Responding to Transnational Organized Crime — Supporting Research, Improving Practice

ISSUE No. ISSUE

U.S. Department of Justice Office of Justice Programs National Institute of Justice

268

National Institute of Justice Journal

Responding to Transnational Organized Crime — Supporting Research, Improving Practice

n Reconsidering the Project Greenlight Also in this issue NIJ's Peer Review Process: Intervention: Why Thinking About The Scientific Review Panel Risk Matters Pilot Project n Indigent Defense: Strengthening NIJ: Mission, Science International Perspectives and Process and Research Needs n Final Findings From the Expert Panel on the Safety of Conducted Energy Devices n Beyond the Prison Bubble

i Building Knowledge to Meet the Challenge of Crime and Justice

National Institute of Justice John H. Laub Director, National Institute of Justice

The NIJ Journal is published by the National Institute of Justice to announce the Institute’s policy-relevant research U.S. Department of Justice results and initiatives. The Attorney General has determined Office of Justice Programs that publication of this periodical is necessary in transacting the public business of the U.S. Department of Justice as 810 Seventh St. N.W. required by law. Washington, DC 20531 Findings and conclusions of the research reported here are those of the authors and do not necessarily reflect the official position or policies of the U.S. Department of Justice. All products, manufacturers and organizations cited in this Eric H. Holder, Jr. publication are presented for informational purposes only, Attorney General and their discussion does not constitute product approval or endorsement by the U.S. Department of Justice.

Laurie O. Robinson Subscription Information Assistant Attorney General Online https://puborder.ncjrs.gov/Listservs/nij/reg.asp Phone 301-519-5500 800-851-3420 John H. Laub Mail NCJRS P.O. Box 6000 Director, National Institute of Justice Rockville, MD 20849-6000 World Wide Web Address http://www.nij.gov/journals/welcome.htm Contact NIJ This and other publications and products National Institute of Justice 810 Seventh St. N.W., Washington, DC 20531, USA of the National Institute of Justice can be http://www.nij.gov/contact/welcome.htm found at: NIJ Journal Editorial Board Thomas E. Feucht National Institute of Justice Lee Mockensturm http://www.nij.gov Angela Moore Marilyn Moses Office of Justice Programs Nancy Ritter Kristina Rose Innovation • Partnerships • Safer Neighborhoods George Tillery http://www.ojp.usdoj.gov Cheryl Crawford Watson

Editor-in-Chief Jolene Hernon Contact the Managing Editor [email protected] Production Palladian Partners, Inc. Sarah B. Berson, Managing Editor Jennifer M. Walsh, Consulting Editor Shelby Hays, Production Coordinator Aaron Auyeung, Designer NCJ 235888 Maureen Berg, Designer October 2011 NIJ Journal / Issue No. 268 Director’s Message

This issue of the NIJ Journal features articles on a diverse collection of topics, but they all reflect how research can be Contents transformative in shaping policy and practice. NIJ Bulletin 2 Two articles address corrections, rehabilitation and reentry — Responding to topics for which the conventional wisdom is often “nothing Transnational Organized works.” In “Beyond the Prison Bubble,” Dr. Joan Petersilia argues that we in fact know a great deal about what works Crime — Supporting in corrections and that we fail to put serious effort into imple- Research, Improving menting programs that work at our peril, given the costs of Practice incarceration. The other article is about Project Greenlight by John T. Picarelli 4 — a reentry program that was created based on current knowledge of “what works” in reentry. It turned out that Greenlight did not actually work; failure of that sort gives us the Reconsidering the Project opportunity to find out why it did not work. The authors of “Reconsidering the Project Greenlight Intervention: Greenlight Intervention: Why Thinking About Risk Matters” offer a new look at the evalua- Why Thinking About tion and paint a more nuanced picture of why, perhaps, Greenlight failed and what lessons Risk Matters we can learn from it for designing and implementing programs in the future. by James A. Wilson This issue’s cover story on transnational organized crime and an article on an indigent and Christine Zozula 10 defense workshop highlight the value of sharing knowledge with domestic and international partners and inviting both researchers and practitioners to the table. Working with Strengthening NIJ: international partners not only allows the U.S. to showcase its most innovative and suc- Mission, Science cessful practices, it also helps identify solutions that have been shown to be effective in and Process other countries and that might be transferable to the U.S. Transnational organized crime, by John H. Laub by its nature, requires collaboration among research and law enforcement agencies at 16 home and abroad. Indigent defense is a problem that nations all over the world grapple Improving NIJ's Peer with — the need to ensure justice for those among us who have the least. NIJ partnered with the Justice Department’s Access to Justice Initiative to bring researchers, practitio- Review Process: ners and advocates together for a discussion on best practices in indigent defense from The Scientific Review around the world. Panel Pilot Project by Thomas E. Feucht “Final Findings From the Expert Panel on the Safety of Conducted Energy Devices” and Phyllis Newton presents the fruits of another successful collaboration. NIJ sponsored an expert panel, 22 along with the College of American Pathologists, the Centers for Disease Control Beyond the Prison and Prevention, and the National Association of Medical Examiners, to study whether conducted energy devices (CEDs), such as the Taser, can contribute to or be the primary Bubble cause of death. CEDs are used by more than 12,000 law enforcement agencies in the by Joan Petersilia 26 U.S. Their safety has sometimes been called into question, particularly when deaths have occurred after their use. The expert panel concluded that, in general, there is little risk of Final Findings From death or serious injury when CEDs are used on healthy adults. the Expert Panel on the Safety of Conducted Finally, two articles in this issue discuss changes coming to the Institute. In the first Energy Devices article, I discuss NIJ’s response to the National Research Council’s evaluation. The second focuses on a specific part of that response — changes to how NIJ conducts peer review. by Brian Higgins 32 The National Research Council’s report made it clear that the status quo for peer review at NIJ was no longer acceptable. NIJ took its recommendation to reform peer review to Indigent Defense: heart and will pilot a process in fiscal year 2012 based on the “standing panels” model International Perspectives used by a number of other federal science agencies. Watch the “Director’s Corner” and Research Needs on NIJ.gov for additional updates about NIJ’s response to the National Research by Maureen McGough 36 Council’s evaluation.

John H. Laub Director, National Institute of Justice

Visit the NIJ Director’s page at http://www.nij.gov/about/director.

1 NIJ Bulletin

Publications available at NCJRS.gov. The report discusses strat- their peers who were not in Brief Issues 1, 2 and 3 are now egies that have worked in monitored electronically. online. the past, such as avoiding A summary of the research Research Report Digest across-the-board budget ▼ Read the Digest on NIJ.gov. can be found in Electronic Do you want to stay on top Keyword: Digest. cuts because they cause Monitoring Reduces of the most recent research disproportionate harm; Recidivism available on developments, but don’t Strategic Cutback using targeted layoffs rather NIJ.gov. (Keyword: have enough time? NIJ’s Management: Law than hiring freezes; and Electronic Monitoring.) new Research Report Enforcement Leadership looking for opportunities to The researchers noted Digest can help. for Lean Times generate revenue in addi- that lower recidivism rates, tion to cutting costs. Recognizing the need for As the U.S. struggles combined with lower costs

information about recently through another period ▼ Read the report on NIJ. (compared to incarceration) completed research in of economic decline, law gov. Keyword: Strategic may make electronic mon- short, easy-to-access for- enforcement agencies Cutback. itoring more attractive to mats, NIJ launched the can learn from previous policymakers. financial crises. A new Electronic Monitoring Digest, which summa- Reduces Recidivism Researchers also reported rizes research reports that report, Strategic Cutback on a variety of experiences Results of a large study have been entered into the Management: Law related to the monitor- of electronic monitoring database of publications Enforcement Leadership ing devices, including the of released offenders in for Lean Times, contains effects on personal relation- Florida showed that failure suggestions for weathering ships and employment. the current challenging rates of monitored offend-

economic climate. ers under community ▼ Read the full report, supervision were substan- Quantitative and Qualitative tially lower than those of Assessment of Electronic Monitoring, on NCJRS.gov. Keyword: NCJ 230530.

News & Notes NIJ Director Receives International Criminology Award NIJ Director John Laub and his long- Glueck on 500 boys sent to reform employment, that broke their social time colleague Robert Sampson of school in Boston in the 1930s and ties with offending peers and offered Harvard University were the joint 1940s. Then they followed-up with some form of on-going support. recipients of the 2011 Stockholm the “delinquent boys” — by then They reported their findings in Prize in Criminology for their research in their late 60s. Using the recon- two books published by Harvard on desistance from crime (how and structed data and the data they University Press, Crime in the why criminals stop offending). The collected on the men’s lives since Making: Pathways and Turning Stockholm Prize, which recognizes the end of the Glueck’s studies, Points Through Life (1993) and outstanding achievements in crimino- including interviews with surviving Shared Beginnings, Divergent Lives: logical research, was presented June participants from the original study, Delinquent Boys to Age 70 (2003), 14, 2011, in Stockholm, Sweden. Laub and Sampson found that the as well as many academic articles. men often stopped committing Laub and Sampson’s work is the lon-

crimes as they encountered ▼ Watch John Laub and Robert Sampson gest life-course study of criminal “turning points” — significant discuss their research on the behavior ever conducted. They began changes in their lives, such as NIJ Director’s Corner at NIJ.gov. by reconstructing data collected by marriage, military service and researchers Sheldon and Eleanor

2 NIJ Journal / Issue No. 268 ■ October 2011

Newest Research Findings

Improving Efficiency in Crime Laboratories

▼ .gov Laboratories across the nation are having a hard time keeping up with increased demand for DNA analysis. At the Louisiana State Police Crime Laboratory, for example, new DNA requests increased from 843 in 2006 to 1,501 in 2009, time to complete a Look for multimedia links case and return it to the submitting agency increased from 476 to 676 days, and year– throughout this issue of end backlogs went from 876 DNA cases to 910 . the NIJ Journal. On the To improve the efficiency of its work, Louisiana applied for and received funding NIJ website, look for the from NIJ to: following new content:

■ Hire experts to conduct two Lean Six Sigma projects that identified previously ▼ Interviews with unexplored efficiencies. researchers and practitioners from the 2011 ■ Purchase additional equipment to increase throughput. NIJ Conference ■ Validate robotics to improve the laboratory’s automated activities.

▼ Jens Ludwig and ■ Add tools that helped create a paperless environment as a way to increase efficiency. Roseanna Ander dis- As a result of the changes, in 2010 the laboratory reported that it received 1,317 new cussing benefit-cost DNA case requests and completed 1,771 DNA requests, which means that it lowered analysis for crime its backlog of cases from 910 requests in 2009 to 286 by the end of 2010. Turnaround policy time fell from 676 days in 2009 to 287 days in 2010.

▼ Greg Berman dis- The laboratory also reported that the improved processes had a positive impact on cussing community employee attitude toward and engagement in their work that has resulted in even corrections courts and more operational efficiencies. The project has been selected as a finalist for the 2011 learning from failure International Association of Chiefs of Police/Motorola Webber Seavey Award for Quality

in Law Enforcement. ▼ Updates to John Laub’s “Director’s Corner”

▼ Read the full report on NCJRS.gov. Keyword: NCJ 235190.

▼ The most recent issue of the Geography and Sexual Assault of Women at Historically Black Colleges and Universities Public Safety Bulletin ▼

Researchers from RTI International collaborated with four Historically Black Colleges ▼ Grant solicitation and Universities (HBCUs) to study sexual assault on HBCU campuses. announcements and information about past Approximately 15 percent of the 4,000 women who participated reported an awards attempted or completed sexual assault before entering college, and 14 percent

reported experiencing an attempted or completed sexual assault since entering ▼ Current training oppor- college. The research is further confirmation that misuse of alcohol on campus tunities increases the risk of sexual assault. The finding suggests that universities need

▼ The archive of NIJ to more vigorously address the dangers of alcohol misuse. Journal back issues The most common university policies and practices at the four HBCUs included having an official sexual assault protocol; campus police regularly referring sexual assault victims to university health or crisis centers; campus law enforcement main- taining a daily crime log available to the public; and campus police providing annual http://www.nij.gov records of reported crime to the institution. Researchers discuss implications for effective policies and programming.

▼ Read the full report on NCJRS.gov. Keyword: NCJ 233614. The researchers also published several papers in academic journals, including most recently in the Journal of Interpersonal Violence.

Go to NIJ.gov and subscribe to our email alerts to receive the latest @ information on funding, publications, trainings, events and topical pages.

3 Responding to Transnational Organized Crime — Supporting Research, Improving Practice by John T. Picarelli

The U.S. government looks to research from home and abroad as it reformulates its law enforcement response to transnational organized crime.

n July 13, 2010, some 3,000 Nevertheless, as the activities of July police officers fanned out 13 drew to a close, Italian authorities Oacross Italy. In one day, the discovered that some of their long- dragnet conducted 55 searches, held beliefs about the organization made 305 arrests and seized $75 and operations of the ‘Ndrangheta million in illegal assets. The target were wrong. For example, they of this nationwide sweep was the learned the ‘Ndrangheta had dual Calabrian organized crime group power bases in Italy, not one, as known as the ‘Ndrangheta. While not was previously assumed. They also as well known as other transnational discovered that, contrary to their organized crime (TOC) groups, the expectations, the group did in fact ‘Ndrangheta nonetheless had grown have a central, hierarchical organi- to become one of the most powerful zation that maintained order among and aggressive criminal organizations ‘Ndrangheta groups. in Europe. In preparation for their sweep, Italian authorities spent One lesson stands out from this two years collecting 64,000 hours episode: A focused and sustained of videotaped surveillance of research program on TOC is needed ‘Ndrangheta meetings and tran- to inform and shape anti-organized scribed more than 1 million phone crime policies and programs. Many conversations. countries, including Italy and the

4 NIJ Journal / Issue No. 268 ■ October 2011

A focused and sustained United States, are retooling their TOC U.S. law enforcement agencies and policies and programs, and they are research program on numerous federal prosecutor offices looking to the research community transnational organized nationwide. The National Intelligence to provide them with the best meth- Council also completed work on a ods for assessing TOC threats and crime is needed National Intelligence Estimate (NIE). improving threat assessments. The NIE, which was published in to inform and shape 2010, is a classified review of all With this in mind, the National intelligence on TOC and provided the Institute of Justice (NIJ) has revital- anti-organized crime best estimate of its trajectory for the ized its TOC research portfolio and next five years. Soon after the com- affirmed its role in the U.S. govern- policies and programs. pletion of the NIE, President Obama ment’s efforts against TOC. tasked the National Security Staff with forming a government-wide The U.S. Government’s strategy to counter TOC. Response to TOC Recalibrated The threat from TOC continued to evolve in the 2000s. For example, In July 2011, the U.S. government In the 1980s and 1990s, the U.S. TOC groups increasingly focused released a White House strategy on government began to recognize the attention on capturing legitimate TOC. This is the first strategy in more threat TOC posed. During this period, businesses and penetrating global than 15 years. criminal organizations leveraged financial, commodity and other mar- the burgeoning globalization move- kets. Terrorist organizations sought NIJ and TOC Research ment and the end of the Cold War the assistance of TOC groups and to expand across borders and garner the global expansion of TOC destabi- Research on TOC is nothing new ever-larger profits from smuggling lized new regions of the globe, such for NIJ. Since the late 1990s, NIJ and other global criminal activities. as western Africa. has sponsored research projects, By 1995, the U.S. identified TOC as hosted working groups and evaluated a national security threat and autho- By the late 2000s, the Department programs related to TOC. NIJ-funded rized new tools to address it. For of Justice (DOJ) took steps to researchers have mapped trans- example, recognizing the need for address the significant gap in U.S. national criminal groups operating in global cooperation to dismantle efforts against international criminal the U.S. from Russia, Ukraine, China, these criminal enterprises, the U.S. syndicates. In 2008, DOJ released the Philippines, Japan and a num- embraced efforts that culminated The Law Enforcement Strategy to ber of other countries. NIJ’s grants in the United Nations Convention Combat International Organized have provided surveys of local law Against Transnational Organized Crime, which outlined steps to pro- enforcement to pinpoint the impact Crime in 2000. The U.S. also adopted mote a more robust law enforcement of TOC in their communities and new economic sanctions that tar- effort against TOC. In order to coor- NIJ-funded research has explored geted drug trafficking organizations dinate this effort across federal law the linkage between TOC and and their leadership. enforcement agencies, the Attorney terrorism. General reconvened the Organized The U.S. government’s focus on Crime Council (AGOCC). Prior to NIJ’s TOC research portfolio covers TOC as a national security threat 2008, the AGOCC had not met for four broad areas. Specific topics changed after Sept. 11, 2001. The some 15 years. handled under each area are: terrorist attacks forced the U.S. to direct its energies toward preventing The U.S. government continued ■ Measurement and assessment future attacks. Understandably, many rebuilding its capacity to counter issues that focus on the nature of those who had experience iden- TOC as the decade drew to a and types of organized crime by tifying, investigating, analyzing and close. In 2009, DOJ formed the market and jurisdiction, the impact prosecuting clandestine groups — International Organized Crime of law enforcement efforts, and including transnational criminal orga- Intelligence and Operations Center, the assessment of harms. nizations — switched their focus to through which it and other fed- ■ Risk assessment and other meth- international terrorist threats full time. eral agencies could marshal the ods for targeting enforcement resources and information of nine

Responding to Transnational Organized Crime — Supporting Research, Improving Practice | 5 NIJ Journal / Issue No. 268 ■ October 2011

The Evolution of Transnational Organized Crime

any people are familiar with with other criminal groups, and makes up the toe of Italy’s Mtraditional forms of orga- often flatter in structure. The U.S. boot) in the late 1800s. Until the nized crime thanks to films like Department of Justice defines 1970s, the ‘Ndrangheta rarely The Godfather and Goodfellas. In transnational organized crime in operated outside Calabria. Yet 1968, the Omnibus Crime Control part as “self-perpetuating asso- by the 1990s, the ‘Ndrangheta and Safe Streets Act defined ciations of individuals that operate was looking to global criminal organized crime as “the unlaw- internationally for the purpose of markets for new opportunities. ful activities of the members of a obtaining power, influence, mone- For example, the ‘Ndrangheta highly organized, disciplined asso- tary, and/or commercial gains, wholly began to enter into contracts ciation engaged in supplying illegal or in part by illegal means, while with Colombian drug traffick- goods and services, including but protecting their activities through a ing organizations in the 1990s, not limited to gambling, prostitu- pattern of corruption and/or violence, importing cocaine for a growing tion, loan sharking, narcotics, labor or while protecting their illegal activi- European market. Currently, the racketeering, and other unlawful ties through an international organiza- ‘Ndrangheta has a significant activities of members of such tional structure and the exploitation presence in more than a dozen organizations.” Organized crime of international commerce or com- countries, ranging as far as was primarily a domestic concern, munication mechanisms.” Australia and Canada. comprised of groups that rarely In short, organized crime is no looked beyond their own city for longer only a domestic concern — profits and power. it is an international problem. Today, Starting in the 1970s, but accel- crime groups manifest themselves in erating in the early 1990s, a new multiple countries simultaneously in form of organized crime took hold. order to leverage global criminal The combination of a new geo- and licit markets. The ‘Ndrangheta political climate, a globalized world is an excellent example of economy and resulting softer bor- this evolution. The original ders, and a revolution in informa- ‘Ndrangheta clans tion technology available to crime arose in Calabria groups hastened a shift. Crime (the region that groups changed from domestic organized crime groups that were regional in scope and hierarchically structured to criminal organizations that are global and transnational in nature, increasingly networked

efforts, including the identification ■ Identification, prevention and antici- concluded that research on TOC of markets or jurisdictions at high pation of new trends. was uneven — robust in some risk for TOC penetration and practi- areas, scant in others (for example, cal tools for allocating enforcement In January 2010, NIJ hosted an it felt that research on TOC actors resources. expert working group of 50 interna- and organizations was particularly strong, but research on the links ■ Illicit groups and products, focusing tional academicians and practitioners between TOC and terror groups on the types of TOC groups and to discuss the current state of knowl- was lacking). Nonetheless, the how they operate based on prod- edge and how research can inform group believed that the existing uct and opportunity. policy and practice. The group

6 | Responding to Transnational Organized Crime — Supporting Research, Improving Practice NIJ Journal / Issue No. 268 ■ October 2011

research at least provided a level of 4. Working with NIJ’s partners in information that could guide future all levels of government to provide Research and evaluation research and practice. research support and other 1 are essential to services. The working group concluded that 5. Publishing research and providing understanding TOC, three topics required more focused a platform for dissemination of attention in the future. The first was U.S. government information to but their full value the need to develop reliable esti- inform and educate the general mates of the harm TOC inflicts on public and the private sector is realized only when society, markets, the economy and about TOC. individual citizens. The second was the stakeholders involved the need for more evaluations of Sponsoring research on TOC top- existing programs and policies to ics of interest to practitioners is the in policy and practice ensure that they are indeed the “best primary tool that NIJ can deploy in practices” for investigating and pros- are made aware of the supporting the effort against TOC. ecuting TOC. The third was the need To that end, NIJ solicited research for more comparative research that results and can proposals on this subject in 2010. uses observations and data from The goal of the solicitation was not multiple countries to better identify determine how only to sponsor research that could how TOC forms, organizes and inform practitioners about the nature operates across borders. the findings relate of TOC, but also to garner knowledge about TOC that could educate the to their work. NIJ and the Fight Against TOC public about the threat it poses. The solicitation welcomed a wide array Although the NIJ working group of research. It also singled out an meeting was in part a step toward interest in having researchers evalu- face seizure of that wealth. The embedding research in the larger ate current practices to validate them transferability study will help deter- interagency effort to recalibrate the as “best practices.” Awards were mine whether these programs are U.S. government’s efforts against made to the University of California effective and, if they are, how they TOC, NIJ has also initiated some – Los Angeles and Michigan State might be adapted for use in the U.S. independent activities based on the University. Applications for the fiscal criminal justice system. group’s findings. As a result, NIJ year 2011 TOC research solicitation is focusing on five ways that it can are currently under review. Research and evaluation are essen- assist the Administration’s efforts tial to understanding TOC, but their against TOC and meet its goal of NIJ also supports evaluations of full value is realized only when the facilitating increased research innovative foreign criminal justice stakeholders involved in policy and among the U.S. and its international programs to assess their effective- practice are made aware of the partners: ness and determine their viability results and can determine how the for use in the U.S. criminal justice findings relate to their work. NIJ 1. Sponsoring TOC research that will system. As part of this program, strives to ensure that results from have value to all of its stakehold- NIJ has commissioned a transferabil- the research it sponsors reach the ers, whether they are researchers, ity study of the use of unexplained broadest possible audience, includ- practitioners or policymakers. wealth orders in foreign countries. ing practitioners. In 2010 and 2011, 2. Evaluating programs and tools to An unexplained wealth order is for example, NIJ sponsored panels identify and validate best practices the result of a legal process that at major conferences, such as the against TOC. identifies individuals who live beyond American Society of Criminology their discernible means and requires conference, that focused on how 3. Conducting outreach efforts that them to justify the legitimacy of TOC research can inform practice. promote discussion between their financial circumstances or Likewise, NIJ has convened researchers and practitioners.

Responding to Transnational Organized Crime — Supporting Research, Improving Practice | 7 NIJ Journal / Issue No. 268 ■ October 2011

NIJ’s Transnational Organized Crime Research Portfolio

he National Institute of TJustice’s portfolio of research on transnational organized crime (TOC) dates back to 1998. Since then, NIJ has funded 25 projects in four focus areas: the measurement and assessment of TOC, risk assessment and its use in targeting counter-TOC programs, the deconstruction of TOC groups and their illicit operations, and the prevention of TOC. The portfolio has produced vital information for ■ A 2005 study that detailed the practitioners and stakeholders in links between TOC and terrorism this field, including: and included an indicators and warning model that law enforce- ■ A 2003 survey of state and will employ an innovative ment practitioners can use to iden- local law enforcement officials methodology to estimate the size tify future linkages. that pinpointed perceptions of of an illicit market and to pinpoint the threat from TOC and the ■ Numerous studies of TOC’s the social networks that allow most significant challenges for links to intellectual property theft the market to function, a neces- addressing TOC at the local and the smuggling of natural sary step toward improving law level. resources, which developed more enforcement targeting of TOC ■ A 2003 project that developed accurate estimates of the size and groups and those that facilitate a TOC risk assessment tool that scope of these forms of TOC. them. The Michigan State project will detail the organization and law enforcement officials can To read these and other studies, operations of online credit card employ to improve their target- visit NIJ’s topical collection on trans- fraud with the goal of improving of TOC. national organized crime on NIJ.gov ing the field’s understanding of > Publications and Multimedia > ■ A 2004 survey of practitioners how TOC groups are exploiting Topical Collections > Transnational in six Asian countries that cybercrime. In 2010, NIJ also Organized Crime. found, among other things, that sponsored an evaluation of how TOC groups in these countries In 2010, NIJ funded two projects foreign countries use unexplained were highly specialized and only in this area — one at the University wealth orders as a tool against collaborated when smuggling of California – Los Angeles, and the TOC with an eye toward how the goods or people through or out- other at Michigan State University. U.S. might employ this tool in side the region. The University of California project the future.

additional expert working groups TOC practitioners from the U.S. It is not enough, however, for that focus on particular topics of and the United Kingdom to dis- researchers to share their findings interest to specific segments of the cuss how the research community with practitioners. It is also stakeholder community. NIJ hosted might help practitioners think more important that practitioners hear one such group in November 2010, strategically — that is, long term — from researchers about researchers’ when it brought together a small about TOC. concerns — and vice versa — and panel of academic experts and

8 | Responding to Transnational Organized Crime — Supporting Research, Improving Practice NIJ Journal / Issue No. 268 ■ October 2011

the obstacles and pitfalls they face Just as the U.S. government con- when conducting TOC research. To tinues to refine its response to the It is not enough, address this need, NIJ continues to threat of TOC, so too will NIJ grow however, for researchers meet with practitioners and discuss its efforts to provide its diverse how to construct a research portfo- stakeholders with the information to share their findings lio that is useful to practitioners and they need. NIJ will continue to coor- researchers alike. dinate with a range of domestic and with practitioners. It international agencies to ensure that NIJ works closely with federal part- its research program on TOC ben- is also important that ners to transfer knowledge from efits practitioners and researchers. research to practice. For example, It will work with the research com- practitioners hear from NIJ works with its sister agency, munity to provide researchers with the Bureau of Justice Statistics, to the tools and resources they need to researchers about provide stakeholders more robust produce high-quality research in this statistics on the impact of TOC. NIJ field. By joining research to practice, researchers’ concerns — also has a strong working relationship NIJ will help practitioners, the public with the State Department, support- and policymakers better understand and vice versa — ing its diplomatic efforts to foster the nature of TOC and the threat regional and multilateral responses to it poses. and the obstacles and TOC. NIJ continues to attend interagency and international meetings pitfalls they face when on this topic to promote its research About the author: John T. Picarelli is a findings and discuss potential part- Social Science Analyst in the National conducting nerships to meet future research Institute of Justice’s Office of Research requirements. Partnerships. TOC research. NCJ 235889

Listen to a discussion of policy and research on international organized crime Note from the 2010 NIJ Conference: http://nij.ncjrs.gov/multimedia/audio- 1. NIJ is working closely with the nijconf2010-organized-crime.htm. Organized Crime and Gang Section and the Asset Forfeiture and Money Laundering Section of DOJ’s Criminal Division; the State Department; the National Security Council; the Office of National Drug Control Policy; Check out the transnational organized crime topic page on NIJ’s website: and others in the U.S. government. http://www.nij.gov/topics/crime/transnational-organized-crime/welcome.htm. It is also working with partners in Australia, Germany, the U.K., Italy Learn more about NIJ’s International Working Group on Transnational Organized and a host of other countries, as Crime and read a summary of its recommendations: http://www.nij.gov/topics/ well as the United Nations Office crime/transnational-organized-crime/working-group.htm. on Drugs and Crime.

Read Connecting International Organized Crime Research to Policy and Practice: The Strategic Context in the U.S. and the U.K.: http://www.nij.gov/topics/crime/ transnational-organized-crime/expert-working-group-report.htm.

Read an overview of The Law Enforcement Strategy to Combat International Organized Crime: http://www.justice.gov/ag/speeches/2008/ioc-strategy-public- overview.pdf.

Responding to Transnational Organized Crime — Supporting Research, Improving Practice | 9 Reconsidering the Project Greenlight Intervention: Why Thinking About Risk Matters by James A. Wilson and Christine Zozula

Project Greenlight’s negative outcomes disappointed stakeholders and puzzled researchers. A reexamination of Greenlight’s data suggests that the intensity of the program may not have been well-suited for medium- and high-risk offenders.

he landscape of American cor- be clear, we have nothing against rections is littered with the dance instruction, drum circles, yoga, Tbones of rehabilitative efforts gardening, dog sledding or handwrit- that failed. This is certainly no sur- ing, but their rehabilitative efficacy prise, given some of the novel efforts seems questionable. Although such at rehabilitating criminal offenders, programs are clearly not the norm, some of which, unfortunately, remain one has to wonder how well the con- part of corrections even today. cept of “evidence-based practice” has truly filtered down to inform In a 2008 seminar at the Institute correctional practice. for Excellence in Justice at the Ohio State University Criminal Justice We have moved forward a great Research Center, Ed Latessa of the deal over the last decade in what University of Cincinnati reviewed we know about intervening with several high profile programs that criminal offenders. The bulk of the claimed to be rehabilitative.1 These research evidence clearly indicates included such efforts as dance that the programs most likely to instruction for juveniles, drum circles produce robust results in reducing for parolees, yoga for probation- criminal recidivism have cognitive- ers, gardening, dog sledding and behavioral foundations that target Handwriting Formation Therapy. To behaviors related to offending

10 NIJ Journal / Issue No. 268 ■ October 2011

The new results suggest and amenable to change, and that a mismatch between cult to deliver effectively. However, use social learning strategies.2 In the restructured program’s appeal addition, the principles of correctional the structure of the should be obvious: more individuals interventions suggest that programs can participate with the potential for should target medium- and high- Greenlight program and sizeable reductions in cost. risk offenders and that program implementation should be a key the population to which The original assessment of consideration for any new program. Greenlight’s effectiveness evalu- it was delivered. ated the combined rate of arrests However, even interventions with and parole revocations 12 months substantial empirical support do literature on correctional interven- after subjects were released from not always produce consistent tions shows that cognitive-behavioral a correctional facility. In our re- results and may even be associ- approaches, such as R & R, are asso- assessment, we looked at a longer 3 ated with negative outcomes. One ciated with reductions in recidivism follow-up period of 30 months, and of the more prominent interventions rates. Cognitive-behavioral programs reanalyzed the outcomes by the risk recently linked to negative outcomes typically address attributes most of the study participants. Principles 4 was Project Greenlight. The origi- related to criminal behavior and most of correctional intervention sug- nal evaluation of Project Greenlight amenable to change. These include gest that programming should be examined its effect on the recid- such factors as impulsivity, maladap- reserved for medium- and high-risk ivism rates of participants at 12 tive patterns of thinking, antisocial inmates, so it is plausible to months compared with offenders peers and attitudes, poor social think that the intervention might who received standard prerelease skills, and drug use. In addition to the have differential effects by the programming and offenders who cognitive-behavioral foundation, the risk level of the participants, with received no prerelease programming. program also incorporated a num- medium- or high-risk individuals It found that Greenlight participants ber of other program elements with showing some benefits. had higher rates of arrests and empirical or anecdotal support in parole revocations. reducing recidivism, including employ- Evaluation Design ment assistance, housing assistance, We reassessed Project Greenlight drug education and relapse preven- The treatment group consisted by analyzing data over a 30-month tion, development of a release plan, of the 345 individuals transferred period. In this reanalysis, we spe- practical skills training, and release to the pilot facility and participat- cifically examined differences by documentation that included identifi- ing in the Greenlight intervention the level of offender risk. Although cation and insurance coverage. before release (GL). A second group the longer-term assessment con- of 278, who were also transferred firmed the original evaluation findings, For the Greenlight intervention, the to the pilot facility but assigned to we also found that outcomes var- R & R program was modified in three the N.Y. Department of Corrections ied by risk level — low-risk offenders important ways: Transitional Services Program (TSP), appeared to benefit most from the constituted our primary control program, whereas medium- and high- ■ The intervention period was short- group. A third group met the criteria risk offenders were harmed the most. ened to eight weeks from four to for participation, but these inmates six months. were not transferred to the pilot facility due to space limitations. They An Overview of ■ Class sizes were increased to 26 were released directly from upstate Project Greenlight participants from the recommended facilities (UPS) and received no prere- eight to 10. The Greenlight program was devel- lease programming. The assignment oped and operated by the Vera ■ Additional modules were incorpo- process constitutes a relatively rig- Institute of Justice in conjunction rated, as outlined above. orous research design but has been with the New York State Department described extensively elsewhere, so 5 of Correctional Services and the As a result, the program can be we do not discuss it here. Division of Parole. The program considered more intensive than the was built on the Reasoning and standard formulation, and the com- Because both the GL and TSP groups Rehabilitation (R & R) cognitive- pressed time frame and increased were transferred to the pilot facility behavioral program model. The class sizes likely make it more diffi- and had similar experiences with the

Reconsidering the Project Greenlight Intervention: Why Thinking About Risk Matters | 11 NIJ Journal / Issue No. 268 ■ October 2011

exception of the programming, we largely expected the intervention to Developing the Risk Instrument account for any differences in outcomes. However, the UPS group deserves a short discussion because e developed our risk instru- obtain unstandardized coefficients we can speculate that the effects Wment from data on indi- for variables that predicted new could run in two different directions. vidual attributes that have been arrests.2 Variables that were statisti- To the degree that prerelease pro- strongly associated with criminal cally associated included prior parole gramming has net positive benefits, recidivism.1 Our data include revocations, prior felony arrests, and UPS received no programming, numerous measures of criminal bench warrant indicators, substance we might expect the GL group (and history such as current offense; use measures, release age and to some degree, the TSP group) to do numbers of misdemeanor and borough of release.3 We included better. However, to the degree that felony arrests and convictions; borough of release because it could the forced transfer and coerced par- bench warrants; and database potentially indicate opportunities ticipation in the program right before indicators for drugs, weapons and and networks available to individuals release might be disruptive and other- firearm offenses. Standard demo- recently released from prison. Given wise negatively experienced without graphic data such as age, race/ the lack of dynamic risk predictors achieving a therapeutic effect, we ethnicity and educational level, (i.e., predictors amenable to change, might expect the UPS group to do as well as some information on such as antisocial attitudes and peer better than both GL and TSP. substance use were contained in associations, substance use, poor the data files originally provided by social control/impulsivity, family the New York State Department environment, and education/employ- Reconsidering the Evidence of Correctional Services. We esti- ment), geographic location may be The evaluation of Project Greenlight mated a number of different mod- the next best thing because it sug- followed-up with inmates one year els for constructing a risk scale. In gests neighborhood characteristics after they were released. At that doing so, we paid special attention such as employment opportunities, time, the investigators’ analysis to the literature on the predictors living arrangements and exposure to found significant negative outcomes of offender recidivism, but we also pro-social peers. Once our scale was associated with the intervention — tested all of the variables avail- constructed, we defined three risk the GL participants had more arrests able to us and considered their levels for sample size reasons, but and parole revocations than either potential meaning for respondent rather than simply dividing the scale the TSP and UPS groups. In this outcomes. into thirds, we selected the bottom 30 percent as “low risk,” the top 30 reanalysis, we look at outcomes at Following Gottfredson and Snyder, 30 months and examine them by the percent as “high risk,” and the mid- we used logistic regression to 4 participants’ risk level. (See sidebar: dle 40 percent as “medium risk.” Developing the Risk Instrument.)

Results by Risk Level In Exhibit 1, we show the percent- Exhibit 1. Percent of Participants Without a Rearrest After 30 Months age of participants who were living in the community at 30 months and Greenlight TSP UPS had not been rearrested.6 Within each group, we examine the per- Risk Level (N = 345) (N = 278) (N = 113) centages by risk level. The data for Total Sample 47.5 51.8 66.4 ** the full sample, shown on the first row of the table, are consistent with Low-Risk 80.4 70.0 ^ 86.4 the results of the one-year evalu- Medium-Risk 44.0 51.7 69.0 ** ation. Participants in the GL group had the highest recidivism rate, with High-Risk 23.7 33.8 * 32.1 less than half (47.5 percent with no rearrest) still in the community at 30 Note: All comparisons of statistical significance are with the GL group. months. The difference of nearly 20 ^ p < .10; * p < .05; ** p < .01 percentage points between it and

12 | Reconsidering the Project Greenlight Intervention: Why Thinking About Risk Matters NIJ Journal / Issue No. 268 ■ October 2011

Figure 1 is a very basic illustration of how well our risk instrument dis- Figure 1: Assessing the Risk Scale: Rearrest by Risk Level of Study Participants criminates between those classified as low, medium and high risk. A 27 80 71.6% percentage point difference distin- ed 70 est

r 60 guishes the difference between low 49.3% 48.0% and medium risk, and a 22.3 percent- 50 40 age point difference exists between e Rear 30 medium and high risk. The degree of 22.3% 20

discrimination across risk categories centag r 10 for any arrest is statistically signifi- Pe 0 cant. To our knowledge, no one has Low Risk Medium Risk High Risk Total established specific criteria for what Risk Level constitutes low-, medium- and high- risk offenders, but we believe our Note: Drawn from Figure 1b in Wilson and Zozula, “Risk, Recidivism and scale represents, to a reasonable (Re)Habilitation: Another Look at Project Greenlight,” The Prison Journal degree, these conceptual categories. (forthcoming, 2012).

Notes Recidivism: What Works!” were not predictive in any of the 1. See, e.g., Andrews, D.A., Ivan Zinger, Criminology 34 (1996): 575-608. models tested and because the Robert D. Hoge, James Bonta, Paul use of race/ethnicity variables in 2. Gottfredson, Don M., and Howard Gendreau, and Francis T. Cullen, such scales raises ethical concerns. M. Snyder, The Mathematics of “Does Correctional Treatment Risk Classification: Changing Data 4. As one might expect, whether we Work? A Clinically Relevant and into Valid Instruments for Juvenile divided our risk levels into thirds, Psychologically Informed Meta- Courts, OJJDP Report, Washington, quartiles or some other grouping Analysis,” Criminology 28 (1990): D.C.: Office of Juvenile Justice made little difference. We ultimately 369-404. Andrews, D.A., and James and Delinquency Prevention, July decided on the 30-40-30 distribution Bonta, The Psychology of Criminal 2005, NCJ 209158, available at in order to capture those who were Conduct, 4th Edition, Cincinnati, https://www.ncjrs.gov/pdffiles1/ at slightly lower and slightly higher OH: Anderson Publishing (2006). ojjdp/209158.pdf. risk, but in practical terms, other divi- Gendreau, Paul, Tracy Little, and sions did not yield different results. Claire Goggin, “A Meta-Analysis of 3. Educational level and race/ethnic- the Predictors of Adult Offender ity were not included because they the UPS group (66.4 percent with compared with either GL or TSP Making Sense of the Results no rearrest) is statistically significant. participants for every risk level except high, in which results for UPS A number of explanations are pos- However, recidivism rates vary and TSP participants were similar. sible for the results we present depending on risk level. The “risk Further, despite the lack of statistical here. The most obvious is that the principle” suggests that the most significance (largely due to inade- research design was flawed and that intensive programming should be quate statistical power due to small individuals who are more prone to reserved for medium- and high- sample sizes), most of the contrasts crime were differentially assigned risk offenders, but it is the low-risk suggest reasonable reductions in to each of the three groups — in offenders who appear to benefit recidivism. The 25 percentage point short, the GL group has more high- most from the GL program. In con- difference between medium-risk risk participants than the TSP group, trast, high-risk TSP participants were GL and UPS (44 percent to 69 per- which has more than the UPS group. more likely to avoid rearrest than cent) offenders is substantial. The Although some differences in risk high-risk GL participants. question is, how do we explain levels are evident, the strength of these differences and what are the research design and multivariate Individuals in the UPS group were the implications for correctional analyses with controls suggest that less likely to be arrested again programming? demographic and criminal history

Reconsidering the Project Greenlight Intervention: Why Thinking About Risk Matters | 13 NIJ Journal / Issue No. 268 ■ October 2011

differences don’t account for the dif- sity of the Greenlight intervention. The other major question is why ferences in recidivism rates. We also By definition, low-risk individuals the UPS group, released directly affirm that attrition is not at issue: All are likely to be less impulsive, have from prison with no prerelease pro- individuals assigned to the treatment better attention spans, better cog- gramming whatsoever, did so well, group completed the mandatory GL nitive skills, better social skills and compared not only with the TSP programming and were followed for better verbal ability — in short, they group, but also to the GL group. For the full period after release. are more likely to have the skills that lack of a more plausible explanation serve one best in a classroom envi- at this point, one must consider the In the initial evaluation, discussions ronment. Thus, it seems reasonable possibility that transferring individuals about the negative effects associ- to think they would be better situated right at the end of their incarcerated with the GL program centered to process the more intensive and ation and coerced programming on program design and implemen- more compressed intervention that might be detrimental to their well- tation. The new results suggest a Project Greenlight provided. being. To the degree that inmates mismatch between the structure of form social bonds and networks, the GL program and the population Why would the medium- and high- are embedded within a specific to which it was delivered. risk individuals do so much more community and a stable institutional poorly with Greenlight? Perhaps, life, and have some semblance of Several factors support this conclu- just as low-risk individuals possess control over their lives, an involun- sion. First, speculation about poor the attributes that make them more tary transfer to another facility, with program implementation was bol- suited for such intensive and com- coerced programming to follow, may stered by evidence that certain GL pressed programming, medium- and be disruptive and counterproduc- case managers accounted for nearly high-risk individuals are more likely tive. A diverse literature suggests all of the negative program effects to possess traits that make them that situations and events that create reflected in the original one-year less suitable. The risk principle holds stress, especially those that gener- follow-up figures. Such differences that the most intensive programming ate a sense of powerlessness such would suggest problems with the should be reserved for those who as involuntary moves, can nega- delivery of the program. However, in are at medium-to-high risk. However, tively impact a host of life outcomes, the most recent assessment of the treatment programs should be deliv- including recidivism. GL program data, variation among case manag- ered in a style and mode consistent designers assumed that transfer- ers shows much smaller differences with the ability and learning style of ring individuals to an institution in across the board. the offender (the responsivity prin- their home community right before ciple). As we have already noted, release would help them in the In addition, if the program were the GL intervention might be con- prerelease planning process, espe- poorly structured or poorly delivered, sidered “very” intensive given its cially in connecting participants to it seems reasonable to think that compressed delivery time, increased community-based service providers. the negative effects of the program class sizes and additional program Our data suggest that prison trans- due to problems with implementa- elements. This intensive program- fers or coerced programming just tion would apply to all risk levels. At ming, however, may not have been before release, or some combination the very least, one might expect the clinically appropriate. With high-risk of the two, might be counterproduc- lowest risk individuals to be most offenders, programming can initially tive in significant ways. negatively affected if the program engender more resistance, creating had been poorly structured or poorly anger, resentment and frustration at Lessons for the Future delivered. However, in this case, the being forced to participate.7 Wilson lowest risk individuals don’t exhibit and Davis8 noted that “if the inter- We believe the patterns of suc- the same negative effects as the vention is not of sufficient length for cess between the three different medium- and high-risk offenders a therapeutic effect to be realized, groups across the different risk lev- when the comparison is between offenders may be released directly els suggest important considerations GL and TSP. to the community still suffering the for correctional program develop- ill effects of coerced programming” ers. It seems clear in hindsight that So what can explain our findings? rather than its intended therapeutic the GL developers failed to con- We would argue that the 30-month effects. In other words, the program sider several important principles of findings show low-risk individuals might just be too short for interven- effective correctional programming are the most amenable to the inten- ing with high-risk offenders. despite drawing from that literature.

14 | Reconsidering the Project Greenlight Intervention: Why Thinking About Risk Matters NIJ Journal / Issue No. 268 ■ October 2011

One of the most important failures We also note that our findings may immediately before release. Despite was to ignore participants’ risk lev- not be too disparate from other seg- the potential benefits of connecting els. Despite the notion that the most ments of the literature regarding offenders to local service provid- intensive interventions should be correctional interventions. At least ers, disrupting social networks and reserved for medium- and high-risk one meta-analytic review reports existing routines, and creating or individuals, a notion that is intuitively that results from evaluations of the heightening any number of negative and theoretically sound, our analysis R & R program show positive effects emotional states may be counterpro- suggests that some intensive inter- for both low- and high-risk offenders, ductive, especially if sufficient time ventions, especially those that are with slightly stronger effects for low- isn’t allotted to counteract the more compressed into a very short time risk offenders, although differences negative effects. At the very least, we frame, may not be suitable for such between the two groups are not think this explanation for the worse offenders. They simply may not be statistically significant.9 In this case, outcomes of the GL and TSP groups capable of processing large amounts the more condensed “intensive” compared with the group that was of material in such a compressed program might still have yielded posi- not transferred is plausible and that period of time. The structure of the tive effects for low-risk inmates, but these issues warrant a harder look. GL program seems to have been exceeded the tipping point for what much more suitable for the abilities is suitable for medium- and high-risk of those at lowest risk. The positive individuals. About the authors: James A. Wilson is performance of the low-risk group the senior program officer at the Russell also suggests that such condensed Our analysis also raises questions Sage Foundation. Christine Zozula is programming has potential for reha- about the wisdom of forced trans- a graduate student of sociology at the bilitative efforts with such individuals. fers and coerced programming University of Connecticut. NCJ 235890

Notes 1. Latessa, Edward J., “Improving the Programming,” NIJ Journal 257 (2006): 2-7. had at least 30 months at risk and we cen- Effectiveness of Correctional Programs Wilson, James A., and Robert C. Davis, sored all cases at 30 months. In doing so, Through Research,” Institute for “Good Intentions Meet Hard Realities: we essentially controlled for differences in Excellence in Justice Seminar (2008). An Evaluation of the Project Greenlight time at risk in the community that might http://www.drc.state.oh.us/web/iej_ Reentry Program,” Criminology and Public account for differences in rearrests. seminars.htm (accessed August 4, 2011). Policy 5 (2006): 303-338. 7. Porporino, Frank, and Elizabeth Fabiano, 2. Andrews, Don A., “Enhancing Adherence 5. Brown, Brenner, Robin Campbell, James Reasoning and Rehabilitation Revised: to Risk-Need-Responsivity: Making A. Wilson, Yury Cheryachukin, Robert C. Theory and Application, Ottawa, Ontario, Quality a Matter of Policy,” Criminology Davis, Jean Dauphinee, Robert Hope, Canada: T3 Associates (2000). and Public Policy 5 (2006): 595-602. and Kajal Gehi, Smoothing the Path 8. Wilson and Davis, “Good Intentions Cullen, Francis T., and Paul Gendreau, From Prison to Home, Final report to the Meet Hard Realities: An Evaluation of “Assessing Correctional Rehabilitation: National Institute of Justice, grant number the Project Greenlight Reentry Program,” Policy, Practice, and Prospects,” in 2002-RT-BX-1001, April 2006, NCJ 213714, Criminology and Public Policy 5 (2006): Policies, Processes, and Decisions of the available at https://www.ncjrs.gov/ 303-338. Criminal Justice System, vol. 3, ed. J. pdffiles1/nij/grants/213714.pdf. 9. Tong, L. S. Joy, and David P. Farrington, Horney, Washington, DC: U.S. Department 6. Simple percentages like this may be com- of Justice, 2000, NCJ 185530. “How Effective Is the ‘Reasoning and plicated by the differences in time spent Rehabilitation’ Programme in Reducing 3. Barnoski, Robert, Outcome Evaluation at risk in the community. If one group has Reoffending? A Meta-Analysis of of Washington State’s Research-Based more time at risk, it might have higher Evaluations in Four Countries,” Psychology, Programs for Juvenile Offenders, Olympia, percentages of rearrest. All participants Crime and Law 12 (2006): 3-24. WA: Washington State Institute for Public Policy, 2004. http://www.wsipp.wa.gov/ pub.asp?docid=04-01-1201 (accessed August 8, 2011). Lowenkamp, Christopher Learn more about Project Greenlight and its evaluation at http://www.nij. T., Edward J. Latessa, and Paula Smith, gov/journals/257/habilitation-or-harm.html. “Does Correctional Program Quality Really Matter? The Impact of Adhering to the Principles of Effective Intervention,” Criminology and Public Policy 5 (2006): Listen to Edward Latessa talk about evidence-based knowledge in 575-594. corrections: http://www.nij.gov/multimedia/presenter/ 4. Ritter, Nancy, “No Shortcuts to presenter-latessa. Successful Reentry: The Failings of Project Greenlight,” Corrections Today 94 (December 2006): 94-97. Read about cognitive-behavioral therapy at http://www.nij.gov/ Wilson, James A., “Habilitation or Harm: Project Greenlight and the journals/265/therapy.htm. Potential Consequences of Correctional

Reconsidering the Project Greenlight Intervention: Why Thinking About Risk Matters | 15 Strengthening NIJ: Mission, Science and Process by John H. Laub

NIJ endorses the basic principles laid out in the National Research Council’s evaluation of the Institute and has already started to implement policies and procedures that address many of the recommendations.

On June 20, 2011 — the first victim advocates. Indeed, one of the day of our annual conference ways that NIJ will meet its mission is O — the National Institute of through “translational criminology,” Justice (NIJ) released its response which was the theme of this year’s to recommendations made by the annual conference. (See sidebar, National Academy of Sciences’ What Is Translational Criminology?) National Research Council (“NRC report”). Our response serves as The NRC report, Strengthening the NIJ’s blueprint for ensuring that we National Institute of Justice, offered remain the nation’s leader in crime recommendations for NIJ’s contin- and justice research. ued improvement and growth. In its response, NIJ agreed with the I have been at NIJ’s helm since basic principles that underlie the July 2010, and during my brief ten- NRC recommendations: ure, I have tried to reinvigorate the Institute’s dual mission: to generate ■ Enhance independence and knowledge through research that is self-governance. scientifically rigorous and to dissemi- ■ Cultivate elements that are essen- nate that knowledge in ways that are tial for a science agency. useful to policymakers and practitioners, such as police, prosecutors, ■ Bolster the nation’s research infra- judges, correctional officials and structure.

16 NIJ Journal / Issue No. 268 ■ October 2011

■ Foster scientific integrity ledge base that is of the greatest and transparency. value to our key stakeholders in the We must focus on research and practitioner communi- ■ Achieve a culture of self- ties, to our federal partners, and building a cumulative assessment. to Congress. knowledge base that There is no doubt that NIJ must Independence and Governance develop an integrated, cutting-edge is of the greatest value to research agenda that brings together One of the issues that NRC explored the agency’s three bedrock sciences in its report is whether NIJ can main- our key stakeholders in — the social, forensic and physi- tain its independence as a science cal sciences. But achieving this will agency while residing within the the research and require a more visionary understand- Justice Department’s Office of ing of the issues that are going to Justice Programs (OJP). be most important in the future. NIJ practitioner communities, simply cannot fund research on every In our response, NIJ, without reser- public safety and justice issue that vation, affirmed the importance of to our federal partners, our country faces. Rather, we must securing and sustaining the indepen- focus on building a cumulative know- dence and authority necessary to and to Congress.

What Is Translational Criminology?

he theme of this year’s National Institute of Justice (NIJ) annual conference was “Translational TCriminology: Shaping Policy and Practice With Research.” The idea of translational criminology is simple, yet powerful: If we want to prevent, reduce and manage crime, we must be able to translate scientific discoveries into policy and practice. Indeed, this guiding principle lies at the heart of NIJ’s response to a number of the National Research Council’s recommendations. The goal of translational criminology is to break down barriers between basic and applied research by creating a dynamic interface between research and practice. This is a two-way street: In one direction, practitioners in the field describe challenges they face in their jobs every day; in the other direction, scientists discover new tools and ideas to overcome these challenges and evaluate their impact. However, translational criminology goes beyond the conventional “research- to-practice” idea. It does this through a systematic study of the process of knowledge dissemination, recognizing that successful dissemination of research findings may require multiple strategies. Successful dissemination also requires that the evidence is implemented correctly. In other words, it is not just about finding evidence that something works; it is figuring out why it works and how to implement the evidence in real-world settings. Moreover, this facet of translational criminology places a priority on applicability — that is, on research with the potential for real-world implementation, something that is especially attractive in an era of limited resources.

Strengthening NIJ: Mission, Science and Process | 17 NIJ Journal / Issue No. 268 ■ October 2011

In the meantime, NIJ is pursu- NIJ is also re-examining its peer NIJ is committed to ing important statutory and policy review process to ensure a level of changes in four areas: appropria- independence that reflects the best making investments tions and budget, grant-making and interests of science, including, where acquisitions, publication and dis- appropriate, departing from OJP poli- in the “infrastructure” semination, and functional support cies on peer review. of the criminal justice operations. We are currently drafting language to change NIJ’s governing Strengthening statute to: research community. the Science Mission ■ Establish qualifications for the NIJ The NRC report argues that a suc- Director’s science and research cessful research enterprise depends fulfill its mission. NIJ currently sup- experience. on a multi-year strategic plan that ports NRC’s recommendation that ■ Make the appointment of the establishes research priorities and the agency remain within OJP, but, NIJ Director a six-year term. articulates a path for developing a as we stated in our response, we body of cumulative knowledge. intend to revisit this position in a ■ Clarify “independence” in key few years if the independence and aspects of NIJ’s work, particularly Strategic planning should clearly authority that we require to be a commissioning research and describe how individual research premiere science agency is not publishing and disseminating programs are initiated, sustained forthcoming. research findings. and culminated, and should include the commitment of resources to make the plan work. A strategic plan for research should clearly convey the agency’s priority areas for fund- Death Investigation: A Guide for the ing and should have several essential components: generating knowl- Scene Investigator, Technical Update edge, building and sustaining the research infrastructure, supporting the adoption of research evidence in Death investigators are the eyes practice and policy, and disseminat- and ears of the forensic patholo- ing knowledge through innovative gist at the scene. NIJ has recently communication channels. updated the classic 1999 edition of Death Investigation: A Guide for To strengthen NIJ’s science mis- the Scene Investigator. sion, each division within NIJ’s Office of Research and Evaluation (ORE) is The technical update, released engaged in a planning process that in June 2011, reflects changes in focuses on high-priority research technology since the Guide was areas that the agency could pursue originally published, such as GPS over the next three to five years. To use and advances in technology support this effort, ORE has already for identifying decedents. convened topical working groups of leading experts on crime prevention ▼ Publication is currently available on NIJ.gov. Keyword: Death Scene. (Oct. 2010), gangs (Feb. 2011) and neighborhoods and crime (April 2011). Summaries of these meetings will be posted on our website, NIJ.gov.

After recent strategic planning sessions, NIJ’s Office of Investigative

18 | Strengthening NIJ: Mission, Science and Process NIJ Journal / Issue No. 268 ■ October 2011

and Forensic Sciences issued a sanctions for probation violations After its initial review of the subcom- basic research solicitation for fiscal and has shown promising decreases mittee’s composition, NIJ suggested year 2011 to supplement our applied in recidivism. the addition of three members to research program. We also added represent the physical and forensic ■ The Office for Victims of Crime “new investigator” qualifications to sciences. In a few years, we plan to and the Office on Violence Against encourage proposals from research- revisit the issue of whether or not Women, to examine issues sur- ers in the life and physical sciences, NIJ should have its own, separate rounding untested evidence in and incorporated a component to advisory board. sexual assaults. evaluate the effectiveness of training in the forensic sciences. NIJ’s Capacity-Building Programs The NRC report said that NIJ’s To further strengthen its science capacity-building programs — those mission, NIJ’s Office of Science NIJ’s online repository designed to increase the productivity and Technology has restructured of our nation’s public crime labora- the National Law Enforcement and of final research tories — are not consistent with a Corrections Technology Center science mission. Although the NRC (NLECTC) system to better align reports and its support specifically cites only the forensic it with NIJ’s physical and foren- capacity-building program, NIJ under- sic sciences programs. This was of the world’s largest stands that the critique also extends accomplished principally through to all of the agency’s technical assis- the establishment of competitively archive of computer- tance programs that operate through awarded technology centers of the NLECTC system. excellence (COEs), each of which readable social science is directly aligned with one or more Upon releasing its response to the of NIJ’s technology investment NRC recommendations, NIJ began portfolios, such as forensics, commu- data continue to be negotiations to transfer manage- nications and corrections technology. ment of the Paul Coverdell Forensic well-respected. Science Improvement Grants These are NIJ’s first steps — with Program to the Bureau of Justice more coming — to ensure that the Assistance. In the meantime, NIJ has NLECTC system better supports also begun a review of other capacity- NIJ’s science mission. ■ The Justice Department’s Access building activities in forensics and to Justice Initiative, to explore a technology; I expect that decisions Illustrations of Processes wide range of issues regarding on whether these programs should to Strengthen Science indigent defense. continue to be managed by NIJ will In an effort to strengthen science be made later this year. ■ The Office of Sex Offender across the Department of Justice Sentencing, Monitoring, and to avoid duplication, NIJ recently It is important to note that, beyond Apprehending, Registering, and launched partnerships with: the Coverdell program in particular, Tracking, to do research on sex the link between building a stron- offending. ■ The Bureau of Justice Statistics, ger science mission and managing

to explore mining police data for capacity-building programs is Another move to strengthen sci- statistical and research purposes, ambiguous. On the one hand, for ence in the agency concerns the an issue that is crucial to develop- example, if a science agency sup- new OJP-wide Science Advisory ing and evaluating innovative polic- ports capacity-building or technical Board (SAB). After its first meeting ing practices. assistance programs that have not in January 2011, the SAB created an been rigorously evaluated or are not ■ The Bureau of Justice Assistance, NIJ subcommittee, which will provide a part of ongoing research or evalu- to collaborate on a multi-site independent guidance as NIJ works ation, the agency’s commitment to field test of Hawaii Opportunity to strengthen its science mission. scientific principles and the integ- Probation with Enforcement The subcommittee will help prevent rity of its scientific processes may (HOPE), an innovative strategy duplication and encourage the pool- be called into question. An example that emphasizes “swift-and-sure” ing of resources and expertise.

Strengthening NIJ: Mission, Science and Process | 19 NIJ Journal / Issue No. 268 ■ October 2011

of this would be awarding capacity- and August 2011, NIJ hosted Jim the National Institutes of Health building funds to forensic laboratory Bueermann, who recently retired and other federal science agencies, practitioners who adopt practices or after serving as police chief for many the membership on the panels will policies that have not been evaluated years in Redlands, Calif., as its first be a matter of public record, which or are not the subject of an ongoing, Executive Fellow.1 increases transparency and safe- rigorous research or evaluation effort. guards against bias and conflicts of interest. (See “Improving NIJ’s However, there are synergies Peer Review Process: The Scientific between the Institute’s research and NIJ will continue to Review Panel Pilot Project,” page development mission and its capac- 22.) ity-building and technical assistance provide important social, programs. Having these programs The Institute is also taking steps to located in a single agency allows physical and forensic strengthen its data-archiving system, research to inform decisions about including the partial withholding of the expenditure of capacity-building science research grant funds to encourage submission funds more seamlessly through of final reports and other deliver- a scientific identification of the to help our stakeholders ables and adding a requirement that field’s most pressing needs and all grant applications include a data- the development of evidence- make the best decisions archiving strategy. based responses. The NRC report recommended that NIJ is currently examining all of the possible about criminal NIJ better measure the influence of ramifications of this issue and will lay its research on its stakeholders’ out a strategy in the near future. justice policies practices — determining how NIJ- and practices. funded research affects the nation’s Bolstering the police departments and crime laboratories, its corrections professionals Research Infrastructure and prosecutors and crime-victim Despite decreasing fiscal resources, NIJ’s online repository of final advocates, for example. I agree. NIJ is committed to making invest- research reports and its support And, because I believe that such ments in the “infrastructure” of the of the world’s largest archive of a culture of self-assessment begins criminal justice research community. computer-readable social science with a willingness to measure A few examples include fellowship data continue to be well-respected. return-on-investment in terms of grants, awards to young scholars, Archiving data and making them clearly established goals, NIJ is and the agency’s data archive and available to other scientists contrib- developing new processes for secondary data analysis program. ute to increased transparency and routine program reviews of each extending research to the field so of its research portfolios. NIJ plans to expand the Graduate that findings can be replicated. Research Fellowship program to In the end, however, it is important encompass a wider range of social, Enhancing Transparency and a to understand that NIJ’s current level of funding allows the agency to fulfill physical and forensic sciences and Culture of Self-Assessment to re-establish our outreach to grad- only a small portion of its congres- uate programs at colleges and Increasing scientific integrity and sionally mandated mission. Funding universities, including a focus on the transparency of operations is an realities have, in essence, led to the minority students and Historically ongoing challenge for any science sacrifice of long-term, cumulative Black Colleges and Universities. agency. In June, NIJ announced the knowledge-building in the interest And I’m excited to report that NIJ’s inauguration of standing peer review of a broad “buffet” of research and Visiting Fellows program will now panels. These panels (with rolling, other projects. NIJ aspires to the include short-term residencies for multi-year appointments of review- model envisioned by NRC for a more senior criminal justice practitioners ers) will provide a stronger review ambitious agency, but we, like every and policymakers, and the possibil- of grant proposals, including greater other public-sector agency, must ity of shared fellowships with other consistency of solicitation reviews be mindful of our fiscal reality — federal science agencies. In July over successive years. And, as at a reality in which funding for

20 | Strengthening NIJ: Mission, Science and Process NIJ Journal / Issue No. 268 ■ October 2011

criminal justice research fails to match the widespread and persis- Read NIJ’s response to NRC’s recommendations at http://ncjrs.gov/ tent challenges of preventing crime, pdffiles1/nij/234630.pdf. managing offenders and enhancing justice. That said, NIJ will continue Visit NIJ’s repository of final research reports and other publications at http://www.ncjrs.gov. to provide important social, physical and forensic science research to help Visit the data archive at http://www.icpsr.umich.edu. our stakeholders make the best decisions possible about criminal justice policies and practices. Note 1. Visiting fellows who received funding from the fiscal year 2011 solicitation were not announced as this issue goes About the author: John H. Laub is to press. Check the Funding pages at NIJ.gov for the lists the Director of the National Institute of awards. of Justice. NCJ 235891

NamUs Receives Public Service Award

The National Missing and Honorees are recognized for con- ▼ To learn more about NamUs, visit Unidentified Persons System tributions that improve the health, http://www.namus.gov. (NamUs) team was awarded a safety and well-being of Americans.

2011 Samuel J. Heyman Service ▼ For additional information about Launched in 2009, NamUs is an the Samuel J. Heyman Service to America Medal (“Sammie”) online repository for missing persons to America Medals, go to http:// by the nonprofit and nonpartisan and unidentified decedent records. It servicetoamericamedals.org/ Partnership for Public Service. offers searchable databases to medi- SAM/index.shtml. NamUs received the award in the cal examiners, coroners, law enforce- Justice and Law Enforcement ▼ Read about how NamUs has ment officials and the general public. category. helped agencies solve cases at NamUs is funded by NIJ and http://www.nij.gov/journals/264/ The Partnership for Public Service solving.htm. operated by the National Forensic presents Sammies annually to Science Technology Center. America's devoted federal work- ers to honor their commitment and innovation, as well as the impact of their work on addressing the needs of the nation. NamUs

Strengthening NIJ: Mission, Science and Process | 21 Improving NIJ’s Peer Review Process: The Scientific Review Panel Pilot Project by Thomas E. Feucht and Phyllis Newton

NIJ is piloting a new grant application peer review process with standing panels designed to improve the consistency, fairness and transparency of peer review at the Institute.

wo key events in the “life put in place more rigorous processes course” of the National Institute and policies related to research. T of Justice occurred in 2010. In Perhaps no operational issue drew June, the National Research Council more attention than the peer review (NRC) released its evaluation of NIJ, of applications for research grant Strengthening the National Institute awards. Citing serious concerns of Justice; and in July, John Laub about NIJ’s current peer review became the Director of NIJ — the processes, NRC’s evaluation called first NIJ director to have a Ph.D. in for significant improvements in criminal justice. how peer review is conducted in order to safeguard the science and The release of the evaluation and to ensure a fair, transparent and Laub’s appointment put NIJ in a competitive process for making good position to reinvigorate its sci- research grants. ence mission, one of NRC’s core recommendations.1 Peer review lies at the heart of grantmaking. It guarantees an NRC noted the need for NIJ to do independent assessment of the a better job in its research program scientific merit of the proposed development and planning and to research. Rigorous, fair and

22 NIJ Journal / Issue No. 268 ■ October 2011

transparent reviews by external ■ Forensics (two panels) Steps in the Review Process scientific reviewers help ensure that ■ Science and technology the competitive grant process works NIJ’s grant application review pro- as it should, that the best science cess can be summarized into four Each panel will consist of 12 scien- gets funded, and that standards of major steps. The members of NIJ’s tists and six practitioners. Scientific scientific excellence are consistently pilot Scientific Review Panels will be members will serve for overlapping applied to all grant applications. involved in two of the four steps: three-year terms to provide conti- nuity, consistency and experience. Step 1. NIJ staff will verify that appli- Peer Review in the Past at NIJ Practitioner members will serve cations meet the basic minimum one-year terms. The panelists, rec- For more than two decades, NIJ’s requirements (BMR) as stated in the ognized authorities in their field, will peer review process involved assem- solicitation. BMR verification is con- be nominated by other research- bling small committees (usually ducted to ensure that the documents ers and practitioners. Final selection three or four reviewers) for each necessary for effective scientific will be made by the appropriate NIJ review cycle — a typical way to con- review are included in the application. Office director. The names of the duct anonymous peer reviews. But As a rule, an application that includes panelists will be posted following the because the panels were selected a program narrative, a budget narra- announcement of grant awards on anew each year, problems could tive, a budget detail worksheet and NIJ.gov. arise with consistency from one year curriculum vitae for key personnel to the next. Applicants who were will meet BMR. offered an opportunity to revise and resubmit, for example, had their Rigorous, fair and Step 2. Each application will be read applications reviewed the second by three members of a Scientific time by a completely different panel. transparent reviews Review Panel (the lead and two In addition, assembling a committee co-leads) who will assess the appli- could be challenging when deadlines by external scientific cation’s technical merit and write were short. narratives of their reviews. They will reviewers help ensure give each application a reponse of The NRC’s evaluation characterized “forward to the full panel” or “do NIJ’s peer review as “very weak,” that the competitive not forward to the full panel” based and urged the Institute to look to on scientific merit, including such other science agencies, like the grant process works factors as statement of problem, National Science Foundation and the project design and implementation, National Institutes of Health, for good capabilities/competencies, budget, peer review models. as it should. impact/outcomes and evaluation, and dissemination strategies. NIJ took the recommendation to heart and has begun a pilot program Step 3. All 18 members of a to strengthen its review processes. NIJ anticipates the need to include Scientific Review Panel will have ad hoc panelists who can review the opportunity to review every applications that require special- application and participate in the con- Peer Review in the ized expertise. Some solicitations, sensus review. Panels will meet for Future at NIJ for example, are likely to generate two or three days once a year, during proposals for research in narrowly the same week every year. For each Starting in the review cycle for fiscal defined areas of study, such as some forwarded application, the lead and year 2012, NIJ will establish a total of engineering and biological sciences. co-lead reviewers will give a brief five Scientific Review Panels in the In such cases, NIJ will invite ad hoc overview, present their scores, out- following topic categories: members with applicable expertise line the strengths and weaknesses, to serve on the Scientific Review and lead the discussion. Following ■ Criminal justice systems Panels. In most cases, ad hoc the discussion, each panelist will ■ Violence and victimization members will serve for a single score the applications using a writ- review cycle. ten ballot.

Improving NIJ’s Peer Review Process: The Scientific Review Panel Pilot Project | 23 NIJ Journal / Issue No. 268 ■ October 2011

Step 4. NIJ staff will receive and review the scores and narrative writ- Avoiding Conflicts of Interest ten by the lead and co-leads. The staff will then make recommendations to the Director, who will make o ensure that reviews of applications for grants are fair and unbi- final decisions based on the scores Tased, both NIJ staff and members of the Scientific Review Panel as judged by the reviewers, how the must give written assurance that their reviews are free of real or per- proposed projects fit into NIJ’s priori- ceived conflicts of interest. NIJ staff and members of review panels ties and research agendas, and the must declare real or potential conflicts of interest that may arise with availability of funding. respect to specific applications. They will then be recused from discussions associated with those applications. Scoring the Applications At the meeting of the full panel, each panelist will have an opportunity to discuss the application and the lead To ensure transparency of the review step toward ensuring that NIJ’s and co-leads’ narrative before giving process and to aid applicants in precious research resources are the application an overall score for developing effective applications, invested in only the best research quality. applicants will receive their final proposals and that each proposal scores and written technical reviews. submitted to NIJ receives a fair Scores will be based on a 5-point and scientifically sound review. scale from 5 (excellent) to 0 As Director Laub stated in his (poor), in which intermediate values response to the NRC report, “At the are treated as equal intervals on core of a strong science agency is About the authors: Thomas E. Feucht is the scale. a rigorous and fair peer review pro- NIJ’s Executive Senior Science Advisor. cess. All grants, for instance, must Phyllis Newton is the Director of NIJ’s be awarded as the result of a fair, Office of Research and Evaluation. Score Adjectival open, and competitive peer review NCJ 235892 Range Equivalent process.” NIJ’s new Scientific Review Panels are an important 4.5 to 5.0 Excellent 3.5 to 4.0 Good 2.5 to 3.0 Acceptable 1.5 to 2.0 Minimally Acceptable 0 to 1.0 Poor

Notes For more information: The Scientific Review Panel’s over- 1. Visit the Director’s Corner on ■ Contact Thomas Feucht, Executive all score for each application will be a NIJ.gov. Read John Laub’s vision consensus. The panel therefore must for NIJ in which he emphasizes Senior Science Advisor, thomas. resolve disparities that arise among the need for NIJ to respond fully to [email protected], 202-307-2949. the findings and recommendations reviewers’ overall scores. If a differ- ■ Learn how to nominate a panelist at ence of opinion remains, a minority of the National Research Council’s evaluation of NIJ, http://www.nij.gov/ http://www.nij.gov/funding/reviews/ report will be written and submitted about/director/strengthening-nij.htm. scientific-review-panels.htm. to NIJ.

24 | Improving NIJ’s Peer Review Process: The Scientific Review Panel Pilot Project NIJ Journal / Issue No. 268 ■ October 2011

The Fingerprint Sourcebook

The Fingerprint Sourcebook, a ■ Preservation and Documentation comprehensive examination of the science behind fingerprint identi- ■ Equipment and Laboratory fication, is quickly becoming the Quality Assurance definitive fingerprint resource. ■ Perceptual, Cognitive and Created by NIJ in cooperation with Psychological Factors in Expert the International Association for Identifications Identification (IAI), The Fingerprint Advancing forensic disciplines Sourcebook consists of 15 chap- through quantification and educa- ters covering a wide range of tion are top priorities for both topics including: NIJ and the IAI, a professional ■ Anatomy and Physiology of organization founded in 1915 Adult Friction-Ridge Skin with more than 6,000 members in the United States and abroad. ■ Techniques for Recording Exemplars From Both Living More than 50 law enforcement and Deceased Subjects and forensic experts worldwide contributed to The Fingerprint ■ The FBI’s Automated Fingerprint Sourcebook. Identification System

▼ Publication available in PDF form ■ Latent Print Development at NIJ.gov. Keyword: Fingerprint.

| 25 Beyond the Prison Bubble by Joan Petersilia

For decades, America’s chief answer to crime has been to put more criminals behind bars for longer. That expensive strategy is yielding diminishing returns. It’s time for a closer look at ways of helping ex-offenders steer away from crime.

he announcement last summer hubbub: The population of the that the number of Americans nation’s state prisons, which house Tbehind bars had increased for all but a relative handful of convicted the 37th consecutive year in 2009 felons, decreased by nearly 3,000. provoked a fresh round of grim Although the drop was slight in per- editorializing and national soul- centage terms, it was the first since searching. With its prisons and jails 1972. (State prisons held 1.4 mil- now holding more than 2.4 million lion inmates at the end of 2009 and inmates — roughly one in every 100 federal prisons more than 200,000, adults — the United States has the while the number held in local jails, highest incarceration rate of any free mostly for minor crimes, averaged nation. As a proportion of its popula- about 770,000 over the course of tion, the United States incarcerates the year, and the majority had yet to five times more people than Britain, face trial.) In California, which has the nine times more than Germany, nation’s largest state prison system, and 12 times more than Japan. with nearly 170,000 men and women “No other rich country is nearly as behind bars, the prison population punitive as the Land of the Free,” fell for the first time in 38 years. The Economist has declared. The national prison population — including those held in federal But a highly significant fact went facilities — grew by less than one largely unremarked amid the percent, the slowest rate in the last

26 NIJ Journal / Issue No. 268 ■ October 2011

decade. These changes mean it is form of racial and social domination services, including transportation, very likely that we are seeing the — “the new Jim Crow,” as Michelle higher education, and public beginning of the end of America’s Alexander, a law professor at Ohio assistance. long commitment to what some State University, put it in the title of critics call “mass incarceration.” her recent book. California, where I was involved in the corrections system in vari- If that shift does occur, it will not But virtually all those who study the ous capacities under reform-minded be because the United States has matter now agree that imprisonment governor Arnold Schwarzenegger, solved its crime problem. In fact, has reached often counterproduc- pours 10 percent of its massive state if there were a close correlation tive levels, particularly in the case of budget into correctional facilities. between crime rates and incarcera- drug possession and other nonviolent Between 1985 and 2005, it built 21 tion, the prisons would have begun crimes. The prominent conserva- new prisons — more than one a year. emptying out in the late 1990s, when tive scholar James Q. Wilson, whose The state’s prison population surged, crime in most of its forms began to book Thinking About Crime (1975) and so did costs: The state spent decrease. nearly $10 billion on corrections last year, or about $50,000 per prisoner. How did we get here? Soaring crime It is very likely that (The national average is $23,000.) rates, especially in the inner cities, Now that California is grappling are the most obvious part of the we are seeing the with a budget crisis, it is clear that explanation. From 1960 to 1990, it cannot continue on this course. the overall U.S. crime rate increased beginning of the end The evidence for the rest of the more than fivefold, the frequency of country may be less dramatic, but violent crime nearly quadrupled, and of America’s long it is no less clear. the murder rate doubled. Drug use increased. The upsurge was widely commitment to what These vast sums are not buying as blamed on lenient punishment, par- much as many people think. Mass ticularly for violent repeat offenders. some critics call imprisonment has helped reduce Legislatures responded by passing crime rates, but most specialists “get tough” measures, including sen- “mass incarceration.” agree that the effects have been tencing guidelines (which required considerably smaller than propo- prison sentences for some offend- nents claim and that we are now well ers who in the past might have been set the national crime control agenda past the point of diminishing returns. put on probation), so-called three- during the 1980s, recently wrote, Confinement behind bars accounted strikes-and-you’re-out laws (which “This country imprisons too many for at most about a quarter of the mandated prison terms for repeat people on drug charges with lit- substantial decline in crime that offenders), mandatory minimum sen- tle observable effect.” In my travels occurred during the 1990s (mainly, tences (forcing judges to impose around the country I have conducted most researchers believe, by pre- fixed sentences regardless of mitigat- an unscientific survey of prison venting imprisoned offenders from ing factors), and truth-in-sentencing administrators, and nearly all of them committing fresh crimes against the measures (requiring inmates to serve say that 10 to 15 percent of their general public rather than by promot- a greater proportion of their imposed inmates could be safely released. ing a deterrent effect). sentence before becoming eligible for parole). These policy changes What we are seeing today is a grow- More important, that decline may increased both the probability of ing recognition that our approach well be reversed if we don’t do a going to prison if convicted and the to dealing with convicted criminals better job of planning for the reentry length of prison terms. is simply too costly. Not only is the of prisoners who have finished their price too high, but the benefits are sentences. There is a very simple Many liberal critics, pointing out too low. The states now spend an and immutable “iron law of imprison- that two-thirds of those imprisoned estimated $50 billion on corrections ment”: Almost everyone who goes in federal and state facilities are annually, and the growth of these to prison ultimately returns home — African Americans and Hispanics, outlays over the past 20 years has about 93 percent of all offenders. contended that “mass incarcera- outpaced budget increases for (A relative handful die in jail; the tion” is little more than a reworked nearly all other essential government rest have life sentences or are on

Beyond the Prison Bubble | 27 NIJ Journal / Issue No. 268 ■ October 2011

Who’s in Prison, and For What?

rug offenders now account Public-order for about 20 percent of all Offenses* Murder and D Manslaughter state prison inmates, up from only 6 percent in 1980. The average prisoner serves 2.5 years. Rape About 38 percent are African- American and 20 percent are Drug Offenses Other Sexual Hispanic. About two-thirds lack a Assault high school diploma or possess only a GED. Women are still a small minority (seven percent) of those behind bars but their num- Other Robbery bers have grown rapidly. Fraud Source: U.S. Bureau of Justice Car Theft/ Statistics Property Crime Burglary Assault Larceny *Includes drunk driving, vice, weapons, and other offenses.

Other Violent Crime

are expected to be released within a greater disadvantage (and more Offenders leaving the year. This year, some 750,000 primed for trouble) than his prede- prison now are more men and women will go home. Many cessors did. Yet fewer participate in — if not most — will be no better prison rehabilitation and work pro- likely to have fairly long equipped to make successful, law- grams than a decade ago. When I abiding lives for themselves than was cochair of California’s Expert criminal records, lengthy they were before they landed Panel on Rehabilitation in 2007, the in prison. panel found that California spent less histories of alcohol and than $3,000 per year, per inmate, on Today’s offenders are different rehabilitation programs, and that 50 drug abuse, significant from those of the past. They are percent of all prisoners released the still overwhelmingly male (though year before had not participated in a periods of unemployment the female proportion of the pop- single program. ulation has climbed to 9 percent), and homelessness, African American or Hispanic, and Even as the states were cutting unskilled. But the offenders leaving back in-house prison programs most and a physical or prison now are more likely to have severely, in the decade from 1985 mental disability. fairly long criminal records, lengthy to 1995, Congress and state legisla- histories of alcohol and drug abuse, tures were passing dozens of laws significant periods of unemployment closing off many job opportunities death row.) Although the average and homelessness, and a physical or to ex-offenders and restricting their offender now spends 2.5 years mental disability. Their records are access to welfare benefits and hous- behind bars, many terms are shorter, more likely to include gang activities ing subsidies. Former inmates are with the result that 44 percent of all and drug dealing. In short, the aver- now commonly barred from working those now housed in state prisons age offender today leaves prison at in some of the economy’s fastest-

28 | Beyond the Prison Bubble NIJ Journal / Issue No. 268 ■ October 2011

growing fields, including education, Budget cutters may rejoice at the is that after decades of false starts, childcare, private security, and nurs- chance to gut corrections budgets, researchers have finally begun to ing and home health care. Such legal and liberal critics of “mass incarcer- zero in on the things that can make barriers sometimes protect us from ation” may celebrate any policy that a difference in at least some cases. dangerous felons, but they also make brings prison populations down, but The news was good enough to help it hard for men and women who it will prove hugely counterproduc- persuade the conservative Bush want to go straight to get their feet tive if we act without giving serious administration to push through the on the ground. thought to how we will deal with $330 million Second Chance Act in the offenders who are released. 2007, giving government agencies It should not come as a surprise to Until recently, for example, Kansas and nonprofits the tools to get some learn that we have a corrections sys- of these efforts off the ground. The tem that does not correct. The U.S. money was to be doled out over Bureau of Justice Statistics reports time. The bad news is that amid that two-thirds of released prisoners To avoid throwing away today’s intensified financial strains, are rearrested for at least one serious Congress may be reluctant to con- new crime, and more than half are much of the progress tinue funding this effort to enhance re-incarcerated within three years of prisoner reentry programs. release. The two-thirds rearrest rate we have made in has remained virtually unchanged Rehabilitation programs reduce since the first recidivism study was reducing crime, it is more recidivism if they incorporate proven conducted more than 40 years ago. imperative than ever that principles and are targeted to Former prisoners account for an esti- specific offenders. Research dem- mated 15 to 20 percent of all arrests we pursue alternatives onstrates that offenders who earn among adults. That means that a high school equivalency diploma thousands of Americans are being to prison and new ways while behind bars are more likely to victimized every year by criminals get jobs after release. Those who who have already done time without to ease inmates’ reentry receive vocational skills training are experiencing “correction.” more likely to get jobs and higher into civilian life. wages after release. And those who At the same time, we are beginning go through intensive drug treat- to recognize that our overreliance ment programs in prison are less on locking people up has an espe- was a model of forward-thinking likely to relapse outside of it. If we cially malign effect on poor urban prison policy. In 2007 the state leg- could implement effective programs, neighborhoods, where up to 20 per- islature funded a range of programs we could expect to reduce recidi- cent of the adult male population — involving education, drug treat- vism by 15 to 20 percent. To put it may be behind bars at any given ment, and subsidized housing — to in concrete terms: About 495,000 time. Not only do the men come help former inmates reintegrate. of the 750,000 prisoners who will home with diminished prospects The approach appeared to work: be released this year are likely to be that hurt the whole community, but The number of ex-offenders return- rearrested within three years. With as criminologist Todd Clear shows ing to prison dropped by 16 percent effective programs, we could reduce in Imprisoning Communities (2007), between 2007 and 2009. But then the number of repeat offenders by their absence weakens the family came the economic crisis and cut- nearly 100,000. We could do even and social networks they need when backs. According to state legislator better if these efforts were linked to they come home and hurts those Pat Colloton, recidivism rates quickly improved services in the community left behind. It is no accident that the spiked. Kansas is back where it was upon release. Such efforts would pay sons and brothers of men who go to in 2007. for themselves by reducing future prison are more likely to follow the criminal justice and corrections costs. same path. These trends help cause To avoid throwing away much of the Economist Mark A. Cohen and crim- crime rather than prevent it. progress we have made in reducing inologist Alex Piquero found in a crime, it is more imperative than ever recent study that a high-risk youth Prison is where some people belong, that we pursue alternatives to prison who becomes a chronic offender many for long periods of time. But and new ways to ease inmates’ reen- costs society between $4.2 and $7.2 we need policies that do not produce try into civilian life. The good news million, principally in police and court more crime in the long run.

Beyond the Prison Bubble | 29 NIJ Journal / Issue No. 268 ■ October 2011

outlays, property losses, and medical lated court conditions by using drugs, technique, focusing on individual care. You either pay now or pay later for example, were identified more cases. Called the risk-need- — and you pay a lot more later. quickly and sent into custody. responsivity (RNR) model, it uses risk assessment tools to size up each Advocates of rehabilitation constantly Within a decade, ISPs went from person and match him or her to the struggle against the widespread being “the future of American cor- right program. The treatment efforts view that “nothing works.” In part, rections,” as one probation officer are behavioral in nature (with rewards this view grows out of an experience enthused in The Washington Post and punishments) and geared to that began in the 1980s, when hor- in 1985, to what seemed to be a place the sharpest focus on higher- rendous prison crowding in southern failed social experiment. Most of risk offenders. There is a heavy prisons, economic woes, and court emphasis on cognitive behavioral rulings spurred some unusual experi- and “social learning” techniques ments. When federal courts ordered Offenders who — ranging from anger manage- states either to build new facilities ment training to sessions devoted to or find some other way to punish participated in drug weaning offenders away from their offenders, the states began experi- negative and antisocial attitudes. All menting with alternative sanctions. or alcohol treatment, of these efforts use peers and family Georgia, for example, developed an members to reinforce their mes- intensive supervision program (ISP) community service, sages. And, as several studies show, for probationers that yielded some they work. Criminologist Edward evidence that it reduced recidivism and employment J. Latessa of the University of rates — and also appeared to save Cincinnati studied the results of RNR the state the cost of building two programs had recidivism efforts in Ohio’s 38 halfway house new prisons. By the mid-1990s, vir- programs and found that they cut tually every state had passed some rates 10 to 20 percent the recidivism of high-risk offenders kind of legislation for intermediate by as much as 20 percent. Several sanctions. below those of states, including Maine, Illinois, and Oregon, are now using the RNR Probation and parole departments nonparticipating model. across the country implemented a variety of ISP programs, including offenders. Community partnerships are another boot camps, intensive supervision, approach that hold great promise. day reporting centers, and elec- An excellent example is the Boston tronic monitoring. The hope was the programs were dismantled by the Reentry Initiative (BRI), a city inter- that some offenders who normally late 1990s. Some advocates of the agency program that brings together would have been bound for prison prison buildup pronounced that alter- law enforcement, social service could be “diverted” from expensive natives to prison had been tried and agencies, and religious institutions prison cells to intensive community did not work. But the RAND study to start working with inmates while programs that could keep a closer found that in places where efforts they are still incarcerated. On the day watch on them and offer more sup- were actually implemented accord- the prison doors swing open, a fam- port services. Other offenders could ing to the original design, they were ily member or mentor is on hand to be released early into community rather effective. Offenders who par- meet each released prisoner, and programs. But as I discovered as ticipated in drug or alcohol treatment, social service agencies are prepared codirector of the RAND Corporation’s community service, and employment to begin working to help the for- national evaluation of ISPs in the programs had recidivism rates 10 to mer inmate get a fresh start. The early 1990s, despite all the good 20 percent below those of nonpartici- BRI focuses only on the highest-risk intentions, most of the ISP dollars pating offenders. offenders leaving prison. They are wound up being used to fund more offered opportunities for work and drug testing, parole agent contacts, Today, we have even more refined treatment, but for those who fail to and electronic monitoring rather than knowledge of what works. The take advantage of them and slip back enhanced social services. The main most popular approach involves into crime, the program calls for swift result was that offenders who vio- using something akin to a medical arrest and fast-track prosecution. In a

30 | Beyond the Prison Bubble NIJ Journal / Issue No. 268 ■ October 2011

sense, the BRI is the ISP experiment have committed crimes in the past change. Effective rehabilitation and all over again — but this time backed from doing so again. reentry programs that help offenders with treatment resources, mentor- go home to stay are good for them, ship, and community collaboration. That is not to say that criminality is a and good for the rest of us, too. The results have been impressive. problem that can always be solved. Harvard researchers found that par- People go to prison for a reason, ticipants had a rearrest rate 30 and in many cases there is very lit- About the author: Joan Petersilia is the percent lower than that of a matched tle or nothing that anyone can do to Adelbert H. Sweet Professor of Law at comparison group. change the choices they will make in Stanford University and co-director of the future. Rehabilitation programs the Stanford Criminal Justice Center. It is no longer justifiable to say that are not for every prisoner, and we This article was originally published in nothing works. There is scientific should not waste money on those The Wilson Quarterly, Winter 2011. evidence that prison and parole pro- who lack motivation. But it would be NCJ 235893 grams can reduce recidivism. It is not foolish not to help those who wish to easy and it is not inexpensive, but it is possible. To retreat now would be to pull the rug out from under hundreds of programs that are con- Watch an interview of Edward Latessa on key principles of reducing tributing to the decades-long war recidivism: http://nij.ncjrs.gov/multimedia/video-latessa.htm. against crime, which, whatever its shortcomings, has been one of the nation’s great success stories, vastly Listen to Edward Latessa discuss lessons learned and examples of improving the lives of ordinary citi- states that are trying to use evidence-based knowledge to improve zens and the vitality of cities. One of correctional programs and watch his presentation: http://www.nij.gov/ the surest ways we know to keep nij/multimedia/presenter/presenter-latessa. crime down is to prevent those who

Anniversary of 9/11

NIJ has compiled a collection of research and evaluation accomplishments related to the tragedy of 9/11. The items in the collection fall into several categories related to NIJ’s three bedrock sciences: forensic science, social science, and physical science and technology.

■ DNA identification in mass disasters ■ Improving the criminal justice response to terrorism ■ Assessing potential high-risk targets ■ Terrorist links to other crimes ■ Terrorism’s organization, structure and culture ■ Barriers to interagency coordination when responding to terrorist threats and incidents ■ Analyzing terrorism databases

In addition, this year’s annual NIJ Conference featured a special plenary session: “The 10-Year Anniversary of 9/11: Advances in Science From Tragedy.” Panelists discussed how the event affected and changed the focus of their science.

▼ Read more at NIJ.gov. Keyword: 9/11.

Beyond the Prison Bubble | 31 Final Findings From the Expert Panel on the Safety of Conducted Energy Devices by Brian Higgins

In its final report, an expert panel of medical professionals concludes that the use of conducted energy devices by police officers on healthy adults does not present a high risk of death or serious injury.

oday, more than 12,000 law and creates less risk of injury — to enforcement agencies in the officers and suspects alike — than TUnited States use conducted other options of subduing uncooper- energy devices (CEDs) as an alterna- ative persons. tive to conventional physical control tactics or other means of subdual. In addition to investigating the An NIJ-sponsored expert panel, effects of CEDs, the panel issued convened to evaluate the safety recommendations for their use. and effectiveness of CEDs, issued Among these were to apply CEDs its final report in May 2011. The for no longer than 15 seconds at a panel concluded that law enforce- time and to limit the number of dis- ment officers need not refrain from charges to the fewest needed to using CEDs to place uncooperative control the suspect. The panel also and combative subjects in custody said that, regardless of how long provided that the CEDs are used in the CED exposure lasts, some form accordance with accepted national of medical screening and ongoing guidelines and an appropriate use-of- observation of individuals exposed force policy. In its report, the panel to CEDs is crucial. Screening should concluded that field use of CEDs is start at the scene and individuals safe in the vast majority of cases should continue to be monitored in

32 NIJ Journal / Issue No. 268 ■ October 2011

The panel concluded custody for abnormal physical and The panel concluded that, in general, behavioral changes. that, in general, the the stress of receiving a CED discharge is comparable to the stress CEDs, such as Tasers, generate stress of receiving a CED from otherwise being physically 50,000 volts of electricity. The restrained or subdued. Verbal alter- electricity stuns and temporar- discharge is comparable cation, physical struggle and physical ily incapacitates people by causing restraint all generate stress that may involuntary muscle contractions. to the stress from other- heighten the risk of sudden death in This makes people easier to arrest individuals who have a pre-existing or subdue. Widespread police adop- wise being physically cardiac condition or certain other tion of CEDs has been driven by two diseases. major beliefs: that CEDs facilitate restrained or subdued. arrests when suspects actively resist Unlike the risk of secondary injury and that they are safer than other (e.g., injuries due to falling as a result use-of-force options. Independent In the vast majority of these cases, of CED exposure, discussed below), researchers studying law enforce- the original medicolegal investiga- the risk of death directly or primar- ment agencies that deploy CEDs tions concluded that CED exposure ily due to the electrical effects of have concluded that, when used was not the cause of death. The CED application has not been conclu- appropriately by properly trained panel conducted in-depth reviews sively demonstrated. The literature officers, CEDs have reduced injuries of 22 of those 300 cases and suggests a substantial safety mar- to officers and suspects in use-of- reviewed approximately 175 peer- gin with respect to the use of CEDs force encounters and reduced use reviewed articles on the physiological when they are used according to the of deadly force.1 effects of CEDs. The panel’s report manufacturer’s instructions. The pos- provides findings concerning death sibility that the effects of a CED can Nonetheless, a number of individ- investigation, CED use, CED-related be directly lethal in some cases, how- uals have died after exposure to a health effects and medical response ever, cannot be excluded — though CED. Some were healthy adults; to the use of CEDs. The panel deter- not conclusively demonstrated, plau- many were chemically intoxicated or mined that there is no conclusive sible mechanisms of injury exist. had some underlying medical condi- medical evidence in the current body There are anecdotal cases in which tion. These deaths have caused law of research literature that indicates a no other significant risk factor for enforcement personnel and the pub- high risk of serious injury or death death is known and the timing of lic to ask questions about the safety to humans from the direct or indirect death provides circumstantial evi- of CEDs. cardiovascular or metabolic effects dence that the CED’s application was of short-term CED exposure in the cause of death. As such, there To answer these questions, NIJ, healthy, non-stressed, non- remains at least a theoretical possibil- in cooperation with the College of intoxicated persons. ity that in rare cases, CED application American Pathologists, the Centers could be directly or primarily respon- for Disease Control and Prevention, Field experience with CED use indi- sible for death due to a confluence of and the National Association of cates that short-term exposure is unlikely circumstances. Medical Examiners, conducted a safe in the vast majority of cases. study to address whether CEDs can According to the final report, the The report states that the risk of sig- contribute to or be the primary cause risk of death in a CED-related use- nificant injury from CEDs is also low of death and, if so, how. of-force incident in the general (0.5-0.7 percent). Significant injuries population is less than 0.25 percent associated with CED use docu- To support the study, an expert medi- (one in 400). The report notes that, mented in the studies reviewed by cal panel was formed, composed of based on the panel’s review and the panel included puncture wounds forensic pathologists, medical exam- confirmation of the findings of the from CED darts (including wounds to iners and specialists in cardiology, original death investigations of 300 the eye, throat and skull resulting in emergency medicine, epidemiology deaths following CED exposure, it is loss of vision, unconsciousness and and toxicology. The panel reviewed reasonable to conclude that CEDs do seizures requiring medical care) and 300 subdual cases in which a CED not cause or contribute to death in falls related to muscular incapacita- was used and later the person died. the large majority of cases. tion or intense muscle contraction.

Final Findings From the Expert Panel on the Safety of Conducted Energy Devices | 33 NIJ Journal / Issue No. 268 ■ October 2011

How CEDs Work

ost conducted-energy electrons traveling along a wire, then probes (sometimes called darts) at Mdevices (CEDs) carried by voltage is the pressure it takes to a target, imbedding themselves in law enforcement officers in the push water through the pipe, while the target’s skin or clothing. Unlike U.S. can operate in two modes: current is the rate at which the water in drive-stun mode, the probes are a drive-stun mode and a probe flows. Electrical outlets have a high, not directly next to one another mode. In both modes, CEDs work continuous current — after all, we and the electrical current is spread by sending energy down two expect them to supply us with a out across more tissue. When the electrical contacts. If the contacts high, steady stream of energy so our trigger is pulled, electricity travels are touching an object, a conduit, lights, appliances and electronics along thin wires attached to the the electricity will flow from one work without interruption. probes. In addition to causing pain, contact to the other through that the electrical current interferes CEDs, on the other hand, have a low, object, closing the circuit. with the target’s neuromuscular pulsed current. After the probes are system. The interference causes An open circuit (when there is no attached to skin or clothing, the trig- involuntary muscle contractions, conduit) on a CED can generate ger activates a five-second series temporarily incapacitating the tar- up to 50,000 volts (the peak open of low-current pulses. It may, for get and making him or her easier circuit arcing voltage). When the example, activate 19 low-current to arrest or subdue. circuit is closed, such as when the pulses per second that last for 30 probes are embedded in some- microseconds (30 millionths of a In drive-stun mode, when a one’s torso, a CED may produce second) each. It should be noted CED’s contacts are applied directly approximately 5,000 volts (the that some versions of CEDs in use to a target, CEDs do not have the amount will depend on the model). can deliver multiple discharges if the same incapacitating effect that For comparison, the standard U.S. trigger is pressed again after the first they usually do in probe mode. wall outlet generates 120 volts. It cycle or prolonged and uninterrupted Because the electrical contacts is, of course, extremely danger- discharges if the trigger is held down are closer together, they do not ous to receive a shock from a wall continuously. engage or electrically excite as outlet. So, how is it possible for much tissue and, consequently, CEDs will have different effects on a human body to safely receive do not temporarily interfere with people depending on which mode 5,000 volts from a CED? a person’s neuromuscular system. they are in and officers may use They do, however, cause pain, To answer that question, we need them for different purposes (incapaci- which may deter an individual to look at another measure of tation versus deterrence). from continuing his or her energy: current. If we think of In probe mode, CEDs use com- behavior. electricity as water flowing pressed nitrogen to fire two barbed through a pipe, rather than

The panel highlighted the possibility could ignite; and in water, where repeated CED exposure are not fully of secondary injuries resulting from submersion could lead to drown- understood. the use of CEDs on tall structures ing. The use of CEDs also presents or steep slopes, where individu- a risk of interfering with implantable The panel acknowledged that there als exposed to a CED could fall; cardiac devices, such as pacemak- may be circumstances in the field near flammable materials (including ers, although no bad outcomes have that require repeated or continuous gasoline, explosives, aerosols and been reported. Furthermore, the exposure to a CED discharge. They propellants) that a spark from a CED physiological effects of prolonged or

34 | Final Findings From the Expert Panel on the Safety of Conducted Energy Devices NIJ Journal / Issue No. 268 ■ October 2011

emphasized that law enforcement investigation should include an personnel must be made aware that autopsy by a forensic pathologist and The report states that the associated risks are unknown a medically objective investigation it is critical that law and most deaths associated with independent of law enforcement. In CED use involved multiple or pro- addition to the conventional informa- enforcement officers longed discharges. The report states tion collected in a death investigation, that it is critical that law enforcement investigators should collect infor- minimize or avoid officers minimize or avoid multiple or mation specific to the CED-related prolonged activations of CEDs as a death, such as the manner in which multiple or prolonged means of subduing an individual. CED darts or prongs were applied and where they were applied. activations of CEDs The report also states that the safety margins of CED use in healthy adults Finally, the panel recommended that as a means of subduing may not apply to everyone. The law enforcement personnel maintain effects of CED exposure on small an ongoing dialogue with medical an individual. children, those with diseased hearts, examiners or coroners and emer- the elderly, pregnant women and gency physicians to discuss effects other potentially at-risk individuals of all use-of-force applications, are not clearly understood, and more including those involving CEDs, and data are needed. Law enforcement evaluate procedures involving life personnel should minimize or avoid preservation, injury prevention and use of a CED on members of these evidence collection. populations.

In addition to recommendations gov- About the author: Brian Higgins is a erning the use of CEDs, the panel writer and editor at Lockheed Martin issued advice in the event a death Corporation, which has a communica- occurs following the use of a CED. tions support contract with the Office of The panel recommended that all Justice Programs. deaths following deployment of a CED should be subject to a complete NCJ 235894 medicolegal investigation. This

Notes For more information: 1. Smith, Michael R., Robert J. ■ Read the final report, Study of Deaths Following Electro Muscular Disruption, Kaminski, Geoffrey P. Alpert, Lorie A. at https://www.ncjrs.gov/pdffiles1/nij/233432.pdf. Fridell, John MacDonald, and Bruce Kubu, A Multi-Method Evaluation ■ Read the NIJ Research in Brief, Police Use of Force, Tasers and Other Less- of Police Use of Force Outcomes, Lethal Weapons, at https://www.ncjrs.gov/pdffiles1/nij/232215.pdf. Final report to the National Institute ■ of Justice, grant number 2005-IJ- Visit NIJ’s Web topic page (http://www.nij.gov/topics/technology/less-lethal/ CX-0056, July 2010, NCJ 231176, conducted-energy-devices.htm) and read an article in the NIJ Journal, “Police available at https://www.ncjrs.gov/ Use of Force: The Impact of Less-Lethal Weapons and Tactics” (http://www. pdffiles1/nij/grants/231176.pdf. nij.gov/journals/267/use-of-force.htm).

Final Findings From the Expert Panel on the Safety of Conducted Energy Devices | 35 Indigent Defense: International Perspectives and Research Needs by Maureen McGough

Domestic and international researchers, policymakers, practitioners and advocates explore promising international programs and identify research priorities in the hopes of improving of indigent defense in the United States.

he U.S. Constitution guaran- in nonfederal cases,3 but public tees all criminal defendants the defender offices are significantly Tright to be represented by coun- understaffed and underfunded. In sel. Those defendants who cannot 2007, the Bureau of Justice Statistics afford a lawyer have the right to have examined caseloads in public counsel appointed free of charge.1 defender offices and found that the A considerable majority of criminal majority of offices exceeded the rec- defendants in the United States ommended number of cases per fall into this category; yet, there are attorney under the National Advisory insufficient resources to meet their Commission on Criminal Justice’s legal needs. Standards and Goals and employed insufficient numbers of support staff. The American Bar Association (ABA) has characterized the fund- Simply put, indigent defense in ing for indigent defense services as America is in crisis.4 Given short- “shamefully inadequate” and found ages in funding and staffing for public that the system “lacks fundamen- defender offices, there is a criti- tal fairness and places poor persons cal need to develop evidence-based at constant risk for wrongful convic- practices that help guarantee every tion.”2 Public defenders represent person’s fundamental right to coun- the majority of indigent defendants sel and due process.

36 NIJ Journal / Issue No. 268 ■ October 2011

A Crucial Collaboration U.S. reflect upon their own policies indigent defense is a moral impera- and practices, offer new directions tive: “The poor man charged with In 2010, the Department of Justice for research, and inspire innovative crime has no lobby. Ensuring fairness (DOJ) launched the Access to suggestions for replacing, modifying and equal treatment in criminal trials Justice Initiative (ATJ) to improve or complementing components of is the responsibility of us all.” access to justice for all Americans, the current system. regardless of their means. NIJ and Perrelli noted that identifying gaps in ATJ came together in January 2011 The workshop’s 40 attendees research, addressing those gaps and to sponsor a two-day workshop to included domestic and interna- disseminating findings about best identify domestic and international tional public defense practitioners, practices was critical to solving prob- best practices for representing low- researchers, advocates and gov- lems in indigent defense. “Only by income defendants and to devise ernment officials. In addition to the having that robust research agenda a research agenda on criminal indi- participants from the United States, and asking the right questions about gent defense in the United States. attendees hailed from Canada, China, public safety and justice can we This collaboration highlighted the Colombia, Finland, Hungary, the most effectively protect the public importance of using the study of Netherlands, Sweden and the and ensure that our courts mete out international practices to advise United Kingdom. true justice,” Perrelli stated. reform of the American justice system. In her introduction of the workshop’s keynote speaker, recently retired Though America has developed Though America Chief Justice Margaret H. Marshall of a legacy of ensuring that indi- the Massachusetts Supreme Judicial gent defendants are represented in has developed a legacy Court, Assistant Attorney General court, the system is far from per- 5 Laurie Robinson emphasized that the fect. The ABA cites, among other of ensuring that issue of indigent defense is a crucial things, the lack of adequate funds one for Attorney General Eric Holder for public defender offices, the lack indigent defendants and she welcomed Chief Justice of oversight and standards, the lack Marshall as “a champion of the poor of independence from political and are represented in and disenfranchised.” judicial pressure, and the lack of for- mal, systematic training for indigent court, the system is Born and raised in South Africa, defense attorneys as posing threats Chief Justice Marshall was a leader to the quality of indigent defense in far from perfect. 6 in student-led anti-apartheid efforts. the U.S. Appointed as the first female Chief Justice of the Supreme Judicial Several jurisdictions outside of the Court in 1999, she led the court U.S. have developed successful America’s Legacy in making significant progress in approaches to provide high-quality, of Indigent Defense guaranteeing adequate representa- accessible indigent defense despite tion for indigent defendants. In her financial constraints. One of the The workshop coincided with DOJ’s remarks, she challenged participants primary goals of the workshop celebration of Robert F. Kennedy’s to work together to identify ways was to determine if any of these achievements and enduring legacy, to improve the circumstances faced practices might be transferable to which commemorated the 50th by indigent defendants. She empha- the United States. anniversary of Kennedy’s swearing- sized the importance of judicial in as U.S. Attorney General. In wel- leadership, oversight and indepen- Understanding how other countries coming remarks, Associate Attorney dence of public defender offices, have approached indigent defense — General Thomas Perrelli reminded active participation from the private the research they have conducted, participants of Kennedy’s commit- bar in indigent defense, and early the policies they have developed, the ment to developing quality public assignment of counsel in raising the practices they have instituted, and defense systems and safeguarding quality of public defense to the cali- the political and financial challenges the rights of indigent defendants. ber of the defense a defendant with they have overcome — can help Perrelli reaffirmed, through the means receives. practitioners and researchers in the words of Kennedy himself, that

Indigent Defense: International Perspectives and Research Needs | 37 NIJ Journal / Issue No. 268 ■ October 2011

Workshop Topics external agencies, several also spoke tion of culture and administration of and Discussions about good outcomes and increased justice. Panelists highlighted effec- efficiency from bringing experts tive indigenous justice programs in Concerns about public defenders’ in-house. Canada as possible best practices, heavy case loads, the lack of time including the Gladue court (which they are able to devote to each case Several panelists gave presentations trains court personnel, judges, pros- and the lack of money for public on protecting the rights of juveniles ecutors and defense attorneys on the defender offices to hire more attor- in the court system. Common con- history and unique needs of Canada’s neys were raised by the first panel cerns about juvenile defense in the Aboriginal communities) and using and were echoed throughout the U.S. included lack of resources, lack restorative measures, such as sen- conference. Participants stressed the tencing circles, whenever possible. need for increased resources for public defenders and several advocated Near the end of the meeting, partic- for increased participation in indi- “Only by having that ipants broke into groups based on gent defense by the private bar. They individual expertise. Each group pri- identified a number of other factors robust research agenda oritized specific, actionable measures compounding the indigent defense aimed at improving indigent defense crisis, including racial disparities in and asking the right in the United States. They provided effective representation and a lack detailed recommendations to NIJ of state or federal entities to enforce questions about public and ATJ on the main issues affect- defense standards such as the ing indigent defense and suggestions DOJ’s Compendium of Standards for drawing on practices from other 7 safety and justice can for Indigent Defense Systems. countries. we most effectively Panelists discussed the costs borne The research priorities identified by by indigent defendants in the U.S. protect the public participants included: criminal defense system and the high costs of death penalty defense. and ensure that ■ Studying the cost of implementing Participants discussed the value national indigent defense standards of experience in representing indi- our courts mete out and the potential cost savings gent clients and the U.K.’s recently that could result from that imple- implemented experience-based true justice.” mentation. accreditation system requiring that lawyers attain a minimum ■ Researching how competition, certification before defending particularly the involvement of more serious crimes. of due process for juveniles (partic- the private bar and paralegals in ularly unrepresented juveniles8) and the provision of services, might The intersection of indigent defense the over-institutionalization of youth. improve the system. and immigration can be particularly Participants discussed international ■ Looking at systems of partnerships difficult for public defenders to navi- human rights standards for juvenile between tribal and federal sys- gate. Panelists discussed the need defense, namely the United Nations tems, especially in the pretrial and for public defenders to receive train- Convention on the Rights of the Child post adjudication services areas. ing regarding pleas and verdicts that (which the U.S. has not ratified), and could affect a defendant’s immigra- European alternatives to the court ■ Comparing places in the juvenile tion status. Participants also noted system for juveniles. justice system where counsel is that public defenders should be waived to places where it is not encouraged to consult with immi- Participants also discussed the state to study the cost effectiveness of gration lawyers because of the of indigent defense in indigenous providing counsel and to determine complexity of immigration law. In communities. Indigenous commu- whether providing counsel produc- addition to the participants who dis- nities have distinct needs and there es benefits for public safety. cussed working with experts from can be tension between preserva-

38 | Indigent Defense: International Perspectives and Research Needs NIJ Journal / Issue No. 268 ■ October 2011

Among participants’ suggestions for future research agenda on indigent international programs and practices defense, including which interna- to assess for transferability were tional practices may be ripe for Canada’s Gladue court and adop- a transferability assessment to tion of the Convention on the Rights determine the domestic viability of the Child as well as other interna- of the practice. tional treaties having to do with the rights of children and human rights. About the author: Maureen McGough is The report that will be gener- an attorney and the National Institute of ated from the workshop, due to Justice’s outreach coordinator. be released in 2011, will be used NCJ 235895 to inform ATJ’s priorities and NIJ’s

Notes 1. Different jurisdictions fulfill the man- of Justice Statistics, available at 6. ABA (2004). date to provide counsel in different http://bjs.ojp.usdoj.gov/content/pub/ 7. Compendium of Standards for Indigent ways. Indigent defendants in the U.S. pdf/dccc.pdf. Defense Systems: A Resource Guide might be defended by public defend- 4. See, e.g., Eric H. Holder, Jr., U.S. for Practitioners and Policymakers ers, assigned counsel or contracted Attorney General, Remarks at the (2000), available at http://www.nlada. private attorneys, depending on the American Council of Chief Defenders org/Defender/Defender_Standards/ jurisdiction. Conference (June 24, 2009), available Defender_Standards_Comp. 2. American Bar Association (2004), at: http://www.justice.gov/ag/ 8. Juveniles have a right to counsel in the Gideon’s Broken Promise: America’s speeches/2009/ag-speech-090624. U.S. In some jurisdictions, they also Continuing Quest for Equal Justice, html. have the right to waive counsel (the American Bar Association Standing 5. For further discussion, see National specific requirements for waiving the Committee on Legal Aid and Indigent Right to Counsel Committee (2009), right to counsel vary from jurisdiction Defendants, available at http:// The Constitution Project, Justice to jurisdiction). There is debate in the www.americanbar.org/groups/ Denied: America’s Continuing U.S. over whether or not every child legal_aid_indigent_defendants/ Neglect of Our Constitutional Right should have an unwaivable right to initiatives/indigent_defense_systems_ to Counsel, available at http://www. counsel and, if not, what the require- improvement/gideons_broken_ constitutionproject.org/manage/ ments for waiving counsel should be. promise.html. (Hereinafter ABA (2004)) file/139.pdf. 3. In 1998, approximately two-thirds of felony federal defendants and more than 80 percent of felony defendants in the country’s 75 largest counties Read the report from the International Perspectives on Indigent were represented by publicly-funded Defense workshop on NCJRS.gov. Keyword: NCJ 236022. counsel. Specifically, in federal court, 30.1 percent of all defendants were represented by council from a public To learn more about public defender offices in the United States, defender organization and 36.3 per- see the Bureau of Justice Statistics’ Census of Public Defender cent were represented by a panel Offices, 2007: attorney. In the large state courts, 68.3 percent were represented by ■ County-based and Local Public Defender Offices: http://bjs.ojp. public defenders and 13.7 percent usdoj.gov/content/pub/pdf/clpdo07.pdf. were represented by assigned counsel. See: Harlow, Caroline Wolf (2000), ■ State Public Defender Programs: http://bjs.ojp.usdoj.gov/content/ Defense Counsel in Criminal Cases 1, pub/pdf/spdp07.pdf. U.S. Department of Justice, Bureau

Indigent Defense: International Perspectives and Research Needs | 39 Keeping Your Identity Safe Online – Wi-Fi Hotspots

You can get online from almost anywhere these days, but that does not mean that your personal information is always secure. Before clicking the button to buy a book while you’re relaxing at your favorite café, consider who else might be able to see the personal information you’re about to trans- mit. Most Wi-Fi hotspots are not secure, and information sent on a Wi-Fi network without encryption, such as your name, address and credit card number, may be seen by others on the network. safe from Internet fraud, securing ■ You can be confident that a Recognizing the threat posed by your computer and protecting your hotspot that asks you to pro- identify theft, the Office of Justice personal information. Recently vide a Wi-Fi Protected Access Programs (OJP) convened an ID released tips for safely using Wi-Fi (WPA) password is secure. theft working group from its com- hotspots — including tips for identify- ponent departments, including ▼ Learn more about using public ing whether a hotspot is secure — NIJ. Through this working group, wireless networks safely at http:// include the following points: OJP has partnered with external www.onguardonline.gov/topics/ hotspots.aspx. agencies — such as the Federal ■ A hotspot that doesn’t require a Trade Commission (FTC) — in the password is not secure. ▼ Learn about identity theft at fight against cybercrime. NIJ.gov. Keyword: Identity Theft. ■ If a hotspot asks for a password The FTC maintains simply to grant access, it’s best OnGuardOnline.gov, which pro- to treat the hotspot as if it were vides information about staying unsecured.

40 The National Institute of Justice is the research, development and evaluation agency of the U.S. Department of Justice. NIJ’s mission is to advance scientific research, development and evaluation to enhance the administration of justice and public safety.

The National Institute of Justice is a component of the Office of Justice Programs, which also includes the Bureau of Justice Assistance; the Bureau of Justice Statistics; the Community Capacity Development Office; the Office for Victims of Crime; the Office of Juvenile Justice and Delinquency Prevention; and the Office of Sex Offender Sentencing, Monitoring, Apprehending, Registering, and Tracking (SMART).

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