $11,000 to residues. support the completion of their disserta­ tions. Dissertations reSUlting from this Domestic vjolence is a serious problem program have consistently demonstrated frequen~iy involving assm.llt, battery, and the potential for direct contributiOl.s to homicide. Empirical research into pos­ criminal justice policy and have advanced sible causal and maintaining factors of the body of knowledge concerning spouse abuse has been sparse, resulting in important criminal justice issues. a lack of scientific information concerning the spouse abuser. Judith Lynn 10hnson is Research subjects which may be of exploring pos~iDle abuser-related factors interest cover as broad an area as the involved in spouse abuse. Specifically, the criminal justice world. If the proposed variables of social isolation, familial insu­ research appears to develop new knOWl­ larity, perceived social support, alcohol edge, evaluate existing or proposed poli­ abuse, and witnessing of parental violence cies and practices, revise old information, within the ,abuser's fmrJly of origin will eliminate. myths, or even break new be explored and tested as predictors of ground, it has the potential of impacting spouse abuse. The potential of these five on current activities and, therefore, has variables for discriminating abusers from merit. NaturllHy, there may be greater a comparison group of nonabusers will interest in topics that coincide with some also be examined. It is anticipated that the that are suggested under the various study will provide information concerning program headjngs in other parts of this criminal justice intervention into spOllse brochure, but there are, in fact, few abuse, information concerning prevention limitations other than the research topic and correction of spouse abuse, and should be relevant to criminal justice. An dil'ection for therapeutic intervention with spouse abusers. 76

~~ ------Rosann Greenspan of the University of Stipulations for the California, Berkeley, is exarnining the Graduate Research implementation of a special felony drug prosecution program (The Targeted Urban Fellowships: Crime Narcotics Task Force) in Alameda County, California. She will assess • Fellowship awards are for one year or whether the program increases efficiency less. Time extensions may be granted for and effectiveness in prosecuting felony the delivery of the dissertation but no drug offense, particularly through inter­ further funds will be awarded. These time agency cooperation and coordination and extensions must be requested before the innovative prosecution techniques. She expiration of the original grant and require will also consider the effects of the the receipt of all progress reports showing program on the normal course of prosecu­ reasonable headway toward the objectives tion and the criminal process in the identified in l.he original application. county. • The maximum amount of anyone fellowship is $11,000. The gr~t may include the Fellow's stipend, allowances Scope for certain dependents, and certain univer­ sity fees, including continuing registra­ The Graduate Research Fellows program tion, library, and matriculation fees. Major provides a limited n~lmber of fellowships project costs are also included; e.g., which will be awarded to doctoral candi­ clerical assistance, special supplies, dates through sponsoring universities. The reproduction, necessary local and out-of­ awards are designed to support students town travel (reimbursed at the engaged in the research and writing of a University's rate), foreign travel (with doctoral dissertation in the areas of crime, prior Institute approval), and computer crime prevention, criminal behavior, or time. criminal justice. Prior to the grant award, applicants must have completed all degree $ Stipends and allowances are deter­ requirements except for the internship mined as follows: (where required) and the research, writ­ ing, and defense of the dissertation. (1) The Fellow's stipend is a pro-rated Applicants are advised, however, that award computed on the basis of ~5,OOO their proposals must meet the crittria for full-time study for a 12-month period. specified in the secti.on titled, "Applica­ (2) Allowances for dependents are pro­ tion Procedures and Requirements of vided in addit~on to the Fellow's stipend. Award Recipients." Allowance rates are shown below: Dependent spouse ...... " ... $ SOO/yr. Dependent children ...... One child ...... $ SOO/yr. Two children ...... $ SOO/yr. Three or more children...... $l,OOO/yr. 77 --~~--.-----

The maximum amount allotted for the 01Jadlines and dependent a!lowance is $1,500. further information These living supplements may be com­ puted by either of two methods: Funding for this program has been tar­ geted at $150,000, which will typically (1) Pro-rating of 12-month stipend. The support 10 to 17 Fellowships. With one total stipend plus any dependent allow­ exception, application and selection ance must be prorated for part-time study procedures for the Graduate Fellowship and/or periods of less than 12 months. Program are largely the same as those for other grant programs. Instead of the 25- For example, the total stipend for a Fellow page project narrative required for other ($5,000) with a dependent spouse ($500) programs, Graduate Fellow applicants and one dependent child ($500) who should submit a 10-page paper which spends three-fourths of his or her time addresses research objectives, hypotheses, writing the dissertation for 6 months of and methodology; the appropri?teness of the year is computed as follows: the design to the issues raised; time 3/4 time x 1/2 year x $6,000 = $2,250 schedules for major events of the study; and documentation to the effect that the (2) Continuation of employer's pay rate. needed cooperation from organizations A Fellow who has been regularly em­ will be fm·,thcoming. ployed in teaching or research by the university or a related research organiza­ With this one exception, applicants should tion, and for whom the dissertation carefully follow all of the procedures requires leave from employment, may be outlined in the Application Procedures supported at the empioyer's established section on pages 1-7 of this booklet. rate of pay for the proportion of time Ten (10) copies ofJully executed propos­ devoted to study up to a maximum award als should be sent to: of $5,000. Dependent allowances can. then be prorated and added as shown above. Graduate Research Fellowships Progran1 National Institute of Justice • To be eligible to administer a Graduate 633 Indiana Avenue NW. Research Fellowship grant on behalf of a Washington, DC 20531 doctoral candidate, an institution must be fully accredited by one of the regional institutional accrediting commissions Completed proposals must be received at recognized by the U.S. Secretary {Jf the National Institute of Justice no later Education and the Council on Postse\~on­ than 5 p.m. on February 17, 1989. Exten­ dary Accreditation. Overhead costs are sions will not be granted. not allowed for this program. Applicants are encouraged to contact the Institute before SUbmitting proposals to discuss topic viability or proposal content. 78

------. -_._------To obtain further information, potential applicants may contact Dr. Richard S. Laymon or Mrs. Rosemary Murphy at the Institute. Telephone: 202-724-7635.

Recent related grants

87-IJ-CX-0028-Differential Associa­ tion, Self and Delinquency, University of Wisconsin-Madison. 87-IJ-CX-0029-Effect of Sugar Inges­ tion III Juvenile Delinquency, University of Wisconsin-Madison. 87-IJ-CX-0031-Risk Factors Predicting Spouse Abuse, Loyola University of Chicago. 87-IJ-CX-0032-Occurrence of Diphenylamine or Derivatives in Gunshot Residues, University of California-Berkeley. 87-IJ-CX-0039-Crime Prevention Through Architectural De;sign, University of Michigan. 87-IJ-CX-0049-A Reanalysis and Critical Evaluation of the Minneapolis Domestic Violence Experiment, Univer­ sity of Maryland. 87-IJ-CX-0054--Determinants of Vic­ timization: A Contextual Effects Analysis, University of Maryland.

79 Summer Research Fellowships

Over the last 20 years, the National using a labor theoretic approach with Institute of Justice has funded numerous rational choice models to investigate projects that have made significant crime and work participation. The results contributions to our understanding of the of this analysis point to the notion that, at operation of the criminal justice system. the margin, unemployment or working Many of these projects have undertaken shortened periods is associated with costly and time-consuming extensive data increased participation in crime. collection efforts. The Institute's interest in these research data, however, does not A 1988 Fellow plans to take a further look end with the closing of the original work. at data collected by the Indiana University The reexamination of the data generated Police Services Study on relationships by these projects is an important research between citizen participation in commu­ tool that can produce innovative research nity crime control activities and neighbor­ findings long after the primary analysis hood crime rates. The analysis will also has been published. In addition, secondary examine the role of the police in encour­ analysis can corroborate original findings aging these local crime prevention and give greater confidence to research activities. findings. The Summer Research Fellowship pro­ Scope gram is aimed at the reanalysis of existing research data, particularly of data sets This program solicits proposals from reSUlting from NIJ-sponsored research. researchers who are interested in reana­ Past Summer Fellowships have provided lyzing existing machine-readable data sets new insight into crime and criminal to gain new insight or correct problems in justice policy issues. For example, two original analyses. It is intended for both sets of 1986 Fellows worked extensively senior researchers, relatively new Ph.D. 's with the data produced by the Newark­ and those in between. Project hypotheses Houston "fear of crime" experiments. and appropriate data are the choice of the Their work went beyond the original applicants. However, proposals to exam­ projects by concentrating further on ine data sets originally generated under factors (e.g., citizen attitudes, neighbor­ the auspices of the National Institute of hood env~onment, etc.) which made the Justice and released through the Criminal communal fear reduction efforts so Justice Data Archive at the University of successful in those two oreas. Michigan's Inter-Uni'lersity Consortium for Political and Social Research are of A 1987 Fellow reexamined a portion of particular interest. Conversely, we do not the Vera Institute of Justice project on encourage applications for individuals employment and crime. A central purpose seeking to conduct further analyses on of this fellowship was to better understand data they have collected. the choice process individuals engage in to decide whether to participate in crime, A t::atalog of abstracts from all publicly employment, or both. This was done by archived data sets from NIJ-sponsored 80 research, Data Resources of the National B) A detailed, one-page budget for Institute of Justice (3d Edition), is avail­ salaries, supplies and computing costs, able free from the National Criminal etc. not to exceed $10,000. Applicants Justice Reference Service. Studies based should include the cost of one trip to on other data sets will, of course, also be present the results of this research at the considered for funding under this pro­ annual meeting of the American Society gram. In such cases, applicants need to of Criminology. This program is designed make a special effort to describe in some as summer support for individuals; the detail the data for the proposed analyses. inclusion of institutional, indirect costs is strongly discouraged. It should be noted that candidates must plan to begin work after June 1, 1989. C) Resumes for key personnel including Final products are due no later than background, academic work, professional October 31, 1989. Unlike the Visiting experience, and pertinent work and Fellows P1\)gr~m, all work for Summer publications. Fellowships is done at the researcher's home institution. The standard grant application form 424 is not appropriate for this program. Six (6) copies offully executed proposals Deadline and should be sent to: further information Summer Research Fellowships Program Funding for th~s program has been tar­ National Institute of Justice geted at $50,000 which will typically 633 Indiana Avenue NW. support five awards. These awards will Washington, DC 20531 not be grants but small contracts. There­ fore, application procedures for the Completed proposals must be received at Summer Research Fellowship program the National Institute of Justice no later are different from those for other pro­ than 5 p.m. on February 3, 1989. Exten­ grams. sions will not be granted. Candidates for this program should Applicants are encouraged to contact the submit: Institute before submitting proposals to A) A proposal not to exceed 10 double­ discuss topic viability or proposal content. spaced pages. This paper should include: To obtain further information, potential 1) the policy question to be addressed; applicants may contact Ms. Winifred L. 2) the hypotheses to be investigated; Reed at the Institute (telephone 3) the data set(s) to be employed; 4) the 202-724-7636). nature of the data analyses to be per­ formed; 5) the potential policy implica­ tions; and 6) expected products of the research. 81 ------

Recent fellowships

Informal Social Control as a Deterrence to Juvenile Delinquency Among High School Students, Dong Soo Kim and Sook Ja Paik, Norfolk State University. Homicide Circumstances 1976-1986: A Taxonomy Based on Supplementary Homicide Reports, Michael G. Maxfield, Indiana University. Explaining Urban Crime Policies from 1948 to 1978: The Role of Public Opinion and the Press, David Pritchard, Indiana University. Community Organization and Neighbor­ hood Crime, Wesley G. Skogan, North­ western University. Applications of Sample Selection Methodology to Policy and Evaluation Research in Criminal Justice. Douglas A. Smith and Roger Jarjoura, University of Maryland. Sources and Impact of Plea Negotiation Style, Douglas Thomson, University of Illinois at Chicago Circle.

82 Other programs of the National Institute of Justice

In addition to the research program an­ average anything more than a minor nouncements described on pages 11 to 81 nuisance to dealers? Is drug selling such above, the National Institute of Justice an attractive economic opportunity that operates several other research and arrests and convictions can have no real research support programs. Some of these, effect on recruitment of replacements? like the National Criminal Justice Refer­ ence Service, are ongoing programs. The fact that questions like these exist Other programs, like th(l research program suggests that the criminal justice system's on Criminal Justice Interdiction of Retail struggle with the drug problem is going to Drug Trafficking, are initiatives that will be a long one. But it must be emphasized be announced in a separate publication. that they are questions and that our current state of knowledge is inadequate to assess how much of an impact an Criminal Justice efficient and sustained law enforcement Interdiction of Retail effort can make on the drug problem. Drug ,'rafficking In addition to the invitation for proposals dealing with these research issues that is In every major U.S. city, the criminal contained in this Program Plan under the justice system in general and the police in Drugs, Alcohol and Crime Program, the particul?:J' are devoting massive amounts National Institute plans, in fiscal year of time and energ,v to cases of "street 1989, to announce and fund a new pro­ level" trafficking in illegal drugs. There is gram dealing specifically with selected often a sense of frustration in this effort­ operational questions relating to I4street a belief that the problem is so widespread level" drug law enforcement. in today's society that no realistically achievable level of drug law enforcement could have a noticeable effect on the Crime and Justice ready availability of illegal drugs. research volumes

In fact, however, we know remarkably Since 1979, the National Institute of little about the effects that law enforc~­ Justice has supported the production of ment has or could have on the retail drug original research and review articles in trade. Knowledgeable police officials our publication series, Crime and Justice. quite credibly assert that, at a micro level, This series is edited by Norval Morris and the police have the capability of closing Michael Tonry and is published by the down drug selling operations at any given University of Chicago Press. Crime and location. The dispute, of course, is Justice is designed to bridge the gaps whether this kind of success can have any among the various legal and scientific effect on the retail drug industry through­ disciplines attentive to criminal justice out a jurisdiction. For each market shut policy issues and to summarize key down, does a new one almost inevitably research advances for policymakers, spring up nearby? Are drug arrests on practitioners, and researchers. 83 The series produces an annual volume of made available 117 data sets; another 54 essays written by leading scholars here data sets are currently under review and and abroad on numerous, contemporary most of these are expected to be released controversies facing the American crimi­ in 1988. After the NIJ Data Resources nal justice community, such as prison Program reviews and edits data sets, they crowding and violent crime. In addition, are made available to the public through the Crime and Justice series includes spe­ the Inter-University Consortium for cial volumes devoted to a single theme. Political and Social Research at the Past thematic volumes have focused on University of Michigan. communities and crime and the use of prediction and classification by criminal The Data Resources Program will be justice officials. Scheduled for publication competed as a contract in fiscal year 1989. in 1989 are volumes on family violence The Request for Proposals will be pub­ and drugs and crime, as well as the annual lished in the Commerce Business Daily. For further information about this pro­ review of research. gram, write to Dr. Joel H. Gamer, Pro­ gram Manager, or contact him at Data Resources Program 202-724-2967.

The purpose of the National Institute of Justice's Data Resources Program is to Drug Use Forecasting facilitate the production of fully docu­ Program (DUF) mented, machine-readable, NI.T-supported criminal justice research data sets for The NIJ Drug Use Forecasting (DUF) placement in a public data archive. This Program is an innovative effort designed program obtains machine-readable data, to measure both the levels and types of codebooks, and other documentation as it drug abuse in arrestee populations is delivered to NIJ and reviews it for throughout the country and to track and accuracy, completeness, and clarity. In report changes and trends in arrestee drug addition the Data Resources Program use over time. DUF is now being con­ promotes access to and use of these data. ducted in 21 cities and will be expanded during fiscal year 1989. The basic pro­ Since 1984, the Data Resources Program gram involves voluntary, anonymous has assessed the quality of over 250 interviews and urinalysis testing of research data sets. Unfortunately, many of samples of arrestees on a quarterly basis the early data were so poorly documented in each city; analysis of all urine samples that they could not be used for subsequent by certified laboratories; collection and research. In addition, some projects had analysis of all arrest, demographic, and lost or forgotten many Qf the important urinalysis testing data by NIJ staff; and coding decisions and were similarly not periodic reports of the findings. The recoverable. By August 1988, the Data resulting infomlation is provided directly Resources Program had reviewed and to the participating jurisdictions and to other Federal, State and local officials. 84 During fiscal year 1989, NIJ plans to ment features and, by their very size and increase the samples of female and scope, require extensive collaboration juvenile arrestees and to expand the between teams of researchers and local research and analysis component of the operational agencies. program. For further information about the DUF program, researchers or inter­ Initial awards have been made by the ested cities' officials may write to G. MacArthur Foundation and the National Martin Lively, Program Manager, or Institute of Justice to the Castine Research contact him at 202-272-6011. Corporation. The program's Research Advisory Board is chaired by Albert J. Reiss, Jr., and includes Norval Morris , Human Development James Q. Wilson, Lloyd Ohlin, Alfred Blumstein, Lee Robins, Norman and Criminal Behavior Garmezy, Felton Earls, Malcolm Klein, David Farrington, and Michael Tonry. With its initiation in February 1988, the Numerous other nationally recognized NIJ Program on Human Development and researchers are contributing to the dovel­ Criminal Behavior has focused on the life opment of criteria for the program's data cycle development of violent crime, collection sites, research designs, and the predatory crime, and other forms of feasibility of including experimental tests serious antisocial behavior. This program of prevention programs. The program's was established because of the widely design anticipates the participation of an shared belief that significant empirical expanding number of researchers from a and theoretical progress in understanding variety of social science and medical the causes, treatment and prevention of disciplines. crime requires improved knowledge about the relationship between early childhood No additional awards in this program are development and the subsequent develop­ expected until 1990. For more information ment of delinquency, crime, and other about this program, write to Dr. Joel H. antisocial behavior. Gamer, Program Manager, or contact him at 202-724-2967. The program is jointly sponsored by the National Institute of Justice and the John D. and Catherine T. MacArthur Founda­ National Assessment tion. Additional funding is being sought from other governmental agencies and Program private foundations. During the program's first 2 years, its primary task is to develop The National Assessment Program fUliher the design of prospective longitu­ supports a biennial national survey of dinal cohort studies, coupled where seven professional subgroups within feasible with assessments of the effects of criminal justice to ensure that the needs program interventions. The study designs and priorities of policymakers and practi­ are expected to involve common measure- tioners inform the Institute's research 8S agenda. Results are also published for use ists or through the commercial data base by the field, and surveys of state-of-the­ vendor DIALOG. NCJRS also maintains art practice are conducted in areas of specialized clearinghouses in juvenile critical need identified by the survey. The justice, victim assistance, criminal justice program also examines promising ap­ statistics, con-ections, and AIDS in proaches found in ongoing field opera­ criminal justice. tions and provides information about these programs to State and local units of OVer 80,000 subscribers currently ~eceive government. the bimonthly NIJ Reports and other special mailings free of charge. In addi­ This program is supported through a com­ tion, many NIJ publications are available petitively awarded, multiyear contract, without charge; others are produced at a which will be recompeted in fiscal year modest price to recover production and 1989. All announcements and the Request shipping costs. for Proposais will be published in the Commerce Business Daily. For further Call NCJRS toll free at 1-800-851-3420 information about this program, write to for technical assistance, search services, Jonathan Budd, Program Manager, or or informatiuh on how to become a contact him at 202-272-6040. subscriber. In Maryland and Metropolitan Washington, D.C., call 301-251-5500. For more information about this program, National Criminal Justice writ1e to Paul Estaver, Program Manager, Reference Service or contact him at 202-724-2957.

The National Institute of Justice founded the National Criminal Justice Reference Professional Conference Service (NCJRS) in 1972 to fulfill the Series Institute's statutory mandate to maintain a national and international clearinghouse Established in 1977 to share research and of criminal justice information. NCJRS is development findings with State and local designed to benefit researchers and criminal justice executives, the Profes­ practitioners in all aspects of Federal, sional Conference Series (PCS) has State, and local criminal justice opera­ evolved into an interrelated set of commu­ tions. nications programs. Each year the Insti­ NCJRS has one of the world's largest tute works with professional organizations criminal justice libraries with approxi­ and interest groups to conduct one or mately 100,000 documents. Information more national conferences. These bring about these documents can be searched together two to three hundred leading and retrieved through an automated researchers and policy officials to focus reference system available to the public on significant new research findings and either through NCJRS reference special- operational achievements. Recent national

86 , : - • '. • ...: ~'" t • ',' , • " \ • ~ " : ,"

• , , • )"'" ' .'""'J "' • I ~ ,1 ", " • .~j I ~ y '~~ ~,~~' ~: .'. conferences include Policing: State oj the Research Applications Art and Presiding in Criminal Court. Program Special conferences assemble small groups of experts, frequently from differ­ The Research Applications Program ent professional disciplines, to examine conducts applied research projects to the most appropriate research or develop­ develop products tailored to the needs of mental approach to a complex problem. different criminal justice policy and One such recent conference on Less Than practitioner audiences. Chief among them Lethal Weapons examined the potential of is the NIJ publication series Issues and different technologies for development in Practices in Criminal Justice. These this area. A special conference on Analyz­ reports present the program options and ing Hair to Determine !/legal Drug Use is management issues in a topic area, based planned for fisca11989. The pes Program on a review of research and evaluation also supports training workshops for other findings, operational experience, and NIJ programs, such as workshops for expert opinion on the subject. Issues and project staff of the DUF sites, as well as a Practices reports provide criminal justice modest HOST program, which enables administrators and managers with the interested practitioners to visit sites information to make informed choices in housing program innovations developed planning and improving programs and by the Institute. practice. Current PCS activity includes personal Program products are widely disseminated computer telecommunications and elec­ and serve as the basis for NIJ policy tronic bulletin boards. NIJ*NE'f is the conferences; for training by the Institute electronic bulletin board of the National and other Federal, State and local agen­ Institute of Justice. It can be reached at cies; and for tests and demonstrations 202-724--6171 and is in operation most of sponsored by the Institute and others. the business day and at all other times. It Topics cover all aspects of the criminal includes a service announcing new NU justice system and include pdorities such publications, research data sets and press as privatization, the impact of AIDS on releases; a message center; a file directory the criminal justice system, child abuse, or of text and program files of general other issues where little or no prior criminal justice interest; and special research related to criminal justice exists. information on DUF and NCJRS. For Researchers and practitioner;:; from a wide further information about any of the Pro­ variety of disciplines are involved as fessional Conference Service services, project advisers, reviewers, and investiga­ contact Martin Lively at 202-272-6011 or tors in the development of these projects. John Thomas at 202-272-6006; or leave a This competitively awarded, multiyear message via NU*NET. contract will be recompeted during fiscal year 1989. All announcements and tite Request for Proposals will be published in 87 the Commerce Business Daily. For further Technology Assessment infonnation, wdte to Carol Petrie, Pro­ gram Manager, or contact her at Program 202-272-6012. The National Institute of Jm.tice devel­ oped the Technology Assessment Pro­ Technical Assistance gram to help criminal justice agencies make informed decisions in selecting Program equipment and making equipment pur­ chases. The program develops minimum The National Institute of Justice's Techni­ pelionnance standards for products cal Assistance (TA) Program provides NIJ ranging from low-cost items such as with technical assistance and peer review batteries to big-ticket purchases such as essential to social science research. state-of-the-art communications equip­ Operated under contract, the TA Program ment. In addition, the program tests these maintains a consultant pool of persons and other commercially available products recruited from universities and colleges such as soft body armor, metallic hand­ and from operational agencies in the cuffs, and portable radios. Results of criminal justice system; conducts peer product testing are published and dissemi­ review of the almost 400 proposals nated throughout the criminal justice received by NIJ annually and prepares community. Three program components written reviews of each one for use in carry out these tasks. grant award decisions; provides travel and logistical arrangements for each of 20 The Advisory Council-more than 40 peer review panel me~tings in WaShing­ nationally recognized criminal justice ton, D.C.; provides planning and design practitioners from Federal, State, and assistance for research projects; convenes local agencies assess equipment needs and workshops of researchers and practi­ assist in the testing of priorities for tioners; and arranges for presentations at development of equipment standards, professional meetings and conferences. guides, test reports, and other publica­ tions. For information about how to become a consultant for the TA Program, write to The Law Enforcement Standards Charles Q. Williams, NIJ T A Project Laboratory (LESL) of the National Director, Koba Associates, Suite 200, Bureau of Standards-under an inter­ 1156 15th Street NW., Washington, DC agency agreement with NI1--develops 20005, or call him at 202-328-5728. For minimum perfonnance standards that infonnation about the management of the increase the reliability of equipment TA Program, write to Ten), M. Simpson, through voluntary adoption of the stan­ NIJ Budget Officer and TA Program dards by manufacturers. LESL also Manager, or call him at 202-724-2953. conducts research on new technology and develops technical reports and guides on how equipment perfonns in the field. 88 The Technology Assessment Program Information Center (TAPIC) coordi­ nates the advisory council's activities, selects ce11ified laboratories to test equipment, oversees the testing process, and publishes Equipment Performance Reports documenting test results. T A PIC also publishes Consumer Product Lists of equipment that complies with NIT stan­ dards. To obtain these and other publications and information about law enforcement equipment, call toll free at 800-24-TAPIC (in Maryland and Metro­ politan Washington, D.C., call 301-251-5060). For further information, write Lester Shubin, Program Manager, or contact him at 202-724-6008.

89 ~ Organization of the National Institute of Justice

Office of the Director James K. Stewart

Planning and Management Staff John B. Pickett

""

Office of Crime Prevention Office of Crime Control Research Office ofCommun!cation and Criminal Justice Research and Research Utilization Richard L. Linster Richard S. Laymon Paul Cascarano

Adjudication and CdmePrevention Reference and Research Aplications Corrections Division and Enforcement Division Dissemination Division and Training Division John D. Spevacek Fred Heinzelmann Paul E. Estaver VirginiaB. Baldau The staff of the National Institute of Justice

Name Title Telephone Number

(all code 202-) Office of the Director James K. Stewart Director 724-2942 Paul Cascarano Assistant Director 272-6001 Richard L. Linster Assistant Director 724-2966

Neille M. Russell Special Assistant 724-2942 Debra R. Trent Special Assistant 724-2942

Phyllis O. Poole Secretary 724-2942 Offica of the Director, Planning and Management Staff (PMS)

John B. Pickett Director 724-2945 Terry M. Simpson Budget Officer 724-2953 Carrie M. Smith Administrative Officer 724-2945 Edwin W. Zedlewski Economist 724-2953

Office of Crime Prevention and Criminal Justice Research Richard L. Linster Director (acting) 724-2966 Joel H. Garner Program Manager-Spouse 724-2967 Assault Replication Program; Data Resources Program; Pro- gram on Human Development and Criminal Behavior

Louise A. Loften Secretary 724-2965 Elizabeth A. Chambers Secretary 724-7055

91 Crime Prevention and Enforcement Division Fred Heinzelmann Director 724-2949 David W. Hayeslip Senior Research Associate 724-2962 Lois F. Mock Program Manager-White- 724-7684 Collar and Organized Crime

George D. Shollenberger Program Manager-Public 724-2956 Safety and Security

Richard M. Titus Program Manager-Victims and 724-7686 the Criminal Justice System

Adjudication and Corrections Division John D. Spevacek Director 724-7040 Bernard V. Auchter Program Manager-Apprehension, 724-2952 Prosecution, and Adjudication of Criminal Offenders

Voncile B. Gowdy Program Manager-Punishment 724-2951 and Control of Offenders

Pamela K. Lattimore Senior Research Associate 724-7043

Doris L. MacKenzie Senior Research Associate 724-7040

Christy Visher Senior Research Associate 724-7685 Center for Crime Control Research Richard S. Laymon Director (Acting); 724-7631 Program Manager--Offender Classification and Prediction of Criminal Behavior

92 Bernard A. Gropper Program Managel'-Dmgs, 724-7631 Alcohol and Crime

Lana Harrison Senior Research Associate 724-7631

Rosemary N. Murphy Program Manager--Graduate 724-7636 Research Fellowships

Richard M. Rau Program Manager-Forensic 724-7631 Sciences and Criminal Justice Technology; Violent Criminal Behavior; Visi.ting Fellowships

Winifred L. Reed Program Manager-Criminal 724-7636 Careers and the Control of Crime; Ethnography; Summer Researf.!h Fellowships

Audrey E. Blankenship Secretary 724-7631 Office of Communication and Research Utilization Paul Cascarano Director 272-6001 Denise I. Gadson Secretary 272-6003 Reference and Dissemination Division Paul E. Estaver Director 724-2957 Mary G. Graham Publications Manager 272-6007 Lester D. Shubin Program Manager-Technology 272-6008 Assessment Program

Daniel 1. Tompkins Publications Coordinator 272-6088

93 Research Applications and Training Division Virginia B. Baldau Director 272-6004 Thomas F. Albrecht Program Manager-Corrections 272-6041 Jonathan Budd Program Manager-Law 272-·6040 Enforcement, Computer Crime

Cheryl Crawford Program Manager-AIDS and 272-6010 the Criminal Justice System

Geoffrey Laredo Program Specialist 272-6005 Carol V. Petrie Program Manager-Research 272-6012 Applications

Martin G. Lively Progranl Manager-Drug Use 272-6011 Forecasting (DUF)

John A. Thomas Program Manager-Professional 272-6006 Conference Series

94 National Institute of Justice peer review participants

The research programs of the National Institute of Justice rely on peer review of propos­ als to assess the technical merit and policy relevance of the proposed research. The assistance of extramural peer reviewers continues to be essential to the accomplishment of the Institute's mission. The Institute wishes to acknowledge and thank the following persons who served as peer reviewers in fiscal years 1986, 1987, and 1988:

James J. Alfini, J.D. Richard L. Block, Ph.D. Professor of Law Professor of Sociology Florida State University, College of Law Loyola University Tallahassee, Florida Chicago, Illinois

Allen H. Andrews, Jr., M.A. Richard A. Berk, Ph.D. Director of Public Safety Professor of Sociology Peoria, Illinois Director, Social Process Research Institute University of California-Santa Barbara Saundra B. Armstrong, J.D. Santa Barbara, California Commissioner, U.S. Parole Commission Western Regional Division Belmont, California Robert F. Boruch, Ph.D. Professor of Psychology James Austin, Ph.D. Northwestem University Director of Research, National Council Evanston, Illinois on Crime and Delinquency San Francisco, California Gerald F. Brocklesby, J.D. Supervisor of Court Probation Services William P. Barr, 10. Office of the Commissioner of Probation Attorney-at-Law Boston, Massachusetts Shaw, Pittman, Potts and Trowbridge Washington, D.C. Lee P. Brown, Ph.D. Chief of Police Jan S. Bashinski, M.Crim. Houston. Texas Senior Criminalist and Director of Crime Laboratory James M. Byrne, Ph.D. Oakland Police Department Associate Professor and Director Oakland, California Center for Criminal Justice Research University of Lowell Lowell, Massachusetts 95 John A. Calhoun, M.P.A. Warren I. Cikins, M.P.A. Executive Director Senior Staff Member, Center for Public National Crime Prevention Council Policy Education Washington, D.C. The Brookings Institution Washington, D.C. David Cantor, Ph.D. Senior Research Associate Todd R. Clear, Ph.D. Westat, Inc. Assistant Professor of Criminal Justice ROQkville, Maryland Rutgers University Newark, New Jersey Dominick R. Carnovale, ID. Recorder's Court Judge Jacqueline Cohen, Ph.D. Felony Trial Court Research Associate Detroit, Michigan School of Urban and Public Affairs CarnegiewMellon University Pittsburgh, Pennsylvania Robert M. Carter, Ph.D. Professor of Public Administration George F. Cole, Ph.D. University of Southel71 California Professor of Political Science Los Angeles, California University of Connecticut Storrs, Connecticut John A. Carver, III, J.D. Director, D.C. Pretrial James J. Collins, Ph.D. Services Agency Senior Research Sociologist Washington, D.C. Center for Social Research and Policy Analysis Research Triangle Institute Jan M. Chaiken, Ph.D. Research Triangle Park, North Carolina Senior Scientist Abt Associates, Inc. Cambridge, Massachusetts Stanley R. Collis, B.A. Executive Officer and Jury Commissioner Alameda Superior Court Duncan Chappell, Ph.D. Oakland, California Professor of Criminology Simon Fraser University Vancouver, British Columbia Robert C. Cushman, M.A. Canada Criminal Justice Specialist Center for Urban Analysis San Jose, California 96 Leo A. Dal Cortivo, Ph.D. Delbert S. Elliott, Ph.D. Chief Toxicologist Director, Behavioral Research Institute Division of Medical Legal Investigations Boulder, Colorado. and Forensic Science Suffolk County, New York Robert M. Figlio, Ph.D. Associate Professor in Social Systems James P. Damos, M.A. Sciences Chief of Police The Wharton School University City, Missouri University of Pennsylvania Philadelphia, Pennsylvania

Kenneth A. Deffenbacher, Ph.D. Professor and Chair Patrick S. Fitzsimons, J.D. Department of Psychology Chief of Police University of Nebraska Seattle, Washington Omaha, Nebraska Lorraine T. Fowler, Ph.D. John 1. DiIulio, Jr., Ph.D. Director, Resource & Information Assistant Professor of Politics and Services Public Affairs South Carolina Department of Corrections Princeton University Columbia, South Carolina Princeton, New Jersey James W. Fox, Ph.D. Priscilla H. Douglas, Ed.D. Professor, Department of Correctional Senior Associa::e Services King, Chapman and Broussard Eastern Kentucky University Consulting Group Richmond, Kentucky Birmingham, Michigan Henry C. Freimuth, Ph.D. Professor of Chemistry Roland C. Dart, III, D.P.A. Loyola College President, Dart Management Services Baltimore, Maryland Vallejo, California

Lucy N. Friedman, Ph.D James Eisenstein, Ph.D. Executive Director Professor of Political Science Victim Services Agency Pennsylvania State University New York, New York University Park, Pennsylvania

97 t'~, -, ; ,", , ',,~:: . " , ' 'J ~ +t;. ~I '> " ,.'

George E. Gantner, Jr., M.D. Don M. Gottfredson, Ph.D. Chainnan Professor Division of Forensic and Environmental School of Criminal Justice Pathology Rutgers University St. Louis University School of Medicine Newark, New Jersey St. Louis, Missouri Stephen D. Gottfredson, Ph.D. Associate Professor of Criminal Justice James Garofalo, Ph.D. Temple University Executive Director Philadelphia, Pennsylvania Hindelang Criminal Justice Research Center State University of New York-Albany John M. Greacen, J.D. Albany, New York Clerk U.S. Court of Appeals for the Fourth Circuit Gilbert Geis, Ph.D. Richmond, Virginia Professor Program in Social Ecology University of California-Irvine Thomas Grisso, Ph.D. Irvine, California Professor of Psychology St. Louis University St. Louis, Missouri Don C. Gibbons, Ph.D. Professor of Sociology and Urban Studies Portland State University Rudy A. Haapanen, Ph.D. Portland, Oregon Research Program Specialist California Youth Authority Sacramento, California Stephen Goldsmith, J.D. Prosecuting Attorney of Marion County Robert D. Hare, Ph.D. Indianapolis, Indiana Professor of Psychology University of British Columbia Denise C. Gottfredson, Ph.D. Vancouver, British Columbia, Assistant Professor Canada Institute of Criminal Justice and Criminology Milton Heumann, Ph.D. University of Maryland Associate Professor of Political Science College Park, Maryland Rutgers University New Brunswick, New Jersey

98 C. Ronald Huff, Ph.D. Carl B. Klockars, Ph.D. Associate Professor of Public Associate Professor of Sociology Administration and Sociology University of Delaware Ohio State University-Columbus Newark, Delaware Columbus, Ohio Diane Lambert, Ph.D. Richard D. Huffman, J.D. Technical Staff Judge of the Superior Court AT&T Bell Labs County of San Diego, California Murray Hill, New Jersey

Kinley Lamtz, Ph.D. James A. Inciardi, Ph.D Professor Professor and Director Department of Applied Statistics Division of Criminal Justice University of Minnesota University of Delaware-Newark St. Paul, Minnesota Newark, Delaware

Richard C. Larson, Ph.D. Clifford L. Karchmel', M.P.A. Co-Director, Operations Research Center Associate Director Professor of Electrical Engineering and Police Executive Research Forum Urban Studies Washington, D.C. Massachusetts Institute of Technology Cambridge, Massachusetts George L. Kelling, Ph.D. Professor Paul J. Lavrakas, Ph.D. School of Criminal Justice Associate Professor of Joumalism Northeastern University Director, Northwestem University Survey Boston, Massachusetts Laboratory Northwestern University R. Gil Kerlikowske, M.A. Evanston, Illinois Chief of Police Port St. Lucie, Florida Henry C. Lee, Ph.D. Chief Malcolm W. Klein, Ph.D. Forensic Science Laboratory Professor of Sociology Connecticut State Police University of Southern Califomia Meridan, Connecticut Los Angeles, California

99 William D. Leeke, M.A. David Margolis, J.D. Commissioner Chief, Organized Crime South Carolina Department of Corrections and Racketeering Section Columbia, South Carolina Criminal Division U.S. Department of Justice Washington, D.C. John P. Lehoczky, Ph.D. Professor of Statistics Patricia Mayhew, Ph.D Carnegie-Mellon Unh'ersity Horne Office Pittsburgh, Pennsylvania London United Kingdom Charles W. Lidz, Ph.D. Professor of Psychiatry .Arthur J. McBay, Ph.D. and Sociology Chief Toxicologist University of Maryland Office of the Chief Medical Examiner, College Park, Maryland State of North Carolina Chapel Hill, North Carolina Colin Loftin, Ph.D. l\ssociateProfessor Duane C. McBride, Ph.D. Institute of Criminal Justice l\ssociate Professor of Psychiatry and and Criminology Oncology University of Maryland School of Medicine College Park, Maryland University of Miami Miami, Florida Peter l\. Lupsha, Ph.D. Professor of Political Science Joan McCord, Ph.D. University of New Mexico Professor of Criminal Justice l\lbuquerque, New Mexico Temple University Philadelphia, Pennsylvania Michael D. Maltz, Ph.D. l\ssociate Professor of Criminal Justice William F. McDonald, D.Crim. and Systems Engineering l\ssociate Professor of Sociology University of Illinois at Chicago Circle Georgetown University Washington, D.C.

100 Tom McEwen, Ph.D. David W. Neubauer, Ph.D. President Professor of Political Science Research Management Associates, Inc. University of New Orleans Alexandria, Virginia New Orleans, Louisiana

Edwin I. Megargee, Ph.D. Jean F. O'Neil, M.P.A. Professor of Psychology Director of Research and Policy Analysis Florida State University National Crime Prevention Council Tallahassee, Florida Washington, D.C.

Robert F. Meier, Ph.D. Professor of Sociology Thomas Orsagh, Ph.D. Washington State University Associate Professor of Economics Pullman, Washington University of North Carolina Chapel Hill, North Carolina

Denise M. Moon, M.S.C.J. Administr.?ltor, Victim/Witness Assistance Roger B. Parks, Ph.D. Program, State Attorney's Office Associate Professor Miami, Florida School of Public and Environmental Affairs Indiana University Mark H. Moore, Ph.D. Bloomington, Indiana Guggenheim Professor of Criminal Justice Policy Steven D. Penrod, J.D., Ph.D. Kennedy School of Government Visiting Professor of Law and Psychology Harvard University University of Minnesota Cambridge, Massachusetts Minneapolis, Minnesota

Francis M. Mullen, B.S. Glenn L. Pierce, Ph.D. President Associate Director Mullen-Sanders Associates, Inc. Center for Applied Social Research Niantic, Connecticut Northeastern University Boston, Massachusetts Michael C. Musheno, Ph.D. Director and Associate Professor G. Joseph Pierron, J.D. Center for Criminal Justice Judge of the District Court Arizona State University-Tempe Johnson County Courthouse Tempe, Arizona Olathe, Kansas

101 Robert A. Prentky, Ph.D. Edward D. Robertson, Jr., J.D. Chief Psychologist and Director of Judge of the Supreme Court of Missouri Research Jefferson City, Missouri Massachusetts Treatment Center Bridgewater, Massachusetts James B. Roche United States Marshal Jonas R. Rappeport, M.D. Boston, Massachusetts Chief Medical Officer Medical Service of the Circuit Court for Baltimore City Dennis P. Rosenbaum, Ph.D. Baltimore, Maryland Professor of Criminal Justice University of Illinois Albert J. Reiss, Jr., Ph.D. Chicago, Illinois William Graham Sumner Professor of Sociology Peter H. Rossi, Ph.D. Yale University Professor of Sociology New Haven, Connecticut University of Massachusetts Amherst, Massachusetts

Richard C. Rice, M.A. Director, Missouri Department Ralph A. Rossum, Ph.D. of Public Safety Professor of Government Jefferson City, Missouri Claremont McKenna College Claremont, California

Marc Riedel, Ph.D. Jeffrey A. Roth, Ph.D. Associate Professor and Director, Center Deputy Research Director for the Study of Crime, Delinquency U.S. Sentencing Commission and Corrections Washington, D.C. Southern Illinois University Carbondale, Illinois Phillip J. Roth, J.D. Judge, Circuit Court of Oregon Chase A. Riveland, M.S.S.W. Fourth Judicial District Secretary Multnomah County Courthouse Department of Corrections Portland, Oregon State of Washington Olympia, Washington

102 Desmond K. Runyan, M.D. Simon I. Singer, Ph.D. Assistant Professor, Departments of Assistant Professor of Sociology Social and Administrative Medicine, State University of New York-Buffalo and Pediatrics Buffalo, New York School of Medicine University of North Carolina Chapel Hill, North Carolina Wesley G. Skogan, Ph.D. Professor of Political Science and Urban Affairs Howard L. Runyon, Sr., AA Northwestern University Chief of Police, Clinton Township Police Evanston, Illinois Department Annandale, New Jersey Robert L. Smith, M.S. Independent Consultant Robert J. Sampson, Ph.D. Berkeley, California Assistant Professor of Sociology University of Illinois at Urbana- Champaign Andrew L. Sonner, J.D. Urbana, Illinois State's Attorney for Montgomery County, Maryland Jeffrey L. Sedgwick, Ph.D. Rockville, Maryland Associate Professor Department of Political Science Richard F. Sparks, Ph.D. University of Massachusetts Professor of Criminal Justice Amherst, Massachusetts Rutgers University Newark, New Jersey

Michael G. Shanahan Suzanne K. Steinmetz, Ph.D. Chief of Police Professor University of Washington Police Department of Individual and Family Department Studies Seattle, Washington University of Delaware-Newark Newark, Delaware

Lawrence W. Sherman, Ph.D. Darrel W. Stephens, M.S. Professor of Criminology Executive Director Institute of Criminal Justice Police Executive Research Forum and Criminology Washington, D.C University of Maryland College Park, Maryland

103 Lloyd Street, Ph.D. Joseph G. Weis, D.Crim. Professor, College of Human Ecology Associate Professor of Sociology Cornell University University of Washington Ithaca, New York Seattle, Washington

James M. Tien, Ph.D. Charles F. Wellford, Ph.D. Professor Professor and Director Computer and Systems Engineering Institute of Criminal Justice Rensselaer Polytechnic Institute and Criminology Troy, New York University of Maryland College Park, Maryland Michael H. Tonry, LL.B. President Sherwin B. Wexler, Ph.D. Castine Research Corporation Director, Professional Development Castine, Maine Division International Association of Chiefs of Police David Twain, Ph.D. Gaithersburg, Maryland Professor and Director, P;ogram Resources Center Margaret A. Zahn, Ph.D. School of Criminal Justice Associate Professor of Sociology Rutgers University Temple University Newark, New Jersey Philadelphia, Pennsylvania

Patricia Van Voorhis, Ph.D. Franklin E. Zimring, J.D. Assistant Professor of Criminal Justice Professor of Law University of Cincinnati The Earl Warren Institute Cincinnati, Ohio University of California-Berkeley

Robert C. Wadman, M.P.A. Chief of Police Omaha, Nebraska

Louis L. Wainwright, M.S. Wainwright-Cole Corporation, Inc. Tallahassee, Florida

104 Grant application forms OMS Approval No 0346-0006 2. APPLI· II. NUMBER 3. STATE fl. NUMBER fEDERAL ASSISTANCE CANT'S APPLI· APPLI· CATION 1. TYPE CATION IDENTI· OF 10ENTI· FIER 0 NOTICE OF INTENT (OPTIONAL) b.DATE NOTE,ro BE b. DATE SUBMISSION FIER Yta, mOllth dQy ASSIGNED Y.ar monlh day (Marlc ap- 0 PAEAPPLICA TION ASSIGNED BY STATE propri4l~ APPLICATION 19 19 bo:x) 0 UaWi BI

0( I 7. TITLE OF APPLICANT'S PROJECT (Use section IV 01 IhI<' foml to p!'0'Iide II summaty dOllCription 01 the B. TYPE OF APPLICANT/RECIPIENT !< A-51a.. Cl p!'ojecl.) ~~00m:1 I ~'" ~~/IqMv:y I ffi ~'" ~~~_I-..cn is: ~T"" I D-<:.oo.r;1y~- K~ (sp«I(y): id E-Qy I IX: F·-smoo! 0Imct I -' Enl,r appropri4lt Itlltr 0 I 9. AREA OF PROJECT IMPACT (NamtS 0/ cilino COUlllltS, JlaltS, tic.) 10. ESTIMATED NUMBER 11. TYPE OF ASSISTANCE - A__ Gronl OF PERSONS SENEFITING 0-1...... ~a...... e-

c. ADDRESS 21. REMARKS ADDED

o Y~s_ o No Tc, \he beat of my knowf~ and belief. L ~ 22. YES, THIS NOTICE OF INTENT/PREAPPLICATION/APPLICATION WAS MADE AVAILABLE TO THE STATE THE data In INtI Jl\'.IWI~tIon/applicallon EXECUTIVE ORDER 12372 PROCESS FOR REVIEW ON: ate true and COIT8Ct, \he document hal DATE ~ APPLICANT CERTIFIES been duly authorized by \he goy«nIng THAT" body of \he applicant and \he IflPlIcant will comply with \he attlChCld _anefl b. NO. PROGRAM IS NOT COVERED BY E.O. 12372 0 ~ If \he asaittanca is appI'OYed. OR PROGRAM HAS NOT BEEN SELECTED BY STATE FOR REVIEW 0 23. II. TYPED NAME AND TITLE b. SIGNATURE ~ CERTIFYING I tlI REPRE· SENTATIVE 24. APPLICA· YtGr mlNltit do, 25. FEDERAL APPLICATION IDENTIFICATION NUMBER \26. FEDERAL GRANT IDENTIFICATION TION RECEIVED 19 27. ACTION TAKEN 128. FUNDING Y",r m01'll1l day 30. YtGr mo,.,h d(/I~ STARTING o L AWARDED 29. ACTION DATE" 19 DATE 19 b. REJECTED o II. FEDERAL S .00 31. CONTACT FOR ADDITIONAL INFORM"· 32. YtQr month dalt [J c. RETURNED FOR TlON (Ncmt and ttltpltont II"mlNr) ENDING ,~ AMENDMENT b. APPLICANT .00 DATE 19 [J d. RETURNED FOR ~~ E.O. 12372 SUBMISSION c. STATE .00 33. REMARKS ADDeO ti~ BY APPLICANT TO d. LOCAL .00 III STATE o e. DEFERRED 8. OTHER .00 o f. WITHDRAWN f. TOTAL S .00 o Yos o No

NSN 754G-Ol.oos-s182 424-103 STANDARD FORM 424 PAGE 1 (Rev. 4-34) PREVIOUS EDITION Pm.:rilHd by OMS Ct'rr:"lar A-101 IS NOT USABLE GENERAL INSTRUCTIONS FOR THE SF-424 This Is a standard form used by applicants as a required facesheet for preapplications and applications submitted In accordance with OMB Circular A-102. It will be used by Federal agencies to obtain applicant certification that states which have established a review and comment procedure In response to Executive Order 12372 and have selected the program to be 'Included In their process have been given an opportunity to review the applicant's submission.

APPLICANT PROCEDURES fOR SECTION I Applicant will complete all Items in Section I with the exception of Box 3, "State Application Identifier."1f an item lis not applicable, write "NA." II additionailipace Is needed, insen an asterisk ".," and use Secllon IV. An explanation follows for each Item: 110m Ilem 1. Mark appropriate box. Pre application and application are d6scribed In (a rellislon or augmentation under Item 14), Indicate only the amount of OMB Circular A-l02 and Federal agency program Instructions. Use of the change. For docreases. enclose the amount In parentheses. II both this form as a Notice of Intent Is at State option. Federal agencies do basiC and supplemental amounts are Included, broakout In Section IV. not require Notices of Intent. For multiple program funding, use totals and show program breakouts In Section IV. 12a-8mount requested from Federal Govemmont. 20. Applicant's own control number, II doslred. 12b-amount applicant will contribute. 12c-amount from State, If 2b. Date Section lis prepared (at applicant's option). applicant Is not ~ State. 12d-amount from local government, If 3a. Number assigned by State. applicant Is not a local government. 12e-amount from any other sources, explain In Section IV. 3b. Date assigned by State. 13b. The dlstrlct(s) where most of action work will be accomplished. 11 city­ 4a-4h. Legal name of applicant, name of primary organizational unit which will wide or State-wide, covering several districts. write "city-wide" or undlJnake the assistance activity, complete address of applicant, and "State-wide." name and telephone number of the person who can provide funher Information about this request. 14. A. New. A submittal for project not previously funded, 5. Employer Identification Number (EIN) of applicant as assigned by the B. Renewal. An extension for an additional funding/budget period for a Internal Revenue Service. project having no projected completion date. but for which Federal support must be renowed each year. 6a. Use Catalog of Federal Domestic Assistance (CFDA) number assigned to program under which assistance is requested. If more than one C. Revision. A modification to project nature or scope which may result program (e.g., joint funding), check "multiple" and explain in Section in funding change (Increase or decrease). IV. If unknown. cite Public Law or U.S. Code. D. Continuation. An e)(lOl'1llon for an additional funding/budget period 6b. Program title from CFDA. Abbreviate If necessary. for a project with a projected completion date. 7. Use Section IV to provide a summary description of the project. If E. Augmentation. A requirement lor additional lunds for a project appropriate, I.e., If project affects particular sites liS, for example. previously awarded fundI In the same funding/budget period. construction or real property projects. attach a map showing the Project nature and ICope unchanged. project location. 15. Approximate date project expected to begin (usually associated with 8. "City" Includes town, township or other municipality. estimated date of avanability of funding). 9. List only largest unit or units affected, such as Stale, county, or city. 16. Estimated number of months to complete project after Federal lunds 10. Estimated number of persons dlreytly qenefiling from project. are avaUable. 11, Check the type(s) of assistance requested. 17. Complete only lor revillol'11 (llem 14c), or augmentallons (item 14e). A. Basic Grant-an original request for Flideral funds. 18. Date preappUcation/applicatlon must be submitted to Federal agency B. Supplemental Grant-a request to Increase a basic granlln certain in order to be eligible for funding consideration. cpses where the eligible applicant cannot supply the required 19. Name and addrtlss of the Federal agency to whiCh this request Is matching share of the basic Federal program (e.g., grants awarded addressed. Indicate a. clearly as possible tho name of the office to by the Appalachian Regional Commission to provide the applicant which the application will be delivered. a malching share). 20. Existing Federal grantidentilication number lIthia Is not a new request E. Other. Explain In Section IV. and directly relates to • previous Federal action, Otherwise. write 12. Amount requesled or 10 be contributed during the' firs~ funding/budget "NA~n period by each contributor. Value of In-kind contributions should be 21. Check appropriate box II to whether Section IV of lorm contains Included. If the action Is a change In dollar amount of an existing grant remarks and/or additional remarks are attached.

APPLICANT PROCEDURES FOR SECTION II Applicants will always complete either lIem 22a or 22b lind lIems 238 !nd 23b. 228. Complete If application IB aubject ~o Executive Order 12372 (State 22b. review and comment). 23a. Check If application Is notlubJect to E.O. 12372. Name and IItle 01 authorized representative of legal applicant.

fEDERAL AGENCY PROCEDURES FOR SECTION III Applicant completes only Sections I 8M 11. SectiO!"l III Is completed by Federal agenCies. 26. Use to Identify award actions. will contribute. 28c-8mount from State, If applicant Is not a State. 27. Use Section IV to' amplify where appropriate. 26d-amount from local government, If applicant Is not a local govern­ 28. Amount be contrlbuled during first funding/budget period by ment. 28e-amount from any other sources, explall) In Section IV. 10 tho 29. each contrlbulor. Value of In-kind contributions will be INcluded. If the Date aellon was taken on this request. action Is a change In dollar amount of an eXisting grant (a revision or 30. Date funds will become Iv.llable. augmentation under 110m 14), Indicate only the amount of change. For 31. Name and telephone number of agency person whO can provide more decreases, enclose the amount In parentheses. if both basic and InformlStion regarding this aulstance. supplemental ,amounts are Included. breakout In Section N. For multiple 32. Date after which lunds will no longer be available for obligation. program funding, use totals and show program breakouts in Secllon IV. 33. Check appropriate box as to whether Section IV 01 form cOI'ltalns 28a-amount awarded by Federal Government. 28b-arnount applicant Federal remarks and/or attachment of additional remarill. APPROVED: OMB No. 1121·0012 PART II EXPIRES: 11/30/89 PROJECT APPROVAL INFORMATION

Itom 1. Does this assistance request require State, local, Name of Governing Body Priority Rating ______regional, or other priority rating? __ Yes_No

Item 2. Does this assistance request require State, or local NameBoard of ______Agency or __ advisory. educational or health clearances?

__ Yes __ No (Attach Documentation)

Item 3. Does this assistance request require clearinghouse (Attach Comments) review In accordance with Executive Order 12372?

__ Yes __ No

Item 4. Does this assistance request require State, local. Name of Approving Agency ______regional or other planning approval? Date __ Yes ____ No

Item 5. Is the proposed project covered by an approved comprehen· Check one: State o sive plan? Local o Regional o __ Yes __ N<, Location of Plan

Item 6. Will the assistance requested serve a Federal Name of Federal Installation ______installation? __ Yes __ No Federal Population benefiting from Project ______

Item 7. Will the assistance requested be on Federal land or Name of Federal Installation ______installation? Location of Federal Land ______Yes __ No Percent of Project

Item 8. Will the assistance requested have an impact or effect See instructions for additional information to be provided. on the environment? __ Yes __ No

Item 8. Number of: Will the assistance requested cause the displacement Individuals of individuals, families, businesses, or farms? Families Businesses ______Yes __ No Farms

Item 10. Is there other related assistance on this project previous, See instructions for additional information to be provided. pending, or anticipated? __ Yes __ No

Item 11. Is the project In a designated flood area? See instructions I','. additional information to bo provided. __ Yes __ No

OJP Form 4000/3 (Rev. 10·86) Attachment to SF-424 APPROVED: OMB No. 1121-0012 EXf'IRES: 11/30/89

INSTRUCTIONS

PART II the location where tho approved plan Is available for examination and state whether this project Is In conformance with the plan. Negative answers will not require an explanation unless the Federal Item 6 - Show the popUlation residing or working on the Federal in­ agency rQquests more Information at II later date. Provide supplemen­ stallation who will benefit from this project. tary date for all "Yes" answers in tho space provided In accordance with the following instructions: item 7 - Show the percentage of the project work that will be con­ ducted on federally-owned or leased land. Give the name of the Federal Item 1 - Provide the name of the governing body establishing the installation and Its location. priority system and the priorit'r ~ating assigned to this project. Item 8 - Describe briefly the possible beneficial and harmful Impact on Item 2 - Provide the name of the agency or board which Issued the the environment of the proposed project. If an adverse environmental clearance and attach the documentation status or approval. impact is anticipated, explain what action will be taken to minimize the Item 3 - Attach the clearinghouse comments for the application In ac­ impact. Federal agencies will provide separate Instructions if additional cordance with the instructions contained In E.O. 12372. If comments data is needed. were submitted previously with a preapplication, do not submit them Item 9 - State the number of individuals, families, businesses, or again but any additional comments received from the clearinghouse farms this project will displace. Federal agencies will provide separate should be submitted with this application. instructions if additional data is needed. Item 4 - FurniSh the name of the approving agency and the approval date. Item 10 - Show the Fedoral Domestic Assistance Catalog number, the program name. the type of assistance, the status and the amount Item 5 - Show whether the approved comprehensive plan is State, of each project where there is related previous. pending or anticipated local or regional, or if none of these, explain the scope of the plan. Give assistance. Use additional sheets, If needed.

OJP Form 4000/3 (Rev. 10-86) Attachment to SF·424 ______~_. __~_.a .... ___... ___ ... ______.... ______----- ______.... -a ______

APPROVED: OMB No. 1121-0012 EXPIRES: 11/30/89 >0 ",-0ac... g.;r PART III - BUDGET INFORMATION ",33~

~"""~O 00 (1)0 ,,­,w SECTION A - BUDGET SUMMARY N:O"""­ Grant Program. Estimated Unobligated Funds New or Revised Budget """? Function or Federal o. Acth,ity Catalog No. Federal Non·Federal Federal Non-Federal Total CD id) (e) (fl (g} S (al (bl f.cl 1. $ $ $ $ $

2.

I 3.

4.

5. TOTALS $ $ $ $ $

SECTION B - BUDGET CATEGORIES

- Grant Prorram. Function or Activity 6. Object Class Categories Total (1) m (3) (41 (5)

a. Personnel $ $ $ $ $

b. fringe Benefits

c. Travel

d. Equipment

e. Supplies

f. Contractual

g. Construction

h. Other

i. Total Direct Charges

j. Indirect Charges

I k. TOTALS $ $ $ $ $

. 7. Program Income $ $ $ $ $

! APPROVED: OMS No. 1121-0012 EXPIRES: 11/30/89 INSTRUCTIONS

PART III Lin.. 6a-h - Show tho cstlmated amount for each direct cost budget (object clllss) category for each column with program. function or 0"­ General Instructions tivlty heading. This form Is designed so that application can be made for funds from L1no 61 - Show tho totals of Lines 6a to 6h in each column. one or more grant programs. In preparing the budget. adhere to any ex­ LIne 6j - Show the amount of Indirect cost. Refer to OMS Circulars isting Federal grantor agency guidelines which prescribe how and whether budgeted amounts should be separately shown for different A-8? A-21 and A-122. fUnctions or activities within the program. For some programs. grantor LIne 6k - Enter the total of amounts on Lines 61 and 6J. For all applica­ agencies may require budgets to be separately shown by function or tions for new grants and continuation grants tho total amount in Col­ activity, For other programs. grantor agencies may not require a umn (6). Line 6k. should be the same as the total amount shown In breakdown by function or activity. Sections A. S. C. and D should in­ Section A. Column (g). Line 6. For supplemental grants and changes to clude budget estimates for the whole project except when applying for grants. the total amount of tho Increaso or decrease as shown in Col­ assistance which roquires Fedoral authorization in annual or other fund­ umns (1 )-(4). Line 6k shOUld be the some 8S the sum of the amounts in Ing period Increments. In the latter case. Sections A. B. C. and D should Scction A. Columns (e) and (f) on Line 6. Whon additional sheets were provide the budget for the first budget period (usually a year) and Soc­ prepared. the last two sentences apply only to the first page with sum­ tlon E should present the need for Federal assistance in tho subsequent mary totals. budget periods. All applications should contain a breakdown by the ob­ Line 7 - Ellter tho estimated amount of Income. if any. expected to be lect class categories shown In Linos a-k of Section B. generated from this project. Do not add or subtract this amount from Section A. Budget Summary the total project amount. Show under the program narrative statement Lines '-4. Colunlns (a) and (b). the nature and source of Income. The estimated amount of program In­ come may be considered by the Federal grantor agency In determining For applications pertaining to a single Federal grant program (Fedoral the total amount of the grant. Domestic Assistance Catalog number) and not requiring II functional or activity breakdown. enter on Line 1 under Column (a) the catalog pro­ Section C. Source of Non-Federal ne.ourc•• gram title and the catalog number In Column (b). For applications pertaining to a single program requiring budgot Line 8-11 - Enter amounts of non-Federal resources that will be used amounts by multiple functions or activities. enter the name of oach ac­ on the grant. If in-kind contributions are included. provide a brief ex­ tivity or function on each line in Column (a). and enter the cetalog planation on a separate sheet. (See Attachment F. OMB Circular number in Column (b). For applications pertaining to multiple programs A-102 or Attachment E. OMB Circular A-ll0. as applicable.) where none of the programs require a breakdown by function or activ­ Column (al - Enter the program titles Identical to Column (a). Sec­ ity, enter the catalog program title on each line in Column (a) and the tion A. A breakdowl'l' by function or activity is not necessary. respective catalog number on each line in Column (b). For applications pertaining to multiple programs wherl!! one or more Column (bl - Enter the amount of cosh and In-kind contributions to programs require a breakdown by function or activity. prepare a be made by the applicant as shown in Section A. (See also Attachment separate sheet for each program reqUiring the breakdown. Additional F. OMB Circular A-l02 or Attachment E. OMS Circuiar A- 1 10, as sheets nhould be used when one form does not provide adequate space applicable.) for all breakdown of data required. However. when mOle than one Column (c) - Enter the State con~ributlon if the applicant is not a sheet Is used. the first page should provide the summary totals by State or State agency. Applicants which are a State or State agencies programs. shOUld leave this column blank. Lines 1·4. Columns (c) through (g). Column (d) - Enter the amount of cash and in-kind contributions to For new applications, leave Columns (c) and (d) blank. For each line be mode fram all other sourcen. entry In Columns (a) and (b). enter in Columns (e). (f), and (g) the ap­ CcOOmn (e) - Enter totals of Columns (b), (c). and (d). propriat!) amounts of funds needed to support the project for the first funding period (usually a year). Line 12 - Enter the total for each of Columns (b).(e). The amount in ror continuing grant program applications. submit these forms Column (e) should be equal to the amount on Line 6, Column (fl. before the end of each funding period as required by the grantor Section A. agency. Enter in Columns (c) and (d) the estimated amounts of funds Section D. Forca.ted Ca.h Ne.d. which will remain unobligated at the end of the grant funding period only if the Federal grantor agency instructions provide for this. Other­ Line 13 - Enter the amount of cash needod by quarter from tho grant­ Wise. leave these columns blank. Enter in columns (e) and (f) the or agency during the first year. amounts of funds needed for the upcoming period. The amount(s) in Line 14 - Enter the amount of cas:, from all other sources needed by Column (g) should be the sum of amounts in Columns (e) and (fl. quarter during the first year. For supplemental grants and changes to existing grants, do not use Line 16 - Enter the totals of amounts on Lines 13 and 14. Columns (c) and (d). Enter in Column (e) the amount of the Increase or decrease of Fedoral funds and enter in Column (f) the amount of the in­ Section E. Budget E.tlmate. of Federal Funds Needed for crease or decrease of non-Federal funds. In Column (g) enter th6 new Balance of the Project total budgeted amount (Federal and non-Federal) Which Includes the total previous authorized budgeted amounts plus or minus. as ap­ L1nell 16-19 - Enter in Column (a) the same grant program titles propriate. the amounts shown In Columns (e) and (fl. The amount(s) shown In Column (a). Secti.m A. A breakdown by function or activity is shown in Column (g) should not equal the sum of amounts in Columns not necessary. For new applications and continuing grant applications. (e) and (f). enter in the proper columns amounts of Federal funds which will be needed to complete the program or project over the succeeding fund­ Line 5 - Show the totals for all columns used. ing periods (usually in years). This Section need not be completed for Section B. Budget Categories amendments. changes. or supplements to funds for the current year of existing grants. In the column headings (1) through (4). enter the titles of the some pro­ grams. functions. and activities shown on Lines 1 -4, Column (a). Sec­ If more than four lines are needed to list the program titles submit addi­ tion A. When additional sheets were prepared for Section A. provide tional schedules as necessary. similar column headings on each sheet. For each program. function or LIne 20 - Enter the total for each of the Columns (bHe). When addl­ activity. fill in the total requirements for funds (both Federal and non­ tlonal schedules are prepared for this Section. annotate accordingly Federa\) by object class categories. and show the overall totals on this line. OJP Form 4000/3 (Rev. 10-86) Attachment to SF·424 ... ------.... ------~------..... -~-....------APPROVED: OMS No. 1121-0012 EXPIRES: t 1130/89 ~~ n-nat" ::TS1 SECTION C - NON-FEDERAL RESOURCES ~3 :::J -",. _0 (a) Grant Program (c) STATE (e) TOTALS 00 (bl APPLICANT Cd) OTHER SOURCES (/)0 -n­,w 8. $ $ $ $ ",.­ t.):tI 9. ",.11> ~ 10. o. 11. CD ~ 12. TOTALS $ $ $ $

SECTION D - FORECASTED CASH NEEDS

Total for 1 st 'fear 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter 13. Federal .$ $ $ $ $ 14. Non-Federal 15. TOTAL $ $ $ $ $

SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT

FUTURE FUNDING PERIODS (YEARS) (a) Grant Program (bl FIRST (c) SECOND (d) THIRD (e) FOURTH 16. $ $ $ $ 17. 18. 19. 20. TOTALS $ $ $ $

SECTION F - OTHER BUDGET INFORMATION (Attach Additional Sheets If Necessary) I 21 • Direct Charges:

22. Indirect Charges:

23. Remarks: I APPROVED: OMB No. 1121-0012 EXPIRES: 11/30/89

INSTRUCTIONS

PART III Line 22 - Enter the type of indirect rate (provisional. pre-determined. (continued) final or fixed) that will be In effect during the funding period. the estimated amount of the base to which the rate is applied ... .,d the total Soctlon F - Other Budget Information. indirect expense. Line 21 - Use this space to explain amounts for Individual direct object cost catagories that may appear to be out of the ordinary or to Line 23 - Provide any other explanations required herein or any other explain the d(1tails as required by the Fedoral grantor agency. comments deemed necessary.

SPECIAL INSTRUCTIONS Applicants must provide on a separate sheet a budget narrative which will detail by budget category. the Federal and non-Federal (in-kind and cash) share. The grantee cash contribution should be identified as to its source. i.e .• funds appropriated by a State or local government or donation from a private source. The nar­ rative shouid reiate the items budgeted to project activities and should provide a justification and explanation for the budgeted items including the criteria and data used to arrive at the estimates for each budget category.

OJP Form 4000/3 (Rev. 10-86) Attachment to SF·424 APPROVED: OMB No. 1121-0012 EXPIRES: 11/30/89

INSTRUCTIONS

PART IV c. Identify the kinds of data to be collected and maintained and PROGRAM NARRATIVE discuss the criteria to be used to evaluate the results and suc­ cesses of the project. Explain the methodoloy that will be used Prepare the program narrative statement in accordance with the to determine if the needs identified and discussed are being met following instructions for all new grant programs. Requests for con­ and if the results and benefits identified in item 2 are being tinuation or refunding and changes on an approvad project should achieved. respond to item 5b only. Requests for supplemental assistance should respond to question 5c only. d. List organilaticr:s. cooperators. consultants. or other key in­ dividuals who will work on the project along with a short 1. OBJECTIVES AND NEED FOR THIS ASSISTANCE. description of the nature of their effort or contribution. Pinpoint any relevant physical. economic. social, iinancial. institu­ tional. or other problems requiring a solution. Demonstrate the need for 4. GEOGRAPHIC LOCATION. assistance and state the principal and subordinate objectives of the project. Supporting documentation or other testimonies from concern­ Give a precise location of the project or area to b~ served qy the pro­ ed interests other than the applicant may be used. Any relevant data posed project. Maps or other gr,aphic aids may be attached. based on planning studies should be included or footnoted. 2. RESULTS OR BENEFITS EXp,ECTED. 5. IF APPliCABLE. PROVIDE THE FOLLOWING INFORMATION: Identify results and benefits to be derived. For example. when applying a. For research or demonstrlJtion assistance requests, present a for a grant to establish a neighborhood health center provide a descrip­ biographical sketch of 1he program director with the following tion of who will occupy the facility. how the facility will be used. and information; name. address. phone number. background, and how the facility will benefit the general public. other qualifying experience for the project. Also, list the name. training and background for other key personnel sngaged in the 3. APPROACH. project. a. Outline a plan of action pertaining to the scope and detail of how thtl proposed work will be accomplished for each grant pro­ b. Discuss accomplishments to date and list in chronological ordor gram. function or activity. provided in the budget. Cite factors a schedule of accomplishments, progress or milestonefl an­ which might accelerate or decelerate the work and your reason ticipated with the new funding request. If there have been for taking this approach as opposed to others. Describe any significant changes in the project objectives. location approach, unusual features of the project such as design or technological or time delays. explain and justify. For other requests for innovations, reductions in cost or time. or extraordinary social changes or amendments. e)(plaln the reason for the change(sl. and comrrounity involvement. If the scope or objectives have changed or an extension of time is necessary, explain the circumstances and justify. If the total b. Provide for each grant program, function or activity. quan­ budget items have changed more than the prescribed limits con­ titative monthly or Quarterly projections of the ac­ tained in Attachment K to OMB Circular A- 102 (or Attachment complishments to be achieved in sueh terms as the number of J to OMB Circular A-11 O. as applicable). explain and justify the jobs created; the number of people served; and the number of change and its effect on the project. patients treated. When accomplishments cannot be Quantified by activity or function, list them in chronological order to show c. For supplemental assistance requests. explain the reason for the schedule of accomplishments and their target dates. the request and justify the need for addltlon.,1 funding.

OJP FORM 4000/3 ,Rev. 10-861 ATTACHMENT TO SFo424 APfROVED: OMB No. 1121-0012 EXPIRES: 11/30/89 PART V ASSURANCES The Applicant hereby assures and certifies compliance with all Federal statutes, regulations, policies, guidelines and requirements, in­ cluding OMS Circulars No. A-21, A-102, A-110, A-122, A-128, and A-S7, and E.O. 12372, thatgovem the application, accep­ tance and use of Federal funds for this federally-assisted project. Also the Applicant assures and certifies that: 1. It possesses legal authority to apply for tho grant; that a resolu- 10. It will assist the Federal grantor agency in its compliance with tion, motion or similar action has been duly adopted or passed as Section 1 06 of the National Historic Preservation Act of 1 966 as an official act of the applicant's governing body, authorizing the llmended (16 USC 470), Executive Order 11593, and the Ar- filing of the application. including aN understandings and cheologlcal and Historical Preservation Act of 1966 (1 6 USC assurances contained therein, and directing I!Ind authorizing the 569a-l et seq.) by (a) consulting with the State Historic Preser- person identified as the official represl'ntative of the applicant to vation Officer on the conduct of investigations, as necessary, to act,in connection with the appiicatio:'l and to provide such addi- identify properties listed in or eligible for inclusion in the National tional information as may be required. Register of Historic Pieces that are subject to adverse effects (see 36 CFR Part 800.8) by the activity, and notifying the Federal 2. It will comply with requirements of the provisions of the Uniform grantor agency of the existenco of any such properties, and by (b) Relocation Assistance and Real Property Acquisitions Act of complying with all requirements established by the Federal gran- 1970 (P.L. 91-646) which provides for fair and equitable treat- tor agency to avoid or mitigate adverse effects upon such proper- ment of persons displaced as a result of Federal and federally ties. assisted programs. 3. It will comply with provisions of Federal law which limit certain 11. It will comply, and assure the compliance of all its 5ubgrantees political activities of employaes of a State or local unit of govern­ and contractors, with the applicable provisions of Title I of tha ment whose 9rinclpal employment is in connection with an activi­ Omnibus Crime Control and Safe Streets Act of 1968. as amend­ ty financed in whole or in part by Federal grants. 15 U.S.C. 1501, ed, the Juvenile Justice and Delinquency Prevention Act, or the et seq.) Victims of Crime Act, as appropriate; the provisions of the current 4. It will comply with the minimum wage and maximum hours provi­ edition of the Office of Justice Pvograms Financial and Ad­ sions of the Federal Fair Labor Standards Act if applicable. ministrative Guide for Grants, M7100.1; and all other applicable Federal laws, orders, circulars. or regulations. 5. It will establish safeguards to prohibit employees from using their positions for a purpose that is or gives the appearance of being 12. It will comply with the provisions of 28 CFR applicable to grants motivated by a desire for private gain for. themselves or others, and cooperative agreements Including Part 18, Administrative particularly those with whom they have family, business, or other Review Procedure; Part 20, Criminal Justice Information ties. Systems; Part 22, Confidentiality of Identifiable Research and 6. It will give the sponsoring agency or the Comptroller General, Statistical Information; Part 23, Criminal Intelligence Systems through II ..... authorized representative, :lCCIlS. to and the right to Operating Policies; Part 30, Intergovemmental Review of Depart­ examine all records, books, papers, or documents related to the ment of Justice Programs and Activities; Part 42, Nondiscrimina­ grant. tion/Equal Employment Opportunity Policies and Procedures; Part 61, Procedures for Implementing the National Environmental 7. It will comply with all requirements imposed by the Federal spon­ Policy Act; Part 83, Floodplain Manllgement and Wetland Protec­ soring agency concerning special requirements of law, program tion Procedures; and Federal laws or regulations applicable to requirements, and other administrative requirements. Federal Assistance Programs. S. It will Insure that the facilities under it. ownership, laase or super­ vision which shall be utll!zed in the accompHshment of the project 13. It will comply, and IiU Itil contractors will comply, with the non­ are not listed on tho Environmental Protection Agency's IEPA) list discrimination requirements of the Justice Assistance Act or Vic­ of Violating Facilities and that It will notify the Federal grantor tims of Crime Act (as appropriate); Title VI of the Civil Rights Act agency of the receipt of any communication from the Director of of 1964; Section 504 of the Rehabilitation Act of 1973 as the EPA Office of Federal ActivitioG indicating that a facility to be amended; Title IX of the Education Amendments of 1972; the used in the project is under consideration for U.ting by th6 EPA. Age Discrimination Act of 1976; and the Department of Justice Non-Dlscrimipation Regulations 28 CFR Part 42, Subparts C, D, 9. It will comply with the flood insurance purchaGe requirements of E, and G. Section 102(a) of the Floor Disaster Protection Act of 1973, Public Law 93- 234, 87 Stat. 975, approved Docember 31, 1976. Section 1 02(a} requires, on and after March 2. 1975. the 14. In the event a Federal or State court or Federal or State ad­ purchase of flood insurance in communities whore such insurance ministrative agency makes a finding of discrimination lifter a due is available as a condition for the receipt of any federal financial process hearing on the grounds of rsce, color, religion, national assistance for construction or acquiSition purposes for use in any origin or sex against a recipient of funds, the recipient will forward area that has been identified by the Secretary of the Department a copy of the finding to the Office of Civil Rights Compliance of Housing and Urban Development as an area having special (OCRCI of the Office of Justice Programs. flood hazards. The phrasa "Federal financial assistance" includes any form of loan, grant, guaranty, insurance payment, rebate, 15. It will provide an EI.ual Employment Opportunity Program if re­ ~'Jbsidy, disaster assistance loan or grant, or any other form of quired to maintain one, where the application Is for $ 500,000 or direct or Indirect Federal assistance. more.

OJP Form 4000/3 (Rev. 10-86) Attachment to SF-424

"u.s. G.1'.O. 198R- 241-710,80089