Offender Supervision with Electronic Technology: a User's Guide

The author(s) shown below used Federal funds provided by the U.S. Department of Justice and prepared the following final report:

Document Title: Offender Supervision With Electronic Technology: A User's Guide

Author(s): Ann H. Crowe ; Linda Sydney ; Pat Bancroft ; Beverly Lawrence

Document No.: 197102

Date Received: 10/29/2002

Award Number: 1999-LT-VX-K001

This report has not been published by the U.S. Department of Justice. To provide better customer service, NCJRS has made this Federally- funded grant final report available electronically in addition to traditional paper copies.

Opinions or points of view expressed are those of the author(s) and do not necessarily reflect the official position or policies of the U.S. Department of Justice. OFFENDER SUPERVISION WITH ELECTRONIC TECHNOLOGY ISBN # 0-87292-897-7

2002 American Probation and Parole Association c/o Council of State Governments P. O. Box 11910 2760 Research Park Drive Lexington, Kentucky 40578-1910

Supported under Award number 1999-LT-VX-K001 from the Office of Justice Programs, National Institute of Justice, Department of Justice.

Findings and conclusions of the research reported here are those of the authors and do not reflect the official position or policies of the U.S. Department of Justice. ii AUTHORS

Ann H. Crowe

with

Linda Sydney Pat Bancroft Beverly Lawrence

PROJECT STAFF

Carl Wicklund Project Administrator

Ann H. Crowe Research Associate

Linda Sydney Research Associate

Pat Bancroft Administrative Assistant

NATIONAL INSTITUTE OF JUSTICE PROJECT MANAGER

Martin Novak

TYPESETTING

Connie P. LaVake

COVER DESIGN

John Higgins

iii ACKNOWLEDGMENTS

The American Probation and Parole Association and its project staff gratefully acknowledge the assistance of the following members of the project’s Working Group who provided their time and expertise to contribute to and review this document. The Working Group Members and their employment affiliations at the time of their service are listed below.

Doug Blakeway John Gallagher Marc Renzema President & CEO Voice Track Criminal Justice Program Strategic Technologies, Inc. Milton, MA Kutztown University Blaine, WA Kutztown, PA Eric Hanselman Linda Connelly Tracking Systems Corporation John Resch Leaders in Community Harrisburg, PA Consultant Alternatives, Inc. Advanced Business Sciences, Inc. San Francisco, CA Gary Hinzman Poughkeepsie, NY District Director Peggy Conway Department of Correctional Annesley Schmidt Consultant Services Consultant Boynton Beach, FL Cedar Rapids, IA Bethesda, MD

Sally Cullerton Richard Irrer James Sinclair BI Incorporated Field Operations Assistant Director Boulder, CO Administration Tarrant County CSCD Michigan Department of Fort Worth, TX Dennis Doffing Corrections CEO Lansing, MI Gordon Smith Metro-Trak Sandia National Laboratories White Bear Lake, MN Wendy Johnston Albuquerque, NM PMI, Incorporated Carlo Ugval Victor Dominguez Arlington, TX House Arrest Services Director of Business East Point, MI Development Andrew Molloy Sentencing Concepts, Inc. Department of Criminal Raymond Villa Anaheim, CA Justice Services Cook County Sheriff’s Richmond, VA Department George Drake Chicago, IL Region Manager Valerie Pierson New Mexico Probation President Jim Walker and Parole Alert Systems Corporation Security Link Albuquerque, NM Scottsdale, AZ Oakbrook, IL

Project staff also wish to acknowledge and express appreciation for the ongoing support and guidance for the development of this document provided by Martin Novak, Program Manager, National Institute of Justice. iv TABLE OF CONTENTS

FOREWORD Project Overview ...... x Objectives of This Document ...... x

SECTION 1 — DEVELOPING OR ENHANCING THE USE OF ELECTRONIC SECTION 1 — SUPERVISION TOOLS

CHAPTER 1 — AN OVERVIEW OF SUPERVISION WITH ELECTRONIC TECHNOLOGY ...... 1 The Foundation of This Document ...... 1 Terminology ...... 1 Principles Guiding This Document ...... 1 The Evolution of Electronic Supervision ...... 2 Applications of Electronic Supervision ...... 3 Pretrial Supervision ...... 5 Jail Release Programs ...... 5 Probation and Parole Supervision ...... 5 Treatment Enhancement...... 6 Conclusion ...... 7

CHAPTER 2 — AGENCY CONSIDERATIONS FOR IMPLEMENTING ELECTRONIC TECHNOLOGY TO SUPERVISE OFFENDERS ...... 8 Leadership for Change ...... 8 Forming Important Partnerships for Change ...... 9 The Value of Involving Stakeholders ...... 9 Composition of a Stakeholder Group...... 9 Stakeholder Tasks ...... 10 Strategies for Successful Stakeholder Involvement ...... 10 Conduct a Needs and Resources Assessment...... 11 The Assessment Process ...... 11 Deciding Where Electronic Supervision Technologies Will Be Used ...... 12 Determine the Purpose and Goals for Electronic Supervision ...... 12 Consistency with Agency Values, Vision, and Mission ...... 12 Purpose for Electronic Supervision ...... 13 Program Goals ...... 14 Develop Policies and Procedures ...... 15 Conclusion ...... 16

CHAPTER 3 — LEGAL ISSUES...... 17 Legislation...... 17 Authorization for Electronic Supervision...... 17 Contracting for Services/Devices ...... 18 Certification of Electronic Supervision Equipment/Services ...... 19 Requirements of Offenders ...... 19 Legal Status of Persons Being Supervised Electronically ...... 20 Constitutional Issues ...... 21 Unreasonable Searches ...... 21 Double Jeopardy ...... 22 Right Against Self-Incrimination ...... 22 Due Process ...... 22 Cruel and Unusual Punishment ...... 23 Equal Protection ...... 23

v Other Legal Issues ...... 23 Custody ...... 23 Credit for Time Served ...... 24 Violations and Escapes ...... 26 Challenges to the Authority to Sentence Offenders to Electronic Supervision ...... 28 Liability Issues ...... 28 Situations from which Liability Might Arise ...... 29 Approaches for Diminishing Liability...... 29 Defenses Against Liability ...... 30 Confidentiality ...... 31 Insurance and Indemnification ...... 31 Consult Legal Counsel ...... 31 Conclusion ...... 32

CHAPTER 4 — TYPES OF OFFENDERS TO BE SUPERVISED WITH ELECTRONIC TECHNOLOGIES ...... 33 Public Policies and Prevalent Opinions...... 33 Offender Selection Policies and Process ...... 33 Place and Purpose of Supervision ...... 34 Criteria for Offender Participation in Electronic Supervision ...... 36 Assessment and Selection of Specific Offenders ...... 38 Conclusion ...... 40

SECTION 2 — OBTAINING AND MAINTAINING NEEDED RESOURCES

CHAPTER 5 — FUNDING ...... 41 Cost-Benefit Considerations ...... 41 Tangible Costs of Electronic Supervision ...... 41 Intangible Costs ...... 43 Tangible Benefits...... 43 Intangible Benefits ...... 44 Funding ...... 46 Agency Budgets...... 46 Grants and Government Funding ...... 46 Private Donations ...... 46 In-Kind Resources and Resource Sharing ...... 47 Offender Fees ...... 47 Conclusion ...... 47

CHAPTER 6 — HUMAN RESOURCES ...... 48 Staff Support for Electronic Supervision...... 48 Staff Organizational Issues ...... 49 Staff Responsibilities and Qualifications ...... 51 Program Component Manager ...... 51 Equipment Specialists ...... 51 Monitoring Technicians ...... 52 Offender Supervision Staff ...... 52 Staff Training and Development for Electronic Supervision ...... 53 Conclusion ...... 54

SECTION 3 — MAKING TECHNICAL DECISIONS

CHAPTER 7 — SELECT APPROPRIATE ELECTRONIC SUPERVISION TOOLS...... 56 Strategies for Success ...... 56 Electronic Supervision Technologies ...... 57 vi Automated Reporting Systems ...... 57 Identity Verification Components ...... 58 Remote Alcohol Detection Devices...... 59 Ignition Interlock Devices ...... 60 Programmed Contact Systems ...... 61 Continuous Signaling Devices ...... 63 Victim Alert/Notification Systems ...... 64 Field Monitoring Devices ...... 65 Group Monitoring Units ...... 65 Location Tracking Systems ...... 65 Emerging Technologies ...... 67 Conclusion ...... 68

CHAPTER 8 — ESTABLISHING MONITORING SERVICES FOR ELECTRONIC SUPERVISION SYSTEMS ...... 69 Matching Offender Risk and Program Purpose and Goals ...... 69 Managing the Information ...... 70 Initial Data Collection ...... 70 Conditions of Supervision ...... 70 Exception/Violation Verification, Investigation, and Notification ...... 71 Responding to Offenders ...... 75 Using Data for Program Management ...... 75 Data Storage ...... 75 Selecting Monitoring Services ...... 76 Conclusion ...... 76

CHAPTER 9 — THE PROCUREMENT PROCESS ...... 77 Industry Overview ...... 77 A Growing Industry ...... 77 A Competitive Environment ...... 78 Procurement Process ...... 80 Procurement Rules, Regulations, and Laws ...... 80 Initial Decision ...... 81 The Purchasing Process ...... 82 Conclusion ...... 85 Appendix 1 — Sample Elements of Technical Specifications for Electronic Supervision Equipment and Services...... 86 Appendix 2 — Evaluating Technology Performance ...... 93 Appendix 3 — Checklist for the Procurement Process ...... 98

SECTION 4 — SUPERVISING OFFENDERS WITH ELECTRONIC TECHNOLOGIES

CHAPTER 10 — SUPERVISING OFFENDERS ...... 99 Monitoring Options ...... 99 Decisions About Supervision and Monitoring ...... 100 Staffing and Caseloads ...... 100 Monitoring Decisions ...... 100 Emergency/Contingency Plans...... 102 Field Services ...... 103 Develop Operational Procedures ...... 104 Case Management Resources ...... 104 Graduated Responses ...... 105 Absconders ...... 107 Determination/Collection of Fees ...... 107 Conclusion ...... 107

vii SECTION 5 — PROGRAM ACCOUNTABILITY

CHAPTER 11 — INFORMATION MANAGEMENT AND EVALUATION ...... 109 Information Management ...... 109 Determine the Information Needed...... 109 Develop Information Collection Procedures ...... 110 Evaluation ...... 110 Process Evaluation ...... 111 Outcome Evaluation...... 111 Evaluation Measures Related to Program Goals ...... 112 Use of Results ...... 112 Control Group/Comparisons...... 113 Barriers to Effective Evaluation of Electronic Supervision ...... 114 Conclusion ...... 114

CHAPTER 12 — PUBLIC RELATIONS ...... 115 Identify Stakeholders ...... 115 Internal Stakeholders ...... 115 External Stakeholders ...... 115 Using a Proactive Versus Reactive Approach ...... 119 Public Education ...... 121 Have a Crisis Management Plan ...... 122 Conclusion ...... 123

REFERENCES ...... 124

viii TABLES

Table 1a Electronic Supervision Tools: Lessons Learned ...... 3 Table 2a Characteristics for Leadership...... 9 Table 2b Potential Stakeholders and Their Contributions...... 10 Table 3a Relevant Constitutional Amendments ...... 21 Table 4a Decisionmaking Matrix for Selecting Place and Purpose of Electronic Supervision...... 34 Table 4b Examples of Inclusion and Exclusion Criteria ...... 36 Table 6a Training Topics for Electronic Supervision ...... 54 Table 6b Content Presentation Methods ...... 55 Table 7a How Global Positioning Systems Work ...... 65 Table 9a Electronic Supervision Units in Service/Clients Monitored ...... 78 Table 10a Operational Procedures ...... 105 Table 10b Examples of Sanctions and Incentives ...... 106 Table 11a Data Elements for Electronic Supervision Goals ...... 113 Table 12a Strategies for Successful Meetings with Policymakers ...... 117 Table 12b Tips for Attending an Editorial Board Meeting ...... 118 Table 12c Tips for Writing News Releases ...... 119 Table 12d Suggested Contents of a Press Kit ...... 120 Table 12e Crisis Management Plan ...... 122

FIGURES

Figure 2a Development Process ...... 8 Figure 2b Examples of Where Electronic Supervision May Be Used in the Justice System ...... 12 Figure 2c APPA’s Vision...... 13 Figure 4a Decisionmaking for Types of Offenders to be Monitored ...... 34 Figure 5a Example — Tangible Costs for Electronic Supervision ...... 42 Figure 5b Comparison of Costs for Incarceration Versus Electronic Supervision ...... 44 Figure 5c Example — Potential Savings with Electronic Supervision...... 45 Figure 7a Electronic Monitoring Technology Programmed Contact Devices ...... 62 Figure 7b Electronic Monitoring Technology Continuously Signaling Devices ...... 64 Figure 7c Electronic Monitoring Technology Location Tracking Systems — GPS ...... 67 Figure 8a Event Processing ...... 72 Figure 9a Electronic Supervision of Jailed, Probated, and Paroled Offenders ...... 77 Figure 10a Graduated Responses — A Stair Step Approach ...... 105

ix FOREWORD PROJECT OVERVIEW In May 1999, the American Probation and Parole Association (APPA) was awarded a grant from the National Institute of Justice (NIJ) to assist manufacturers, service providers, and product and service users in the field of electronic technology to enhance their use of technology for effective community-based supervision of offenders through research, education, and training. The primary objective of the project was to develop and deliver an information package for users of electronic supervision tools. A 21-member Working Group1, comprised of equipment manufacturers, electronic supervision services providers, and representatives of programs using electronic supervision technologies, was formed to assist project staff in the development of this document. The Working Group met twice for one and one-half day sessions to deliberate the contents of this document and to discuss other initiatives such as testing procedures for electronic supervision equipment. Further, the members of the Working Group contributed materials and considerations for inclusion in the document and met periodically in conjunction with APPA’s training institutes to review materials and assist project staff with the preparation of the document. The document was written by APPA staff members and reviewed by Working Group members.

OBJECTIVES OF THIS DOCUMENT This document is designed to help readers understand and appreciate the process needed to incorporate and implement electronic supervision strategies within justice system programs. It was developed for agency staff who want either to introduce electronic supervision as a new program component or enhance the use of electronic supervision that has already been implemented. The document is divided into five sections, and by reading each of these sequentially, the steps for developing or enhancing electronic supervision strategies will be apparent. However, sections or chapters may be read independently if program staff need additional information about a particular topic. After reading this document, justice system professionals will be able to: • Conduct preliminary assessment and planning tasks necessary for developing an electronic supervision program component. • Explore and acquire needed resources for electronic supervision. • Make technical decisions about the equipment and services needed and undertake the procurement process. • Design effective offender supervision strategies using electronic technologies. • Engage in program accountability tasks.

______1 Please see the Acknowledgments page of this document for a list of the members of the Working Group. x xi

Chapter 1 AN OVERVIEW OF SUPERVISION WITH ELECTRONIC TECHNOLOGY Electronic supervision of offenders evokes a which generally is associated with technologies that variety of images among people. Some see it as puni- determine whether an offender is at home (or other tive, others as lenient. Some view it as a means to locations) as stipulated by his or her conditions of improve supervision, others as a way of saving correc- supervision. It also may refer to location tracking tional dollars. Some feel it is best used for offender technology in which offenders’ locations in real time accountability, while others believe its best use is for can be tracked. However, in this document, the broad- treatment compliance and behavioral shaping of er term, electronic supervision, is used to include a unstructured lives. Some are intrigued by the tech- larger array of technologies that assist with the super- nological tools, but others are baffled by them. This vision of offenders in other ways, particularly those document is designed to assist justice system profes- that can monitor alcohol use remotely and technolo- sionals and other stakeholders in assessing the po- gies that streamline routine reporting tasks for both tential use of electronic supervision technologies, offenders and agency staff. Although electronic super- and if they determine these are appropriate for their vision is used primarily in this document, it also is needs, to implement these technologies as an effec- interchangeable with the term electronic monitoring. tive part of their overall approach to implementing Another set of terms that are frequently used justice system programs. when discussing electronic supervision include This chapter first describes some foundation ele- home detention, house arrest, and home confine- ments, terminology, and principles that guided the ment. Infrequently do programs using electronic development of the document. A brief discussion of monitoring require that defendants or offenders re- the evolution of electronic supervision follows. Final- main confined within their homes, while full custody ly, this chapter introduces some of the issues and of the individual often is the case under arrest and questions surrounding the implementation of elec- detention conditions. Rather, in most cases, electron- tronic supervision and provides examples of its use ically supervised offenders must abide by curfews in a variety of programs for criminal defendants and and must be within their homes except for approved offenders who are being supervised in the community. activities such as work or school and medical or treat- It sets the stage for an indepth discussion of elec- ment appointments. In this document, program tronic supervision in the remainder of this document. procedures requiring defendants and offenders to observe curfews and restricting their freedom to leave their homes are referred to as home monitor- THE FOUNDATION OF THIS DOCUMENT ing or curfew monitoring. For the purposes of this document, the term electronic supervision technologies refers to an array Principles Guiding This Document of processes employing several technological inno- Three overarching principles of electronic vations that provide information to achieve a variety supervision have guided the development of this of purposes in offender supervision. Reporting document: kiosks, remote substance use detection devices, igni- • Electronic supervision technologies provide a tion interlock systems, identity verification systems, tool to gather information that enhances su- and monitoring equipment to detect offenders’ pervision. Electronic supervision technologies compliance with restrictions or track their locations — in and of themselves — do not constitute a are among the variety of electronic technologies program within the justice system; they are considered in this document. Besides this extensive merely one mechanism that can enhance the assortment of technologies, within each type, various effectiveness of a program. features may be found. • Although there are several purposes for which electronic supervision technologies may be Terminology used, an overriding consideration in the em- A range of terminology is presently used when ployment of such devices should be public discussing electronic supervision. One of the most safety. Therefore, the careful selection of pro- frequently used terms is electronic monitoring, gram goals and defendants or offenders with

Offender Supervision with Electronic Technology 1 whom to use these tools is among the most corded in 1964. An experimental system was used important decisions to be made. to monitor the whereabouts of parolees, mentally • The needs of the justice system should mold ill patients, and research volunteers in Cambridge the electronic supervision industry. Too fre- and Boston, Massachusetts. The participants in this quently a tool has been created and a need first endeavor wore what now seems like cumbersome for it has been found. Instead, the justice sys- equipment weighing about two pounds. Participants tem should define its needs and convey how were monitored within a prescribed monitoring area electronic supervision equipment and services where repeater stations were located. When these should be employed to meet these needs. repeater stations were activated by a participant’s While this document attempts to be as inclusive transceiver, the location of the person was recorded and general as possible to promote the potential on a strip recorder and displayed on a lighted map use of an array of supervision technologies, it gener- at the base station (Gable, 1986). The developers ally focuses on the use of electronic supervision among of this system said that “when specific offending adult defendants and offenders. Although much of behaviors can be accurately predicted and/or con- the information would also apply to juveniles, some trolled within the offender’s own environment, in- differences are apparent, especially the fact that ju- carceration will no longer be necessary as a means veniles usually are dependent and live with their of controlling behavior and protecting society” parents; thus, greater family involvement is required (Schwitzgebel, Schwitzgebel, Pahnke, & Hurd, 1964, to implement electronic supervision successfully. p. 237, as cited by Gable, 1986, p. 167). Apparently, the originators of the electronic supervision concept and earliest equipment had Electronic supervision technologies provide a high expectations for its effectiveness. The Honorable Jack Love, a District tool to gather information that enhances Court Judge from Albuquerque, New Mexico, developed the electronic super- supervision. vision concept to the next level. In the late 1970s, Love developed the idea of This document is based on “best practices” that using an offender’s telephone to report his or her currently can be found among a variety of justice presence or absence at home. The now familiar com- system programs. One of the difficulties that has bination of a home monitoring unit and a transmit- been encountered throughout the preparation of ter worn by the offender emerged. In 1983, the first the document is the lack of evaluative data on the offenders were placed under this form of “house implementation of electronic supervision technolo- arrest” in Albuquerque (Burks, 1989). gies. Few evaluation studies have been completed, In 1986, the U.S. Parole Commission developed and in many cases where these have been conducted, an experimental “Curfew Parole Program” for the the samples are very small or there are other meth- early release of some inmates. This program began odological problems that limit their usefulness. by using telephone calls and in-person contacts to Therefore, agencies that are developing or enhanc- monitor home curfews of offenders between 9:00 ing a program that includes electronic supervision p.m. and 6:00 a.m. However, because of limited re- are encouraged to include an evaluation component sources and concerns about the enforcement of cur- from the beginning. It is crucial that more evaluation fews, a pilot study was developed and implemented data be gathered and analyzed to fully understand in 1988 to evaluate the use of electronic equipment the significance of electronic supervision technolo- to monitor the offenders in the curfew program. gies and to assist in molding more effective imple- The following year the program was expanded to mentation efforts in the future. include probationers and pretrial defendants. By 1991, the Federal system was implementing elec- THE EVOLUTION OF ELECTRONIC tronic supervision nationally (Gowan, 2000). Parallel efforts began in State and local jurisdic- SUPERVISION tions in the mid- to late-1980s with enthusiastic an- Electronic supervision of criminal justice defen- ticipation by many justice system professionals. dants and offenders is not a new idea. The first use Corbett (1989) reports that the Wall Street Journal of electronic technology for this purpose was re- described electronic supervision as the “hottest new

2 Chapter 1 technology in crime control” (p. 74). He goes on to percent of the correctional population is currently report the prediction by Bennett (1989) that elec- supervised with electronic technologies. tronic monitoring would be the “dominant means Paparozzi and Wicklund (1998) prepared an of probation and parole supervision within the next editorial (repeated in part in table 1a) that illus- 20 years” (Bennett, 1989, as cited by Corbett, 1989, trates the intersection of justice system needs and p. 74). Corbett further notes that between 1987 and electronic supervision technology, pointing out 1988, the use of electronic supervision increased some of the events and circumstances that have cur- three-fold. Clearly, the early use of electronic super- tailed the proliferation of electronic supervision. vision technologies was met with enthusiasm and Their discussion sets forth some of the issues that anticipation. Electronic supervision was heralded as must be addressed for the future success of programs a solution for many prevailing problems, including using electronic supervision technologies and, in large caseloads, crowded jails and prisons, and the large part, indicates the deliberations that are un- high costs of incarceration and supervision. dertaken in the remainder of this document. Today, the use of electronic supervision appears to be an established component of some programs APPLICATIONS OF ELECTRONIC that supervise criminal defendants and convicted SUPERVISION offenders in the community. However, it has not yet proven to be the panacea that early advocates of The following examples of electronic supervi- the technology predicted. Only approximately three sion illustrate some of the ways in which electronic

Table 1a ELECTRONIC SUPERVISION TOOLS: LESSONS LEARNED by Mario Paparozzi and Carl Wicklund

Recent national television broadcasts — on 60 rate for participants of less than two percent; failure Minutes and 20/20 — as well as editorials and newspaper rates for nonelectronically monitored criminals were articles sensationalized seeming failures of community- ten times higher. Nevertheless, the program experi- based electronic monitoring programs and technologies. enced a tragic event when a program participant com- Moreover, during last year’s legislative session various mitted manslaughter. Negative media attention and state policymakers seriously questioned the efficacy of confusion regarding the efficacy of the program re- funding and supporting electronic monitoring programs sulted in termination of the program within six months designed to allow community corrections agencies to of the incident. Two years later, after much discussion monitor and track criminals. Community corrections with key stakeholders regarding the program’s pur- budgets and programs have suffered throughout the poses and expectations, the program was resurrected. years from knee-jerk responses to uninformed journal- State administrators recognized that residents are safer ism. Therefore, it is essential that corrections profes- with properly administered electronic monitoring pro- sionals not allow what is reported in the media to unfairly grams than without them. taint public attitudes about electronic monitoring pro- It is unfortunate at best, and misleading at worst, grams as a whole. It is our responsibility to take a that isolated tragedies — not routine successful out- leadership role in shaping the discourse, and hence comes associated with electronic monitoring — have public opinion, about electronic monitoring programs. fostered skewed media coverage, and consequently While it is true that there have been incidents, myths, that often result in the pursuit of policies that some with tragic consequences, perpetrated by criminals ultimately make us all less safe! Indeed, this kind of supervised in community-based electronic monitoring media coverage has long been a fact of organizational programs, it should be remembered that appropriately life for community corrections agencies. Anticipating designed and well implemented electronic monitoring and addressing misleading press coverage can result programs result in fewer tragedies. For example, an in complete stories that link our business to public electronic monitoring program implemented in a safety in obvious ways. northeastern state in the early 1990s reported a re-arrest Recent publicity of the failings of electronic moni-

Offender Supervision with Electronic Technology 3 toring programs focuses first on the technology and ever, as is the case with life in general, when some- second on program policy. By association, the negative thing appears too good to be true it probably is. publicity directed at the technology has had adverse Often we in the business hear and vociferously consequences for community corrections programs, contend that technology is only as good as the frame- and negative publicity about programs adversely work of policies and procedures within which it func- affects the technology. In fact, analysis of the media tions. Overconfidence in, and ignorance about, the coverage reveals that much of the public discontent limitations of technology result in an over-reliance and regarding electronic monitoring programs derives over-selling of technology to do that which it was never from the design and implementation of the program intended to do in the first place. In instances where and not the technology. Indeed, electronic monitor- under-funded and/or poorly designed programs rely ing technology is a vital tool that provides equipment on technologies to produce results that are impossible and monitoring services in order to enhance public to achieve, the fragile public image of community safety. corrections is jeopardized. In the final analysis, elec- The providers of the technology and the practi- tronic monitoring technology in and of itself makes tioners that use them cannot ignore the down side to more information readily available to practitioners partial or misleading information presented in the without the need for an exorbitant commitment of media. Until the public information problem is ad- human labor. In other words, taken out of a program- equately addressed, preferably through a joint effort, matic context, the technology makes us more efficient the public is at greater risk than it would otherwise in that it assures that we do things better. Effective- be. The future development and implementation of ness, which assures that we do better things, however, cost-effective public safety strategies as well as the busi- is yet another matter. And here we must rely on well ness climate for the electronic monitoring industry thought out and implemented program designs, depends on successful resolution of the public rela- programs that will process and react to efficiently tions dilemma. delivered information in ways that are relevant to the Beginning in the mid-1980s, electronic monitor- public. Technological progress should not, as stated ing emerged as one solution to burgeoning prison and by Aldous Huxley in his book entitled Ends and Means, jail populations and spiraling correctional costs. The “merely provide us with more efficient means of going design of the programs as well as technologies used backwards.” varied widely. Anxious to show that something was Recognizing the negative impact of technologies being done to assure cost-effective expenditures of tax that are mismatched to programs, and the relevance dollars, policymakers quickly embraced electronic of program design to the ability to maximize public monitoring of criminals — sometimes as a panacea safety, the manufacturers of electronic monitoring for managing correctional populations and public technology and providers of monitoring services have safety concerns. Elevated by the excitement emanat- advocated for standards as well as the maintenance of ing from the field of criminal justice regarding the amicable relationships across the industry. The gen- applications for electronic monitoring, entrepreneurs eral standards that have been developed thus far fall involved in the manufacture of technologies and op- far short of the mark in terms of their ability to link erators of electronic monitoring case management technologies and program practices to results that are centers moved quickly to provide new and improved valued by the public. At the same time, the sought equipment and services at reduced costs. after amicable relationships that would foster work- The convergence of criminal justice need for cost- ing together for the collective good of the industry, effective alternatives to incarceration and the business has been constrained by competitive product and ser- opportunities available within this environment re- vice distinctiveness. Such competitiveness too often sulted in grandiose promises and expectations. Industry leads to an overselling of products and services in or- manufacturers and practitioners shared purveyance der to “win a bid.” Under such circumstances, the of the message equally. It all sounded so right. Per- public becomes confused, if not misled, about realistic haps more importantly, it was what we wanted — even purposes and expectations of electronic monitoring needed — to hear. With the technological hopes and programs. In the end, both the industry and the pro- promises of electronic monitoring, community correc- fession lose credibility. tions seemed to be moving into the next millennium ... retooled with the latest technological advances. How- — Perspectives (Spring 1998), pp. 8-9

4 Chapter 1 technologies can enhance the supervision of defen- County (Detroit), Michigan, work-release inmates dants or offenders in the community. It is not an may be supervised electronically while they serve exhaustive set of examples. Every program has its part of their sentences at home. Work release is a own particular features that meet the needs of the typical part of many jail programs. However, in most jurisdiction and the agency within which it is located. cases the offenders return to the jail when they are However, these examples were selected to indicate not working. Offenders in Detroit must first serve the array of needs that may be addressed with elec- at least 30 days in the traditional work-release pro- tronic technologies. gram, and then they may qualify for work release with electronic supervision (Gray, 2001). Pretrial Supervision In Waldo County, Maine, jail inmates are being Some programs are using electronic technolo- supervised electronically while they are on furlough gies for pretrial release of defendants into the com- for medical care, substance abuse treatment, funerals, munity. In some cases, the technology is applied as and other emergencies. In many of these situations, an additional strategy with other methods (e.g., bail/ without electronic technologies, offenders would be bond, drug testing) for ensuring lawful behavior and accompanied by sheriff’s deputies when leaving the return to court. In other situations it is used in lieu jail. The program uses a combination of electronic of these more traditional approaches. equipment that tracks offenders’ movements, veri- A research study sponsored by the National Insti- fies their presence at home or in a medical facility tute of Justice and conducted by Indiana University with a video monitor, and tests them remotely for assessed the use of electronic supervision for pre- alcohol consumption. Only minimum-security in- trial defendants in Marion County (Indianapolis), mates are considered for this program. Offenders Indiana. The defendants included in the study were released with this system must pay the cost for in- those who otherwise would not have been released stalling the equipment and a daily supervision fee on their own recognizance or could not raise bail (Griffin, 2001). or secure a bondsman. Of those who did not qualify for release in these ways, fewer than 25 percent Probation and Parole Supervision actually were released with electronic supervision. Electronic supervision is most widely used with In some cases defendants were considered too great offenders released to the community on probation a risk to public safety or to flee before trial to be or parole or as an alternative to incarceration. One released. In other cases, defendants may not have community corrections program using electronic had “suitable residence with telephone” that was re- supervision is Project Spotlight in Dallas, Texas. It quired for participation in electronic supervision. is a joint project of the Dallas Police Department, The goal of this program was to ensure that de- the Dallas County Juvenile Department, and the fendants return to court for trial and also to relieve Dallas County Community Supervision and Correc- jail crowding. The most frequent charges made tions Department. This program focuses on younger against defendants in the program were theft, DUI, offenders between the ages of 14 and 24. It is lim- forgery, burglary, habitual traffic offenses, disorderly ited to youth and young adults who have committed conduct, and drug offenses. Seventy-three percent serious offenses, violent offenses, or both and live of defendants were supervised successfully with elec- within a specific high-crime area. The three agencies tronic technologies; 13 percent incurred technical involved have developed a team approach to super- violations; and 14 percent absconded. The research- vision and have a community-based office located ers found that defendants most likely to complete in a neighborhood storefront in the area where the the program successfully were those living with a program participants live. The program includes spouse or an opposite-sex roommate (Gowdy, 1993). curfew restrictions, substance abuse evaluation and counseling, educational programs, and community Jail Release Programs service hours. Professional staff in the program super- A variety of conditions may occur through which vise only 10 to 15 offenders on their caseloads, but offenders serving time in jail or prison are released they also work with family and community members. in the community while still under correctional super- They have a minimum of five face-to-face contacts vision (other than parole), and some of the programs per week with the offenders they supervise. The pri- incorporate electronic supervision. In Oakland mary purpose of the program is to improve public

Offender Supervision with Electronic Technology 5 safety through enhanced supervision and reductions be selected for the program. Prisoners must be eli- in crime. Electronic supervision is used by this pro- gible for custody in Michigan’s lowest custody level gram in several ways. It can be used as a sanction facilities. Sex offenders and those with an extensive for an offender who violates curfew or other pro- history of assaultive behavior are not eligible. Parolees gram conditions. Electronic technologies also are often are placed on electronic supervision when they used to assist staff with their fieldwork. The program commit technical parole violations. Offenders re- uses field monitoring devices (drive-by detection leased from Michigan boot camps are placed on equipment) to determine if the youthful offenders intensive parole or probation supervision, and usu- are at home or if they are in parks, schools, and ally electronic supervision is included. The DOC other gathering places for youth (Johnston, 2000). uses electronic technologies to monitor compliance The Alabama Department of Youth Services with program rules and to introduce structure and (DYS) began using electronic supervision technolo- discipline in offenders’ lives. An offender’s profile gies in 1993. The program has a two-fold purpose: determines specific program restrictions such as to reduce the number of committed youth placed where they may go, when they can be away from in DYS facilities and to reduce recidivism rates for home, and with whom they may associate. youth who were diverted from placement. The tar- The department has a zero tolerance policy for geted youth for this program are low-risk, nonviolent program rule violations, and if an offender cannot status and misdemeanor offenders. DYS funds and be accounted for, the monitoring center operator administers electronic supervision services for enters an escape warrant into the system that sends county juvenile probation departments. Juvenile an administrative message to police agencies and probation officers select the youthful offenders to the Absconder Recovery Unit. Program administra- be supervised electronically. Criteria used for selec- tors feel electronic supervision is extremely effective tion of youth include current and previous charges, because of the definite consequences for violations. home environment, family involvement, availability Program evaluation efforts indicate that fewer than of a touch-tone phone in the home, and the proba- eight percent of offenders escape or abscond, and tion officer’s judgement about the potential success fewer than three percent commit new felonies. Pro- of the youth in the program. In most cases, without gram administrators state, “Reducing recidivism and the availability of electronic supervision, the youth protecting the public are goals that can be aided by selected would be committed to DYS and placed electronic supervision technology, but are achieved outside their homes. Program administrators esti- through the people responsible for enforcing the mate that electronic supervision saved DYS about entire program” (Irrer, 2001, p. 6). $700,000 in less than three years (Duke & Hassen, 2000). Treatment Enhancement Michigan also operates a statewide electronic supervision program for adult offenders including A Boston, Massachusetts area substance abuse probationers, parolees, and community-based pris- treatment program for women has implemented oners (living in correction centers or halfway houses). electronic supervision as part of the program. The The program began in 1987, and more than 100,000 Suffolk County Women’s Resource Center opened offenders had been supervised electronically through in January 2001 with a goal of maximizing oppor- April 2001, and about 3,000 offenders presently are tunities for substance abuse treatment for female supervised electronically. The Michigan Department offenders and increasing their participation in edu- of Corrections not only runs the supervision com- cation and life skills training. Only female offenders ponent of the program, it also operates its own with substance abuse problems may participate in this monitoring center. The program provides a higher program, which was developed through the collabo- level of supervision of offenders, therefore holding ration of the Suffolk County Sheriff’s Department, them more accountable. At the same time, the De- the Massachusetts Office of Community Corrections, partment of Corrections has saved about three- and the Office of the Commissioner of Probation. fourths of the cost of sending these offenders to Both public safety and offender accountability are minimum-security facilities. the stated purposes of the program. A four-level sys- Further the department wants to enhance pub- tem was developed for the program; lic safety with the use of electronic supervision, so it • Level IV — 24-Hour Restriction. has developed guidelines for the offenders who may • Level III — Daily Accountability.

6 Chapter 1 • Level II — Standard Supervision. supervision technologies. However, they do illustrate • Level I — Financial Accountability. some of the variety of program purposes, sponsor- Electronic supervision technologies are employed ship, and approaches being used. As discussed in in Levels IV, III, and II as well as other supervision future chapters, each jurisdiction or agency must strategies including random drug and alcohol testing assess its own needs to develop electronic supervi- and community service. Additional services include sion strategies that meet local needs. classes in addiction education, life skills, parenting education, relapse prevention, introduction to 12- CONCLUSION Steps, communicable disease prevention, victims of This chapter provided an overview for this docu- violence, healthy relationships, women’s health, ment including a discussion of some of the terms stress management, and GED preparation. Women and concepts used and some of the issues that will may enter the program through referrals from Pro- be explored in later chapters. A brief description of bation, Parole, and the Department of Corrections the evolution of electronic supervision was provided, if the primary basis of their offenses is substance and several examples of programs including an elec- abuse. This program focuses on the gender-specific tronic supervision component were highlighted. substance abuse treatment of female offenders but These program descriptions were provided as a also addresses family, housing, health, relationships, means of illustrating a variety of ways in which elec- education, and job training issues (Johnston, 2001). tronic supervision may be used rather than as a pre- These program examples do not provide an scription for program development. Each agency exhaustive or even representative summary of the or jurisdiction must work to develop strategies that types of programs and agencies that use electronic are appropriate for its needs.

Offender Supervision with Electronic Technology 7 Chapter 2 AGENCY CONSIDERATIONS FOR IMPLEMENTING ELECTRONIC TECHNOLOGY TO SUPERVISE OFFENDERS

Developing or enhancing electronic supervision LEADERSHIP FOR CHANGE of offenders requires thoughtful consideration of a variety of issues. A systematic planning approach is Whether planning to use electronic supervision the best way to achieve success. Although planning technologies for the first time or assessing whether is time consuming, and sometimes tedious, it is well current strategies need to be enhanced, leadership for the process is essential. worth the initial investment of time and effort. If a thorough planning process is not undertaken, agen- Leadership requires the capacity to set a cies and professionals may pay a greater price in course toward a goal and then draw others the future through unsuccessful program imple- along the same path through persuasion, influence, and power. mentation and unproductive use of resources. (Reconnecting Youth & Community: A Youth This chapter outlines a development process to Development Approach, 1996, p. 8). help agency and community planners think through a variety of issues. The overall development process Effective change requires the leadership of some- is shown in figure 2a. Several parts of the process one (or a small group of individuals) who will step are addressed in this chapter, while future chapters forward to provide guidance and direction. Strong, are devoted to other issues. Although the develop- confident leaders draw on others’ talents and skills ment process is presented in a linear fashion, in and empower them to question and think creatively reality, it is unlikely to proceed effortlessly from one (Reconnecting Youth & Community. . ., 1996, p. 7). A designated person who will coordinate the step to the next. Rather, as decisions are made, it may process of developing or enhancing the use of elec- be necessary to return to issues addressed earlier to tronic technologies for offender supervision is es- ensure that all aspects of the plan are consistent. sential. It is fortunate if the person has an interest in electronic technologies or is already knowledgeable about them, but these are Figure 2a not the most important characteristics of an effective leader. An effective leader Development Process must have both organizational and “people” skills (Imel & Hart, 2000). He Identify, Engage, and Educate Leaders and Stakeholders ➔➔ or she should be able to build strong partnerships and get things done (Fulton, Conduct Needs and Resources Assessment 1996). Table 2a provides a list of several characteristics needed for leadership. Determine Purpose and Goals Besides the personal qualities needed ➔➔ for good leadership, organizations must Investigate Legal Issues be willing to give leaders the following ➔➔➔➔ (Imel & Hart, 2000): • Responsibility and accountability Develop Policies and Procedures for the project’s success or failure. • Authority to make sure necessary Obtain Funding project tasks are accomplished. • Time to do the job, which may Select and Procure Technology and Services mean adjusting other work responsibilities. Develop Public Relations Plan • Management support to back the leader in what he or she has to do. Plan and Conduct Evaluation • Resources, such as space, support services, and financial resources.

8 Chapter 2 are recognized from the outset, valuable time can Table 2a be saved in the planning process. Nothing is more CHARACTERISTICS FOR LEADERSHIP frustrating to all involved than to spend a great deal of time in development, just to have a previously Leadership requires courage. Most truly chal- uninvolved stakeholder thwart the process by bring- lenging situations demand not only imaginative so- ing up issues or problems that are obvious to him lutions but also the tenacity to carry them out. or her but were overlooked by others. Involving stakeholders from the initiation of the Leadership is not easy, although the results of process helps win their investment in seeing the true leadership make future efforts easier over time. project through. Those who have not had an oppor- Leadership requires the ability to listen, as well tunity to share their ideas and hear others’ views are as an openness to, and respect for, diversity and more likely to find fault, or perhaps even sabotage difference of opinion. the program component, when it is implemented. Finally, involved stakeholders are likely to be Leadership can feel demanding and isolating good ambassadors for the selected electronic super- but results in a sense of belonging and community. vision strategies. A well-chosen group of stakehold- Leadership requires the ability to put aside per- ers can have far-reaching effects within an agency sonal bias or desires in decisionmaking. and beyond. They are more likely to promote the program and come to its defense if problems are Leadership is the ability to make decisions, live encountered. with the consequences, accept the blame, share the credit, and learn from the experience. Composition of a Stakeholder Group Source: Reconnecting Youth & Community: A Youth Several criteria should be considered when se- Development Approach. (1996). Washington, DC: Family and Youth Services Bureau U. S. Department lecting stakeholders to participate in the planning of Health and Human Services. P. 7. process, including positions held within the agency or community and skills and knowledge needed FORMING IMPORTANT PARTNERSHIPS within the working group. Table 2b provides a list FOR CHANGE of some of these variables. The specific stakeholders selected to comprise The Value of Involving Stakeholders the planning group will depend on where in the Although leadership is an important component justice system the electronic supervision strategies of developing or enhancing strategies using elec- will be implemented and the most advantageous tronic technologies to supervise offenders, “going grouping to accomplish the tasks required. It will it alone” by the leader can be counterproductive if be important to select the appropriate representa- any real work is to be accomplished. There are sev- tives from the first column in table 2b and also to eral key reasons for involving a variety of stakeholders be sure that the range of skills and knowledge in partnerships to consider electronic supervision needed, including those areas in the right column, development or enhancement issues. First, a variety are represented to the extent possible. of participants will bring different viewpoints about Strong, effective partnerships require mutuality electronic supervision technologies to the decision- — give and take. Each person must feel like and be making process. Because of this diversity in perspec- viewed as an equal member of the group. Members tives, more ideas are likely to be generated. This can need to be able to work both independently and in seem cumbersome and problematic initially, as differ- concert with each other. Partnerships are built on ent stakeholders lobby for their particular convictions. respect for one another’s ideas and suggestions However, if processed effectively, these varied ideas (Fulton, 1996). Although it is tempting to select only can provide a wealth of substantive proposals that those whom we believe will agree with us when inviting can be honed into a final plan that best meets the stakeholders to participate, this is not necessarily the needs of the agency and the community. best strategy. It is important to select those who will Another reason for involving stakeholders from be affected by the electronic supervision strategies, the beginning is to identify issues, problems, and those who have essential background knowledge, barriers that may occur in developing strategies to those who are most likely to support the implemen- supervise offenders electronically. If such concerns tation of the approach, and also those who are likely

Offender Supervision with Electronic Technology 9 Table 2b POTENTIAL STAKEHOLDERS AND THEIR CONTRIBUTIONS Representatives From Skills and Knowledge • Judiciary • Technical knowledge • Legislators/Policymakers (e.g., State, county, local) • Legal knowledge • Law Enforcement • Knowledge of budget and financing • Jail/Juvenile Detention/Corrections Administrators • Experience working with offenders • Probation and Parole (juvenile and/or adult) • Knowledge of community values and needs • Administrators • Planning/program development skills • Line personnel • Program evaluation skills • Clerical Staff • Union representatives • Public relations experience • Purchasing and Legal Department representatives • Prosecution • Defense Bar/Public Defender • Pretrial Services Personnel • Public/Taxpayers/Citizens • Funding agencies • Victims and Victims’ Advocates • Offenders and their families • Service providers • Employers • Others, based on jurisdiction • Vendors (if already selected) • Media Representatives to oppose it. Knowing the objections of those op- Strategies for Successful Stakeholder Involvement posed to a particular course of action may help plan- A balance between inclusiveness of important ners mold the strategies so they are more accept- stakeholders and manageability of a working group able. It is also possible that, when involved in the must be reached. It may be difficult to accomplish process, persons opposed to a change will modify tasks with extremely large groups. On the other their opinions. hand, omission of key stakeholders may doom the planning process to failure. Usually, the best size Stakeholder Tasks group to accomplish tasks is ten or fewer members. Stakeholders may be involved in considering a However, there are options for including more variety of issues about developing or enhancing elec- people and still accomplishing tasks. A larger group tronic supervision technologies. Several of the tasks may be formed, but smaller working subcommittees include: may be assigned to work on specific tasks. Another • Assessing needs and resources. alternative is a small decisionmaking group whose • Developing policies and procedures. members reach out to involve other representatives • Identifying and securing financial and in-kind on certain tasks or to request their expertise on par- support. ticular matters. Imel and Hart (2000) suggest that • Providing needed services for the program it may be effective to have both a project steering and its clients. committee and an implementation team. The steer- • Marketing and promoting awareness. ing committee usually tackles higher-level planning

10 Chapter 2 and policy decisions, while the implementation team technical violations as well as the identifica- works out the operational details. tion of new crimes.) • Can related personnel issues be resolved ef- CONDUCT A NEEDS AND RESOURCES fectively and economically (e.g., union issues, ASSESSMENT need for overtime and weekend work)? These questions will yield two types of informa- The Assessment Process tion surrounding issues of offender supervision with The next step in the process of developing or electronic technologies: factual data, and opinions enhancing strategies for electronically supervising and viewpoints. Agencies should gather information offenders is to take a close look at the community, from various sources, attempt to verify its accuracy, the agency, and programs within which the supervi- and explore the perceptions of community members sion will occur. An assessment of needs and re- and justice professionals to compile a balanced, com- sources provides valuable information for the rest prehensive overview of the need for implementing of the planning process. Determining the need for an electronic supervision program and the resources electronic supervision technologies requires asking available to support it (Crowe & Schaefer, 1992). and finding answers to several questions. Although Generally, needs and resources assessment data the following is not exhaustive, it represents several are obtained through four methods (Crowe & of the questions that might be addressed through a Schaefer, 1992): needs assessment: • Gathering existing data. • Is the jurisdiction experiencing a jail or prison • Reviewing records. crowding problem? If so, what types of and • Administering surveys and questionnaires. how many offenders presently are incarcerated • Engaging in interviews and informal commu- who might be released to the community with nication. electronic supervision? Could these offenders To gather and use the information effectively, be managed successfully in the community the agency will need to engage in a six-step process with electronic supervision? (Crowe & Schaefer, 1992): • Are there offenders already being supervised 1. Determine the types and sources of in the community who need more restrictive information needed. supervision? How many of these offenders are 2. Design the data collection process. there? What are the demographics and other 3. Determine procedures for collecting and characteristics of the offender population? recording data. • What are community attitudes toward the pos- 4. Analyze results. sible use of electronic supervision technologies? 5. Report results. What is the agency’s and community’s attitude 6. Use results for making decisions about about correctional services for offenders? Do developing or enhancing the supervision they see it as public protection, offender pun- of offenders with electronic technologies. ishment, or offender rehabilitation? Do they Data collection and analysis procedures should think these goals can be achieved with elec- be unbiased to enhance the integrity of the outcome. tronic supervision? For example, planners should include respondents • Are there victims (e.g., domestic violence vic- from varied backgrounds and those whose view- tims, sexual assault victims) in the community points might be quite disparate. Sufficient questions who could benefit from the use of electronic should be asked to collect a range of information. technologies to alert them to the approach of Response options should be varied enough to elicit their offender? an array of viewpoints. Any anticipated outcome • Can the agency obtain enough resources (e.g., should be acknowledged, but other possibilities funding, personnel) to deal effectively with the should be actively pursued (Crowe & Schaefer, 1992). additional information about offenders’ be- After the data are collected, analyzed, and report- havior that will be generated through elec- ed, the agency must decide on developing or en- tronic supervision technologies? hancing the supervision of offenders with electronic • Can the agency and other parts of the justice technologies. The level of need for the program system adequately respond to violations by should be balanced against the level of resources offenders being electronically supervised? available to implement it. A strong need for the pro- (Electronic technologies may actually increase gram may be evident, but resources may be scarce.

Offender Supervision with Electronic Technology 11 Thus, resource development may be required be- sidered. The rectangular boxes represent different fore the program can be implemented adequately parts of the justice process, and the hexagonal boxes (Crowe & Schaefer, 1992). For example, electronic indicate programs in which electronic supervision supervision may identify more technical violations might be used at these points. The use of electronic and new crimes, requiring sanctions, including in- supervision within each of these programs is dis- carceration. If jail crowding is a problem, what addi- cussed elsewhere in this guide. tional resources will be needed to accommodate the Another important step in the assessment pro- discovery of increased crimes and violations? cess may be taking a look at other programs and reviewing their policies and procedures. If possible, Deciding Where Electronic Supervision leaders and/or stakeholders should visit comparable Technologies Will Be Used jurisdictions that are implementing electronic su- Electronic supervision strategies may be ap- pervision technologies successfully. After reading propriate at several points within the criminal and this guide several issues to observe and question juvenile justice systems. Part of the needs and re- about these programs will become evident. sources assessment process should include looking at the entire system to assess all the areas in which DETERMINE THE PURPOSE AND GOALS electronic supervision might be beneficial. In some FOR ELECTRONIC SUPERVISION cases, if electronic technologies could be used in more than one program, cooperative development Consistency with Agency Values, Vision, might result in economies of scale and more effi- and Mission cient program operation. Figure 2b shows multiple There is a tendency, when new technologies points at which electronic supervision can be con- become available, to think we must have them. (Re-

Figure 2b EXAMPLES OF WHERE ELECTRONIC SUPERVISION MAY BE USED IN THE JUSTICE SYSTEM

Inceration ➔ Parole, ➔ Community Prerelease Release, Reentry Arrest➔ Arraignment ➔ PreTrial➔ Trial Detention Sentencing Work Release Parole Condition Furloughs ➔ Sanction for Pretrial Release Probation Violations Diversion Pending Trial Direct Incentives Placement for Progress

Short-term Condition

Sanction for Violations

Incentives for Progress

Adapted from: Electronic Monitoring in Intensive Probation and Parole Programs, 1989.

12 Chapter 2 member eight-track tapes? How many of those are sitting in storage somewhere, never being used?) Figure 2c Many agencies reason, if other jurisdictions are us- APPA’S VISION ing electronic supervision technologies, they probably should be using them also. However, not every We see a fair, just, and safe society where technological or program development is the right community partnerships are restoring hope choice for each agency. Like hand and glove, it must by embracing a balance of prevention, fit well with the agency’s values, vision, and mission. intervention, and advocacy. If the agency has documented its values, vision, and mission, these should be reexamined before any statement of the American Probation and Parole other steps are taken regarding implementation of Association is displayed in figure 2c. electronic supervision strategies. If these are not yet Agency Mission documented for the agency, that should be the first A mission statement should succinctly set forth step taken. the philosophy and intentions of the program while Community and Agency Values reflecting the agency’s values. It states what will be Values are the fundamental beliefs upon which accomplished by the agency without spelling out the agency bases its practices. They shape all other how it will be done. Mission statements steer agency’s decisions and actions the agency takes and motivate plans and operations toward the desired outcomes agency policies and practices. Values affect the work (Boone & Fulton, 1995). For example, an agency’s of all organizational levels, from the way resources mission statement may include aims to “protect the community and rehabilitate offenders.” This could are allocated by administrators to the way line per- be achieved through a variety of strategies, including sonnel interact with offenders, victims, and the com- the use of electronic supervision technologies, but munity (Boone & Fulton, 1995). these would not be included in the mission statement. Examples of agency values might include: In considering the use of electronic technolo- • We believe that the public deserves the oppor- gies, it is vital that agencies develop or review their tunity to live in a safe community. mission statements to ensure that plans for use of • We believe that victims of crime should be re- these supervision strategies will be consistent with stored, to the extent possible, to their precrime the agency mission. If the mission does not support condition. such approaches, it will need to be changed, or plans • We believe that offenders can change and that for implementing the new techniques should be corrections personnel have a vital role in guid- scrapped. ing that change process. If the agency’s values, vision, and mission are • We believe that justice system personnel consistent, and if they support one or more of the should be well trained and have the necessary reasons for using electronic technologies for super- tools to do their jobs efficiently and effectively. vising offenders — e.g., victim alert, community — Agency values cannot be developed and sus- protection, offender behavior change, treatment tained in a vacuum; they also must consider the compliance — then the agency should work toward community’s values. For example, if an agency places implementing electronic supervision technologies most importance on the belief in offender rehabili- to accomplish specific program purposes. tation, while the community is most interested in public protection, there may be a disconnect. Work Purpose for Electronic Supervision must first be done to learn what is important to in- Delineating a clear statement of the purpose for dividuals and groups within the community and how offender supervision with electronic technologies that intersects with agency values. is the fulcrum upon which all the rest of the pro- Agency Vision gram development process rests. Without a clear The agency’s vision provides a snapshot of what purpose statement, the development process is apt stakeholders would like the agency to be doing in to be like taking a trip without a destination in mind. the future. It must be consistent with the agency’s One may have interesting experiences along the way, values, but it need not (and probably should not) but may never complete the trip. Without a clear be based on current operations. It is a dream, a wish statement of purpose, there is a greater risk of get- list, and a guide for agency development. The vision ting diverted in the process.

Offender Supervision with Electronic Technology 13 The purpose statement should be consistent with Program Goals the agency’s values, vision, and mission discussed If the purpose statement describes the destina- previously. A purpose statement may be a simple tion, goals provide the road map for getting there. narrative of a few sentences or several paragraphs Goals translate the intentions of the agency mission that include more detailed information. The purpose and program purpose into organizational activities. statement needs to contain (Crowe & Schaefer, 1992): • What should be accomplished through the implementation of an Developing clear goals can bring the mission electronic supervision program and purpose into focus and break it down component. • A brief summary of the methods for into manageable, achievable components. accomplishing the purpose. • The agencies or individuals responsible for various elements of the program and Developing clear goals can bring the mission and how they will interact to achieve the ultimate purpose into focus and break it down into manage- agency mission through the goals of this pro- able, achievable components (Fulton, 1996). Goals gram component. are also important for, and the first step in, evaluat- • The general time frame within which certain ing the program. Therefore, goal statements should tasks or events are to occur. contain at least the following four components: • Any objectives or activities that are not to be • What will be accomplished as a result of the pursued through this program. electronic supervision component. There are a variety of purposes for which agen- • How it will be done. cies may contemplate the use of electronic supervi- • How well it should be done or how much sion technologies. Some common purposes are change will result from it. listed below, many of which may be interrelated. • The time frame for achieving the desired • Public safety (e.g., identifying higher risk result. offenders for more intensive surveillance when For example, the following illustrate possible released in the community). goals for some of the purpose areas suggested in • Safety of individual victims (e.g., victims of do- the previous section. mestic violence or sexual assault who may be • Through the use of electronic supervision alerted if their perpetrator approaches them). strategies for eligible offenders, the jail popu- • Accountability of offenders (e.g., part of an lation in this jurisdiction will be reduced by offender’s sentence, conditions of release, or 15 percent within five years. sanctions for technical violations). • Within three years of the initiation of electron- • Behavior change of offenders and recidivism ic supervision of drug-using offenders, sub- reduction (e.g., provide structure and close stance abuse treatment completion rates will supervision, enable offenders to obtain or increase by 50 percent. maintain employment, and support and rein- • Victims of domestic violence or sexual abuse force rehabilitation and treatment); whose perpetrators are placed on electronic • Complying with mandates to reduce jail or supervision will report a 50 percent increase prison populations. in their perceptions of personal safety after • Providing correctional services in the most the first year of operation as measured by a economical way. telephone-administered questionnaire. As well as outlining in the purpose statement • High-risk youth who are supervised electroni- what the electronic supervision program component cally will have a 30 percent reduction in re- is planned to accomplish, any objectives or activi- cidivism rates after three years when compared ties that are not to be part of the program should with a control group of similar youthful offend- be articulated. For example, if the primary purpose ers who are not supervised electronically. for electronically supervising juvenile offenders is It is important to think carefully about the goals to promote positive behavior change, rather than for an electronic supervision program component. to punish them, this distinction should be explained. Overly ambitious or conflicting goals can create

14 Chapter 2 confusion (Boone & Fulton, 1995). For example, if Within the written policies and procedures, staff a program has goals to hold offenders accountable roles must be defined, and responsibilities must be (or punish offenders) for technical violations, and specific so they can be carried out consistently. Con- it also hopes to reduce recidivism rates, the two goals tinuity from one staff member to another in the may be at cross purposes. Electronic supervision implementation of the program can be achieved tools are likely to identify more technical violations only through clearly written policies and procedures than traditional supervision, and thus increase re- (Crowe & Schaefer, 1992). cidivism rates. Similarly, if the program purposes are to reduce jail crowding and punish offenders for violations, the result may be increasing, rather than Carefully considered written policies and decreasing jail populations. It may be helpful to view some goals as long term and others as short term procedures are crucial for program (Fulton, 1996). For example, a short-term goal might credibility, replication, and support. be holding substance-abusing youth accountable with graduated sanctions up to and including detention, while a long-term goal would be their successful completion of substance abuse treatment. In an- Carefully considered written policies and proce- other example, a short-term goal might be detecting dures are crucial for program credibility, replication, violations and new crimes as quickly as possible, and support. If the program is called into question, while the long-term goal could be a reduction in written policies will indicate that a careful crime rates in the community. decisionmaking process was undertaken before it was implemented. Effective policies and procedures DEVELOP POLICIES AND PROCEDURES are also important for generating funding support for a program. A funding source that can view the Policies and procedures for supervising offend- purpose and operational guidelines of a program ers electronically must be integrated and consistent in written form is more likely to want to invest in with other program and agency policies and proce- the program (Crowe & Schaefer, 1992). dures. Policies are the general course of action for There are several essential elements that should a program, and they determine the way specific de- be incorporated in a policy document, including: cisions are made. Procedures provide the specific • The purpose of the program. “how to” for implementing a program. • The legal authority and limitations of the Much agency policy is informal. Consider agency program. norms for beginning the work day. Most agencies • The offenders who will be included in the pro- have an official start time or a specified number of gram. hours to be worked each day. However, in some • The specific procedures that will be used. agencies, it is acceptable for people to arrive within • Staff duties and responsibilities. 15 minutes of their designated starting time. In other • Selection and procurement of equipment and agencies, as long as employees are in the building services. at the starting time, everything is fine. In still other • Operational costs and funding. agencies, employees are expected to arrive and be • How offender compliance or noncompliance at their desks working at the appointed starting time. will be addressed. Variations from the official policy may be accept- • Roles and relationships with other agencies/ able for starting the work day, but when operating organizations (e.g., treatment providers, ven- an electronic supervision program component, it is dors, equipment manufacturers). important to have all policies and procedures writ- • Documentation and program evaluation. ten clearly and followed by all involved staff. • Dissemination of information and public Written policies and procedures are the result relations. of conscious decisionmaking. The lack of clear poli- These areas will be addressed in more detail in cies results in uncertainty on the part of staff. Sound subsequent chapters of this guide. The information policies help protect the agency and staff from pos- provided will assist agencies in considering various sible legal liability resulting from improper actions policy and procedural options for an electronic su- on the part of staff (Crowe & Schaefer, 1992). pervision program component.

Offender Supervision with Electronic Technology 15 CONCLUSION ment, determining the program purpose and goals, and developing policies and procedures. The follow- This chapter laid the groundwork for getting ing chapters will provide detailed information on started on developing or enhancing a program com- each of the other decision points suggested, including ponent to supervise offenders electronically. A series of nine decisions in the development process were legal issues, funding, selecting and procuring tech- shown in figure 2a. This chapter provided infor- nology and services, supervising offenders, devel- mation on identifying and engaging leaders and oping a public relations plan, and evaluating the stakeholders, conducting needs and resources assess- program.

16 Chapter 2 Chapter 3 LEGAL ISSUES

Before going any further in the development the District of Columbia were searched using this and implementation of an electronic supervision site; however, such limited research cannot be char- strategy, agencies must investigate legal issues includ- acterized as exhaustive. The information offered here ing legislation, regulations, and case law. This chapter is intended only to provide a general idea of the summarizes key points to consider when examin- kinds of electronic supervision legislation presently 1 ing legislation and case law . on the books. Agencies should research legislation and regulations applicable to their own jurisdictions NOTE: This chapter and other parts of this thoroughly before proceeding with program devel- document are intended to provide reference infor- opment. It also may be useful to research public mation to guide program development, but they policies from other jurisdictions when considering do not give legal advice. The legislation and legal legislative solutions for specific issues. citations in this chapter were compiled during 2000 but do not necessarily represent an exhaustive Authorization for Electronic Supervision search of legislation and case law. Agencies should consult local legal counsel for further guidance The use of electronic supervision as a correc- about legislation and legal issues in a particular lo- tional option is authorized in the statutes of at least cality. Regular reviews and updating of legislation 40 states. Although each state has worded its legisla- and case law affecting a given jurisdiction should tion differently, below are examples from Florida, be included as part of the agency’s policies and Kansas, New Hampshire, and New York. procedures. 1. Florida Statutes, Title XLVII, 948.03(2): (a) The court shall require intensive supervision LEGISLATION and surveillance for an offender placed into community control, which may include but is When developing or enhancing a program com- not limited to . . . supervision by the Depart- ponent for supervising defendants or offenders elec- ment of Corrections by means of an electronic tronically, agencies must examine State legislation monitoring device or system. (b) For an offend- and regulations that may enable or restrict the use er placed on criminal quarantine community of electronic technologies for offender supervision. control, the court shall require . . . electronic The following is derived from research that was monitoring 24 hours per day. conducted in 2000 into State legislation relating to 2 2. Kansas Statute 21-4603b: (a) The court or electronic supervision . The research was done the secretary of corrections may implement a through a Web site operated by the Graduate School house arrest program for defendants or in- of Library and Information Science at the University mates being sentenced by the court or in the of Illinois, Urbana-Champaign (www.prairienet.org/ custody of the secretary of corrections . . . (b) ~scruffy). The statutes of each of the 50 states and House arrest is an individualized program in ______which the freedom of an inmate is restricted 1 A variety of resources are available for updating legislative within the community, home or noninstitution- and case law information. Among these are The Journal of al residential placement and specific sanctions Offender Monitoring and Probation and Parole Law Reports. Both state and national criminal justice associations also may be able are imposed and enforced. House arrest may to provide assistance with updated information. include: . . . electronic monitoring which requires 2 Throughout this book, the phrase “electronic supervision” a transmitter to be strapped to the defendant is used to better represent the array of technological options. or inmate which broadcasts an encoded signal However, most legislation uses the phrase “electronic moni- to the receiver located in the defendant’s or toring” as a generic phrase. inmate’s home. The receiver is connected to a 3 Although the Kansas legislation provides an example of en- central office computer and is notified of any abling legislation for electronic supervision, the prescriptive absence of the defendant or inmate . . .3 language used at the end of the quotation limits the specific technology that can be used. It may be better to word legislation 3. New Hampshire Title 62, Criminal Code more generally to accommodate the rapid changes in technology. 651:2-V(b): In cases of persons convicted of

Offender Supervision with Electronic Technology 17 felonies or class A misdemeanors, or in cases including, but not limited to, the transmission of of persons found to be habitual offenders still visual images which do not concern the parolee’s within the meaning of RSA 259:39 and con- activities while inside his residence. A device which victed of an offense under RSA 262:23, the sen- is capable of recording or transmitting: (a) oral or tence may include, as a condition of probation, wire communications or any auditory sound; or (b) confinement to a person’s place of residence information concerning the parolee’s activities while for not more than one year in case of a class A inside his residence, must not be used.” Section misdemeanor or more than 5 years in case of a 1203.016(b)(3) of the California Penal Code speci- felony. Such home confinement may be moni- fies that “[electronic supervision] devices shall not tored by a probation officer and may be supple- be used to eavesdrop or record any conversation, mented, as determined by the department of except a conversation between the participant and corrections or by the county department of cor- the person supervising the participant which is to rections, by electronic monitoring to verify be used solely for the purposes of voice identifica- compliance. tion.” In Section 24-13-1520 of its Home Detention 4. New York State Consolidated Laws: Penal, Act, South Carolina defines an approved electronic Article 65, Section 10(4): When imposing a sen- monitoring device as one that is “primarily intended tence of probation the court may . . . require to record and transmit information as to the the defendant to submit to the use of an elec- defendant’s presence or nonpresence in the home. tronic monitoring device and/or to follow a . . . An approved electronic monitoring device may schedule that governs the defendant’s daily be used to record a conversation . . . solely for the movement. Such condition may be imposed purpose of identification and not for the purpose only where the court, in its discretion, deter- of eavesdropping or conducting any other illegally mines that requiring the defendant to comply intrusive monitoring.” with such condition will advance public safety, Other states specify characteristics of electronic probationer control or probationer surveil- supervision equipment that may be used, as was the lance. Electronic monitoring shall be used in case with the Kansas legislation cited earlier in this accordance with uniform procedures develop- chapter. A less prescriptive example is found in Ar- ed by the division of probation and correctional kansas’ home detention legislation (16-93-708(a)), alternatives. which allows the use of “any electronic device ap- As can be seen in these examples, authorizing proved by the board of correction which meets the legislation may take the form of a mandate requir- minimum Federal Communications Commission ing the use of electronic monitoring as in Florida, regulations and requirements, and which is limited or it may take the form of enabling legislation, as in capability to recording or transmitting informa- seen in the other examples above. The different en- tion as to the criminal defendant’s presence in the tities that are authorized to implement electronic home.” supervision, including the court (Florida, Kansas, and New York) and corrections agencies (Kansas Contracting for Services/Devices and New Hampshire), are also represented here. Some state legislation authorizes departments Several states specifically prohibit certain uses of corrections to contract for equipment or services for electronic supervision and/or restrict the types to implement electronic supervision. Under s. of devices that may be used. For example, in KRS 938.533(2), Wisconsin authorizes the Department 532.200(5) Kentucky mandates that “No monitor- of Corrections to “purchase or provide electronic ing device capable of recording or transmitting: (a) monitoring for the intensive surveillance of [cor- visual images other than the defendant’s face; (b) rective sanctions] program participants.” Wisconsin oral or wire communications or any auditory sound also provides that “the department may contract with other than the defendant’s voice; or (c) information counties to provide electronic monitoring services as to the prisoner’s activities while inside the home; relating to criminal offenders. The department shall shall be approved.” Similarly, Nevada specifies in charge a fee to counties for providing these services,” NRS 213.124 that “The [electronic supervision] under s. 301.135(1). device must be minimally intrusive and limited in The Wyoming Department of Corrections is capability to recording or transmitting information authorized under 7-13-1102(c) to contract, with or concerning the parolee’s presence at his residence, without competitive bidding, “with any governmen-

18 Chapter 3 tal or nongovernmental entity to provide services and any good-time credit shall be credited against required to carry out the provisions” of their inten- the defendant’s sentence” (16-93-708). In Indiana, sive supervision program, which includes electronic IC 35-38-2.5-5 (e) provides that “A person confined monitoring. on home detention as a condition of probation State regulations may further define policies and earns credit for time served.” procedures for contracting specifications. Florida However, in Texas, Article 42.035(d) states that stipulates in Title XLVII (948.11) that “the department “A defendant who submits to electronic monitoring [of corrections] shall issue a request for proposal or participates in the house arrest program under for electronic monitoring devices to be utilized by this section discharges a sentence of confinement the department for purposes of electronic monitor- without deductions, good conduct credits, or ing under this section or any other section of law commutations.” which authorizes electronic monitoring. Electronic In 973.03(4)(a), Wisconsin allows the court to monitoring devices certified for use by the depart- “impose a sentence of detention at the defendant’s ment must be licensed by the FCC, must be capable place of residence or other place designated by the of maintaining full operation on a backup power court” in lieu of imprisonment in the county jail. source for 8 hours, and must meet such other nec- This statute further provides: “The length of deten- essary and vital specifications as may be set by the tion may not exceed the maximum possible period department for tamper-alert, efficient, and economi- of imprisonment. The detention shall be monitored cal usage. The provisions of this section do not ap- by the use of an electronic device worn continuously ply to passive devices.” on the defendant’s person and capable of providing positive identification of the wearer at the detention Certification of Electronic Supervision location at any time.” In addition, 973.155-Annot. Equipment/Services states: “When a sentence has been withheld and Only one example of legislation was found that probation imposed, sub. (2) gives the court exclu- required certification of equipment and services for sive authority to determine sentence credit in im- electronic supervision. In Ohio, 2929.23(C)(1) proposing a postprobation sentence. A person subject vides that the superintendent of the Bureau of to electronic monitoring, but not locked in the Criminal Identification and Investigation “shall cer- home at night, was not in custody and not entitled tify for use in cases of electronically monitored house to sentence credit. State v. Olson, 226 Wis.2d 457, arrest, electronically monitored house detention, 595 N.W.2d 460 (Ct. App. 1999).” and electronically monitored early release specific Escape types and brands of electronic monitoring devices Most state legislation is consistent on issues re- and electronic monitoring systems that comply with lated to an offender’s tampering with equipment the requirements of this section, section 5120.073 or leaving the area to which they are confined with- of the Revised Code, and those rules. Any manufac- out permission. These acts are often treated simi- turer that, pursuant to this division, seeks to obtain larly to prison or jail escapes. California Penal Code the certification of any type or brand of electronic 4532(a)(1) states that every prisoner who is “a par- monitoring device or electronic monitoring system ticipant in a home detention program . . . and who shall submit to the superintendent an application thereafter escapes or attempts to escape from . . . for certification in accordance with those rules to- the place of confinement in a home detention pro- gether with the application fee and costs of certifi- gram . . . is guilty of a felony and, if the escape or cation as required by those rules.” attempt to escape was not by force or violence, is punishable by imprisonment in the state prison for Requirements of Offenders a determinate term of one year and one day, or in a Some state legislation addresses issues related county jail not exceeding one year.” When such es- to offender participation in electronic supervision. cape or attempt to escape is committed by force or As seen in the examples cited, legislation often di- violence, it is “punishable by imprisonment in the verges on these issues, as is also the situation with state prison for two, four, or six years to be served case law that addresses these topics. consecutively, or in a county jail not exceeding one Custody/Credit for Time Served year. When the second term of imprisonment is to Arkansas provides that “the length of time the be served in a county jail, it shall commence from defendant participates in a home detention program the time the prisoner otherwise would have been

Offender Supervision with Electronic Technology 19 discharged from jail” (4532(a)(2)). Part 3 of 4532(a) chief probation officer, or correctional administra- provides that “A conviction of a violation of this tor, and without a warrant of arrest, take the person subdivision . . . that is not committed by force or into custody.” violence, shall not be charged as a prior felony con- In Indiana, IC 35-38-2.6-5 covers offender vio- viction in any subsequent prosecution for a public lation of the terms of placement in a community offense.” corrections program, which includes electronic su- Indiana’s IC 35-38-2.5-6 requires that an order pervision. This statute reads: “If a person who is for home detention of an offender must include placed under this chapter violates the terms of the “notice to the offender that violation of the order placement, the court may, after a hearing, do any of for home detention may subject the offender to the following: (1) change the terms of the place- prosecution for the crime of escape under IC 35- ment. (2) continue the placement. (3) revoke the 44-3-5,” which states that, “A person who knowingly placement and commit the person to the depart- or intentionally violates a home detention order and ment of correction for the remainder of the person’s intentionally removes an electronic monitoring de- sentence.” vice commits escape, a Class D felony.” Payment for Electronic Supervision Nevada provides for penalties for absence with- Many states (at least 28) include statutory provi- out authorization or tampering with an electronic sions as to how electronic supervision programs are device under NRS 212.220, which states that a per- to be funded. Public monies are allocated for the son being electronically supervised for an arrest, electronic supervision programs in at least six of charge, or conviction of a felony or gross misde- these states. In addition, at least 26 states require meanor who “(a) is absent or attempts to be absent the offender to pay a portion of the costs involved; [without authorization] from his residence, employ- however, none of these states exclude offenders who ment, or other activity authorized by the supervising are unable to pay from participating in the program. agency; or (b) removes or disables or attempts to remove or disable the electronic device used to su- LEGAL STATUS OF PERSONS BEING pervise the person, is guilty of a gross misdemeanor.” SUPERVISED ELECTRONICALLY This constitutes a misdemeanor offense for those The rights of convicted offenders are dimin- being electronically supervised after being arrested ished, but still they retain many of the rights afforded for, charged with or convicted of a misdemeanor. by the Constitution of the United States. Youthful NRS 212.220 further states, “A sentence imposed offenders’ rights may be restricted even further be- pursuant to this section must run consecutively with cause of their age (e.g., they may not legally use al- the sentence imposed for the original offense.” cohol, purchase cigarettes, drive a car). On the other Violation/Revocation/Sanctions hand, defendants who are arrested but not convicted Legislation varies on the responses that may be of a crime enjoy most of the rights and privileges of made when escapes or tampers occur. In Arizona, if any citizen. When examining legal issues, it is im- the court “finds that the prisoner left the premises portant to distinguish the legal status of those who without permission of the court or supervising may be supervised with electronic technologies and authority during a time the prisoner is ordered to to plan program goals, strategies, and responses to be on the premises,” the court “shall terminate a violations accordingly. prisoner’s participation in the home detention Prior to trial and adjudication, defendants are program and require the prisoner to complete the considered legally innocent, and their rights are remaining term of the jail sentence by jail confine- protected from the power of the State even though ment” (9-499.07(P)). they may be confined to ensure they appear for trial According to California’s Penal Code 9006(d), or to protect the public. Supervision with electronic “Whenever a parole or probation officer, or any technology may be substituted for pretrial confine- other peace officer supervising a participant has ment to achieve these same purposes (Mullendore reasonable cause to believe that the participant is & Ballard, 2000). not complying with the rules or conditions of a con- Once a defendant is found guilty (through a plea tinuous electronic monitoring program, or that any or adjudication) or granted deferred adjudication electronic monitoring devices are unable to function in a criminal case, the response of the justice sys- properly, the peace officer may, under general or tem may include goals of punishment and rehabili- specific authorization of the Director of Corrections, tation of the offender as well as the protection of

20 Chapter 3 the public. Electronic supervision technologies may be used to accomplish any or all of these goals Table 3a (Mullendore & Ballard, 2000). RELEVANT CONSTITUTIONAL AMENDMENTS CONSTITUTIONAL ISSUES Fourth Amendment Del Carmen and Vaughn wrote a ground break- The right of the people to be secure in their ing article about legal issues in the use of electronic persons, houses, papers, and effects, against unrea- surveillance of probationers in 1986 when the use sonable searches and seizures, shall not be violated, of electronic supervision technology was relatively and no Warrants shall issue, but upon probable new and before any relevant court cases had been cause, supported by Oath or affirmation, and par- decided. However, their examination of constitu- ticularly describing the place to be searched, and tional issues provides a valuable framework for ex- the persons or things to be seized. ploring legal issues. With it, examples of some recent Fifth Amendment challenges and appellate decisions will be provided. No person shall be held to answer for a capital, Del Carmen and Vaughn (1986) identified four or otherwise infamous crime, unless on a present- general elements needed for a probation condition ment or indictment of a Grand Jury, except in cases to be valid. With minor variations, these also would arising in the land or naval forces, or in the Militia, apply to pretrial and parole conditions for commu- when in actual service in time of War or public dan- nity release. Conditions must be: ger; nor shall any person be subject for the same • Reasonably related to the protection of society offence to be twice put in jeopardy of life or limb; nor shall be compelled in any criminal case to be a and/or the rehabilitation of the individual. (As pre- witness against himself, nor be deprived of life, lib- trial defendants are legally innocent, the condition erty, or property, without due process of law; nor related to rehabilitation generally would not apply shall private property be taken for public use, with- to them.) out just compensation. • Clear. • Reasonable. Eighth Amendment • Constitutional. Excessive bail shall not be required, nor ex- Protection of society and the rehabilitation of cessive fines imposed, nor cruel and unusual offenders are such strong and broad justifications punishments inflicted. for a condition of release that almost any condition Fourteenth Amendment meets this requirement. Program goals that use elec- All persons born or naturalized in the United tronic technology to limit offenders’ movements in States, and subject to the jurisdiction thereof, are the community or restrict access to psychoactive citizens of the United States and of the State substances or undesirable associates could be justi- wherein they reside. No State shall make or enforce fied as protecting the public. Similarly, goals for elec- any law which shall abridge the privileges or im- tronic supervision strategies that could be viewed munities of citizens of the United States; nor shall as rehabilitation might include holding offenders any State deprive any person of life, liberty, or property, without due process of law; nor deny to any accountable, helping them develop more structured person within its jurisdiction the equal protection lifestyles, and keeping them from using mood alter- of the laws. ing substances or committing new crimes. Clear conditions mean the offenders must understand them. To ensure that conditions are clear, justice amendments. Although few cases have been brought system personnel (e.g., pretrial, probation, parole or won using these challenges, program adminis- officers) should explain them fully and ensure the trators should be aware of them when using elec- defendants or offenders know what would consti- tronic technologies. Table 3a provides a list of the tute a violation of the condition. Reasonable condi- constitutional amendments that might be used to tions must be fair and achievable by the individual challenge electronic supervision. (Del Carmen & Vaughn, 1986). Potential constitutional challenges to the use of Unreasonable Searches electronic technologies for supervision of offend- In general, courts have held that rights of ers might center around several constitutional offenders on community supervision are not vio-

Offender Supervision with Electronic Technology 21 lated by the requirement that they submit to war- whether a constitutional claim is upheld. In criminal rantless searches (e.g., Griffin v. Wisconsin, 107 S.Ct. trials, challenges against testimonial self-incrimina- 3164, 1987). Skelton (1999a, p. 13-14) concludes: tion are more often upheld, because guilt must be If the Supreme Court will authorize the war- proved beyond any reasonable doubt. In revocation rantless, unannounced entry and search of a hearings, they usually fail, because the question of probationer’s home by his probation officer guilt relies upon the preponderance of evidence accompanied by police officers (as was the case (Del Carmen & Vaughn, 1986). in Griffin), then the invasion of privacy incident to an unobtrusive electronic monitoring Due Process device is minor indeed. Certain procedures must be followed before In reality, electronic technologies only enhance persons can be deprived of their freedom. In the the ability of justice system personnel to accomplish case of United States v. Enjady (1996 WL 80453, 10th the same objectives that ordinary visual surveillance Cir. 1996), the offender had been charged with could achieve (Del Carmen & Vaughn, 1986). No aggravated sexual abuse and was denied pretrial challenges to electronic supervision technologies release on electronic supervision based on his fur- have thus far been brought using the constitutional ther potential threat to public safety. The court is protection against unreasonable searches, and most responsible for determining by clear and convincing legal opinions to date do not expect that such chal- evidence that a defendant is a danger to the commu- lenges would be successful. nity and this should be based on consideration of various factors. Due process rights are not violated Double Jeopardy when a court uses such factors and makes a deter- One appellate decision has addressed the issue mination to deny pretrial release on electronic su- of double jeopardy in a case involving electronic pervision (Legal Spotlight, 1996). supervision (State v. Kovari, 1997 Wash. App. LEXIS In another case (Long v. State, 1999 WL 974429, 718; Wash. Ct. App. 1997). In the case, the offender Ind. App. Oct. 27, 1999), the court found in favor who was supervised electronically violated his proof the plaintiff who claimed his due process rights bation conditions by leaving without permission, were violated while he was being supervised with going to an unapproved destination, and drinking electronic technology. The State claimed Long had alcohol. The court imposed an additional 30 days tampered with his electronic monitoring transmit- of his sentence to be spent in jail. The prosecutor ter and failed to wear it at all times. Therefore, his also charged him with escape. He was convicted and probation was revoked. Long’s Home Detention sentenced for the escape. He appealed claiming Order stipulated that he not “tamper with, attempt double jeopardy. However, the appellate court de- to fix, or allow anyone else to tamper with the trans- termined that “[r]evocation of a suspended sen- mitter equipment.” Long maintained he had tripped tence is not a new prosecution but a continuing and fallen, damaged the unit, and had attempted consequence of an earlier prosecution” and deter- to fix it. The appellate court overturned Long’s re- mined that double jeopardy did not exist (Skelton, vocation on the basis of due process violations. The 1999b). The offender could be sanctioned for vio- State had charged him with tampering, while the lation of probation conditions and simultaneously misdeed in question was attempting to fix the trans- face new charges of escape. mitter. The court found that being notified of the wrong charge was the same as not being notified at Right Against Self-Incrimination all. Being notified of the wrong charge compro- The constitutional protection against self- mised the defendant’s ability to prepare his defense incrimination applies to testimony given orally (Mr. Fix-It . . ., 2000). rather than physical evidence. Although the infor- Neither of these cases imply that use of elec- mation gleaned from electronic supervision can tronic technology for supervising offenders, in and provide evidence of a person’s noncompliance with of itself, is likely to be challenged on due process conditions of release, the offender is not required grounds. However, agencies implementing elec- to confess regarding his or her actions. Thus, electronic supervision technologies must have policies tronic technology evidence would fall outside this and procedures in place that protect offenders’ due domain of constitutional protection. The type of process rights. As with other types of technology legal proceeding in question largely determines used in criminal and juvenile justice cases (e.g.,

22 Chapter 3 urine drug testing), the technology must be accu- strategy is to limit the program to certain geographic rate and meet scientific standards acceptable to areas where offenders are more likely to have the courts. Should a revocation be based solely on the resources to pay for electronic supervision. Offend- technological evidence, the methodology used must ers receiving government benefits, such as Social have a high degree of accuracy (Del Carmen & Security, may have income sufficient to pay the cost Sorensen, 1988). for electronic supervision and, therefore, may have an advantage over other offenders with similar quali- Cruel and Unusual Punishment fications but no such benefits (Mullendore & Electronic technologies might be challenged on Ballard, 2000). the basis of the constitutional protection against Besides direct payment for electronic supervi- cruel and unusual punishment if release conditions sion, offenders may be required to maintain other are excessively harsh or an offender is unlikely to services with fees attached. For example, in the case have the ability to comply with them. It can be as- of State v. Byrd, 2000 Tenn. Crim. App. LEXIS 670, sumed that an offender released to the community Byrd was revoked from community supervision has the choice (albeit not an attractive one) to remain because he failed to abide by his curfew and to main- incarcerated. Therefore, release and compliance tain an operational telephone for electronic super- with related conditions can be considered voluntary. vision at his residence. Byrd claimed the telephone Del Carmen and Vaughn (1986) stated that elec- was disconnected for nonpayment of the bill. The tronic devices do not appear to violate the standard appeals court remanded the case to the trial court against cruel and unusual punishment, as it is less to determine if Byrd willfully refused to pay for the restrictive and more humane than incarceration. services or failed to make an effort to obtain the They concluded that the effects of electronic super- means to pay. The conclusion of the appeals court vision are not oppressive nor humiliating to the was that if an inability to pay is not the fault of the offender. offender, then that inability should not be used as the basis for incarceration (Kozlowski, 2000b). These examples illustrate administrative pro- Equal Protection gram decisions that might result in equal protection The fourteenth amendment guarantees all challenges. Eligible participants should be defined people equal protection of the law. It is in this area in terms other than their financial resources, and that some writers believe challenges to electronic funding mechanisms should not unduly limit access supervision might occur and where program admin- to electronic supervision by any particular group of istrators must plan carefully. It is common for agen- offenders. If agencies want to consider a sliding scale cies to charge offenders some or all of the cost of that charges some offenders more than the actual the electronic supervision. This usually includes cost of their electronic supervision in order to pro- equipment costs and also may include the costs for vide additional funds for indigent clients, State and monitoring and staff time. When indigent defen- Federal statutes and case law should be researched. dants, who otherwise would be eligible for release Another option for agencies to consider is supple- on electronic supervision, are incarcerated because menting offender fee payments with jurisdictional they cannot afford to pay, the program may face legal funds that can be used to offset costs for offenders challenges (Del Carmen & Vaughn, 1986). who are unable to pay for services. One mechanism for avoiding this type of challenge is to establish a sliding fee scale that will allow OTHER LEGAL ISSUES offenders of all income levels to be supervised electronically. However, in some cases, when sliding fees Besides the constitutional challenges just dis- are used, those with the ability to pay may be admit- cussed, several appellate case law decisions have ted immediately, while those who are indigent may been made, and program planners should consider be placed on waiting lists for a limited number of these issues. free or low-priced program openings. When electronic supervision is administered by a private Custody agency that depends on client fees, a requirement Courts have been divided on whether time spent for enrollment may be employment of the offender, on electronic supervision is comparable to physical but this also is likely to eliminate low-income offend- confinement in jail or prison. The decisions on this ers from participating (Petrucci, 2000). Another question may be viewed differently depending on

Offender Supervision with Electronic Technology 23 whether electronic supervision is used pretrial or an institution, whether for work, medical care post-adjudication. They also have important ramifi- or otherwise. We believe defendant’s place of cations for how courts view subsequent issues such residence fit the definition of a “prison” un- as credit for time served and escapes. der the escape statute (State of Michigan Court Several courts have determined that electronic of Appeals, April 16, 1990, p. 2). supervision is not equivalent to custody. In United Similarly, in a Maryland case (Dedo v. State, 680 States v. Compton (Ill 1996 WL 207351, 7th Cir. 1996, A.2d 464, Md. Ct. App. 1996), the court relied upon April 29, 1996), the court held that (Legal Spotlight, a 1991 opinion of the State’s attorney general that 1996, p. 17): home detention is the same as being held in a local [T]his circuit has recently clarified and deter- detention center because the prisoner’s home is an mined that electronic home detention is not a extension of the detention center (Skelton, 1999b). form of “imprisonment” for purposes of the In a Washington case (State v. Speaks, 829 P.2d 1096, Federal Sentencing Guidelines… Wash. 1992), the State Supreme Court ruled that “[I]mprisonment,” at least in the context of the “confinement includes partial confinement, and Guidelines, denotes time actually spent in a partial confinement includes home detention” penal institution. 68 F.3d 159, 162 (7th (Skelton, 1999b). Cir.1995). Specifically, the court noted that “‘home detention’ differs from ‘imprisonment’ Credit for Time Served throughout the imprisonment.” Pretrial Similarly, in State v. Swadley (526 N.W.2d 778, Wis. States often grant offenders credit for time Ct. App. 1994), the Wisconsin Court of Appeals served prior to sentencing. The rationale for this determined that an offender was not in custody practice is the need to provide equitable treatment while living in his parents’ home on electronic su- for lower income defendants who are likely to re- pervision. In Nebraska (State v. Jordan, 485 N.W.2d main in jail until trial because they cannot afford 198, Neb. 1992) the Supreme Court ruled that bail. Because of their economic, rather than their (Skelton, 1999b, p. 20) legal status, they are likely to be incarcerated longer “[I]n custody” means judicially imposed physi- for the same crimes (Mullendore & Ballard, 2000). cal confinement in a governmental facility au- Again, courts are divided as to whether pretrial time thorized for detention, control, or supervision spent on electronic supervision makes an offender of a defendant before, during, or after a trial eligible to have that time applied toward his or her on a criminal charge. sentence. The question of whether supervision with Additional cases that have found electronic su- electronic technology is considered custody, as dis- pervision is not equivalent to being in custody in- cussed previously, is often the pivotal issue in making clude State v. Truesdale, 1995 Ohio App. LEXIS 5457 this determination. In Reno v. Koray (515 U.S. 50, (Ohio Ct. App. 1995); Fraley v. U.S. Bureau of Prisons, 1995), the U.S. Supreme Court ruled that (Skelton, 1 F.3d 924 (9th Cir. 1993); United States v. Speas, 1991 1999b, p. 19) U.S. App. LEXIS 11317 (4th Cir. 1991) (Skelton, [O]nce a person is released on bail to a treat- 1999b); State v. Hughes, 476 S.E.2d 189 (W. Va. 1996); ment center (no matter how onerous the con- Ex parte Bailey v. Change, 1998 Ohio App. LEXIS 4401 ditions of confinement), he is no longer under (1998) (Skelton, 1999b); and In re Sheree M., 2000 Bureau of Prisons’ control, and thus is not in Ariz. App. LEXIS 61 (Kozlowski, 2000a). official detention and not entitled to credit Other courts have ruled differently, claim- time. ing that time spent on electronic supervision is Other Federal courts have also determined that equivalent to time spent in custody. In People v. pretrial time spent on electronic supervision does Granquist, the Michigan Court of Appeals deter- not entitle an offender to credit for time served. mined that electronic supervision in the defendant’s These cases include Fraley v. U.S. Bureau of Prisons, 1 home was comparable to imprisonment: F.3d 924 (9th Cir. 1993); United States v. Speas, 1991 The escape statute defines “prison” liberally to U.S. App. LEXIS 11317 (4th Cir. 1991); and United include any grounds under control of any per- States v. Herrera, 913 F.2d 761 (11th Cir. 1991) son authorized by the Department of Correc- (Skelton, 1999b). tions to have an inmate under care, custody or Several State courts have ruled similarly that supervision, either in an institution or outside pretrial release on electronic supervision cannot be

24 Chapter 3 used as credit toward sentencing. A Pennsylvania late court relied on two opinions from the State’s case illustrates this practice. In Commonwealth v. attorney general’s office to determine that in the Shartle, 652 A.2d 874 (Pa. Super. Ct. 1995), a de- case of a prisoner confined on home detention, the fendant sought credit for time he spent being elec- home is an extension of the detention center and tronically supervised in home confinement. The the person is in the custody of the Division of Cor- Pennsylvania Supreme Court upheld the trial court’s rections. Therefore, the appellate court found that decision that house arrest was not the same as im- the offender should be given credit for time served prisonment, saying imprisonment would require (Skelton, 1999b). confinement in an institutional setting. Therefore, Similarly, the Washington State Supreme Court credit time was denied. A recent Wisconsin Supreme (State v. Speaks, 829 P.2d 1096, Wash. 1992) held that Court decision (State v. Magnuson, 2000 WI 19, 606 a defendant was entitled to credit against his N.W.2d 436) made a similar decision with a some- sentence for presentence time served on home what different rationale. Magnuson sought credit detention while being electronically supervised. The for time he spent in home detention before his trial. justices ruled that the statute “provides for credit The court established a “bright-line” rule for deter- for ‘all’ confinement, and since confinement in- mining if an offender was in custody. They ruled cludes partial confinement, and partial confinement that “. . . for sentence credit purposes an offender’s includes home detention, it is evident that the Leg- status constitutes custody whenever the offender is islature intended to afford a defendant credit for subject to an escape charge for leaving that status” time served on home detention prior to sentenc- (Kozlowski, 2000a). Other cases refusing offenders ing.” The Washington appellate court later applied credit on their sentences for pretrial time spent on this ruling to a juvenile case, State v. Ashbaker, 919 electronic supervision include People v. Shaw, 64 Cal. P.2d 619 (Wash. Ct. App. 1996) (Skelton, 1999b). App. 4th 492 (Cal. Ct. App. 1998); State v. Climer, Post-Adjudication 896 P.2d 346 (Idaho Ct. App. 1995); Franklin v. State, Some post-adjudication cases regarding credit 685 N.E.2d 1062 (Ind. 1997); State v. Mastapeter, 674 time rest upon whether a person could be charged A. 2d 1016 (N.J. Super. Ct. App. 1996); and Tagorda with escape from custody. For example, the Wyo- v. State, 977 S.W.2d 632 (Tex. Ct. App. 1998) ming Supreme Court, in Kupec v. State (835 P.2d 359, (Skelton, 1999b). Wyo. 1992) said the defendant would not be charged An interesting variation on the question of credit with escape from a treatment program that included for pretrial release on electronic supervision is found electronic monitoring, and thus, was not eligible for in State v. Truesdale, 1995 Ohio App. LEXIS 5457 credit for time served in the program. The ruling, (Ohio Ct. App. 1995). In this case, the defendant was granted pretrial release in August, and was in part, states (Skelton, 1999b, p. 19): scheduled for trial the following January. A Speedy While certain similarities may exist between Trial statute in Ohio requires a person charged with home detention and a particular community a felony to be brought to trial within 270 days of correctional facility, Wyoming grants credit for arrest when held in jail in lieu of bail. The defen- the time spent in those environments from dant claimed that time spent on home confinement which a charge of escape would lie, and a under electronic supervision entitled him to the charge of escape would not lie in this case. benefit of the 3-for-1 provision of the statute, and In the case of Barton v. State, 598 N.E.2d 623 (Ind. he asked that the charges be dismissed. The appel- Ct. App. 1992), an offender was given a four-year late court refused, reasoning that home confinement suspended sentence and placed on probation. He with electronic monitoring was not comparable to was ordered to serve one year on electronically su- being held in jail. pervised home detention. After he completed his However, some courts have ruled differently, home detention, the offender violated probation, saying that offenders are entitled to credit for pre- and it was revoked. The original sentence was im- trial release time spent on electronic supervision. posed without credit for time served in home de- In Dedo v. State, 680 A. 2d 464 (Md. Ct. App. 1996) tention. The court’s reasoning in refusing the credit the defendant requested credit for time served on was that home detention is a benefit to offenders. home detention. The trial court did not allow the They denied that refusing credit for time served on credit based on the incomparability between home home detention amounted to cruel and unusual detention and jail. However, the Maryland appel- punishment as the offender claimed (Skelton, 1999b).

Offender Supervision with Electronic Technology 25 Another case that concurred that post-adjudi- Violations and Escapes cation time spent on electronic supervision does not How cases of violations of electronic supervision entitle the offender to credit for time served is State conditions are decided often depends on State v. Jordan (485 N.W.2d 198, Neb. 1992). The court statutes. In some States they are treated as other decided that the offender was not in custody because violations of probation or parole conditions, and in he was not physically confined in a government others, they may be prosecuted as escapes. In large facility and was not qualified for credit (Skelton, part, this depends on how the statutes or courts have 1999b). interpreted the issue of whether electronic supervi- In other instances, courts have agreed that sion constitutes being in custody as well as the in- offenders should receive credit for time spent on tended purpose of the supervision and at what point electronic supervision. In State v. Rohde, 492 N.W.2d it occurs in the justice system. 189 (Wis. Ct. App. 1992), the court credited the of- Revocations for Violations fender for time spent in a community residential Several cases illustrate that offenders’ behavior, confinement program because he would have been either directly or indirectly related to electronic subject to escape charges if he had absconded from supervision, can properly result in revocation of the program. Therefore, they reasoned, such con- community release. finement is the same as “custody” for purposes of Refusal to Cooperate. An offender convicted of granting credit for time served (Skelton, 1999b). aggravated robbery was placed on electronic moni- In a Wisconsin case (State v. Pinkowski, 514 N.W. toring for 90 days in the case of Fields v. State, 1997 2d 56 Wis. Ct. App. 1993) the court found the Tex. App. LEXIS 34, 1997. He was required to re- offender was entitled to credit for time served, but move the call waiting feature from his telephone the credit could be applied only for one of his two and to disconnect his answering machine. He did concurrent sentences of probation. He was origi- not comply with these requirements and also left nally sentenced to two concurrent sentences of pro- his home at an unauthorized time. Because of this, bation including 120 days of electronic monitoring. his probation was revoked and the appellate court Almost two years later, his probation was revoked affirmed the revocation (Skelton, 1999a). and he was sentenced to consecutive terms of nine In another Texas case (Medlock v. State, 1996 Tex. and six months in jail. Although he argued that he App. LEXIS 1375, 1996), the probationer com- should be given credit against both these sentences plained the electronic monitoring did not fit his for the time he served on electronic monitoring, schedule and he did not want to be on the monitor. the court refused, and credit was given only for one The probation officer told the probationer that he of the sentences. could not force him to be monitored. To this, the Cook, a California offender (People v. Cook, 14 probationer replied, “Well, I’m going to take this Cal. App. 4th 1467, Cal. Ct. App. 1993) was placed thing off,” whereupon he took scissors and cut the on probation with electronic monitoring. When his device off his leg. At his revocation hearing the pro- probation was later revoked for violations, he was bationer claimed that he had told his probation offi- credited for 212 days served on electronic monitor- cer the unit was defective and asked that a technician ing. However, he asserted that he should also receive check it. The probationer said the probation officer “good time” credit for an additional 106 days. The responded by throwing a pair of scissors at him and appellate court refused this argument based on the telling him to cut off the device. The court believed determination that good time in prison is to ensure the probation officer and revoked the probation, good conduct, and that rationale is absent in com- which was upheld by the appellate court. munity supervision under electronic supervision. In State v. Kelly, 644 A.2d 454 (ME. 1994), the They reasoned that the threat of removal from the probationer was placed on intensive supervision and program was sufficient to deter misbehavior in com- received written warnings for violations. He was also munity programs using electronic monitoring (Skel- informed that he was going to be placed on electron- ton, 1999b). The Indiana Court of Appeals arrived ic monitoring. The offender came to the probation at a similar conclusion in Dishroon v. State, 722 N.E.2d office and stated he could not wear an electronic 385 (Ind. 2000) when they gave Dishroon credit for monitoring device because it would be visible to his time served on home detention but disallowed clients and, therefore, would interfere with his busi- “good time” credit for the same days (Kozlowski, ness. Although the probation officer indicated that 2000b). the device was not visible under pants, the proba-

26 Chapter 3 tioner stated he wore shorts during the summer. and reasonable explanations for the violations and Later, the probationer offered to submit to the otherwise substantially complied with the conditions monitoring, but his probation was revoked on the of release. Nevertheless, the court imposed a three- grounds that he refused to cooperate, and his origi- month sentence, which was affirmed by the Eighth nal sentence was executed (Skelton, 1999a). Circuit Court (Skelton, 1999a). A Pennsylvania offender also refused to submit Violations Prosecuted as Escapes to electronic monitoring (Commonwealth v. Rice, 721 Basically, two types of violations have been tested A.2d 1119, Pa. Super. 1998), and in this case, his — being absent from the home without authoriza- refusal led to new charges. The offender was on tion, and tampering with electronic supervision parole after serving a jail sentence for narcotics equipment. In most (but not all) instances, when charges. He failed to appear for a mandatory em- charges for escape have been brought, revocation ployment group session and was informed that he or new charges have been upheld. would be placed on electronic monitoring. The Unauthorized Absences. In Cienfuegos v. Superior offender was told to go home and wait for instruc- Court, 837 P.2d 1196 (Ariz. Ct. App. 1992) the Ari- tion. However, he became belligerent and de- zona appellate court ruled that persons under manded to speak to a supervisor, and he refused to “home arrest” were in a correctional facility. When submit to electronic monitoring. As a supervisor was absent from home (which is converted to a correc- not available, the offender was placed in custody. tional facility by court order) without permission, While being searched, a bag of crack cocaine was they have committed escape (Skelton, 1999b). found in his possession. He was then convicted on In a Washington State case (State v. Kovari, 1997 the crack cocaine charge, which was affirmed by the Wash. App. LEXIS 718 (Wash. Ct. App. 1997), the appellate court (Skelton, 1999a). probationer left home without permission, went Curfew Violations. After repeated warnings somewhere that was not approved, and drank alco- about curfew violations while being supervised elec- hol. The trial court imposed an additional 30 days tronically, the offender was returned to jail in the to be spent in jail. The prosecutor also filed escape case of Zeplin v. State, 1998 Tex. App. LEXIS 3022, charges, and the offender was sentenced for this new 1998. His appeal was based on his assertion that the charge. However, the defendant claimed he was sub- electronic monitoring provision of his probation was jected to double jeopardy because he was already “impermissibly vague and ambiguous” and did not being punished for leaving home by the imposition justify a revocation. The appellate court found that of jail time for his previous conviction. The appel- electronic monitoring was a condition of probation late court found that double jeopardy did not occur specifically authorized by Texas statute and the be- in this instance because revocation of a suspended ginning and ending dates for probation were clearly sentence is not the same as a new prosecution. specified. The authority for supervising probation Rather revocation is a consequence of an earlier was properly delegated to the Community Supervi- prosecution and the double jeopardy claim does not sion and Corrections Department, and the revoca- apply (Skelton, 1999b). tion was upheld (Skelton, 1999a). In People v. Sheets, 56 N.W. 2d 478 (MI 1997), the Violations Involving Electronic Supervision offender was placed on electronic monitoring after Equipment. A New Mexico probationer (State v. being incarcerated for part of his sentence. Sheets Archie, 939 P.2d 1065, N.M. 1997) had his probation was authorized to leave his home for work and two revoked and also was prosecuted for embezzlement hours of shopping weekly. He was advised of pro- for destroying electronic supervision equipment. He gram rules and signed an acknowledgment that he removed the electronic monitoring device, damaged could be charged with escape if he left without per- it, and threw it into a field. He was charged with a mission or failed to return as scheduled. Sheets did fourth degree felony and was convicted of felony have unauthorized leaves and admitted going on embezzlement, which was affirmed by the appellate personal excursions with his family. When convicted court (Skelton, 1999a). of escape, Sheets appealed on the grounds that, as In the Federal case United States v. Unkel, 7 F.3d he had not intended to escape, there was no escape. 1043 (8th Cir. 1993), the offender admitted com- The Michigan Court of Appeals found that Sheets mitting technical violations, including moving his had willfully violated the terms of the supervision electronic monitoring equipment to a new residence agreement, and he was returned to prison (Cook, without permission. He claimed that he gave notice 1998).

Offender Supervision with Electronic Technology 27 A somewhat similar case occurred in Texas detention included persons confined at home with (Choice v. State, 819 S.W.2d 864 (Tex. Ct. App. 1991). electronic supervision, and therefore, an escape An offender was released on pre-parole status with conviction was upheld (Skelton, 1999b). the condition that he not leave his home unless authorized and that he submit to electronic moni- Challenges to the Authority to Sentence toring. He violated the leave condition several times Offenders to Electronic Supervision and was placed on 24-hour home curfew. He left As discussed previously, it is better to have the his apartment (although he claims to have stayed use of electronic supervision authorized through within 100 feet of it), and when the parole officer State statutes. This provides stronger encouragement arrived to investigate his absence, he had returned for its use and greater protection for those admin- to the apartment. The prosecutor charged the istering programs. In at least two States, court chal- offender with felony escape. Because he had two lenges to the use of electronic supervision were prior felonies, this charge carried a 25-year mini- upheld until State laws were passed. In the New York mum sentence. Although Texas statutes exclude vio- case of People v. McNair, 665 N.E.2d 167 (N.Y. 1996), lations of conditions of probation or parole from the Court of Appeals struck down the use of electronic the definition of escape, the charge was upheld be- monitoring because the courts were not statutorily cause the offender was on pre-parole status rather authorized to impose it as a condition of probation. than on parole. Therefore, the court found that he The court believed that, unless specifically autho- did escape from custody of the Department of Crimi- rized, trial courts could not impose conditions of nal Justice (Skelton, 1999b). probation that were not rehabilitative in nature. The At least one case (State v. Martinez, 957 P.2d 68, New York Legislature then passed an amendment N.M. Ct. App. 1998) found that the accused was not to the penal law authorizing the use of electronic guilty of escape for not returning home at the re- monitoring as a condition of probation (Skelton, quired time while on jail release and being moni- 1999a). tored electronically. The detention services agency Similarly, in Texas, the use of electronic moni- filed charges of escape, but the appellate court ruled toring as a condition of deferred adjudication was that as the defendant was not obligated to be in jail challenged in Ex Parte Gingell, 842 S.W.2d 284 (Tex. in the first place, the absence from home did not App. 1992). The court reasoned that, statutorily, a constitute an escape (Skelton, 1999b). trial court could impose electronic monitoring as a Equipment Tampers. An Arizona offender (State condition of probations, but in cases of deferred v. Williams, 925 P.2d 1073, Ariz. Ct. App. 1996) was adjudication, where the court could not incarcerate, found to have committed escape by removing his it also could not impose electronic monitoring. The electronic monitoring device and then departing Texas Legislature amended the statute to allow without authorization. The appellate court found judges to use electronic monitoring in cases of de- that the defendant clearly understood he was not ferred adjudication (Skelton, 1999a). permitted to remove the monitoring device or leave In the case of State v. Macemon, 561 N.W.2d 779 his home without permission, and they upheld the (Wis. App. 1998), the authority of the Wisconsin conviction for escape. Similarly, in the case of State Department of Corrections to require inmates who v. Holliman, 509 N.W.2d 73 (Wis. Ct. App. 1993), the were eligible for mandatory release to be electroni- court held that an offender who cut off his electronic cally monitored was challenged. The appellate court monitoring bracelets was guilty of an escape. determined that the department was so empowered Another case for which an appellate court up- and the conditions of release were proper and rea- held a lower court conviction of escape regarding sonable (Skelton, 1999a). both an unauthorized absence and tampering with equipment was State v. Duke, 1999 Ohio App. LEXIS LIABILITY ISSUES 498 (Ohio Ct. App. 1999). The offender was convicted of domestic violence and placed on electronic Because of jail and prison crowding, the justice monitoring. He violated all of his conditions of re- system is continually looking for alternative meth- lease, including leaving home without authorization, ods of sanctioning offenders that will meet the goals contacting his girlfriend, and drinking alcohol. He of public safety, offender accountability, and of- also cut off his electronic monitoring bracelet. The fender rehabilitation. Increasingly, offenders with appellate court concurred that the definition of more serious criminal backgrounds are being re-

28 Chapter 3 leased for community supervision. If an offender • Misfeasance — taking the wrong action. who is being supervised electronically commits fur- • Malfeasance — performing an action the ther crimes while released in the community, victims wrong way. may initiate suits for damages caused. Those subject • Nonfeasance — doing nothing when an action to such liability may include government or private is required. agencies and their personnel charged with super- In programs using electronic supervision tech- vising the offenders, those who actually conduct the nologies, liability may accrue especially from the monitoring (e.g., computer verification of offend- following situations, and these are discussed further ers’ whereabouts), and equipment manufacturers. in the next section: So far, no appellate cases have been decided, so it is • Failure to adopt or follow agency policies and difficult to predict how such cases might be viewed. procedures. • Failure to conform to accepted standards for Situations from which Liability Might Arise program implementation. As noted previously in this chapter, some courts • Failure to know the limitations of the have determined that electronic supervision is equipment, failure to use equipment accord- equivalent to the offender being in custody. In other ing to manufacturer’s recommendations, or situations, electronic supervision of offenders is both. viewed as a more restrictive form of release in the • Failure to act appropriately on additional in- community. Therefore, the general public, as well formation available about offenders. as identified victims of the offender, may have an expectation of greater protection from offenders Approaches for Diminishing Liability who are being supervised electronically. Develop Sound Policies and Procedures Programs using electronic supervision technolo- Agencies implementing programs with an elec- gies should be careful not to convey a false sense of tronic supervision component must develop sound security to the public or to specific victims. While it policies consistent with their State’s laws. These is important to convey confidence in the program policies, at minimum, should include the following: and in the technology (see chapter 12 on Public • Eligibility criteria for offenders who will be su- Relations), it is equally important to be honest about pervised electronically (this should be specific the real and possible limitations of the technology. as to the types of offenders who will be ac- Liability suggests a legal responsibility for one’s cepted and the level of risk they pose). professional conduct. Professionals involved with the • Information that must be provided to offend- use of electronic supervision technologies are sub- ers when they are placed on electronic super- ject to the same criminal laws that affect any other vision. citizen. For example, theft of company property or • Information that should be provided to any driving under the influence of alcohol would make identified victims of the offender. the individual subject to the same criminal charges • How equipment works and how to install it and prosecution as anyone else. However, civil lia- properly. bilities may result from actions (or inaction) related • Responsibilities for inspecting and repairing to one’s job or professional performance. Three or replacing defective equipment. conditions must be present for a civil wrong to be • Establishing schedules for absences from substantiated (National Center for Juvenile Justice the home or designating restricted areas in the [NCJJ], 1991): community. • The defendant owed a duty or had a legal ob- • How to respond to alerts. ligation to the plaintiff. • Steps that should be taken to notify the • The defendant breached this duty. community or specific victims if an offender • The plaintiff suffered some damage as a direct absconds, and procedures for attempting to or proximate consequence of the breach of locate the offender. the defendant’s duty. • Staffing requirements. There are three ways a professional might Conform to Accepted Standards breach a duty or obligation owed a plaintiff (NCJJ, The American Bar Association has adopted the 1991): following “Principles for the Use of Electronically

Offender Supervision with Electronic Technology 29 Monitored Home Confinement as a Criminal Sanc- installation and operation should be followed pre- tion.” The organization does not approve nor dis- cisely. In the event of an equipment malfunction, approve of home confinement but outlined these then, program personnel can attest to its proper use. limitations for its use. Agencies should consider Act Appropriately on Information Gathered through these when developing policies and procedures (Le- Electronic Supervision gal Issues, 1989, p. 12). Finally, electronic supervision provides justice 1. A sentence may include home confinement system personnel with much more information monitored by an electronic monitoring de- about the offender and his or her behavior than vice if the judge finds, on the record, that would be available under usual conditions when such electronic monitored home confine- offenders are released to the community. Having ment is the least restrictive alternative which this information may heighten justice system should be imposed consistent with the pro- personnel’s responsibilities for responding tection of the public and the gravity of the proactively. Program personnel must follow all pro- offense. cedures for responding to notification that offenders 2. In no event should a court or probation of- are not where they are supposed to be or they are ficer automatically require electronic moni- in areas from which they are restricted. This is espe- toring as a condition of probation. cially important when agencies are working with 3. The ability of an individual to pay for the use offenders who have histories of endangering others, of an electronic monitoring device should including sex offenders and domestic batterers. If not be considered in determining whether there is information that high-risk offenders have to require the use of such a device when im- tampered with the electronic supervision equipment, posing sentence. left the area to which they are confined, or entered The American Correctional Association also has an area from which they are restricted, agency per- issued Standards for Electronic Monitoring Programs sonnel should be especially vigilant about notifying (1995). By assuring that a correctional program potential victims as quickly as possible. Procedures meets the criteria outlined by this publication, it can for locating absconders also should be followed care- become accredited. The standards are related to: fully to reduce the risk of liability if the offender • Program administration. commits new crimes. • Fiscal management. • Personnel training and staff development. Defenses Against Liability • Case records. If agencies or personnel are sued for harm to • Information system and research. victims caused by program participants being super- • Building and safety codes. vised electronically, there are three types of defenses • Offender supervision. to liability. Absolute immunity bars suit, regardless • Safety and emergency procedures. of the culpability of the defendant’s conduct, when • Rules and discipline. such conduct occurred while acting in an official • Reception and orientation of offenders. capacity. It is extended to judges, prosecutors, and • Classification. legislators to promote fearless decisionmaking in • Release. government. For this reason, it is best to have the Know the Limitations of Equipment and Follow use of electronic supervision authorized by State Manufacturer’s Instructions for Use of Equipment legislation and/or court orders. Quasi-judicial im- All electronic supervision technologies have munity is provided officials when performing judi- their limitations, and none are foolproof. It is vital cial-type functions but not when performing other that program planners understand the operation job-related functions (Del Carmen & Louis, 1988). of the selected technology (e.g., range options, leave Therefore, quasi-judicial immunity protects an of- windows, cellular telephone interference) and develop ficer when acting pursuant to court orders. How- program policies and select offenders accordingly. ever, the supervision of the offenders may be classi- Ensuring that equipment is installed properly fied as an administrative function not covered by and functioning accurately is vital as well. Agencies such immunity. Qualified immunity may be ex- should select equipment with care so that it meets tended under two different circumstances. First, it their program needs. Once particular equipment may be applied to discretionary acts of an officer has been chosen, the manufacturer’s directions for performed as part of his or her job responsibilities.

30 Chapter 3 Second, qualified immunity may shield an officer tence reports in the Corbitt case. The court went who acted in good faith while performing official on to say (Skelton, 1999b, p. 22): functions. Qualified immunity covers most commu- Moreover, the present case can even be viewed nity corrections personnel. as more compelling than Corbitt because the Immunity is a legal question to be decided by a instant case is controlled by a statute which judge considering State statutes and case law; it is exempts the information from disclosure. Fur- not applicable to Federal claims. All community thermore, the EMS program was admittedly an corrections officers should have some understand- incarceration system. Thus, there is a possibil- ing of their State’s decisions on this issue (Collins, ity that information regarding the specialized 1994). In the event an officer is not covered by im- techniques of the system would jeopardize the munity, or when making a determination of whether security of the system itself if disclosed. Accord- qualified immunity will be extended, the question ingly, we hold that the plaintiff did not have a arises: Did the officer act in good faith? The good common-law or first amendment right to the faith defense applies as long as the officer’s “conduct documents. does not violate clearly established statutory or con- Agencies should investigate statutory require- stitutional rights of which a reasonable person would ments within their own States that apply to confi- have known” (Harlow v. Fitzgerald, 1982, as cited by dentiality regarding offenders who might bring suits Del Carmen & Louis, 1988, p. 8). A determination for defamation because of wrongful publication of of good faith is subjective and generally not statuto- their electronic supervision status or release of confi- rily defined. A judge may decide whether the offi- dential information (Skelton, 1999b). Agency policies cer acted with an honest belief that she or he was should delineate what information about offenders acting lawfully and without malice. The burden to can be shared and to whom it may be released. Many show the officer acted in bad faith is on the person agencies have release of information forms for of- bringing the complaint. Generally, one must act with fenders to sign before any information can be total indifference to a person’s safety or disregard shared. clearly established constitutional rights to be found acting in bad faith. INSURANCE AND INDEMNIFICATION All parties involved in electronic supervision should have written contracts that protect their in- When working with high-risk offender groups, terests and reduce the risk of liability. Specific re- agencies may want to consider whether additional sponsibilities should be delineated in areas such as insurance and indemnification are needed. Person- equipment installation, repairs, notification of alerts, nel would need to consider State laws and local ordi- responding to alerts, and the like. nances, whether the agency is public or private, and the risk level of offenders being supervised, among CONFIDENTIALITY other issues, when making decisions about this concern. Insurance might be useful in situations where Programs should carefully consider when and the offender causes injuries to others or damages what types of information will be released, both property, or in cases of staff negligence. Often, pri- about the program generally and about specific vate and public agencies specify a cross indemnifi- offenders or situations. These should be articulated cation clause in their contracts. in program policies and procedures One appellate court case should be noted. In CONSULT LEGAL COUNSEL Copely Press v. Admin. Office of the Courts, 648 N.E.2d 324 (Ill. Ct. App. 1995), the plaintiff requested dis- Agencies should confer with State or local legal closure of documents about the electronic supervi- counsel during the process of program development sion system operated by a pretrial services agency. and implementation. The possible legal ramifica- The Administrative Office of the Courts was re- tions of the use of electronic technologies must be quired to disclose nonconfidential portions of the deliberated carefully. It is important that policies records. However, drawing on an earlier case (United and procedures for electronic supervision are con- States v. Corbitt, 7th Cir. 1989, 879 F.2d 224), which sistent with other program policies and conform to said the press did not have a right to access presen- relevant State and Federal laws. It is far more cost tence reports, the court ruled that the information effective and much less time consuming to avoid a sought by Copely Press was similar to the presen- legal challenge than to respond to a law suit that

Offender Supervision with Electronic Technology 31 arises because the legal aspects of the policies and challenges still may occur. However, if these issues procedures were not researched adequately. have been reviewed, and decisions have been based on the best legal advice available, the agency and CONCLUSION staff can proceed with greater confidence. Many concerns and questions were addressed This chapter provided a brief summary of some in this chapter, but definitive answers were not given legal issues that are related to the development and in all cases, nor are all legal issues explained here. implementation of electronic technologies for of- It is imperative that agencies research these areas fender supervision. Legal issues and concerns carefully for laws and regulations specific to State should be researched carefully during the develop- and local jurisdictions. ment of program policies and procedures. Legal

32 Chapter 3 Chapter 4 TYPES OF OFFENDERS TO BE SUPERVISED WITH ELECTRONIC TECHNOLOGIES

Determining which offenders will be included • 31 percent felt electronic house arrest should in a program component to supervise offenders elec- be used instead of incarceration. tronically is an important early decision to make. • 15 percent believed “serious” offenders should Engaging stakeholders and conducting a needs be placed on electronic house arrest (with “se- assessment, as described in chapter 2, and State leg- rious” crime defined as stealing or damaging islation discussed in chapter 3 provide some of the property worth more than $1,000 or commit- information needed to reach this conclusion. In ting a personal crime requiring medical atten- turn, the types of offenders to be supervised will tion). influence the selection of technologies and the de- In the area where this research was conducted, velopment of supervision policies and procedures. planners might conclude that the public generally This chapter provides some additional key informa- favored electronic supervision for offenders com- tion for considering the types of offenders to be mitting less serious types of crimes after a period of supervised. incarceration. Political rhetoric often indicates that the public PUBLIC POLICIES AND PREVALENT wants tougher penalties for criminals, including OPINIONS prison sentences. However, national public opinion polls and other studies have shown that citizens of- When developing or enhancing a program com- ten favor community-based correctional options for ponent to supervise offenders electronically, planners nonviolent criminal offenders (Boone, 1996). must review public policies that may mandate, en- Diverse opinions prevail regarding the use of able, or prohibit its use for various types of offend- electronic supervision technologies for various types ers. (For a summary, please refer to Chapter 3.) of offenders. Public perceptions often are molded At the same time, planners must be tuned in to by news media reports, and most of these focus on public sentiment about using electronic supervision problem situations or tragedies that have occurred on various offender groups. Sometimes the decision while offenders were being supervised electronically. to place certain types of offenders on electronic Another reason these differing persuasions persist supervision can be controversial. Therefore, it is is that little definitive research has been reported important to include in the needs assessment pro- that supports or refutes the effectiveness of elec- cess, an attempt to gather and consider the view- tronic supervision with various types of offenders. points of a variety of community members. Not As more programs implement electronic supervi- much formal research has been done on citizens’ sion technologies, a vital component of those pro- attitudes about the use of electronic supervision. It grams must be quality evaluation. This will be in- is likely that such attitudes would vary from one com- valuable in assessing the effectiveness of electronic munity to another. However, in a 1993 study con- supervision and determining its most appropriate ducted with 1,000 households in Oneida County, use in community corrections. New York, researchers found a high level of public support for electronic monitoring with certain con- OFFENDER SELECTION POLICIES AND tingencies regarding the categories of offenders for PROCESS whom it is used. Their findings included the follow- When selecting offenders for community super- ing (Brown & Elrod, 1995): vision with electronic technologies, the program’s • 94 percent did not believe house arrest vio- purpose (discussed in chapter 2) must guide the lates an offender’s privacy. process. The types of offenders who will be super- • 92 percent favored using electronic house ar- vised with electronic technologies must be carefully rest as a criminal sanction. considered during the planning process. Figure 4a • 54 percent thought electronic house arrest depicts a three-level, funnel-like decisionmaking could be used after an offender has served process where each determination leads to the next, time in jail or prison. more specific one.

Offender Supervision with Electronic Technology 33 they present a danger to the public or will flee the Figure 4a jurisdiction before trial. Electronic supervision has DECISONMAKING FOR TYPES OF grown as an option for the pretrial release of defendants who otherwise would remain in detention OFFENDERS TO BE MONITORED (Renzema, 1992). Renzema (1992) offers some cautions when con- Place in the Justice System sidering the release of pretrial defendants on elec- and Purpose for Electronic Supervision tronic supervision. The assessment for release often must be made quickly without the benefit of all necessary information. Therefore, mistakes may be General Offender made either in determining the dangerousness of Criteria for Participation an defendant or his or her likelihood of flight. Per- sons under the influence of psychoactive substances often are detained. If they have an addiction, their Assessment and ability to adhere to the requirements of electronic Selection of supervision may be jeopardized. If persons who Specific Offenders abuse alcohol or other drugs are released on electronic supervision, they should be drug free at the time of release and also should be subject to frequent and random drug and alcohol testing while in the community. Programs should be cautious not Place and Purpose of Supervision to overuse electronic supervision at this point in the Both the place and purpose of electronic super- justice process. Many offenders are released rou- vision were discussed in chapter 2. For thinking tinely on their own recognizance or with bail. If the about offender selection, it may be useful to develop person ordinarily would be released on this status, a matrix similar to the example in table 4a. By select- they probably do not need to be electronically super- ing the intersection of the place in the justice system vised. For those who do need to be supervised more and the selected purpose of electronic supervision, closely, they are more likely to comply with program the potential candidates begin to be narrowed. conditions if they have ties to the community and Pretrial Release would experience losses if they were detained (e.g., Although defendants are guaranteed to be con- loss of employment, family relationships). sidered innocent until proven guilty, many are held In addressing public safety in pretrial release in custody pending trial because the court believes programs, electronic supervision may be used to

Table 4a DECISIONMAKING MATRIX FOR SELECTING PLACE AND PURPOSE OF ELECTRONIC SUPERVISION

Public Victim Offender Offender Reduce Save Safety Alert Accountability Behavior Facility Money Change Crowding

Pretrial

Probation

Incarceration

Parole

34 Chapter 4 deter witness intimidation as well as other behavior supervision can be economically advantageous, as that might create a public safety risk. Some defen- offenders in the community are able to maintain dants, such as domestic batterers, may be released employment, pay taxes, and support their families. with electronic supervision systems that notify the If probation agencies use electronic technologies victim if the defendant approaches. Accountability for supervising offenders, it is important that they also may be a goal; for defendants who cannot af- have policies and procedures to respond appropri- ford bail, release on electronic supervision is an- ately to the information generated by the electronic other method of holding them accountable for their supervision. Because of high caseloads, many pro- behavior and return to court. Another program bation agencies have difficulty providing just basic purpose may include reducing populations in supervision contacts and responses to blatant viola- crowded facilities. Defendants released with elec- tions. The electronic supervision component of a tronic technologies can be supervised more closely probation program will generate a significant to deter their absconding before trial. If they do flee amount of information about the offender’s behavior before trial, their absence can be reported and court (Renzema, 1992). With this additional knowledge calendars can be cleared, thus avoiding the expen- comes the responsibility to respond to it and pos- ditures associated with failure to appear for court. sible consequences (e.g., liability for negligence) if Probation appropriate reactions are not made. Electronic supervision technologies have been Incarceration used extensively by probation agencies in some areas. Release of some incarcerated offenders can be The rationale for using it with probationers might an effective way to reduce facility crowding and fos- fit all of the purposes for using electronic supervi- ter public safety simultaneously. It may save on cor- sion shown in table 4a. An offender who otherwise rectional costs and also can be used as a means of might be incarcerated may be sentenced directly to offender accountability. Some ways incarceration probation with conditions for electronic supervision programs use electronic supervision include moni- to ensure public safety, alleviate facility crowding, toring offenders on work furloughs or those on or both. A domestic batterer or sex offender might prerelease status as they are making the transition be monitored to alert specific victims if the offender to less restrictive forms of supervision. Some juris- tries to approach them or to detect their encroach- dictions have replaced traditional work furlough ment into areas where possible victims might be programs with electronic supervision because, in found (e.g., pedophiles often are prohibited from essence, they provide the same function. Offenders going near schools and parks). Various electronic are allowed to work and attend treatment during technologies may be appropriate to monitor offend- the day, but they must spend the night under super- ers’ compliance with court orders and treatment vision. Electronic supervision requires a curfew and requirements (e.g., curfews, home detention, home provides surveillance to ensure offenders do not incarceration, sobriety, employment). Electronic leave their residences during specified hours, thus supervision strategies also can be a facilitator for saving the cost of 24-hour staff to do the same thing. offender treatment. In preparation for entry into When used in these ways, programs should re- treatment programs, offenders supervised electroni- spond quickly to all violations. One advantage in- cally may be able to adjust to more structured carceration programs have in selecting candidates lifestyles and avoid situations that would exacerbate for electronic supervision is that generally they have their problems. Electronic supervision also assists had ample time to observe the offenders and assess in monitoring treatment attendance and compli- their potential for successful release with electronic ance with treatment program expectations. Proba- supervision (Renzema, 1992). tioners may be placed on electronic supervision as Parole a sanction for violating various conditions of proba- Offenders granted parole may be released with tion. For example, a probationer who repeatedly a condition of electronic supervision as a means of tests positive for illegal drugs might be placed on monitoring their behavior and helping them make home detention for a period of time in lieu of revo- adjustments to life outside an institution. In some cation of probation or parole, or as an enhanced cases, earlier release of parolees with electronic su- sanction for continued drug use as well as to limit pervision may be a way of reducing facility crowd- his or her access to illegal drugs. Finally, using elec- ing, saving correctional dollars, or both. Parolees tronic supervision to release offenders on probation who have histories of domestic violence or sexual

Offender Supervision with Electronic Technology 35 abuse may be monitored so their victims can be using electronic supervision. Each offender must be alerted if they are in danger. Electronic supervision examined carefully for participation in electronic also may be used as a sanction for parolees who vio- supervision. The most important consideration is late other conditions of their release. whether offenders are a threat to themselves or the community. For example, it may be unwise to re- Criteria for Offender Participation in lease a misdemeanant domestic violence offender Electronic Supervision to live in the same home with the victim. However, The authority for determining eligibility and a woman convicted of murdering her husband in placing offenders in programs with electronic super- self-defense may be assessed as posing a low risk to the safety of her family and the community. Further, vision may derive from legislation, court orders, or her family would benefit from her staying at home agency decisions. It is crucial that those responsible under electronic supervision so her children are not for making such decisions have clear criteria for sent to foster care. selecting offenders to participate. Criteria for both Some jurisdictions view electronic supervision including and excluding offenders from electronic as an important tool to supervise serious violent supervision should be considered. Table 4b lists offenders who are released from prison or jail on some of the inclusion and exclusion criteria that may parole or under mandatory release conditions. This be examined for selecting offenders for electronic can provide an extra level of supervision for offend- supervision. These criteria are provided only as ex- ers who may otherwise pose a greater risk to the amples. There is no right or wrong set of criteria. community. Decisions for placing defendants and offenders in On the other hand, some jurisdictions may programs using electronic supervision must be made choose to apply electronic supervision strategies to on a case-by-case basis with safety of the offender lower risk offenders. Some criteria should be estab- and the community guiding the ultimate decision. lished, however, that differentiates between offenders There are no conclusive research studies or na- who would most likely serve time in the community tional guidelines that recommend consistent crite- safely without strict supervision, and those for whom ria for including or excluding offenders in programs electronic supervision would provide an added

Table 4b EXAMPLES OF INCLUSION AND EXCLUSION CRITERIA

Inclusion Criteria Exclusion Criteria • Lack of serious criminal history. • Significant criminal history. • Willingness and motivation to comply with • Current or prior violent or sex offenses (unless as program requirements. a condition of release to the community). • Offender is primary caregiver for children or • Inappropriate behavior while in jail or prison. other family members. • Failure in previous alternative correctional • Pregnant offenders. programs. • Offender provides financial support to family. • Offender will reside in the community with the • Offender has medical needs that can best be victims (e.g., domestic violence or child abuse managed in the community. victims). • Victim agrees to community release. • Severe substance abuse or mental illness that limits offender’s ability to control his or her behavior. • Offender can receive treatment (e.g., alcohol/ drug, sex offender, batterers treatment) in the • Victim does not agree to community release. community. • Offenders with advanced technical knowledge or • Reasonable expectation for victim/public who work for an electronic technology company. safety. Sources: APPA Electronic Monitoring Working Group; Connelly, 1999; V. Dominguez, personal communication, April 11, 2000.

36 Chapter 4 measure of offender accountability and safety to the • Minor assaults and batteries, with no past community. Overusing electronic supervision for history. low-risk offenders may result in “net widening.” The • Theft or grand theft with no injuries. technology may be used for its own sake rather for Several types of offenses for which electronic a rationally defined purpose such as increasing pub- supervision may be used or contemplated are con- lic or victim safety or holding offenders accountable. sidered in more detail below. Driving Under the Influence (DUI) Using electronic supervision as a Individual offender assessment and the means of both sanctioning and supervising DUI offenders can contribute to goals program purpose for employing electronic of offender accountability and behavior supervision should be the most persuasive change as well as reducing facility crowding and saving money. According to criteria used for determining whether to use Renzema (1992), DUI offenders usually are not high risks for escape, so release to electronic technology with a given offender. the community under controlled circumstances can be defended. Further, they often do not necessarily fit well in jail or Individual offender assessment and the program prison populations, and for those with addictions, purpose for employing electronic supervision treatment resources may be limited or nonexistent should be the most persuasive criteria used for de- while they are incarcerated. Thus, when they are termining whether to use electronic technology with released after a period of incarceration, they may a given offender. However, assessment and program not be able to maintain sobriety, and may again be- criteria are likely to vary from one jurisdiction to come a danger to the public. Alternative sentenc- another. ing in the community with conditions of electronic Another issue that must be considered is the type supervision may be an especially good use of this of offense committed. In some cases, legislation technology. specifies types of offense categories for which elec- Drug Offenses tronic supervision may or may not be considered. Community release for substance-abusing of- Offenders never should be placed on electronic fenders may or may not be effective, depending on supervision based solely on the type of offense with several factors as well as individual offender dynam- which they are charged or for which they have been ics. As mentioned in the previous section, substance adjudicated. Within each offense type, there will be abuse treatment often is limited or nonexistent in a range of offenders, and several other criteria must confinement facilities. Therefore, release of offenders be considered. Further investigation is required also, to the community provides a better opportunity for because offenders often enter guilty pleas for offenses treatment of their addictions. Conditions of release less serious than the initial charges. However, given for substance-abusing offenders placed on electron- these caveats, there are some offense types that may ic supervision also should include drug and alcohol be more appropriate than others when considering testing. The testing will identify those who return the offender’s placement on electronic supervision. to drug or alcohol use, while the electronic supervi- Connelly (1999) lists the following types of sion will provide information on their observation offenses as those for which electronic supervision is of curfews and their whereabouts. commonly used or considered: Domestic Violence Offenses • Welfare or housing fraud. Electronic supervision technologies used with • Drug possession or sales. domestic batterers can provide the ability to alert a • Driving under the influence. specific victim if the offender approaches and can • Driving on a suspended license. be used as a mechanism to hold offenders account- • Driving without a license. able for staying at home and for promoting behav- • Petty theft. ior change. Domestic violence cases must be carefully • Credit card fraud. assessed because all the electronic technology can • Embezzlement. do is provide an alert for a victim and law enforce- • Weapons charges without injuries. ment when the offender comes within a set distance

Offender Supervision with Electronic Technology 37 of the victim. If the offender is determined to con- Assessment and Selection of Specific Offenders tact the victim or to harm her, the technology itself Regardless of the types of offenders a jurisdic- will not stop him. Many domestic violence offend- tion selects for electronic supervision, individual ers are relentless in their determination to exert offenders within that classification must be assessed power and control over their victims, and their re- for their appropriateness for the program. Case as- lease in the community under any conditions may sessment and classification, as well as individual case imperil their victims’ safety. planning are important aspects of pretrial and post- Sex Offenses adjudication corrections programs. Gottfredson Sex offenders also must be assessed individually. (1987, pp. 10-11) states: Re-offense rates vary markedly among the diverse Decision-making applications in criminal types of sex offenders. In some cases, electronic su- justice can be said to be of two kinds, namely, pervision technologies could be used, much like institution policy decisions and individual de- they are with domestic violence offenders, to alert cisions. . . . Planning problems often require specific victims of the offender’s approach. However, estimates of outcomes of criminal justice deci- in many cases, sex offenders have multiple victims. sions, including predictions of the persons Their release in the community may provide better who, in a given category, will have their proba- opportunities for sex offender treatment as long as tion or parole revoked, or who will not commit they can be supervised effectively to avoid their com- crimes at a high rate after release from confine- mitting further offenses. Electronic technologies can ment, or who may reasonably be expected to enhance supervision following periods of incarcera- be paroled at first eligibility. Administrators tion or when it is deemed appropriate to release may require estimates of the incarceration offenders directly to the community. Recent technolo- rates…of various categories of offenders. And gies allow the monitoring of offenders’ movements in the long run they often require… in and out of restricted areas such as schools and estimates…[of the] effects…of differential parks. Renzema (1992) advises, “Our suggestion for handling for purposes of treatment or control. using EM [electronic monitoring] with sex offend- Gottfredson (1987) goes on to discuss decisions ers is that it be imposed on a case by case basis with about individual offenders, especially those judg- neither universal inclusions nor exclusions” (p. 14). ments that may involve the person’s confinement Violent Offenses or determine the context of supervision and inter- Violence may occur because of emotionally- ventions. Through this discussion, he explores the charged conflict between two or more individuals. complex reasons for case assessment, classification, It also may provide an emotional release for some and management. Assessment and classification individuals who assault strangers. Further, violence address multiple levels of decisionmaking, ranging may be related to profit motives or other types of from the individual offender, to the program or individual gains (e.g., beating someone, such as a agency, and even to the wider jurisdictional level. witness, to obtain his or her compliance or assault- Palmer (1984) asserts that the purpose of justice ing someone who cannot repay a debt). Electronic system intervention includes both socially-centered supervision technologies may be effective in limit- and offender-centered goals. Socially-centered goals ing an individual’s movement in the community aim to modify an offender’s behavior so it conforms and, therefore, keeping him or her away from situ- to the law and, therefore, promotes the protection of ations that might erupt in violence (e.g., bars). On society. To accomplish this, however, offender-cen- the other hand, just as with domestic violence and tered goals must be achieved, resulting in modi- sex offenses, the electronic technology will not pre- fication of the offender’s behavior and a better vent a person from committing a violent act if he or adjustment between the offender and his or her she is determined to do so. Offenders with violent environment. histories are released to the community. Once re- A process of assessment and classification is es- lease is inevitable, electronic supervision may be the sential for matching offenders’ risks and needs with best option for providing consistent surveillance of the appropriate type of services along a continuum his or her whereabouts and compliance with release of justice alternatives. Two fundamental reasons for conditions. However, in these cases, it is vital that using a formal assessment and classification system the supervising agency is able to respond immedi- are (National Council on Crime and Delinquency ately and with effective consequences to any viola- [NCCD], 1997, p. 4; Wiebush, Baird, Krisberg, & tions discovered (Renzema, 1992). Onek, 1995, p. 174):

38 Chapter 4 • Providing greater validity, structure, and ertheless, they provide an effective tool for classify- consistency to the assessment and decision- ing and managing caseloads of offenders. making processes. There are many types of risk and needs assess- • A more efficient allocation of limited system ment instruments being used today. Traditional as- resources by targeting the most intensive/ sessments typically looked only at static factors, such intrusive interventions on the most serious, as the number of arrests, age at first arrest, educa- violent, and chronic offenders. tion level, employment, and the like. While this is Resources are always limited, and classification valuable information, research has shown it does not systems help channel offenders into the least restric- provide predictive information concerning the risk tive, least intrusive, and usually least expensive proof placing an offender in a community program nor gram resources that reasonably can be expected to does it provide guidance for case planning. Several control and change their behavior and protect the assessment tools now include dynamic factors such public. Offender classification systems also help as neighborhood, types of friends, employment agencies organize staff and other resources. stability, and family relationships that help with pre- Assessment instruments are standardized tools dictions and case planning. These more compre- comprised of a limited set of factors that are most hensive assessments identify programming such as relevant to the type of decision being made (e.g., chemical dependency treatment, education, voca- treatment, incarceration, supervision). For effective tional training, or employment options that will case classification, these instruments should be ad- assist the offender with behavior change. ministered to all offenders, and the results should Agencies should use risk and needs assessment be used to classify offenders according to pre-set tools validated for the population with which they criteria (Howell, 1995; NCCD, 1997; Wiebush et al., are used. If one has not already been selected, ex- 1995). Effective classification requires prediction isting instruments can be adopted for a specific pro- through which knowledge of past events and cur- gram. If necessary, the points or weights assigned to rent circumstances are used to form expectations certain items may be changed to more accurately of future behavior. Prediction is really a summary reflect the characteristics correlated with recidivism. of the past to guide future decisions, assuming there Additional items also may be added to a tool if they will be a degree of consistency over time (Gottfred- are found to occur with substantial frequency among son, 1987). Therefore, assessments use demograph- the sample population (NCCD, 1997). ic, criminal, and behavioral characteristics to “sort” Program policies and procedures always should offenders according to their anticipated level of allow mechanisms for overriding the case classifica- misconduct (Wright, 1988). tion structure if personnel believe an offender to Actuarial methods of offender classification rely be more or less of a risk than is indicated by the risk on probabilities to discriminate among potential rates assessment instrument. Criteria should be set in of future behaviors or events, while clinical meth- written policies for making such departures from ods depend on the experience and more subjective the classification protocol. judgments of the individual assessor. Predictions are Some jurisdictions have also developed a process based on objective, standardized, and empirical risk using selection panels consisting of representatives measures, including historical data on offender char- from criminal justice agencies as well as residents. acteristics and outcomes (Boone & Fulton, 1995; They feel this method better ensures both criminal Clear & Gallagher, 1983; NCCD, 1997). In other justice system personnel and public buy-in. words, an offender’s future behavior is forecast Other Selection Factors based on the known outcomes of a similar group of Beyond the issues discussed previously in this offenders. This is why evaluation of outcomes for chapter, offender selection must consider the offenders in programs using electronic supervision individual’s living situation. are so vital for the field. Residence Requirements. First, the offender Assessment instruments are effective in predict- must have a stable home in which to live while being that most offenders within a certain classification ing supervised electronically. Stable residences may group will act in anticipated ways (e.g., recidivate, include his or her home with partners and children, successfully complete treatment). However, they will living with parents, residing with roommates, or not always accurately predict an individual living singly. Whatever the configuration of those offender’s behavior (Clear & Gallagher, 1983). Nev- residing in the home, it should be a stable setting

Offender Supervision with Electronic Technology 39 so the offender will be able to remain there through- provided in chapter 7. out the electronic supervision period. If a living situ- Cooperation of Household Members. Supervi- ation becomes unstable, authorities must act quickly sion of offenders using electronic technologies will to facilitate change to another stable living situa- affect others living in the same household. As mention (Connelly, 1999). tioned in the previous section, electronic supervision The physical location must have consistent elec- will demand cooperation with telephone requirements trical service (Connelly, 1999). There are some elec- and may limit the use of phone lines and services by trical and home conditions that may interfere with all members of the household. This can cause frus- some electronic technologies, and the home must tration by the offender and all others in the home, be assessed for these. Frequent power surges or poor so a high level of understanding and motivation to household wiring could disrupt the signals of the cooperate is needed (Renzema, 1992). technology as could interference from radio waves. As most electronic supervision program compo- Metal in the home (e.g., mobile homes constructed nents require the offender to spend most of his or of metal or metal furniture) also may limit the range her time (other than working) in the home, there of the transmitter (Connelly, 1999). are ramifications for others living at the same resi- Telephone Services. Many in-home electronic dence. If there is animosity or resentment between supervision systems — such as some automated re- household members, it may be exacerbated because porting, programmed contact, continuous signaling, of increased contact with the offender. On the other and victim alert systems — rely on the use of a tele- hand, some studies have indicated that electronic phone, so the offender must have access to phone supervision did not affect family relations negatively, service. Additional telephone services, such as call and may even have a positive influence (Renzema, waiting, call forwarding, answering machines, and 1992). modems often must be disabled during the electronic supervision period, as they may interfere with CONCLUSION the technology used. Some technologies make automated calls periodically. Phone lines must be free This chapter examined a range of issues related enough that these calls can go through. Extensive to the selection of defendants and offenders to parti- use of the Internet using telephone lines or lengthy cipate in electronic supervision program components. telephone conversations may have to be prohibited. It emphasized the need to set selection criteria that Some technologies do not require telephone correspond to public policies and community and services. With continuous signaling systems, the professional views. The selection policies and pro- offender has a receiver in the home that monitors cess may vary according to the part of the justice and records each time he or she enters and leaves system in which electronic supervision is being the home. However, rather than this information implemented and the purpose for electronic super- being automatically downloaded to a 24-hour moni- vision that is adopted. Criteria should be developed toring center as it occurs, the offender may bring the by the program for both inclusion and exclusion of receiver to the supervision agency on a scheduled offenders. Offense types to be accepted for or prohib- basis (e.g., daily, weekly) to download the informa- ited from program participation must be considered tion. This “passive” monitoring is recommended carefully and based on State laws and local issues. only for low-risk offenders when immediate notifi- Each offender should be assessed for appropriate cation of program compliance is not required. placement in a program using electronic supervision Other technologies also are available that do not strategies. Besides personal factors, including risks rely on household telephone service, such as those and needs, the offender must have a stable residence using cellular telephones or systems in which super- that will accommodate the electronic supervision visory personnel determine the offender’s presence equipment and telephone service, if needed. Other or absence as they drive near where he or she is members of the household also must be coopera- supposed to be (Renzema, 1992). More information tive with the restrictions required for use of the on the requirements of various technologies will be equipment.

40 Chapter 4 Chapter 5 FUNDING

Criminal and juvenile justice systems always work • Estimated frequency and length of use of elec- in an environment of limited resources. This requires tronic supervision technology with these of- setting priorities, using existing resources wisely, and fenders. obtaining additional revenue when possible. The • Cost of equipment, supplies, and monitoring development or enhancement of a program compo- services including the possible provision of nent to supervise offenders electronically will often telephones for indigent clients. require funding that must come from existing pro- • If the criminal or juvenile justice agency imple- gram resources or as yet untapped funding sources. menting the program is also monitoring the This chapter examines cost and benefit issues to electronic devices, there will be added costs consider when making decisions to develop or enhance for computers, telephone lines, office space, an electronic supervision program component. It and the like. then considers a variety of sources of funding for • Equipment maintenance costs. the use of electronic supervision technologies. • Shipping costs. • Secured storage area for unused equipment COST-BENEFIT CONSIDERATIONS and supplies. Determining the relative costs and benefits of a • Additional communication equipment for staff program that incorporates an electronic supervision (e.g., pagers, cellular phones, fax machine). component is a complex undertaking, but a cost- • Number and salary of staff required to imple- benefit analysis will assist decisionmakers in determin- ment the technologies adequately, including ing whether or not such an endeavor is financially additional costs for overtime pay when practical. All potential costs and benefits should be needed. considered before a final decision is made. Although • Salaries and other costs for managers, admin- funds may be limited, in some cases, it may be con- istrators, accounting, and support staff with siderably more costly not to implement electronic responsibility for the program. supervision technologies. • Required office space and its maintenance for Four cost and benefit issues should be explored additional employees needed. (Crowe & Schaefer, 1992): • Transportation costs for field work required • Tangible costs are based on information that for effective electronic supervision. feasibly can be gathered and represented in • Cost of training needed by staff who will oper- dollar amounts. ate or use the electronic supervision program • Intangible costs are expenses incurred in component, including costs for staff turnover the event of some predictable, yet immeasur- due to reassignments, retirement and other able occurrence. factors. • Tangible benefits are actual dollars an agency • Costs of incentives and sanctions used as con- can save by implementing electronic supervi- sequences for compliance or noncompliance. sion processes. • Costs of other services needed by offenders • Intangible benefits are predictable, yet immea- being supervised electronically. surable savings that may occur as a result of Figure 5a provides a fictitious example of the electronic supervision. computation of these costs for a probation agency that plans to use home confinement with electronic Tangible Costs of Electronic Supervision technologies as a sanction for offenders who test To calculate the tangible costs of electronic su- positive for alcohol or illegal drugs. The agency has pervision, a variety of types of information are 200 offenders for whom the court has ordered drug needed including the following: testing. Of these, about 30 percent, on average, have • Number of offenders eligible for electronic su- tested positive during the past year. Staff have esti- pervision based on decisions made about the mated that one home detention sanction would place and purpose of electronic supervision likely be sufficient for approximately half of these (see chapter 4). offenders to curtail their illegal alcohol and drug

Offender Supervision with Electronic Technology 41 Figure 5a Example TANGIBLE COSTS FOR ELECTRONIC SUPERVISION This fictitious example of cost estimates for an electronically supervised home confinement program using continuously signaling radio frequency equipment is provided for illustrative purposes only. Costs will vary according to the number of offenders involved and the type of equipment used as well as the length of time offenders are supervised. Agencies will differ significantly in the types and costs of services that may be provided offenders in various programs. Further, some costs, such as office space, are not included in this example that may be budgeted in an agency setting. Information in chapter 9 on the procurement process will provide more details about costs and requirements for electronic supervision equipment and services.

Number of offenders potentially eligible for electronically supervised home confinement 60 Frequency and length of use of electronic supervision 60 offenders x 30 days = 1,800 days of supervision 30 offenders x 60 days = 1,800 days of supervision 15 offenders x 90 days = 1,350 days of supervision 4,950 days of supervision Average daily quantity (4,950 days of supervision / 365 days) 14

Equipment, supplies, and monitoring services Lease of 25 RF units for year @ $2.50 per day (extra units allow for spares and uneven intakes) $ 22,813 Purchase of consumable supplies (e.g., straps, batteries) @ $5/offender use 525 Contracted monitoring services @ $5.00 per day for 4,950 days of supervision 24,750 Telephones for indigent offenders 900 Shipping and maintenance of equipment 750 Vehicle use for supervision (13,000 miles x $.35/mile) 4,550 Secured Storage Area (2 locked storage cabinets @ $200 each) 400 $54,688

Office furniture, supplies, and communication equipment for staff Fax machine $300 Pager & Service (purchase of pagers and monthly service) 700 Cell phone (purchase of phones and monthly service) 1,100 Computer, printer, yearly Internet service 2,360 Office furniture 750 Office supplies 300 $5,510

Staff 1 FTE staff member @ $35,000 + benefits $43,750 Administrative & support staff @ 20% FTE + benefits 12,500 Staff Training (Attendance at two conferences) 1,000 57,250

Incentives and Sanctions 45 offenders x $25 (e.g., tickets to ballgame, movie passes) $1,125 15 offenders x $200 (e.g., weekends in jail) 3,300 $4,425 Other Services Substance Abuse Treatment ($1,000 for outpatient treatment x 60 offenders) $60,000 Employment Training ($500 x 20 offenders) 10,000 $70,000 Total Estimated Costs for Electronically Supervised Home Detention Without Treatment and Employment Training $121,873 With Treatment and Employment Training $191,873

42 Chapter 5 use. They believe another fourth of the population the agency’s programs. These activities often require would respond appropriately to a second home de- a considerable initial investment of staff time that tention, and for the final fourth of the group, a third cannot be recouped. Yet, their existence should be experience would be necessary. They propose that acknowledged and anticipated. the first home detention last for one month, the Net widening is another immeasurable cost that second for two months, and the third for three may occur with the implementation of electronic months. supervision. As the technology becomes available, When electronic supervision strategies are used more uses for it are likely to be found, and offenders to enhance supervision of offenders who would be may be placed in this program component even released in the community anyway, they may result though they previously would have been supervised in increased costs for supervising offenders in the successfully without the technology. This net-widening community. Agencies have to assess whether the effect can increase, rather than minimize, correction- potential improvement in supervision is worth the al costs. additional cost of electronic technologies. Another type of intangible cost is lost opportunity costs. When funds are used for electronic supervi- Intangible Costs sion, they may not be available for other program Expenses that might occur under certain con- options. The potential benefits of various program ditions, but cannot be predicted accurately, are con- options should be weighed. Program personnel sidered intangible. An example of an intangible cost should carefully consider where funds for electronic for an electronic supervision program component supervision will come from and other programs or would be a lawsuit arising during its implementa- needs that may be sacrificed to implement this pro- tion. For example, program staff might be alerted gram component (Friel & Vaughn, 1986). that an offender being electronically supervised has Still another predictable, but immeasurable, cost violated his or her curfew or has gone to areas from associated with some uses of electronic supervision which he or she is prohibited (depending on the results from increased rates of technical violations. type of electronic supervision employed). If the staff Electronic technologies allow corrections personnel fails to respond to those alerts in an appropriate to gather much more information about offenders’ and timely way, and the offender commits another activities than is possible using traditional supervi- offense resulting in physical harm or monetary loss sion strategies. Chapter 10 on supervising offenders to the victim, the program and staff might be sub- stresses the need to respond appropriately to both ject to a lawsuit. compliant and noncompliant behavior. A variety of Chapter 3 described several legal issues that graduated sanctions can be employed, but techni- should be considered when developing policies and cal violations sometimes lead to court hearings, procedures for the use of electronic supervision. reincarceration, or both, resulting in additional costs Once legal issues have been researched and poli- to the justice system that might not have been in- cies are developed in accordance with them, it is curred without the knowledge of these infractions. vital that staff be trained and supervised in performing their duties in accordance with the program’s Tangible Benefits policies and procedures. Implementation of thoroughly researched, comprehensive, and clearly writ- Savings resulting from the implementation of ten policies and procedures governing programs an electronic supervision program component can minimizes the risk of intangible costs to an agency. be estimated by using information from agency bud- At the same time, having program policies, but fail- gets, budgets of other agencies, and case manage- ing to conduct the program in accordance with ment records. Although precise dollar amounts are them, leaves the program and staff vulnerable to difficult to calculate, savings may occur through the lawsuits. use of electronic supervision practices. Whether sav- Some program start-up costs are intangible, in that ings will be realized, and the amount and type of they cannot be predicted accurately. These include savings, depend on the purpose for electronic su- the staff time involved in educating and “marketing” pervision and where it is conducted within the crimi- the concept of electronic supervision to various nal or juvenile justice system. Some examples of elec- stakeholders and the investment in the planning tronic supervision applications that may result in process for including electronic supervision among savings include the following:

Offender Supervision with Electronic Technology 43 • Pretrial release of offenders who otherwise versus electronically supervised home confinement would be detained at a higher cost. as a sanction for offenders who test positive for drug • Early release of offenders from incarceration, use are compared. reducing the total cost of their confinement. Actual cost savings realized would depend on • As an adjunct to treatment that ensures greater the cost of incarceration in a particular jurisdiction offender compliance with and completion of and the actual costs for the electronic supervision treatment, thus reducing costs for repeated program component. This example uses continu- treatment enrollments. ous signaling technology, but some technologies will • As a supervision and sanctioning tool that cost more, and others may cost less. reduces recidivism rates and the costs of fu- In most instances, electronic supervision is likely ture crime. to result in substantial savings over offender incarcer- When electronic supervision technologies are ation. However, to determine the amount of savings used to divert or release offenders from incarceration, all related costs must be factored into the analysis. cost savings are likely to occur. Figure 5b contains Another saving that may be realized with elec- information about the average costs of incarcera- tronic supervision of offenders is in new construction tion and the range of costs related to various types of custody facilities. Because of growing offender of electronic supervision. Depending on the type populations, aging facilities that must be replaced, of electronic supervision used and the daily cost of or both, new construction has been necessary; how- incarceration, modest to significant daily savings can be realized by diverting offenders from prison or ever, if offenders can be diverted successfully from jail or releasing them before they serve their entire adult prisons and jails and juvenile detention and sentence. For example, more than 50 percent of jail custody facilities, the amount of new construction and prison populations are comprised of nonviolent can be reduced, saving millions of dollars (Friel & substance abusers. Placing many of these offenders Vaughn, 1986). in the community where they can receive treatment would save significant incarceration costs and likely Intangible Benefits stem recidivism rates. Predictable but immeasurable savings that may The cost example shown in figure 5a is continued occur as a result of electronic supervision are intan- in figure 5c to illustrate the potential cost savings. gible benefits. It is not possible to accurately predict For this example, the costs of using incarceration the potential savings an agency can offer the justice

Figure 5b COMPARISON OF COSTS FOR INCARCERATION VERSUS ELECTRONIC SUPERVISION Incarceration Costs 1999 average costs per inmate per day ranged from $30.36 in Louisiana to $97.62 in Alaska (based on data from 47 States; Camp & Camp, 1999).

General Costs of Electronic Supervision* Type of Equipment Daily Cost Range Continuously Signaling (RF) $ 3.00 - $ 4.50 Breath Alcohol Testing $ 6.00 - $ 7.50 Voice Verification $ 2.00 - $ 4.00** Global Positioning $15.00 - $25.00 Intermittent Global Positioning using cell phone and Voice Verification $ 4.00 - $ 6.00** to locate and identify the offender

*These cost estimates were provided by Linda Connelly in material prepared for an Audio Conference on Electronic Monitoring presented October 13, 1999. The following statement accompanied the cost information: The. . .expenses are to give a general idea of costs of equipment. Costs will vary depending on type of equipment, quality of equipment, number of units, and level of service being required. **These costs were provided by John Gallagher, a member of the Working Group that guided the development of this document. NOTE: The above costs do not reflect additional expenses, such as supervision personnel and other amounts shown in Figure 5a. These additional charges must be factored in to make a valid comparison for a given jurisdiction.

44 Chapter 5 Figure 5c Example POTENTIAL SAVINGS WITH ELECTRONIC SUPERVISION This fictitious example of cost saving estimates for an electronically supervised home confinement program using continuously signaling radio frequency equipment is provided for illustrative purposes only. Costs will vary according to the number of offenders involved and the type of equipment used as well as the length of time offenders are supervised. Agencies will differ significantly in the types and costs of services that may be provided offenders in various programs.

Number of incarcerated offenders potentially eligible for electronically supervised home confinement 60 Frequency and length of incarceration and/or use of electronic supervision 60 offenders x 30 days = 1,800 days of incarceration/supervision 30 offenders x 60 days = 1,800 days of incarceration/supervision 15 offenders x 90 days = 1,350 days of incarceration/supervision 4,950 days of supervision Average daily quantity (4,950 days of supervision/365 days) 14

Estimated cost of incarceration (4,950 days x $56.46 average daily inmate costs (Camp & Camp, 1999)) $279,477

Estimated cost of electronic supervision (refer to figure 5a for itemized costs) Equipment, supplies, and monitoring services $45,593 Office furniture, supplies, and communication equipment for staff (fax machine, pager, cell phone) 5,510 Staff 57,250 Incentives and Sanctions 4,425 Other Services 70,000

Total Estimated Costs for Electronically Supervised Home Detention Without Treatment and Employment Training $112,778 With Treatment and Employment Training $182,778

Savings over incarceration costs Without Treatment and Employment Training $166,699 With Treatment and Employment Training 112,778 system and society through effective electronic su- save significant future justice system costs includ- pervision. However, if realized, such savings may be ing law enforcement, legal representation, court significant and warrant consideration in the final costs, incarceration, and community supervision. cost-benefit analysis. Savings in social costs are another potential A possible intangible benefit from electronic benefit of electronic supervision aimed to reduce supervision is a reduction in recidivism rates. Re- recidivism. If future thefts, assaults, substance abuse, cidivism may be defined in several ways and, there- and similar crimes can be averted, the costs to victims fore, produce statistics that vary according to what and the rest of society will be significantly diminished. is measured. Definitions of recidivism may include Further, if offenders can remain in the commu- any new arrest, new felony arrests only, any new con- nity under electronic supervision rather than being viction, new felony convictions only, a new prison incarcerated, they are more likely to be able to main- commitment, and new technical violations as well tain jobs, support their families, pay restitution, and as other meanings or some combination of mean- pay taxes. This benefits the offender, his or her fam- ings (Boone & Fulton, 1995). Electronic supervision ily, and society in general. Costs such as foster care, accompanied by incentives and sanctions and ap- public assistance, and other costs related to family propriate treatment and other services needed by dissolutions may be avoided if offenders remain in offenders may divert some offenders from commit- the community. ting additional crimes. Such an eventuality would Money saved in justice system and societal costs

Offender Supervision with Electronic Technology 45 can be used in a variety of more productive ways, jails and prisons to community corrections agencies such as education, health care, housing, and family to assist with the additional costs of this shift. supports. As Friel and Vaughn (1986) state, “[I]t is neither humanistically nor economically beneficial Grants and Government Funding to hold people in prison or jail who do not need to At local and State levels it may be possible to be there.” request additional funds for new programs. Such money is generally available through local and State FUNDING tax revenues. The process for obtaining such funds Once the costs and benefits of electronic super- may be through the usual budget process, or it may vision technologies have been analyzed, and stake- involve a special request, such as a grant applica- holders have decided to proceed with implementing tion or special appropriations. one or more program components using these State or Federal grants are usually either block strategies, the issue of funding must be considered. (or formula) grants or discretionary (or categorical) There are a variety of options for funding an elec- grants. Block grants are usually distributed to States tronic supervision program component including: by the Federal government based on a formula that • Agency budgets. is usually mandated through legislation. In turn, • Grants. States may allocate these funds to local jurisdictions • Private donations. or agencies. Discretionary grants provide funds for • In-kind resources. a specific purpose, and money usually is provided • Resource sharing. directly from a Federal or State agency to a local • Offender fees. jurisdiction or agency. The most likely place to find Likely, a combination of these funding mecha- such grants for correctional purposes is the Office nisms will be necessary to fully support the use of of Justice Programs (OJP) within the U.S. Depart- an electronic supervision program component. ment of Justice (DOJ). Within OJP, there are sev- Each of these areas will be discussed briefly. eral agencies that may offer discretionary grant opportunities related to offender supervision or vic- Agency Budgets tim safety, including (Imel & Hart, 2000): Agencies rarely have spare funds in their bud- • The Bureau of Justice Assistance (BJA). gets, so usually the funding that comes from an • The Corrections Program Office (CPO). agency budget must be reallocated from other • The National Institute of Justice (NIJ). agency resources. In the example of electronic super- • The Office of Juvenile Justice and Delinquency vision program component costs shown in figure Prevention (OJJDP). 5a, some of the required costs may be appropriated • The Office for Victims of Crime (OVC). from other parts of an agency’s budget. For example, • The Violence Against Women Office (VAWO). the staffing, communication equipment, storage, Federal or State asset forfeiture laws also may and staff training expenses might already be in the provide funding for some corrections-related pro- agency’s budget and could be directed toward this grams. These laws are enacted to require offenders program component. However, if the agency has to relinquish certain money and possessions, par- decided to include higher risk offenders in electronic supervision than might otherwise be released ticularly those received through illegal activities. In in the community, it may be necessary to hire addi- turn, the revenue from these seizures can be used tional staff who would also require more equipment, to fund justice system enterprises (Imel & Hart, office space, and training. In such a case, additional 2000). funds for the program component would be required. Although it would be difficult to negotiate, if Private Donations the purpose of implementing electronic supervision Private foundations and corporations sometimes is to alleviate jail or prison crowding, reallocation offer financial support for programs that address of resources from one agency to another may be public concerns. They often require a grant process appropriate. Even though there is often an effort to similar to those of government agencies. Often these diminish institutional populations and increase the funds are limited by locality or interest area. Various number of offenders supervised in the community, directories and Web sites can be helpful in finding there is almost never a redistribution of funds from appropriate private funders.

46 Chapter 5 In-Kind Resources and Resource Sharing Among the information that should be included in Some grant applications require matching funds the agreement are the following: that may be actual money or in-kind resources. In- • The amount of payment. kind resources that an agency might pledge as • When payments are due. matching funds might include office space and • Acceptable types of payment mechanisms equipment, storage space, staff time, and similar (e.g., money orders, credit cards, cash). resources that are already available. Similarly, other • How payments can be made (e.g., in-person, agencies may provide in-kind resources to assist with mailed). the development or enhancement of electronic su- • How receipts will be given. pervision strategies. For example, law enforcement • Identifying information that must be included agencies might provide personnel or computer re- with the payment (e.g., name, address, identi- sources to assist corrections agencies with the elec- fication number). tronic supervision of offenders. • Consequences for delinquent payments (e.g., Agency collaboration is another effective way to late fees, being dropped from electronic obtain resources for a program component. supervision). Through a joint agreement, agencies can share • What to do if problems arise that prevent space and supplies, engage in interagency training payment. and staffing, or develop relational computer systems. Further, offenders may be required to pay for any equipment or consumable supplies that they Offender Fees willfully damage or lose. During supervisory sessions, corrections personnel Requiring offenders to pay for various aspects should emphasize the importance of timely pay- of their supervision in the community is an increas- ments and reinforce the offender’s financial obli- ingly prevalent practice. Many agencies charge a gations. When an outside organization is used for supervision fee beyond offenders’ financial obliga- monitoring the offender, these agencies may assume tions for restitution, fines, court costs, and similar fee collection responsibilities as well, often requiring responsibilities. Compelling offenders to pay part the payment of fees in advance. Management of fee of their supervision costs is another way of holding payments by a service provider alleviates commu- them accountable for their unlawful behavior. nity corrections personnel from this responsibility As discussed in chapter 3 on legal issues, while and allows them to focus their attention on other it is acceptable to charge offenders a fee for use of issues with the offender (BI Incorporated, 1998). electronic supervision technologies, programs However, if a service provider manages fee pay- should not disqualify offenders from the program ments, the corrections agency must retain oversight solely because of their inability to pay a fee. To do that assures program integrity. It would be inappro- so would be discriminatory. Therefore, offenders priate for a service provider to minimize violations should be selected for the program based on other by an offender who is making regular payments in eligibility criteria, and then their financial resources order to maintain paying clients in the program. should be investigated. If they are unable to pay any The corrections agency should be advised of all vio- or all of the electronic supervision fee, other relations and should maintain control of offender sources should be made available. However, it may participation. At the same time, service providers be acceptable to expect indigent offenders to per- should not fail to provide services because an of- form community service in lieu of program fees. fender is not paying fees. As mentioned in chapter Most agencies that charge offenders fees develop 3, agencies also should consider alternative sources a sliding scale and assess payments based on offend- of funding for indigent participants. ers’ income. As with other fees and fines owed by offenders, payment processes should be clearly articulated and CONCLUSION monitored during the course of electronic supervi- This chapter has provided an overview of the sion. At the beginning of the supervision period, economic factors that should be considered when offenders should receive an explanation of the fee contemplating the initiation of electronic supervi- process including the amount he or she will be re- sion. Tangible and intangible costs and tangible and quired to pay. This should be provided both orally intangible benefits were discussed. Several sources and in writing, and the offender and supervising of funding for the implementation of electronic corrections personnel should sign the agreement. supervision were identified as well.

Offender Supervision with Electronic Technology 47 Chapter 6 HUMAN RESOURCES

The preceding discussions of the types of offenders • Participation — Involving large numbers of to be supervised and funding resources, as well as staff in drafting the vision, and the program topics that will be discussed in future chapters, in- strategy to accomplish it, will unify and ener- cluding the selection of electronic technologies and gize staff. Enthusiasm and interest are aroused the supervision of offenders with it, are all important for a program that one has helped to create. areas. However, the most important aspect of any • Organizational systems — Employees must be program using electronic supervision strategies is empowered with the means to accomplish the its staff. The people employed to implement this agency’s goals. Training, communication, and program component will largely determine its suc- reward systems give employees the tools to cess or failure. Therefore, it is important during the achieve the agency’s vision and mission. These planning process to give ample consideration to a systems tell the staff what is expected of them; variety of staffing issues. they provide opportunities to measure and This chapter will raise several questions for pro- report progress; they open channels for feed- gram planners to consider and will make recommen- back; they motivate; and they reinforce efforts. dations where possible. Much will depend, however, • Exemplary leaders — Visionary action must on the purpose of the electronic supervision pro- begin with those who introduce the program gram component and other decisions about how it to their staff. Administrators of the program will operate. This chapter discusses: must exhibit the same dedication and com- • Obtaining staff support for electronic super- mitment to the new program that is expected vision. of all employees. • Staff organizational issues that are particular Despite careful planning, organizational change to electronic supervision. efforts often encounter obstacles. Four types of ob- • Competencies and qualifications staff need. stacles may interfere with change efforts. Possible • Staff training and development needs. ways of overcoming these are suggested: • Slowness of the change process — Change al- STAFF SUPPORT FOR ELECTRONIC ways takes longer than expected. People want SUPERVISION to see results immediately. Planners can help quell dissatisfaction and maintain enthusiasm A new program component brings change to an by reporting short-term progress to staff at organization, and change can be disruptive. The regular intervals as the program is developed. idea of electronic supervision of offenders may not • Exaggerated expectations — Frustration and be greeted by line personnel with enthusiasm. An disappointment may result from inflated ex- electronic supervision program component may be pectations. While it is commendable to estab- viewed as increasing already heavy workloads or as lish high goals, administrators must be aware threatening to job satisfaction and security. Con- of the limitations of resources at the agency’s versely, administrators may resist changes recom- disposal. Throughout the process, mistakes mended by staff or feel the challenges of funding should be acknowledged, not hidden. Some and administering new program components are agencies may be able to make great strides not warranted by their perceived benefits. Further, through organization-wide problem-sharing. professional unions may object to changes in staff It is not necessary to create mythical heroes. job requirements that are necessary for effectively People will feel most comfortable with hon- implementing electronic supervision strategies. esty and humanness. Effective organizational change requires the • Skepticism — Critics of the plan can throw the empowerment of staff including the following tac- entire agency off course. However, negative tics (Belasco, 1990): comments should be neither squelched nor • Vision — A clearly stated agency mission and ignored. Some may represent valid criticism. purpose can help focus and motivate staff to- Negative comments should be addressed di- ward the achievement of a common goal. rectly. Sometimes through approaching skep-

48 Chapter 6 tics personally, an effective leader can trans- wards can be personal and private (e.g., an oral form them into avid supporters. Administra- or written statement of appreciation or a sal- tors may also allay the negativity in critics by ary increase), or they may be public, such as placing them in key roles to help facilitate the an award or mention in a newsletter. Other new program. Administrators must keep opti- rewards for staff may include status and esteem mism alive by accentuating the positive while in the eyes of peers as well as the opportunity acknowledging imperfections. In the face of to develop additional expertise and skills. In well-publicized short-term progress, pessimism some cases, staff will have reduced caseloads will have a much harder time surviving. as a result of working with electronic supervi- • Procrastination — A new program component sion technologies; however, this may mean that should be fragmented into several workable caseloads will increase for other staff. pieces. Each step should be clearly outlined To foster and maintain employee enthusiasm for for those expected to implement it. Success is the program, staff should be kept informed of all the cure for procrastination. Through the ongoing accomplishments and developments and agency’s communication system, the message any credit or support the agency receives as a result of success should constantly be reported. Staff of the program. should be given opportunities to share their accomplishments and experiences with oth- STAFF ORGANIZATIONAL ISSUES ers in the organization. Five processes are recommended for streamlin- Several important questions will have to be con- ing organizational change. These include (Scott & sidered when determining the staffing needs and Jaffe, 1989): design for an electronic supervision program com- • Preparation — Anticipate key elements, such ponent. The answers to these questions — and the as staff resistance. Describe accurately and final staffing plan — largely will depend on deci- thoroughly how the new program component sions made about other aspects of the electronic may affect staff. If possible, implement only supervision plan such as its purpose and the types one major change within the organization at of offenders who will be assigned to supervision with a time. these technologies. Following are some of the ques- • Planning — Encourage staff input in the de- tions program planners need to consider; others velopment of policies and procedures. Antici- likely will arise during each agency’s planning pate potential problems and develop contin- process: gency plans to deal with situations that might • Will the offenders and staff supervising them cause setbacks. Prepare goals and objectives be grouped into specialized caseloads for elec- and a timeline for achieving them. tronic supervision or integrated into pre-ex- • Transition Structures — Establish ways for staff isting general or special caseloads? If special- to work together to accomplish goals. For ex- ized electronic supervision caseloads are ample, a transition management group might planned, a core group of staff with significant be appointed to oversee the change, or a new expertise about electronic supervision will be communication mechanism might be devel- needed, and they also may need to be able to oped to encourage staff to share ideas and manage other aspects of offenders’ supervi- provide feedback. sion. If offenders who are electronically super- • Implementation — During initial implemen- vised will be assigned to various types of tation of the program component, adminis- caseloads, a few staff may need extensive train- trators should remain flexible and continue ing in electronic supervision and be respon- to welcome feedback. Ongoing provision of sible for tasks such as installing and checking information to staff remains important. Train- the equipment, but may not manage these ing that provides staff with knowledge and offenders’ cases. Usually, it is not practical to skills, and helps mold their attitudes, is cru- have all agency staff equally trained and profi- cial for successful implementation. cient in electronic supervision tasks. • Rewards — People who make the program • Will it be necessary to have staff coverage to component work successfully should receive monitor and respond to alerts 24 hours per acknowledgment for their contributions. Re- day? The answer to this question will depend

Offender Supervision with Electronic Technology 49 on the risk level of offenders assigned to elec- tion decisions (e.g., specialized or general tronic supervision as well as decisions about caseloads) to answer this question. If elec- using in-house or contracted monitoring tronic supervision staff will specialize only in services. If the program’s purpose and the of- the mechanics of the technology by perform- fenders involved are low-risk offenders — for ing such tasks as installing and removing example, youth who have shoplifted and are equipment and ensuring that contracted being sanctioned with a few weeks of home monitoring services are being performed confinement — it is not likely to be crucial to properly (e.g., work release programs, moni- know and respond to the fact that they have toring in lieu of short-term incarceration), broken curfew until the next day or Monday then the number of dedicated electronic su- morning if the violation occurs on a weekend. pervision staff will be limited, and caseloads Often, when the program’s purpose is offend- may be higher. If dedicated electronic super- er accountability or behavior change, viola- vision staff are handling both the technical and tions can be used as a case management tool case management aspects of supervision (e.g., at any time in the supervision process. How- installing equipment, responding to alerts, ever, if the program’s purpose is victim safety, and providing case management services), public safety, or both — for example, if the more staff are needed, and caseloads should program’s clientele are predatory sex offend- be smaller. Some agencies have divided staff ers being monitored by global positioning sys- into surveillance officers who respond to alerts tems — then an alert that such an offender on a 24-hour per day basis and case manage- has entered an exclusion zone around an element staff who handle all other aspects of the mentary school should be known and re- offender’s supervision. If this staffing option sponded to immediately by staff. While these is used, effective communication mechanisms examples are extreme, program planners must among staff supervising the same offenders consider each offender’s risk to public safety must be in place. If the agency will be perform- or specific victims as well as community atti- ing its own monitoring services, then addi- tudes toward offenders’ potential violations. tional staff for this purpose will be required. How would the program and agency be affect- Additional staff organization issues that are ad- ed if a moderate- to high-risk offender being dressed by Renzema (1992) include: supervised electronically had the opportunity • Violations are likely to be more frequent in to commit a serious crime and no efforts to the beginning phases of an electronic super- intervene could be documented for several vision program component. If alerts are re- hours or days? Would the decision on staffing sponded to consistently, offender violations be different if the program was using elec- are apt to decline. tronic supervision as an alternative to incar- • The length of time offenders are supervised ceration versus an intermediate sanction? electronically is one factor affecting staffing If agency staff have been accustomed to a five- levels. If many offenders are supervised for a day per week, 8:00 a.m. to 5:00 p.m. work short time, more staff will be needed for in- schedule, changing some or all staff to a 24- stalling and removing equipment and re- hour per day, seven days a week schedule may sponding to alerts than if fewer offenders are present challenges. Morale problems and union supervised for longer periods. However, an- contracts requiring overtime pay are among other factor that affects staff-client ratios is the the considerations in switching to a 24/7 staff- amount of casework needed for each offender. ing plan. Recommendations in the previous sec- If staff are seeing each offender regularly and tion of this chapter on managing organiza- attending to other case management tasks tional change may be helpful in getting the (e.g., referring to and monitoring treatment, cooperation of staff for such a change. verifying collateral information, counseling • What size caseloads, or how many staff will be clients) then smaller caseloads are needed. needed for an electronic supervision program • It may be possible to prioritize offenders for component? Again, program planners will responding to alerts, especially if a variety of need to consider the program purpose and offenders with different risk levels are being offender risk level as well as staffing organiza- supervised electronically. Staff who monitor

50 Chapter 6 the alerts will receive a great deal of informa- egies, and crisis management processes. tion and need a framework for processing and • Procurement of equipment and contracted responding to it. services. • If an agency performs its own monitoring • Selection, supervision, and scheduling of staff. services, qualifications of monitoring staff may • Relations with other agency staff, public be different from those of staff who manage policymakers, the media, and the public. the offenders. Monitoring software is menu • Regularly monitoring the operation of the pro- driven and staff such as clerks can become gram component (e.g., daily, weekly) for com- proficient in using it with minimal training. pliance with policies and procedures. • Directing the evaluation of the program STAFF RESPONSIBILITIES AND component. QUALIFICATIONS • Managing the program component’s budget and other resources. As with other topics discussed in this chapter, • Assisting staff with individual offender case de- staff qualifications and responsibilities will vary ac- cisions, approving case decisions, or both. cording to the purpose of the program, where it is • Determining staff training and development located within the justice system, the types of offend- needs and obtaining or providing needed ers being supervised, and the technology selected. training. Therefore, rather than trying to provide very specific information, this section discusses general qualifications and respon- Managers will need to be capable leaders sibilities of four types of staff: • Program component managers. who have administrative and supervisory • Equipment specialists. experience. • Monitoring technicians. • Offender supervision staff. These four categories are used to group the Managers will need to be capable leaders who major types of responsibilities needed for an elec- have administrative and supervisory experience. tronic supervision program component. However, They will need a fundamental knowledge of the tech- more than one of these may be performed by the nology used in their program. They also should be same staff; it is not necessary for programs to have effective managers of staff and be able to interact separate staff for each of these functions. productively with agency staff, the media, and the public. They must maintain an overall view of the Program Component Manager electronic supervision program component and how Each program using electronic supervision it fits within the entire agency while attending to should designate a manager or administrator to lead program details when necessary. They must under- the program. Depending on the size of the elec- stand the benefits of evaluation, be able to imple- tronic supervision caseload, these duties may or may ment or direct the implementation of a program not consume all of this person’s time. However, it is evaluation, and have the capacity to use evaluation crucial that the staff leader be knowledgeable about findings to improve the program. They must be fis- the technology and the role the technology will play cally responsible and creative in obtaining and using in the local system, and he or she must have the program resources wisely. Finally, they must under- authority to make significant decisions. The pro- stand the offender population served by the program gram component manager is the guardian of the and be able to assist staff in making appropriate program’s vision and mission. The areas for which decisions about case management. the designated staff leader will need to take responsibility encompass the following, and, in some cases, Equipment Specialists more than one person or one level of staff may share Program staff will need to be knowledgeable and these responsibilities: skillful about using electronic supervision equip- • Policies and procedures for the electronic su- ment. As discussed previously in this chapter, it may pervision program component, including gen- be the responsibility of all staff who work with offend- eral operational procedures, staff safety strat- ers to install, remove, and maintain equipment, or

Offender Supervision with Electronic Technology 51 designated staff may perform only these functions in the electronic supervision program while others work directly with offender supervision component. issues. Even if specialists are employed to handle • Entering changes in schedules, inclusion and most of the equipment procedures, all staff coming exclusion zones, and the like into the com- in contact with offenders should check equipment puter for individual offenders as directed by for apparent tampering attempts. Therefore, even the offender supervision staff. if staff have different duties, offender supervision • Reviewing, logging, and processing incoming staff should be able to perform some of the following offender alert information. duties as well. Examples of responsibilities that should • Responding to alerts according to agency poli- be performed by equipment specialists include: cies, such as attempting to telephone the of- • Installing equipment. fender or otherwise verify his or her where- • Removing equipment. abouts. • Inspecting equipment for tamper attempts. • Keeping accurate notes on all attempts to • Maintaining the necessary inventory of equip- followup on alerts (i.e., calls made, informa- ment and consumable supplies. tion obtained from or about offenders). • Preparing returned equipment for subsequent • Keeping accurate notes on any “false alerts” use. generated by the computer (i.e., cases in which • Recovering lost or damaged equipment, if an alert occurs even though the offender is possible. where he or she is supposed to be). • Troubleshooting equipment problems or • Notifying or dispatching appropriate staff for malfunctions. offender alerts that cannot be disposed of ac- • Performing maintenance on equipment or ob- cording to agency policies. taining needed repairs or replacements from • Maintaining required databases of offender the manufacturer. Besides the electronic supervision equipment, violations and other information. equipment specialists or other staff (depending on • Compiling information as needed for reports. how the agency is organized) may need to perform • Terminating files for offenders who have been many of the above tasks for other equipment needed removed from the electronic supervision pro- as part of the electronic supervision program com- gram component. ponent as well. This may include cellular telephones, Monitoring technicians must have a basic un- two-way radios, pagers, computer equipment, gen- derstanding of computer operations and must be eral office equipment, self-defense items such as able to use the monitoring software with speed and pepper spray, and, if used in the program, agency proficiency. They must be organized and attend to vehicles, weapons, and body armor. details in the processing of alerts and notification Equipment specialists should have a full knowl- of offender supervision staff so that potential viola- edge of the equipment and its use, and a basic un- tions do not fall through the cracks. They must be derstanding of how the technology operates. They able to write accurate notes about activities related should be able to interact appropriately with offend- to verifications of violations, and they must be able ers and other household members when they are to communicate verbally in a clear and effective installing, removing, inspecting, maintaining, or manner. They also should be skilled in interacting repairing the equipment. They also should be able with offenders and/or other household members to communicate effectively with equipment ven- or employers when they must check on a possible dors/manufacturers and with offender supervision violation. They must be able to make discretionary staff about any issues or problems they observe. decisions about which offenders to report to supervisory staff and how quickly to do so. Finally, they Monitoring Technicians must be able to function well in a fast-paced environ- Monitoring technicians will manage the data ment that, at times, will be hectic and distracting. produced by computers that receive information from the electronic supervision equipment. Respon- Offender Supervision Staff sibilities that are typical of monitoring technicians While offender supervision staff may perform include: some of the functions discussed under other staff • Entering the necessary information in the categories, their primary responsibilities include computer program to enroll a new offender interacting with and making decisions about offend-

52 Chapter 6 ers who are being supervised electronically. The will need case management skills and should be able following are among the specific duties of offender to respond calmly in crisis situations. They must use supervision staff: good judgment about processing alerts, referring • Screening offenders for eligibility for the elec- cases for followup action by agency supervisors or tronic supervision program component. the courts, and assessing their personal safety risks. • Determining offenders’ ability to pay for elec- They need to have a fundamental understanding tronic supervision services. of the electronic technology and is applications so • Receiving and processing offender payments, they can understand the validity of alerts they investi- if applicable. gate. They should work in an organized manner and • Obtaining necessary information to enroll of- be meticulous about completing reports and sub- fenders and victims in the electronic supervi- mitting information on curfew or other changes to sion program component. monitoring staff or service providers. Based on agency • Conducting comprehensive offender and fam- policies, staff who investigate violations may need ily orientations. peace officer status, or they may need to work closely • Determining or approving changes in curfews, with law enforcement personnel if arrests are required. schedules, and inclusion and exclusion zones While the preceding duties and responsibilities and ensuring that those operating the moni- were presented in separate categories, in many pro- toring computers receive this information in grams — especially smaller ones — the same staff a timely manner. member will perform more than one set of functions. • Responding to violations according to agency For example, the duties of equipment specialist and policies. monitoring technician might be performed by the • Filing violation reports. same individual. • Conducting other supervisory tasks such as counseling, home visits, job site visits, and refer- STAFF TRAINING AND DEVELOPMENT FOR rals for services for offenders, victims, or both. ELECTRONIC SUPERVISION • Ensuring that offenders are complying with requirements such as school and work atten- Staff training regarding the electronic supervi- dance, abstinence from alcohol and other sion of offenders should occur on multiple levels within agencies providing these services. All staff drug use, and involvement in treatment programs. should receive general training about the purpose • Observing equipment for signs of tampering. and goals of the program component and offend- • Observing offenders for signs of drug or alco- ers who are appropriate to refer to the program hol abuse or criminal activities. (Friel, Vaughn, & del Carmen, 1987). Training about • Working with victims, if applicable (such as do- the program should also extend beyond the agency mestic violence or sexual offense victims). to other criminal justice agency personnel (e.g., law • Observing household members for indications enforcement officers, prosecutors, judges) who may of abuse. interface with the program in some fashion. They • Keeping accurate records of all work with of- also need to understand electronic supervision pur- fenders and victims. pose and goals, the basics of how the technology • Observing agency safety procedures. works, the reliability of the technology, and criteria • Keeping program management staff apprised for selecting offenders to participate in this program of any potential problems. component. • Completing tasks necessary for the termina- Staff responsible for the implementation of elec- tion of offenders or victims from the electronic tronic supervision need indepth training about their supervision program component. responsibilities. Staff training at this level is aimed • Interacting as needed with other justice sys- at ensuring that policies are implemented as in- tem personnel (e.g., law enforcement, pros- tended and staff are operating the program com- ecutors, judges) about specific offenders. ponent in a consistent manner (Cohn, 1999). • Handling crises and emergencies properly. Training of electronic supervision personnel Offender supervision personnel must have should consist of a combination of knowledge, skills, knowledge and skills to work successfully with both and values or ways of thinking about their work that adult and juvenile offenders and their victims. They they will need to conduct the program successfully.

Offender Supervision with Electronic Technology 53 Table 6a TRAINING TOPICS FOR ELECTRONIC SUPERVISION

Knowledge Skills Values/Attitudes • Program purpose and goals • Offender screening procedures • Benefits and disadvantages of using electronic supervision • Case management and super- • Fundamentals of the electronic strategies vision technology used — system • Importance of public and vic- equipment and capabilities • Completion of required forms, tim safety • Electronic supervision pro- reports, and other written • Electronic supervision as an gram component policies and materials adjunct to other case manage- procedures • Proper installation and re- ment approaches and part of • Offender selection criteria moval of equipment a larger approach to working • Reliability of electronic super- • Inspection of equipment for with offenders and victims vision equipment and potential tampering, malfunctions, or • Importance of program evalu- ways of tampering with it other problems ation • Offender accountability • Meanings of alerts and viola- • Reading computer-generated tions (with information on reports grace periods, acceptable ex- • Responding to alerts and vio- cuses, etc.) lations • Community and case manage- • Appropriate applications of ment resources incentives and sanctions for compliant and noncompliant behavior • Crisis management • Staff safety procedures • Correct entry of data in computers • Data collection for program evaluation Sources: Cohn, 1999; Cook County Sheriffs Electronic Monitoring Unit, n.d.; Friel & Vaughn, 1986; Friel, Vaughn, & del Carmen, 1987.

Table 6a contains a list of some of the topic areas in training for offenders and victims using the equip- each of these categories that may be needed in a ment and for household members living with them. staff training program. These may apply to any or These individuals will need to understand the pur- all of the categories of staff discussed in the previ- pose of the electronic supervision program compo- ous section of this chapter. nent, how the equipment operates, how to care for Equipment manufacturers usually will provide the equipment, procedures to take if equipment fails training to staff on how the equipment functions or if a crisis occurs, and procedures that will be taken and how to operate it appropriately. Contracted if alerts or violations occur (Friel & Vaughn, 1986). monitoring service providers also may be able to provide training about the way their services operate. CONCLUSION Whether staff training is provided by program supervisors or a training specialist, it is important This chapter provided an overview of some of to gear training methods to the type of content be- the human resource issues related to implementing conveyed to trainees. Thus, one would approach ing a program with electronic supervision. Ways of the presentation of knowledge, skills, and values/ managing organizational change to gain staff attitudes in different ways. Table 6b provides a sum- support were discussed. Several important consid- mary of some practical ways to present each of these erations regarding program staffing also were ad- areas. dressed. Finally, staff responsibilities, qualifications, Beyond the professional training just discussed, and training and development needs were electronic supervision programs will need to design presented.

54 Chapter 6 Table 6b CONTENT PRESENTATION METHODS Knowledge Skills Values/Attitudes • Presentations, lectures • Demonstrations • Values clarification activities • Audio-visuals • Simulations • Discussions • Demonstrations • Case examples • Debates • Texts, handouts • Role playing • Audio-visuals • Panels • Games • Articles/handouts • Discussions • Texts • Evocative questioning • Debates • Audio-visuals • Role playing • Observations • Structured tasks • Opinion papers • Questioning • Coaching • Case studies • Field or site visits • Modeling • Experience sharing • Clinical practice • Modeling • Games • Field or site visits Source: Crowe & Schaefer, 1992

Offender Supervision with Electronic Technology 55 Chapter 7 SELECT APPROPRIATE ELECTRONIC SUPERVISION TOOLS

Section One of this document presented several chapter will discuss fundamentals about equipment issues that must be considered when developing, and services. rectifying, or enhancing supervision of offenders An array of electronic technologies are available with electronic technologies. today that can provide information to achieve a va- However, decisionmaking is not complete when riety of purposes in offender supervision. Report- purpose, goals, and objectives have been deter- ing kiosks, remote substance use detection devices, mined, nor when legal issues are investigated, nor ignition interlock systems, identity verification sys- when the appropriate types of offenders for elec- tems, and monitoring equipment to detect offend- tronic supervision have been selected. There are still ers’ compliance with restrictions or track their loca- numerous decisions to make. This section consid- tions are among the variety of electronic technologies ers another set of important considerations — the presently in use. Besides this extensive assortment selection and procurement of appropriate equip- of types of equipment, within each category, vari- ment and services to support the purpose of an elec- ous brands and types have different features. Wading tronic supervision component of a community su- through the specifications and claims for each can pervision program. be a daunting task. As with any other major acquisition — such as a car, a computer, or a fax machine — many factors STRATEGIES FOR SUCCESS need to be considered before making a final deci- Electronic supervision technologies are rapidly sion. What type of equipment will best meet your expanding and becoming more sophisticated. It is program needs and purpose? Do you want to own not unusual for manufacturers to introduce new or or lease? What services will you need to fully deploy improved products annually. Vendors are likely to the equipment? These are just a few examples of claim their equipment and services are superior to issues to consider. others. What’s a consumer to do? First, be a savvy consumer! Don’t rely solely on the information provided by It is the people using the electronic tools, not vendors. Rather, conduct necessary back- the tools themselves, that will accomplish ground research as part of the procurement process (to be discussed in chapter program goals. 9). Select the equipment and services that are right for your program — no more and no less. Don’t buy a station wagon To reiterate an important point made elsewhere with all the extras, when what you need is a bicycle in this document, it should be stated again that elec- — or vice versa. tronic supervision tools are just that — tools. In and Second, realize that equipment alone does not of themselves they will accomplish little. In the hands make an effective program. The most important part of skilled corrections professionals they can provide of electronic supervision is what is done with the valuable information for supervising offenders ef- information it generates, not the latest bells and fectively. It is the people using the electronic tools, whistles that are available. Agencies must have a not the tools themselves, that will accomplish pro- clearly defined purpose for using electronic super- gram goals. No technology is without drawbacks; all vision and sound strategies for responding appro- technologies can be thwarted. Therefore, correc- priately to offenders being supervised. The equip- tions professionals should select the technology they ment selected should support these purposes and use with care and with awareness of both its pros strategies. Graduated responses should be used to and cons. reward offender compliance or penalize noncom- In this chapter, the selection of electronic super- pliance. As Todd McCormack, Director of Hendricks vision tools is discussed. No recommendations are County Probation Department notes, “. . . new equip- made as to brands or types of equipment, as those ment and technology changes the way we work, but choices depend on program needs. However, this it doesn’t replace us” (Conway, 1998a, p. 11).

56 Chapter 7 Third, develop real partnerships between your ance as offenders have earned the opportunity for agency and suppliers of equipment and services. less restrictive supervision. Some systems also pro- Make sure, when selecting vendors, that everyone vide an automated method for collecting fees. involved has a stake in the success of the program. There are currently two types of technology used This also will be discussed further in chapter 9. for automated reporting. One type allows offenders to report from remote locations using a tele- ELECTRONIC SUPERVISION TECHNOLOGIES phone; the other requires them to go to a computerized reporting location. With telephone-based The following discussion of electronic supervi- systems, offenders are instructed to call a designated sion tools will progress from those that generally are number and respond to verbal questions that are considered less restrictive to those that ordinarily electronically generated. The schedule for the of- are thought to provide greater restraints. However, fender to call in can be general, such as during the this is not necessarily an all-inclusive listing of elec- first week of each month, or specific, such as every tronic supervision tools. Thursday. The calling schedule also can be established for the entire supervision period or specified Automated Reporting Systems and changed from time to time. The offender only Community corrections agencies typically super- needs access to a telephone to use this reporting vise pretrial defendants or convicted offenders who system. The enrollment process includes instructions represent a broad array of risks and needs. It is to the offender about his or her responsibilities for common to find an offender who has committed a using the system and provision of information to the relatively minor nonviolent misdemeanor and an monitoring service. A means of identifying offend- offender who has committed a serious violent felony ers when they check in is also part of the enrollment being served by the same agency. Some offenders process. After that, the offender is responsible for present a significant risk to public and victim safety, calling at the designated times and correctly answer- while others do not. Some offenders may need daily ing the required questions. intensive supervision if they are released in the com- Call-in systems can verify an offender’s identity munity as an alternative sentence or jail diversion, and location through several technologies. For ex- while others will satisfy their obligations with mini- ample, the voice of the person calling can be mal monitoring. matched to a voice sample taken during enrollment, Providing all pretrial defendants and convicted and the number from which the offender calls can offenders, regardless of risks and needs, with the be documented with a caller ID system. Other veri- same services is not a wise use of public resources. fication methods are discussed later in this chapter. Therefore, for offenders on the low-risk, low-need Programs using this type of system should ensure end of the continuum, some agencies employ mini- that technologies are in place for confirming the mal supervision strategies. Limited (e.g., quarterly) offender’s identity and location. personal reporting or the use of mail-in forms to The questions to which the offender responds provide updated information on offenders has been may be predetermined and the same or similar for a common practice in some large agencies. Occa- all offenders, or they may be individualized for spe- sional office visits or mail-in forms usually require cific offenders. Two methods may be used for the offenders to report changes in their status, and offender to respond to the questions: He or she may sometimes their progress toward meeting conditions select from given responses and press the corre- of release (e.g., payment of restitution or fines). sponding number on a telephone keypad, or he or However, both office visits and mail-in systems re- she may respond by speaking into the telephone. quire staff time to review, record, process, and verify For example, the first method, much like many au- this information. tomated telephone systems may ask, “Has your ad- Automated reporting systems can minimize the dress changed during the past month?” and instruct need to see low-risk, low-need offenders face-to-face the offender to press 1 for yes or 2 for no. For the and can streamline the collection and processing second method, the instruction may be, “If your of offender data, while still holding offenders ac- address has changed during the past month, say your countable. Automated reporting systems also can new address clearly into the telephone. If it has not be used as an additional supervision tool or sanction changed, say ‘No’.” The first method records re- for higher risk offenders or as a reward for compli- sponses directly into the computer system, while the

Offender Supervision with Electronic Technology 57 second may require some transcription. may be flagged for followup by practitioners to ob- A telephone-based automated reporting system tain the updated information. also has the capability of providing individualized The computer-based system can also provide messages for an offender through a system similar information to the offender through personalized to a typical voice mail system. After calling in, the messages from his or her probation, parole, or pre- system can provide a message such as, “You have trial officer. The computer system can generate one message from your probation officer,” followed printed forms, letters, and receipts the offender may by a message the probation officer has left on the need (Geiger & Shea, 1997). system. Then the identity of the offender is verified For both telephone and computer-based tech- to ensure that the appropriate offender called in nologies, offenders’ responses are collected by the and received the intended message. monitoring service and reported to the agency. A telephone-based automated reporting system These automated reporting systems and agencies’ is relatively inexpensive. Often, overall costs are automated case management systems can be inter- lower than methods requiring offenders to confirm faced so that reports on each offender are recorded and update information using a written form that directly in their case files. More common methods requires further processing by the agency. Costs may include e-mailed, faxed, or mailed copies of reports. be borne by either an agency, through direct bill- The monitoring software for these systems should ing by the service provider, or the offender, through be capable of identifying and reporting offenders the use of 900 numbers that apply charges to the who do not report in as required using the auto- offender’s telephone bill. It provides the advantage mated systems. The agency must decide how such of convenience for offenders who generally have exceptions should be handled. The computer may latitude as to the time of day at which they must generate a call or letter to remind the offender to call. If they are employed, for example, they can call in, or the report may be forwarded to agency make their calls to the reporting service in the personnel for followup action. The software program evening or early morning hours. Another advantage also should be capable of generating aggregate re- of the telephone-based system is that for offenders ports about all offenders who are on the automated who do not have good reading skills, only oral com- reporting system. Many agencies using these systems munication is necessary. find they are better able to maintain up-to-date in- The second technology for automated report- formation on offenders, streamline their accounting ing systems is the use of computers at specific loca- systems for collection of fees, and experience higher tions — often referred to as kiosks — where offend- rates of compliance for on-time reporting. ers must go to check in. These computer systems often look and work much like automated bank Identity Verification Components teller machines (Groves, 2000; Geiger & Shea, Most automated reporting systems, as well as 1997). The process used is similar to the telephone- other types of electronic supervision technologies based systems. Questions are posed on the computer discussed later, require some form of identification screen, and offenders must use a keypad or touch to ensure the person responding is the intended screen to enter their responses. This technology may offender. These identity verification measures can require a minimum reading level and the ability to be as simple as a personal identification number operate an ATM machine. Some systems may also (PIN) or a unique password that the offender keys require basic familiarity with computer keyboard- into the telephone or computer, or a barcode or ing; however, newer equipment is able to ask ques- magnetic strip on a card that is swiped or run tions and give instructions orally. Otherwise, the two through an optical scanner. However, much more types of automated reporting systems are about the sophisticated biometric verification technologies same. Both address information about offenders also are available or in the development process. such as (Groves, 2000): Using particular biological aspects of the human • Current residence. body, biometric identification technologies can rec- • Employment information. ognize or confirm a person’s identity (Office of Jus- • Attendance at counseling. tice Programs & Office of Community Oriented • New arrests or legal developments. Policing Services, 2001). Possible biometric identi- When exceptions occur, the offender may be fication technologies that may be paired with other able to enter updated information, or the record supervision technologies may include:

58 Chapter 7 • Handprint, hand geometry, nailbed, and fin- ule his or her drinking accordingly. Sometimes a gerprint identification. combination of random and scheduled testing is • Eye, iris, and retina identification. used, so that the offender is tested whenever he or • Facial recognition. she returns home and then randomly during times he • Voice verification. or she is staying at home (National Law Enforcement • Signature/handwriting verification. and Corrections Technology Center [NLECTC], Most of these biometric technologies are well 1999). developed and used for various industrial and gov- Identification of the Person Taking the Test ernment purposes, and they have been adapted for Most remote alcohol testing devices are use in the criminal justice system. Fingerprint identi- equipped with a technology to ensure that the per- fication, facial recognition, and voice verification are son taking the test is the offender. This has to be used in offender supervision and reporting systems considered carefully to avoid having someone else today. Other technologies are still in the develop- take the test for the offender. Some technologies ment, testing, or application process and have not use an image transmission device so the offender been “proven” in the criminal justice arena. must stand at the alcohol testing equipment and transmit his or her picture while taking the test Remote Alcohol Detection Devices (NLECTC, 1999). In most visual systems, a reference The use of alcohol and other drugs and criminal picture appears at the monitoring center with the behavior are strongly linked. Courts and criminal test picture to accurately verify the identity of the justice agencies usually try to monitor and limit the offender. Voice verification is another technology use of mood altering chemicals by pretrial defen- used to ensure the identity of the person taking the dants and convicted offenders. Courts may prohibit test. Voice verification uses mathematical algorithms the use of alcohol and other drugs as a condition of to analyze speech and compares the results with community release, and agencies often monitor use those of a prerecorded sample of the offender’s through alcohol and drug testing. Technology now voice. Another type of system requires the offender exists to conduct alcohol testing from remote loca- to insert a personal identification verifier in the tions — without the offender and agency staff hav- home monitoring device (An Agency Guide to Imple- ing to be in the same place. menting an Alcohol Testing Program [Agency Guide], Remote alcohol detection systems have five basic 1995; Conway, 2001a). One system combines voice technological components: verification with an internal proximity sensor to • A means of engaging the offender to take the ensure the device remains over the offender’s mouth test. (With some systems, tests are invoked dur- during testing (Conway, 2001a). ing normal operating of the equipment and Using identification techniques is vital to ensure the offender may not be aware of when a test the most reliable test possible. However, some of is underway). these techniques require human review and, there- • A process for identifying the person taking the fore, are subject to human error. Techniques that test as the correct offender. use automated verification processes also can be • Technology to detect or measure alcohol use. subject to small margins of error in measurement • Security measures. or mechanical difficulties (Agency Guide, 1995). Voice • Communications and reporting. verification systems are particularly vulnerable if the Notification to Take a Test subject is intoxicated. Most systems that use voice Remote alcohol testing can be used as a stand- identification will proceed with alcohol testing even alone technology, or it can be combined with other if the subject fails to verify his or her identity. Some technologies used to supervise the offender. Most of these systems can record and store all calls so that systems require equipment that is placed in the a corrections professional can listen to calls at his offender’s home, and he or she is engaged to take or her convenience and make a determination as the test by an automated phone call or a beeper. If to whether a person sounds as if they are under the the offender is also being supervised with other influence of alcohol or drugs (J. Gallagher, personal equipment (e.g., for curfew monitoring), that equip- communication, October 10, 2001). ment may transmit the message when a test is re- All breath alcohol equipment should be tested quired. Testing should be done on a random basis thoroughly by agencies prior to deciding what type so the offender does not discern a pattern and sched- of equipment to use. Efforts should be made to fal-

Offender Supervision with Electronic Technology 59 sify identification so agency staff are fully aware of and automatic processes requiring second tests and the weaknesses in the equipment. Using identifica- verification if results are questionable. tion techniques is vital to deter test subject impost- Communications and Reporting ers and ensure the most reliable tests possible (L. The results of remote alcohol tests are transmit- Connelly, personal communication, September 7, ted via telephone lines and processed through com- 2001) . puters at the monitoring center. If the test registers Technology to Detect Alcohol Use alcohol content, at least two additional tests should The equipment used for remote alcohol testing be requested to ensure a valid positive test. Fifteen can either indicate that alcohol is present or mea- minutes should be allowed to elapse between each sure the participant’s actual breath alcohol level, of these two tests. If, in fact, alcohol was not used, which is basically the same as a blood alcohol level testing in this manner ensures the causes of a posi- as measured by a breathalyzer. These units can pro- tive result will dissipate within 15 minutes should vide an accurate breath alcohol content reading. the offender claim food, mouthwash, or some other When taking the test, the offender must blow into substance resulted in a positive alcohol content re- the device for a long enough period that deep lung sult. This allows the person reviewing the test to air is expelled. This allows for accurate testing of determine accurately whether or not the offender blood alcohol content. was consuming alcohol. This also minimizes the Breath alcohol testing devices use different games offenders may play about using, or not us- forms of cells to measure the presence or absence ing, alcohol. When a positive test result is reported of alcohol on the breath. It is important to ascertain to the agency, corrections professionals will be con- what type of cell device is used and its certification fident the test was indeed positive (L. Connelly, per- by the Department of Transportation (DOT) as a sonal communication, September 7, 2001). Final determination of reliability for such use. The most results are then transmitted to the staff supervising common cells in use are either the Toguchi (T) Cell the offender. In the case of negative results (no alcohol or the Fuel Cell, with the latter typically being ac- use), these may be accumulated and transmitted on cepted as the most reliable and qualified under the a scheduled basis, such as daily, weekly, or monthly. DOT certification (V. Dominquez, personal commu- For positive results, monitoring centers transmit the nication, September 14, 2001). results as directed by the agency. They can be trans- All breath alcohol testing devices require some mitted immediately, or on the next business day, form of scheduled calibration procedure to be con- depending on how the agency plans to use the re- sidered reliable. This calibration can vary from a sults. Some agencies, upon receiving notification of wet solution to a compressed gas application, and a positive test, will go immediately to the offender’s the method should be determined by the required home and administer a field sobriety test to verify frequency of such a procedure and the method used the remote testing results. As alcohol stays in one’s to meet this requirement (V. Dominquez, personal system only a few hours, if this approach is used, communication, September 14, 2001). staff must be available to respond on a 24-hour-a- Another technology records a voice sample and day basis. uses software algorithms to match it against a prerecorded sample. Intoxication changes some aspects Ignition Interlock Devices of voice quality which are noted during the com- A special type of remote alcohol testing is a parison. Yet another method employs the use of a device that is installed in vehicles and requires the carbon sensor device in a telephone receiver driver to take a breath alcohol test before the ve- (Conway, 2001a). hicle will start. Although program criteria can vary Security Measures according to State laws and local patterns, this tech- Systems for remote alcohol testing should have nology may be used for drivers with first-time arrests tamper-resistant features to ensure the integrity of or convictions for driving under the influence (DUI) the tests and results. Besides the features mentioned with a high blood alcohol level or drivers with repeat previously to ensure that the person taking the test arrests or convictions for DUIs. Ignition interlock is the appropriate offender, other tamper-resistant devices may be used instead of, or in addition to, features may be needed in some cases. These may some of the traditional responses to drunk driving, include tamper evident components in the hard- such as prosecution, fines, driver’s license suspen- ware (e.g., evidence that the unit has been opened) sions and revocations, jail, probation, and treatment.

60 Chapter 7 It has the advantage of allowing some offenders to The ignition interlock devices are manufactured remain in the community working and providing with a memory chip that gathers and records driv- for their families while impeding their ability to drive ing activity. When the unit is serviced, data from the while drinking. device can be downloaded into a computer. Infor- Ignition interlocks are small devices that con- mation that can be recorded includes: nect directly to a vehicle’s electrical ignition system. • Results of vehicle start attempts. The driver must blow a deep lung sample into the • Rolling retest results. device. If the blood alcohol level exceeds a prede- • The blood alcohol level of the offenders at termined level, the device prevents the person from each test. starting the vehicle. Most current devices use fuel • Attempts to tamper with the device. cell technology that is specific for alcohol. Other • Total number of vehicle starts during the types of technologies may result in false positives supervision period. from other substance such as cigarette smoke, foods, • Total hours of vehicle operation. carbon monoxide, and other fumes. Besides requir- • Dates of service and calibration. ing a breath sample to start the car, the devices can From this downloaded data, reports are gener- randomly signal the driver to take additional tests ated for the supervision agency (e.g., pretrial, pro- while driving. This is intended to prevent the driver bation, treatment program) (Coffey & Jennings, from drinking while driving or stopping to drink n.d.; Longest, 2000). but leaving the car idling (Coffey & Jennings, n.d.; Research studies have found ignition interlock Longest, 1999, 2000). devices to be effective in diminishing drinking and Ignition interlock systems should have anti- driving. A Maryland study found up to a 65 percent circumvention measures to prevent the driver from reduction in recidivism among offenders with prior having someone else blow into the device or using drunk driving convictions who used the device artificial air samples (e.g., compressed air, balloons) (Beck, Rauch, & Baker, 1997). A study in Calgary, to bypass the device. Various biometric identifica- Canada found that among offenders using the ignition processes, such as voice matching, can be used tion interlock device, the proportion of warnings to prevent circumvention (Coffey & Jennings, n.d.). and failed start attempts declined over time, indi- To support the proper use of ignition interlock cating the technology can assist with behavior modi- systems, ensure that policies, procedures, and per- fication (Marques, Voas, Tippetts, & Beirness, 1999). sonnel are in place to properly install the devices, Longest (1999) cited Coben and Larkin’s (1999) monitor their use, and calibrate and repair them. review of ignition interlock studies that concluded This is often done through a contract with a quali- that interlock programs are between 15 percent and fied service provider. Whether staff or a contracted 65 percent effective in reducing recidivism among service provider performs these functions, they will chronic drinking drivers. need to be available on a 24-hour-per-day basis (Longest, 1999). Drivers usually must take their Programmed Contact Systems vehicles to service centers periodically for routine Devices that determine whether a person is at service and recalibration of the ignition interlock an assigned location are some of the most widely device (Coffey & Jennings, n.d.). used types of electronic supervision tools. However, As with all electronic supervision technologies, they do not all work alike. Indeed, there are a wide no equipment is foolproof. Offenders could beat variety of technologies involved. Programmed con- the interlock system by simply driving someone else’s tact systems use various methods to contact and car or having someone take the breath test for them verify the location of an offender in his or her home (if anticircumvention methods are not used or do or in multiple locations. They may be used with of- not prevent tampering). Further, there are emer- fenders who are placed on home monitoring and gency overrides in some interlock systems that allow must stay at home virtually at all times, or they may the offender to drive without proving he or she is be used for offenders who are restricted to their alcohol free. It is important to know the fallibility of homes at various times (e.g., have curfews) but can all electronic technologies and make decisions about come and go for approved activities. their use according to the risk level of the offender Programmed contact systems are automated and public safety in the community (L. Connelly, calling systems. The backbone of these systems is a personal communication, September 7, 2001). central computer that either receives telephone calls

Offender Supervision with Electronic Technology 61 from or makes calls to the offender in one or more phone number from which he or she is calling and locations. The calls may be made either on a sched- compares it to the approved number(s) from which uled or random timetable, or both scheduled and the offender may call at that time or stores it for random calls can be made (Conway, 2001a). subsequent review and location determination Computer-generated calling systems are those (Conway, 2001a). in which the central computer makes telephone calls The most reliable voice verification systems have to the offender’s number(s) at scheduled or ran- calls generated to the offender from a central com- dom times. The offender is expected to answer the puter system. This keeps the offenders from defeating calls according to a predetermined record of where the system by using call forwarding and conference he or she is to be at given times. Usually, these calls calling features that allow them to call from virtually come to the offender’s home to ascertain that he or anywhere, even though it appears they are calling she is at home when required. Random calls can be from their scheduled location. For systems that re- generated at any time of the day or night to ensure quire the offender to call in at random or sched- the offender is at home when expected to be and uled times, agencies should mandate a procedure not at home when expected to be at work, treat- whereby the offender is immediately called back ment, or other obligations. Several systems have the from the central computer (L. Connelly, personal ability to generate calls to other locations or mul- communication, September 7, 2001). Figure 7a depicts tiple telephone numbers — for example, to ensure the basic components of a programmed contact the offender’s presence at work (Renzema, 1992). system. Call-in systems require the offender to call the All of the automated calling systems include central computer either at scheduled times or when some type of technology to verify that the person he or she is signaled to call based on random notifi- responding to the computer is really the offender. cation generated by a computer during designated Three basic types of verification technology are used curfew hours. Signals may be received through pag- (Conway, 2001a). ers or similar devices worn by the offender. When Voice Verification the offender calls in, the computer verifies the tele- With these systems, the offender either receives a call from the computer or is signaled to call in. Individuals have unique voice prints just as they have Figure 7a distinctive fingerprints. A voice template is recorded during system enrollment and used for a computer- ELECTRONIC MONITORING ized comparison with future calls. These systems are TECHNOLOGY PROGRAMMED designed to process the voice sample from any tele- CONTACT DEVICES phone to the centralized computer where it is compared to the original template (Conway, 2001a). Computer generates telephone calls to offender or signals Video Verification offender to call in Using a camera installed in the offender’s home, a picture is transmitted to the central computer and Offender responds and is verified compared with a photograph on file (Conway, through voice, video, or other 2001a). technology Device Verification Some systems require that the offender wear a tamper-resistant device, usually on his or her wrist The call was Computer makes a report of the recorded results of the call or ankle. When calling in or responding to calls from at... the central computer, the offender is required to activate the device which then transmits a unique code for that offender over the telephone. The code Supervision staff receive reports is then verified by the computer (Conway, 2001a). and followup on violations Fees for programmed contact systems are often based on the number of contacts per day or week and, therefore, can be relatively inexpensive, espe-

62 Chapter 7 cially if they do not require any equipment to be ment thoroughly to determine its fallibility cannot placed in the offender’s home. The offender must be overemphasized. The risk level of the offenders have or have access to a telephone to be able to use in the program should determine the type of equip- a programmed contact system, and a telephone is ment used. Further, frequent and close visual obser- the only type of equipment necessary for offenders vation of the strap will detect even the most minor to use a voice verification system. However, both efforts to tamper and will avert future tampering video verification and device verification require efforts. This is an imperative procedure (L. Connelly, additional equipment that is either placed in the personal communication, September 7, 2001). offender’s home or worn by the offender. Most transmitters in use today are quite small The enrollment process is usually quick and and light, ranging from less than one ounce to about simple. Programmed contact is often used as an in- four ounces. Depending on the brand, transmitter termediate sanction for lower-risk offenders, such batteries can last from one to two years, and all cur- as short-term detention or curfew monitoring. It can rent models indicate when battery power is getting also be useful for an intermediate form of supervi- low (Conway, 2001b). sion following more highly structured and restric- A receiver is installed in the offender’s home tive types of monitoring. For the offender and his and is attached to the telephone. The receiver de- or her family, these systems can be quite intrusive. tects the transmitter’s signals and conveys a message Electronic technology uses the telephone in the via telephone report to a central computer when it home to communicate information to a central either stops receiving the radio frequency or the sig- monitoring center. When information needs to be nal resumes again. Receivers can detect transmitter transmitted, most systems will warn persons in the signals from a range of up to, and in some cases home, if they are using the telephone, that the exceeding, 150 feet when installed in a typical home phone line needs to be clear. Some systems may seize environment. The range on some systems can be the line. In any case, others living in the home should programmed for individual offenders from as little be made fully aware of how the system operates and as 35 feet to more than 500 feet, depending on the that they may be inconvenienced periodically (L. type of equipment used. The range for any setting Connelly, personal communication, September 7, can vary significantly due to a variety of factors in- 2001). Phone lines should be free of advanced call- cluding location and building characteristics. Receivers also have tamper-resistant features to ing features such as call waiting and call forward- avoid offenders moving or disabling them. They ing. Computers and answering machines are also have battery back-up systems that can maintain op- usually prohibited. Some offenders choose to install erations, from eight to 48 hours — depending on a second phone line for monitoring as a means to the type of unit — if electrical service is interrupted. ensure the line remains open and complies with Most units can also store data if power is depleted restrictions (P. Conway, personal communication, so that information can be retrieved from the unit September 10, 2001). Systems that randomly signal later (Conway, 2001b). the offender to call in can be disruptive, especially Most agencies require the offender to have tele- when calls occur during the night (Renzema, 1989, phone service to use a continuously signaling moni- 1992). toring system so the agency can receive violation notifications on a “real time” basis. Some may use Continuous Signaling Devices the systems without telephone line access and re- Continuously signaling devices require the quire the offender to bring the receiver in each time offender to wear a battery-powered transmitting de- they report so the monitoring data it stores can be vice that emits a radio frequency signal two or more downloaded and processed to determine whether times a minute. These are placed on the offender’s or not the offender remained compliant since the wrist or ankle with a tamper-resistant strap, and they last time he or she reported. There are several tele- must be worn all the time. phone services that may interfere with the opera- All manufacturers have incorporated tamper tion of the system. Call forwarding and call waiting resistant and alert features in their transmitters. The should always be disabled to avert offender manipu- technology for this varies, and many of the trans- lation of the system. Depending on the particular mitters have more than one technology to detect receiver in use, cordless phones, cellular phones, tampering. Some tamper resistant features work answering machines, and call blocking may need to better than others. The importance of testing equip- be restricted (Conway, 2001b).

Offender Supervision with Electronic Technology 63 The central computer is programmed with the Victim Alert/Notification Systems offender’s schedule, and this is compared to mes- A variation of the continuously signaling devices sages transmitted from the receiver in the offender’s has been developed for victim alert and notification home. For example, if an offender is authorized to and offender compliance with stay-away orders. It is leave for work at 8:00 a.m. and return at 5:30 p.m., most often used for domestic violence victims. A the receiver would transmit the information that the receiver is placed in both the victim’s and the signal was not detected when the offender leaves its offender’s residences. Both the victim and offender range at 8:00 a.m. and would again transmit a mes- wear transmitters. The victim’s transmitter is similar sage when the signal is detected as the offender re- to a pendant and is removable, while the offender turns at 5:30 p.m. If the signal is lost during a cur- wears a tamper-resistant bracelet or anklet that is few period or resumes at a time when the offender not removed. The offender’s receiver detects his1 is prohibited from being in the home, the computer presence in his home to be sure he is there when generates a report that alerts the monitoring staff he is supposed to be there. If he approaches the of the discrepancy. The monitoring staff then follow victim’s home, his transmitter signal will be detected predetermined procedures to ascertain the reason by the victim’s receiver. The victim also may press a for the alert. Figure 7b illustrates the components button on the pendant transmitter device she wears of a continuously signaling system. and can alert the monitoring staff should the offender approach or enter her home after removing or disabling his transmitter device (NLECTC, 1999). Figure 7b Some systems also provide the victim with a field monitoring device (described below) that they can ELECTRONIC MONITORING carry with them and will detect the offender’s trans- TECHNOLOGY CONTINUOUSLY mitter should he approach the victim when she is SIGNALING DEVICES away from her home. Some systems also include a recording device in the receiver installed in the victim’s home. The device is activated if the Transmitting device offender’s transmitter is detected and records all the sounds in the home while the offender is in range. While these systems do provide an alert to the victim, they generally are not considered to be a means of protecting the victim from the offender. However, Radio transmission they are very useful in recording evidence of restraining order violations and (for systems that record surrounding noise) can be useful in confirming events that occur during a restraining order violation (P. Conway, personal communication, September Receiving device 10, 2001). Victims must be made fully aware that victim notification systems do not provide protection from a perpetrator. These are only tools that will act as Telephone communication warning devices when the offender has not tam- between receiver and computer pered with the equipment. Clearly, the device provides better information and warning than if the perpetrator is free in the community without elec- Computer deteccts when tronic supervision technologies, but the victim must transmissions begin or end; not be lulled into thinking she cannot be harmed. Monitoring staff notify Agencies should ensure the victim signs a statement supervision officers of understanding about just what the equipment will ______1 The masculine gender pronoun is used here in recognition Supervision officers follow up that the overwhelming majority of domestic violence offenders on violations are male. However, it is acknowledged that there are a small number of female domestic violence offenders.

64 Chapter 7 and will not do (L. Connelly, personal communica- technology. This might be appropriate for tasks such tion, September 7, 2001). Victims should be coun- as verifying attendance of multiple offenders in a seled to continue taking safety precautions and to day-reporting program or monitoring offenders con- remain vigilant. fined in a residential group setting. Each offender in a group setting wears a transmitter, and all trans- Field Monitoring Devices mitters are monitored by one group monitoring Field monitoring devices or “drive by” units are unit, much like a field monitoring device. The group another type of continuous signaling technology. monitoring unit reports an exception when an Probation or parole officers or other authorities use offender’s transmitter signal is not picked up (i.e., a portable device that can be hand held or used in a the offender has left the area) or attempts to tamper vehicle with a roof-mounted antenna. When within with the transmitter. Additional information is re- 200 to 800 feet of an offender’s ankle or wrist trans- ceived and stored by the group monitoring unit and mitter — and sometimes more than 1,000 feet depend- can be downloaded to a computer to generate re- ing on the location and the use of special antennas ports at a later time (L. Connelly, personal commu- — the portable device can detect the radio signals nication, September 7, 2001). of the transmitter. It can also determine the tamper status and battery status of the transmitter. Officers Location Tracking Systems can conduct field surveillance of offenders even Some of the most recent technological devel- when they are away from the receiver units in their opments provide the ability to track an offender’s homes. The device is especially useful to verify the movements and location in real time. Current location offender’s attendance at 12-step meetings and tracking systems — referred to as global position- school, work at construction sites, and presence at ing systems, or GPS — rely on 24 satellites that orbit other public or confidential locations. Further, the the earth thousands of miles away. These satellites field monitoring device can alert surveillance personnel that an offender is in an unauthorized location. One probation officer found one of his clients, Table 7a who was supposed to be at work, on a golf course How Global Positioning Systems Work the officer happened to drive by. Most field monitoring devices display the trans- GPS is a worldwide radio-navigation system. The mitter number of the offender detected, although 24 satellites orbit Earth every 12 hours at 11,000 some models have only an audible verification of a nautical miles above Earth. The satellites are posi- transmitter, and some display the name of the tioned so that signals can be received from six of offender. Field monitoring devices operate with an them at any given place on Earth at nearly any time. Each satellite is equipped with a precise clock, and internal battery. Most batteries are rechargeable by the satellites emit radio signals encoded with pre- plugging the unit into a regular power outlet. Some cise time messages and their positions in orbit; these include adapters to run from a car battery. Internal signals travel at the speed of light. The location of battery life can range from about four to twelve each satellite is tracked and monitored by ground hours, depending on the unit, and most batteries control stations. also can be recharged in the vehicle. Most units can The receiver carried by the offender contains sev- store messages about the transmitters it detects for eral channels to receive messages from different future downloading and reporting. The field moni- satellites and computer circuitry that detects, decodes, and processes GPS satellite signals. Each location toring devices are especially useful in cases of viola- on Earth has already been mapped based on the tions or suspected violations to confirm an offend- distance of the satellites from those positions at er’s presence or absence at a location (Conway, various times. Thus, the location of the receiver on 2001b; NLECTC, 1999). They also are used in sweep Earth can be calculated by how long it takes the operations. Some agencies use them in their offices radio signals from the satellites to reach the receiver, to alert them when offenders come in to report or the positions of the satellites at a particular time, to pay fees. and where the signals from four satellites intersect simultaneously at the receiver. The receiver’s posi- Group Monitoring Units tion can be plotted accurately to within a few feet. Sometimes programs will want to supervise sev- (Renzema, 1998; The Aerospace Corporation, 1999; Trimble Navigation Limited, 2001) eral offenders in the same location using electronic

Offender Supervision with Electronic Technology 65 were originally designed by the U.S. military for boxes that weigh approximately two to four pounds. navigation, mapping, and weapons delivery pur- The offender carries the device by hand, with a poses. However, they are now used in a variety of shoulder strap, or worn around the waist. The portable nonmilitary applications including personal car and tracking device contains several types of technology: boat navigation and electronic supervision of offend- a receiver that detects signals from the transmitter, ers (Rosica, 2000). the GPS signal receiver, a computer, and cellular telephone circuits (Renzema, 2000a, 2000b). The radio receiver, like the sta- Victims must be made fully aware that tionary ones used in continuous signaling systems, simply detects whether the victim notification systems do not provide transmitter worn by the offender is within range. The GPS unit receives con- protection from a perpetrator. These are only stant signals from several of the satellites. tools that will act as warning devices when Receivers detect signals from the satellites that include the exact time the sig- the offender has not tampered with the nal is sent and the identity of the satellite sending the signal. This information equipment. is processed to determine the person’s location. The cellular phone system in the portable tracking device can then The hardware for this system consists of a trans- communicate information about the person’s loca- mitter worn by the offender, a portable tracking tion to the central monitoring system. The computer device that the offender must carry or be near at all in the portable tracking device continually stores times, and a charging unit for the portable tracking the information about the offender’s location. These device that stays in the offender’s home (Renzema, systems use mapping technology to track the 2000a). The battery-operated transmitter is small offender’s actual movements throughout the day by (about the size of a watch or small pager), light downloading the information from the receiver’s weight (about two to four ounces), and is usually computer. While it is also possible to follow the of- worn on the offender’s ankle. As with other types of fender constantly in real time, the cellular telephone electronic supervision devices, the transmitter has charges involved make this unrealistic in some cir- built-in tamper-resistant features to avert the of- cumstances. Downloading and studying data about fender from removing the transmitter and to send the offender’s movements can provide information an alert if he does interfere with it. Batteries can about his or her activities. It can be especially use- last from one to three years before replacement. ful to determine whether an offender may have been Like the continuous signaling devices, the transmit- near the location of illicit activity at a given time. ter emits a radio signal two or more times a minute Some offenders have been cleared of criminal in- that is received by the portable tracking device. In volvement because their location tracking systems an open unobstructed area, the transmitter can send showed they could not have been in the area where signals to the portable tracking device as much as the crime was committed at the time it occurred. 100 to 150 feet away. However, the range can be A shortcoming of the technology is that in some programmed for some models ranging from 35 to cases, the GPS signals may be interrupted by cer- 150 feet (Conway, 2001b). tain kinds of construction blocks. For example, when If the portable tracking device no longer receives the offender is inside buildings, especially in basement a signal from the transmitter, it sends an alert to areas, the signals may be blocked. Most systems send notify the monitoring center. The portable tracking an alert when this occurs, and the portable tracking device must be within range of the offender’s trans- device can still detect and transmit signals from the mitter at all times to track the offender. (Some agencies transmitter. allow the offender to go out of range of the transmit- Most location tracking systems communicate ter while at work, depending on their work environ- through cellular phone technology, and one of the ment, responsibilities, and the reasonable assurance pitfalls of cellular telephones is “dead spots.” This of their continuous presence at their work site during means that offenders will momentarily not be working hours.) Portable tracking devices are small tracked in real time. If this occurs, the receiver’s

66 Chapter 7 computer continues to store information about the offender’s location. Although the information can Figure 7c be retrieved, it cannot be reported until the por- ELECTRONIC MONITORING table tracking device is out of the problem area. TECHNOLOGY LOCATION TRACKING Thus, the information will not be in real time. Users should test the equipment in their locality to know SYSTEMS — GPS where the dead spots are (L. Connelly, personal communication, September 7, 2001; Renzema, Offender wears transmitter and 2000b). carries receiver Using a GPS system, criminal justice professionals can determine inclusion and exclusion zones for each offender. Exclusion zones are areas the of- Signals from four satellites are fender is not permitted to go, such as parks and received by the receiver schools for a pedophile, a former partner’s home or place of employment for a domestic batterer, or bars for an alcoholic. Depending on the brand of equipment used, exclusion zones can range from a Cellular phone communicates 300 to 2,000 foot radius, and from 20 to an unlim- between receiver and ited number of exclusion zones can be selected for monitoring computer each offender. Inclusion zones are areas the offender is expected to be at various times, such as his workplace during the day and home at night. De- Supervisor follows up on pending on the equipment used, the number of violations inclusion zones can range from 100 to an unlimited number, and the size of inclusion zones is unlimited (Conway, 2001b). The inclusion and exclu- other types of offenders or defendants who may be sion zones are entered by using mapping software appropriate for this technology including pretrial that usually requires only entering the address or releasees in high-profile cases and parolees with his- pointing to the location on a computer map. The tories of violent crime. Location tracking systems computer can be programmed to send an alert any also can be used for offenders who do not have time the offender enters an exclusion zone or leaves household telephone service needed for continu- an inclusion zone at the wrong time. If an alert reg- ously signaling technologies. Because of the cellu- isters, it is then possible to follow the offender’s lar phone system used with location tracking systems, movements to determine whether he is clearly vio- they can sometimes be used in remote rural areas lating his restrictions or has accidentally gone in the (Renzema, 2000b). wrong zone temporarily. Real time tracking can al- Global positioning systems are about three to low law enforcement to be dispatched to the five times more expensive than continuously signal- offender’s exact location. ing systems, reflecting both more costly equipment The portable tracking device carried by the of- and the added cost of cellular telephone service; fender is also battery-powered and must be re- however, costs for this technology are expected to charged regularly — currently, usually every 16 to decline. Global positioning systems also generate a 24 hours. The charging unit for the portable track- significant amount of information, because it is posing device is placed in the offender’s home and uses sible to track the location of the offender continu- household electricity. It takes about five hours for ously. This increases the work for staff to review the the battery to fully recharge (Conway, 2001b). Figure information produced and respond to any infrac- 7c portrays the basic operation of a location track- tions found, thus also potentially increasing the cost. ing system. Location tracking systems are usually most Emerging Technologies appropriate for higher-risk offenders. Sex offend- Electronic supervision technologies have devel- ers and domestic violence offenders have been oped during a short time span and are changing placed on these systems. Renzema (2000b) lists rapidly. Many companies have refined their prod-

Offender Supervision with Electronic Technology 67 ucts to make them easier to use and less susceptible way, personal communication, September 10, 2001). to tampering by offenders. Existing technologies are Experiments also are ongoing that may result in very reliable. telemetry of blood levels of illicit drugs measured by adhesive skin patches with embedded microchips (M. Renzema, personal com- Electronic supervision technologies have munication, October 14, 2001). developed during a short time span and are CONCLUSION changing rapidly. This chapter focused on the selection of appropriate electronic supervision tools stressing the need to carefully review the capabilities of equipment considered and However, manufacturers constantly are looking to make sure it can perform the functions needed toward improvements or new technologies. One to achieve program goals. Eight types of electronic system now being developed will be a location track- supervision equipment were described, ranging ing system that will use receivers mounted on radio from those appropriate for very low-risk offenders towers, rather than satellites, to determine the loca- to those that might be employed to supervise the tion of the offender’s transmitter (Conway, 2001a; highest-risk offenders in the community. The char- Gaseau, 2000). Another is a system that continuously acteristics of each type of supervision system were monitors an offender for alcohol consumption described with caveats for agency personnel to con- through technology in a body-worn band (P. Con- sider when implementing each.

68 Chapter 7 Chapter 8 ESTABLISHING MONITORING SERVICES FOR ELECTRONIC SUPERVISION SYSTEMS Whether a program is supervising low-risk types of offenders’ problem behaviors, such as offenders through the use of automated reporting offenders with alcohol problems or the monitoring systems or is managing higher-risk offenders using of domestic violence or sex offenders. In determin- remote alcohol detection, continuously signaling ing policies for monitoring services, there are sev- devices, or location tracking, electronic supervision eral important decisions to keep in mind, including: technologies are a tool to hold offenders account- • Managing information to achieve the able for their behavior in the community. However, program’s purpose and goals. these technological capabilities also require account- • Matching offender risk level with appropriate ability of the agency. Regardless of the type of electronic use of data. supervision technology employed, the purpose of • Understanding the capabilities of the equip- the equipment is to generate information about the ment, software, and personnel who manage offender using it. The crucial part of an electronic the information. supervision system is how that information is used. • Responding appropriately to offenders based This chapter explores the processes and necessary on the information received. decisions for managing data between the time it is • Using data for program management. generated by the equipment offenders use in the field and the time a criminal justice agency profes- MATCHING OFFENDER RISK AND sional makes decisions about how that information PROGRAM PURPOSE AND GOALS will affect his or her supervision of the offender and other job responsibilities. Although data transmis- Possible purposes of programs using electronic sion is automated, human decisionmaking is the supervision technologies were discussed in chapter most vital part of the process. Without sound poli- 2. Briefly, these included: cies in place and trained professionals responding • Public safety. to the information generated, electronic supervision • Safety of victims. technologies are a waste of time and money! • Accountability of offenders. • Behavior change of offenders/ reduction of recidivism. Regardless of the type of electronic supervision • Complying with mandates to reduce jail or prison populations. technology employed, the purpose of the • Providing correctional services in the most economical way. equipment is to generate information about The way in which information gen- the offender using it. erated by electronic supervision equipment is used must correspond with the The crucial part of an electronic supervision stated purpose. For example, if the program supervises high-risk offenders and system is how that information is used. the program purpose is public safety or safety of victims, then, depending on the type of technology used, information As discussed in chapters 4 and 7, electronic about offenders’ violations of curfews, use of alco- supervision technologies may be used on a range of hol, or entry into exclusion zones should receive offenders with an array of risks and needs. Risk lev- close scrutiny and appropriate response to ensure els may vary from extremely low-risk offenders who that they are not engaging in activities that risk pub- require only administrative supervision to very high- lic safety or the safety of victims. On the other hand, risk offenders who otherwise would be incarcerated if the program purpose is to reduce supervision costs or are being released from incarceration. Electronic for low-risk offenders, a monthly review of reports supervision technologies also target some specific generated by automatic reporting systems may be

Offender Supervision with Electronic Technology 69 sufficient. If medium-risk, nonviolent offenders are this beginning point. Not only is the initial data col- being held accountable by the program and being lection important for later processing of and re- rewarded or sanctioned for compliant or sponding to information generated electronically noncompliant behavior, then regular, but not nec- about offender activities, it is also important for pro- essarily immediate, review of data and responses by gram evaluations (a topic that is discussed in greater personnel may be appropriate. All violations should detail in chapter 11). result in a response of some kind, whether it be Program personnel must determine what basic immediate or not. Additionally, there should be information is needed about each offender. Much protocol established for responses to violations of this information is already collected during pro- based on their level of severity. gram intake processes. However, a decision must be made about what information will be entered in the MANAGING THE INFORMATION monitoring computer and in what format. This often necessitates designing forms (both paper and Whitfield (1997) writes that electronic supervi- for the computer) for entering the data. In some sion equipment “produces an extraordinary amount cases, agency personnel enter data about program of data that has to be organized into ordinary, check- participants directly into a computer, and it is con- able, understandable patterns. This requires a high veyed to the central monitoring computer. In other degree of accuracy and organization in terms of both cases, the information is hand-written on a form and input and output scrutiny” (p. 89). There are an sent to the monitoring center1 where it is entered amazing number of “moving parts” and an incred- by monitoring center personnel. However it is done, ible volume of information that must be organized the enrollment process should make swift and easy for effective use of electronic supervision systems. completion possible. It is vital that information be At its most elementary level, equipment worn entered on a timely and accurate basis so no delays or used by the offender produces particles of infor- or mistakes cause problems in the operation of the mation that are transmitted to a central monitoring system. Basic identifying data on each offender computer. The computer is programmed to receive, should be collected and entered in the computer, organize, and respond to the information based on including but not limited to: name, age, sex, race, data that has already been entered about individual address, telephone number, legal history, present offenders. The information then is accessed by offense, and the like. people who are responsible for making decisions about how these data should be interpreted and Conditions of Supervision used. Sometimes, additional computers are involved Agency personnel must also make decisions in this information management process, including about the electronic supervision rules or restrictions computers at agency offices or portable computers for offenders. Sometimes these will be standardized used in the field that receive information from the for all offenders in the program and other times central computer. The monitoring computer also they will be individualized based on each offender’s may send information using telephone, pager, or situation. For example, rules and restrictions for fax communication systems. different types of electronic supervision equipment Agency staff should familiarize themselves with might include: the protocol of the monitoring center so they know • The frequency with which offenders must re- how all this information is processed and reviewed. port using automated reporting systems (e.g., Agencies should require they review and approve a weekly, monthly, quarterly) and the type of quality control and auditing plan from the moni- information they are required to supply when toring agency. they report (e.g., change of address or employment, attendance at treatment). Initial Data Collection • The frequency with which offenders undergo- Knowing the type of offenders to be supervised ing remote alcohol detection must use the test and the program purpose, the next phase of pro- devices and whether this will be on a sched- gram decisionmaking is what data will be collected. ______Data collection begins long before the equipment 1 In this document, a monitoring center may refer either to a is installed on the offender or in his or her home, contracted service center that provides computer monitoring and several important decisions must be made at or to similar monitoring services located within the agency.

70 Chapter 8 uled basis (e.g., every time they return home) offender that does not agree with the information or on a random basis (e.g., periodically dur- entered in the computer for that offender (e.g., ing the day they are alerted to take a test), or unauthorized leaves, entering an exclusion zones, both. use of alcohol) as well as information about equip- • Schedules for offenders placed on home cur- ment functioning (e.g., tampers, power loss, discon- fews, including times they may leave home for nected telephone). These are sometimes referred work, treatment, and other authorized activi- to as “alerts.” The reporting of exception events, ties and when they must remain at home. methods of verifying or gathering additional infor- • Inclusion and exclusion zones for offenders mation about those exception events, and notification using location tracking devices. of suspected violations are all important consider- In many cases, combinations of these last three ations when planning a program that uses electronic areas may be applied to the same offender, as blends supervision technologies. The program plan affects of equipment may be able to perform several func- the choice of electronic supervision equipment and tions. While the identifying information on each services provided to best accomplish the program offender described previously is static (unchanging purpose. Most vendors offer standard verification information), the rules and restrictions may be and notification procedures, but usually they also changed according to program and offender needs. can provide modified processes designed to meet For example, schedules often must be changed to specific program needs. However, it is absolutely accommodate fluctuating work hours, changes in necessary to specify program needs prior to procur- treatment schedules, and the like. Exclusion zones ing electronic supervision services and to make sure also may be changed if, perhaps, an offender’s vic- potential vendors can meet those needs. There are tim changes residences or jobs. Programs also may several steps and methods for exception event pro- want to increase or decrease the frequency with cessing discussed in the following sections. which offenders on home curfews are checked as Exception Event Processing rewards or sanctions based on their compliance or The most frequent exception events for continu- noncompliance with program rules. ously signaling electronic supervision equipment The central monitoring computer must be pro- (the most commonly used) are equipment tampers, grammed to receive the data transmitted by the unauthorized leaves (out of range), and unauthorized equipment the offender wears or uses and organize returns (in range). Others include, but are not limit and compare it to the rules and restrictions that ited to, failure to return (out past curfew), AC power have been entered for each offender. As long as the loss, and phone disconnect/reconnect. Figure 8a information received from the equipment the illustrates the various exception event processing offender is using shows compliance with the sched- possibilities. References to verification and investi- ules, sobriety, and inclusion/exclusion zones for the gation refer to actions performed by the monitor- offender, the central monitoring computer records ing center computer or staff. and stores the information and generates routine The first phase in processing exception events reports (daily, weekly, or monthly, as preferred by is verification (investigation) of the event. Verification agency personnel) that indicate the times data were methods and capabilities vary from system to system collected and the results (i.e., compliance) for each. and by type of event. Depending on the program The most crucial issue for decisionmaking for elec- purpose, policies, staff, and other resources, all ex- tronic supervision systems, however, is how infor- ception events may not need to be verified. However, mation about exceptions to or violations of the rules it is a good practice to have at least one investiga- and restrictions are to be handled. tion phone call made by the monitoring center to determine what is happening. If the violation in- Exception/Violation Verification, Investigation, volves the offender being out of range, the fact that 2 and Notification he or she answers the phone means he or she is Exception events occur when the computer de- back in range. This preliminary investigation takes tects information from the equipment used by the just moments, and it can save an officer significant ______time and energy required to go to the offender’s 2 The information in this section was provided primarily by home for a false alarm because the offender just Peggy Conway, a member of the Working Group that guided went to his or her garage for a few minutes and was the development of this document. out of range.

Offender Supervision with Electronic Technology 71 Figure 8a EVENT PROCESSING

Monitoring Event — Tamper, AC loss/restore, Exception NO Log Event, In range/Out of range ▼ Event ▼ Daily Activity

▼ YES

Verify/ ▼ NO Investigate (Ver/Inv)

YES ▼ ▼ ▼ ▼ Operator Both Operator and Automated Ver/Inv Automated Ver/Inv Ver/Inv ▼ ▼ ▼ ▼ ▼ ▼ ▼ Violation Violation Resolved False Confirmed in Grace Period Violation ▼ ▼ ▼ ▼ ▼

Immediate NO Log Event,

Notification? ▼ Daily Activity

▼ ▼ YES ▼ ▼ ▼ ▼ Operator Both Operator and Automated Automated ▼ ▼ ▼ ▼ ▼ NO Notificatiion YES ▼ END

▼ Verified? ▼ UNKNOWN ▼

72 Chapter 8 The agency should establish the protocol it wants during peak times (L. Connelly, personal commu- for all violations based on the seriousness of the nication, September 7, 2001). violation. Some monitoring centers recommend au- Some electronic supervision systems monitoring tomatically resetting after transmitter strap tamper high-risk offenders immediately radio a law enforce- alerts. While this may be appropriate for a proxim- ment officer to apprehend an offender or defen- ity tamper (the transmitter is not in contact with dant for whom an unauthorized leave notice is re- the skin), for the strap tamper, automatically reset- ceived. These programs tend to use field equipment ting may be a problem. If the equipment is reset with short programmed delays before reporting an automatically, it is virtually impossible to know the out-of-range event. real reason for strap tampers. Staff should always Most systems require the offender/defendant inspect the strap and reset it themselves to determine to respond by telephone and then verify his or her the exact nature of the problem. It is important for identity — either biometrically or through an addi- electronic supervision staff to minimize games and tional technology incorporated into the transmitter guessing (L. Connelly, personal communication, device that generates an identification code that is September 7, 2001). transmitted over the phone line. For this reason, it Today, many requests for proposals for elec- is generally accepted that verification is extremely tronic supervision monitoring services include the accurate. Conversely, it would be virtually impossible requirement that unauthorized leaves be verified for a monitoring center operator to accurately verify prior to notification of agency personnel. Most ven- the identity of an offender on the telephone. How- dors indicate that verification by a monitoring center ever, this is not necessary since the offender’s trans- operator and notification of unauthorized leaves will mitter will indicate he is at home, if in fact he is. occur within 15 minutes; that is, 15 minutes from Therefore, if a transmitter in range is reported at the time the exception event is reported. All field the same time as this message, then this verification equipment using radio frequency has a built-in pro- method should be considered reliable. Additionally, grammed delay from the time of the first missed if a call is placed by the monitoring center immedi- transmission to the time the equipment considers ately upon receiving an out-of-range, or left- home the transmitter to be out of range. This can be as little violation, then if the offender answers the phone, it as one minute and as much as 30 minutes. In most is only a matter of moments before monitoring cen- cases, the delay is ten minutes or less. This means, ter staff know if the transmitter is back in range. with operator verification taking up to 15 minutes, This is why telephone verification is so important agencies are notified approximately 25 minutes af- on major violations prior to notifying law enforce- ter the person has left. Agencies can specify in their ment of a problem. Law enforcement personnel contracts what they want this time window to be for would likely prefer to know there is a problem than offenders based on risk level or for the agency as a respond to a false alarm (L. Connelly, personal com- whole. munication, September 7, 2001). Operator verification and notification estimates Supervision agency personnel need to think are based on usual timeframes for completing tasks. carefully about how violations are handled. The However, monitoring systems do have peak periods “window” for the monitoring center to notify super- of activity, and they can have unexpected staffing vision staff of violation verifications can be varied shortages, so verifying exception events can become depending on the risk level of the offender (usually backlogged, causing further delays in notification. from one minute to 20 minutes). During the time Therefore, it is important for agencies to ascertain the agency is receiving notification about a viola- the monitoring center’s procedures for handling tion, a phone call can be made by the monitoring peak activity periods and staff shortages. Another center and verification of the violation can be known issue that can affect notification of violations is the immediately. Notification before verification, rather number of modems per client available in the moni- than saving time, potentially takes the officer away toring center. If a monitoring center is trying to from other important duties unnecessarily (L. minimize costs, it may have too few modems for the Connelly, personal communication, September 7, number of offenders monitored, thus limiting its 2001). Part of this evaluation should include some monitoring and notification capacity. Agency plan- understanding of the frequency of “false” out-of- ners should find out exactly what the ratio of mo- range events reported. This does vary by product, dems to offenders is and what delays can be expected by the installation environment, and in the ability

Offender Supervision with Electronic Technology 73 of installers to determine an optimal location for phone call to an on-duty or on-call staff member equipment that has a greater tendency to report out- for confirmed major violations. Programs can be of-range events. It should be noted that agencies individualized based on the risk level of the offender. that respond to unauthorized out-of-range events If agencies know they will respond immediately to a on the next business day are likely to find informa- major violation on a high-risk offender, then it makes tion provided by operator verification valuable. sense to receive a phone call so the margin for er- The Urgency of Exception and Suspected Violation ror is reduced. On the other hand, if agencies do Event Notification not respond to violations until the next business day, From the preceding section, the importance of then a phone call may not be necessary. Major vio- answering the following question is accentuated: lations, however, by any offender, should receive When staff are notified of a potential violation, priority action and should be handled differently what must they do and when should they do it? than less serious violations (L. Connelly, personal The answer to this question indicates whether communication, September 7, 2001). immediate notification is beneficial. Some agencies Manually generated and automatically gener- with limited staff or without the need to respond ated notifications are both subject to potential pit- immediately to violations question the value of im- falls or delays. Manual notification can be delayed mediate notification and consider it to be more of due to unexpected peak workloads and the nature a liability than a benefit. First, why disrupt the sleep of manual processing; staff are unable to keep up of on-call staff by paging them with information that with the workload. However, it is the responsibility they will not act upon until the next business day? of the monitoring center to have protocols in place Second, is there a liability in knowing about a viola- to manage peak hours within the time guidelines tion and not doing anything about it? established by the agency. Obviously, there is also a The response to notification of a violation can potential for human error whenever a procedure depend on the defendant/offender and can range requires manual processing except for phone calls from discussing the violation with the offender dur- to staff for person-to-person notification. Some ing the next scheduled office visit to increasing their monitoring systems print notifications that moni- sanctions by decreasing noncurfew hours to dispatch- toring staff then have to fax. It is not difficult to ing a probation, parole, or law enforcement officer imagine an operator setting up a fax, hitting send, immediately with authorization to take the offender walking away, and not realizing that the fax has not into custody. A good rule of thumb is that the more gone through until an hour later. severe the sanction, the more information needed Automatic notification is also subject to delays. about the violation. This information can be gather- What happens when a telephone line is busy or a ed by the monitoring center staff during verification, printer or fax at the receiving end runs out of paper? by the case officer, or by the nearest law enforce- Regardless of whether notification is automatic or ment officer patrolling the area and dispatched for manual, it is important to find out whether there is immediate response. a manual or automatic process to make multiple Methods of Notification notification attempts if previous ones are not suc- Notification methods vary and may be automati- cessful. It is also important to find out whether the cally generated by the monitoring computer system, system can use a back-up machine or method after processed by the monitoring computer system op- several unsuccessful attempts. It is essential for agen- erator, or included in a combination of automated cies to look closely at violation notification proce- and manual processing procedures. One example dures and tailor them to meet their needs. Agencies of combined automated and manual processing is need to ensure that auditing and confirmation pro- when the computer system has automated fax or cedures are in place to assure that they receive timely paging capabilities but the operator has to invoke a notification of violations — especially for major command or select a menu item to initiate a faxed violations. transmission. Common notification methods include A system that offers unlimited flexibility to printed reports, faxed transmissions, and pager agency staff for providing written instructions for alerts. E-mails are beginning to be used by some programming changes that appear on the screen companies as well. While telephone calls to desig- for a monitoring center operator probably should nated staff are less common, agencies may want to be avoided. Such changes may include schedule insist that pages and faxes be followed with a tele- changes and exception event verification. While

74 Chapter 8 such instructions about changes may be clear to the erations to be made when determining the type of sender, they may be subject to different interpreta- and arrangements for these services or developing tions by monitoring center staff. Therefore, confu- agency-based computer capabilities. These include sion and mistakes may result. A menu for selecting data storage and equipment inventory. changes may be a better option in most cases. When using pager notification, it is important to find out whether the system works with two-way paging so that the system is able to confirm that paged notifi- The integrity of any electronic supervision cations are received. Until two-way digi- system and its ability to help meet program tal paging became available in the late 1990s, there was no way of knowing goals hinges upon the response given to whether a page was received unless the monitoring center (or computer) kept a offenders for their compliance or log and required agency staff to call the noncompliance. center when they received a page about a violation. This is the point at which technology ends There are other functions worth considering when selecting monitoring ser- and human interaction begins. vices, some of which are relatively new and not always readily available. For example, some systems that automatically generate a Data Storage report to agency personnel may also be capable of Agencies initiating electronic supervision systems sending a letter or report to a judge and a copy to should be aware that large volumes of data will be the offender. Another capability to explore is generated. Decisions must be made about how long whether the monitoring system can interface with data should be kept; when, how, and how much data agency case management software and directly should be purged; and how archived data will be record case notes on electronic supervision. accessed if needed. Should information be main- Verification and notification often are considered tained by the monitoring center only while the de- simple tasks, but a closer look reveals the complex- fendant or offender is being supervised, or should ity of capabilities and considerations. While most information be maintained much longer? This is an agencies specify system capabilities, they also should especially important issue for juvenile offenders include a description of how and when violations whose records may be expunged when they reach will be responded to and the necessary resources majority age. Decisions also will need to be made for doing so. Vendors can then describe how their about whether data are maintained by a contracted systems can support these operational requirements. monitoring service or transferred to the agency for storage. Even electronic storage of a significant RESPONDING TO OFFENDERS amount of data can require additional resources, The integrity of any electronic supervision sys- and this needs to be planned as the program is de- tem and its ability to help meet program goals hinges veloping. There also should be procedures in place upon the response given to offenders for their com- for authorizing (or not authorizing) data to be pliance or noncompliance. This is the point at which purged from monitoring center files. This may be technology ends and human interaction begins. automatic, as in the case of program policies that Agencies must develop a clear policy of how staff require purging data at a specific time after the offend- will respond to offender behavior, including gradu- er is removed from electronic supervision. In other ated sanctions and incentives. This is discussed in instances, the agency may prefer to be notified by greater detail in chapter 10. the monitoring center when a case has been inactive for a certain period, and then to have staff authorize that the data be purged or maintained. Further, USING DATA FOR PROGRAM procedures should be in place for retrieving ar- MANAGEMENT chived data. For privacy purposes, a method should Besides the primary supervision purposes of be in place that protects all parties involved from monitoring services, there are some other consid- inadvertent disclosure of confidential information.

Offender Supervision with Electronic Technology 75 Equipment Inventory • Ample telephone modems to process informa- Equipment inventory is an important and neces- tion in a timely manner. sary part of the management of an electronic super- • Audit procedures to minimize human error. vision system. Because of the expense involved and • Background checks of employees. for accountability, agencies should have a system for Further, agencies should verify the training and tracking: competency of monitoring center staff. As Baumer • Equipment assigned to particular staff. and Mendelsohn (1995, as cited by Whitfield, 1997, • Specific equipment for each offender. p. 90) say, “. . . computers only follow instructions; • Dates of use. if those instructions are incorrect or absent, the com- • Defects and repair history. puter will persistently and consistently do the wrong • Equipment upgrades. thing.” • Retirement/disposal of equipment. Consideration of how data collected through • Battery life/replacement. electronic supervision technologies will be gathered, • Calibration of alcohol testing units. transferred, managed, and responded to is essential. Many agencies already have inventory proce- Without careful study of these issues, the program dures for other types of equipment, and electronic likely will fail. Indeed, as Whitfield (1997) notes, supervision equipment may be added to this. How- without proper attention to these issues a system may ever, if this is not already available, it may be an area collapse under the weight of its own data. Human to include with other monitoring services software. resources are required to manage and respond to This type of information could be added to the other all the information generated. Although electronic data that are gathered and stored by monitoring supervision is often touted as, and very well may be, computers. a means of saving correctional dollars, many agencies have found that these systems are staff-inten- SELECTING MONITORING SERVICES sive and require additional personnel if they are to Monitoring services may be arranged in at least be managed appropriately. three ways: equipment manufacturers can provide monitoring services, private or criminal justice CONCLUSION agency monitoring services can be obtained, or This chapter reviewed the management of infor- agencies can operate their own monitoring services. mation generated by electronic supervision tech- Regardless of the arrangement for monitoring ser- nologies. It is necessary to have monitoring services vices, there are several important features that con- in place to receive and handle the massive amounts sumers should be sure are available. These include: of data produced. Monitoring services must receive • Data backup so data is not lost if the computer explicit instructions from program staff so that they goes down. can set computer programs to process data prop- • Power supply backup so that an alternate erly and monitoring center staff can respond as power source is available if electrical power is needed to the information they receive. The way lost. monitoring center staff handle exception events and • Sufficient computer memory and hard disk storage space. notify program staff can literally be life and death • Multiple methods of sending information to situations. However, monitoring center staff must agency supervision staff in case the primary be instructed about how the agency wants excep- method fails (e.g., pager, phone, fax, and e- tion events verified and how such information mail). Additional telephone lines may be nec- should be transmitted to the agency. Data that is essary to prevent situations where communi- received by the monitoring center can also be used cation is not possible. to accomplish other necessary tasks including • Computer security to prevent sabotage storage of inactive data files and inventories of attempts. equipment.

76 Chapter 9 Chapter 9 THE PROCUREMENT PROCESS

Having made decisions about the purpose, goals, In 1986, only 95 offenders throughout the types of offenders, and the best technology to use United States were subject to electronic supervision for supervising offenders electronically, the next step (Tonry, 1997); today more than 100,000 are super- of the process is to procure the equipment and ser- vised with the aid of electronic technologies. How- vices needed. This chapter examines the procurement ever, there is no reliable national data collection process, first providing an overview of the electronic source that provides comprehensive information technology industry and then turning to specific about the use of electronic supervision equipment, procurement strategies. and many resources do not include all types of technologies (e.g., automated reporting systems) or do INDUSTRY OVERVIEW not clearly define the technologies that are included. Growth patterns can be discerned from the statis- Understanding the electronic supervision indus- tics that do exist, but a full picture of the extent and try is a first step in making good choices about the types of uses of electronic supervision is elusive. This selection of equipment and services. Although it is only partially due to people assuming electronic seems underutilized when compared to the number monitoring is only radio frequency equipment. of offenders being supervised in the community and In the Bureau of Justice Statistics’ report of cor- when compared to its use for offender supervision rectional populations for 1997 (Bureau of Justice Sta- in other countries, the electronic supervision indus- tistics [BJS], 2000), the most recent year available, try has grown significantly since its inception in the 30,934 post-adjudicated offenders were reportedly 1980s, and the environment in which it operates is supervised with electronic supervision devices. a fiercely competitive one. Each of these issues will These were divided among persons under jail super- be discussed in light of how they affect consumers. vision (28 percent), adults on probation (49 percent) The extent to which electronic technologies are and adults on parole (23 percent), as shown in fig- used to supervise defendants and offenders in the ure 9a. These data do not include pretrial releasees community is unknown. There is no national data- or juveniles who may be supervised electronically. base that tracks and records the use of electronic While these data are useful for looking at the dis- supervision technologies. There are several sources tribution of electronic supervision among post- of information about the number of electronic devices adjudicated adult offenders, they should not be in use or the number of offenders being supervised viewed as exact representations. Explanatory notes electronically, but each of these has its drawbacks and none is considered accurate. This section explores the numbers and trends in the use of electronic su- Figure 9a pervision tools to provide a general picture in the ELECTRONIC SUPERVISION OF JAILED, growth of the industry, but readers are cautioned about the possible limitations of these data. PROBATED, AND PAROLED OFFENDERS

A Growing Industry The first steps that justice system agencies took into the electronic supervision arena were tentative Parole 23.1% 7,140 ones. Isolated agencies here and there decided to try the equipment, and usually employed it with only a handful of offenders. Over time, the numbers of agencies and offenders using the equipment has grown sub- Probation 48.8% 15,095 stantially from its beginning applications, even though less than three percent of the criminal justice popula- Jail 28.1% 8,699 tion are being supervised with electronic technology1. ______1 The crminial justice population grew substantially from the 1980s to today, so three percent is relative.

Offender Supervision with Electronic Technology 77 in the BJS publication indicated that, in a few States, Connelly2 cited four possible reasons for slow growth offenders on electronic supervision were counted (Connelly, 1998b): with those on intensive supervision. However, it is • Electronic supervision was promoted as a not known whether all those on intensive supervi- panacea — an ultimate solution rather than a sion also are electronically supervised. In a few other tool for supervision. cases, notes indicated that several offenders (rang- • Electronic supervision was marketed as an ing from 31 in one State to 200 in another) were “easy” alternative without acknowledging the omitted from these counts. additional paperwork and supervision tasks Data on trends in the use of electronic super- that result from its use. The staff requirements vision technology are equally problematic when it for properly implementing electronic super- comes to trying to get a realistic picture of the vision were either not realized or ignored. industry. • Electronic supervision technologies were in- The annual surveys conducted by The Journal of troduced before developing adequate support Offender Monitoring indicate growth in the number in the market. Initial problems led to general of units in use. Table 9a shows the average number mistrust of the product. of units in use or clients monitored daily as reported • Media capitalization on a few heinous crimes by vendors in 1999 and 2001. committed by offenders under electronic One of the obvious problems with these data is supervision sensationalized problems and that they are voluntarily reported by vendors, and made them appear to be the rule rather than as shown in the right-hand column, not all of them the exception. furnish data on the number of units in service nor clients being monitored. Thus, it is unknown A Competitive Environment3 whether the increases in numbers of units/clients Otherwise respected defense contractors are is truly a reflection of increasing implementation caught paying foreign politicians. Transport planes of electronic supervision or better reporting (fewer have toilet seats 100 times more expensive than nonresponders) by vendors. It is also unclear, and those in homes. Highly-touted weapons systems do may be inconsistently reported among vendors, as not work. Retired generals go to work for defense to whether these statistics reflect the total number contractors — but not for their technical expertise. of electronic supervision units their customers have Data processing contracts are awarded to political obtained or the number of offenders being moni- friends. These problems are mentioned to put in tored at a particular time. perspective some of the cautions that are given be- The only conclusions that can be drawn from low. Despite its relative youth and the shortage of present data are that, among adult offender popu- capital that has afflicted many of the equipment lations, about half of those supervised electronically manufacturers and service providers, most business- are probationers, and the others are more or less es in the electronic supervision technology industry equally divided among parolees and persons on jail release. Many people in the electronic supervision ______2 industry and in the criminal justice system think that Linda Connelly is a member of the Working Group that there is greater potential for the use of electronic guided the development of this document. 3 This section was contributed by Marc Renzema, a member supervision tools, but the industry has not grown at of the Working Group that guided the development of this the expected rate in the United States. Linda document.

Table 9a ELECTRONIC SUPERVISION UNITS IN SERVICE/CLIENTS MONITORED Number of Companies Not Reporting Units in Survey Number of Number of Companies Service/Clients Year Units Reported Included in Survey Monitored 1999 82,604 15 5 2001 109,302 17 4

78 Chapter 9 maintain ethical business practices and generally ten elements, and the vendor is making precious responsible behavior, although there have been little profit or even taking a loss. Consequently the some exceptions. However, personnel involved in electronic supervision program component deterio- the electronic technology industry may not have rates or fails. first-hand knowledge of the criminal justice system, Dubious Sales Practices and agencies need to pay special attention to what Some companies have personnel who have is sold to them. Most companies have an understand- criminal justice expertise and thus, may have a good able interest in their own bottom line; at the same sense of what constitutes responsible application of time, they may not fully understand the type of offend- electronic supervision technologies. However, if an ers included in various programs nor the practices agency wants only weekly notification of curfew and equipment required to supervise them effec- violations by violent offenders, it is possible that a tively. Consumers should take time to make deci- vendor can be found who will not question this prac- sions, check references, verify promises, and test tice and will supply the requested service. Many of equipment for themselves (L. Connelly, personal the horror stories about heinous crimes committed communication, September 7, 2001). That said, by offenders being electronically supervised have some of the common and uncommon problems that been exaggerated; yet, they have, nonetheless, had have occurred are discussed in the following sec- a serious, deleterious impact on all of community tions and are provided to help agencies enter wisely corrections. These repercussions might have been into the procurement process. mitigated, and in some cases tragedies may have Company Stability been prevented, if agencies had been more careful about how they receive and use information from the No electronic supervision technology companies monitoring center. For example, in one California city are known to have suddenly locked their doors and a violation was faxed to a law enforcement agency left users in the lurch. More common has been a noting that a juvenile left his home unauthorized. period of gradually deteriorating service followed This information was faxed to the supervision by acquisition by another company. Of the 16 elec- agency over a holiday weekend, and it was four days tronic monitoring equipment manufacturers listed before the staff found the fax and acted on it. In the in the Spring 1989 issue of The Journal of Offender interim, the juvenile had committed murder. Who Monitoring, only five continued in operation and only knows whether the murder could have been prevent- two had significant market shares by the spring of ed? However, had the agency established protocols 2000. Users need to protect themselves through a to respond to major violations right away, the juve- combination of pre-purchase investigation, perfor- nile might have been apprehended more quickly. mance bonds, proof of company liability insurance, In any case, the agency’s practices would not have and exit clauses in contracts. Exit strategies also been subject to public scrutiny had their protocols should be considered before contracting: If the been more robust. It is always wise to have the moni- equipment is to be purchased, could it be supported toring center followup a fax on a serious violation by vendors other than the original manufacturer? with a phone call to ensure the information has been How long would it take to ramp-up with an alterna- received by a staff member (L. Connelly, personal tive provider? communication, September 7, 2001). Low-Balling “Wiring” Bids Companies may have urgent needs to establish Vendors are generally only too happy to help market share or to get new equipment into the field users develop bid specifications. However, when one and may cut prices to the point that service cannot accepts help from vendors, the technical specifications be sustained. When maintenance, system upgrades, may be drawn in a way that would exclude other and additional training are needed, they may not vendors. Taking the general approach of bidding be forthcoming. A particularly troublesome scenario for a function rather than equipment and relying on occurs when an agency sloppily draws a contract and the information in this publication, as well as other awards it to the lowest bidder and then expects the publications by the American Probation and Parole vendor to throw in the elements forgotten in the Association, the American Correctional Association, original contract but necessary to make electronic and the International Community Corrections Asso- supervision work. The agency needs to wait until ciation can greatly reduce this problem. The Journal the next fiscal year to obtain money for the forgot- of Offender Monitoring, especially its annual electronic

Offender Supervision with Electronic Technology 79 monitoring survey showing common capabilities, is generally ethical people working in the industry, but another helpful resource. they are subject to immense competitive pressures. Another ploy has been to encourage agencies to write bids for a mix of equipment offered only by PROCUREMENT PROCESS a particular vendor, to win the bid on that basis, and The foregoing section is provided not to discour- then to attend to and service only the core equip- age nor worry potential consumers, but to recom- ment. This is advantageous to the vendor because the way the contract was written, lack of perfor- mend that agencies enter into the procurement mance by the “supplemental” equipment is not process wisely. Work is required to ensure that the cause for voiding the whole contract. process operates smoothly and the agency obtains the most appropriate equipment and services for Lies and Distortions About Company Capabilities its electronic supervision needs. There are several When a company says, “We have 10,000 units in recommended steps in the procurement process the field” the meaning may be closer to, “Since day that will be discussed. Following that discussion, one, we’ve shipped 10,000 units.” Of those 10,000, examples of elements for requests for proposals are only 5,000 are currently usable and because of spares provided. and program glitches, only 3,000 are currently in use today on offenders. “Free training and free up- Procurement Rules, Regulations, and Laws grades” may have unspoken qualifications of “when we get around to it” or “when we can.” A monitoring States and individual agencies operate under center with “back-up power” can mean anything laws, rules, and regulations about how purchases from a $100 uninterruptible power supply good for may be made and how they may enter into contracts 15 minutes to a $20,000 diesel generator. Claims of for services. It is extremely important that agency system back-up were not true in one well-known case. personnel seeking to purchase, lease, or rent equip- The company had back-up hardware but did not ment or engage in contracts for services become run it because of staffing problems; when hardware familiar with and follow these procurement policies failed, it took many days to put all of the monitored carefully. If such policies are not adhered to, time, offenders back onto the system. The ability to main- money, and effort may be wasted unnecessarily, and tain continuous operations through backup capa- any resulting agreements may be illegal. Agencies bilities has proven to be problematic for more than or personnel then may be liable for procuring in- one vendor. appropriate equipment or for penalties for breach- Other instances of questionable behavior have ing contracts when procurement policies are not involved shipping equipment before adequate test- followed. Further, vendors may suffer losses for work ing and announcing new kinds of products as much they have done in good faith that is not acceptable as two years before beta-testing so that users would at higher agency or State levels. wait for promised products from an established ven- On the other hand, while the role of purchas- dor rather than purchasing from a newer company ing is important to ensure that the procurement that was already producing and shipping equipment. process is followed in a legal and fair manner, agen- In conclusion, caveat emptor: Let the buyer be- cies procuring the equipment and services should ware! The problems in buying electronic supervision make the final decisions. Establishing an electronic equipment or services are not significantly differ- supervision system is far different than purchasing ent from buying other technology. Specifications a copy machine or telephone system. There is no need to be set in detail and with care. References substitute for public safety, and the lowest bid is not need to be checked with line personnel who are necessarily the best. Too often, a separate purchas- operating the equipment, not the head of the ing department is shaping the content of a Request agency. The current financial health of the manu- for Proposals (RFPs) and selecting the successful facturer and provider also needs to be determined. bidder, even when its decision is contrary to the There may be discrepancies between the viewpoints desire of the corrections agency. In the best case of agency administrators and the line personnel who scenario, agencies should make an effort to have are in the field working with the equipment and final control over the RFP and the purchasing deci- processing information. Claims need to be verified. sion, with input from the purchasing department Checks and balances and back-up systems need to on the process only (L. Connelly, personal commu- be in place. There are many well-intentioned and nication, September 7, 2001).

80 Chapter 9 Imel and Hart (2000) suggest the first three of The bottom line is to know your agency’s pur- the following four options to investigate for a pro- chasing policies and comply with them carefully to curement process: avoid potential delays and even legal problems. • Competitive procurement through which the Armed with this information about the procurement agency develops specifications and issues a Re- laws, regulations, and policies under which your quest for Proposals (RFP). agency operates, there are two major phases in the • Noncompetitive procurement through which procurement process: agency policies may allow for sole source pro- • Initial Decisions. curement or contracts for operational services. • The Purchasing Process. Sole source procurement may be used when a The components of these phases are discussed vendor has previously supplied similar goods in the remainder of this chapter. or services to the agency and the intended procurement is for comparable items. Con- Initial Decision tracts for operational services, such as tele- Define Program Needs phone service, may not have to go through a Before thinking about or looking into equip- competitive bid service. However, each agency ment and other aspects of electronic supervision, has its own requirements, so personnel must agency personnel must clearly define their program check these and adhere to them. needs. Precisely specifying program needs is required • Cooperative purchasing through which to prepare an appropriate request for proposals that smaller agencies benefit from another will allow vendors to tailor their bids to meet program agency’s competitive procurement process. requirements. It is vitally important that this not be For example, if a State has a contract with a influenced by a particular brand of equipment, a vendor, a local agency may be able to purchase specific vendor, nor other market considerations. through the State’s contract. Following the recommendations in previous chapters • Finally, agencies may want to go through a of this document will assist program personnel in pilot process to determine exactly what type thinking through the issues that must be determined. of equipment and services work best for their Some of the important areas for consideration include: programs. A formal RFP process may result in • Target population — What type of offenders a contract that does not work for an agency if will be supervised electronically, and based on the agency does not fully understand its needs present and projected populations, how many and the details of the technologies available. are likely to be included in the electronic su- Prior to spending the time and money on a pervision component of the program? formal process, a pilot project will allow agency • Type of equipment — What type of electronic staff to try different scenarios and equipment supervision will be needed for the selected and then develop an RFP for its ongoing needs target population? Do they need programmed (L. Connelly, personal communication, Sep- contact, continuously signaling equipment, tember 7, 2001). location tracking devices, remote alcohol test- Of course, many agencies’ procurement guide- ing, or other types of electronic supervision? lines require that they obtain equipment and ser- • Service level — Given the target population vices using an Invitation to Bid. In these instances, and the type of equipment needed, what level great care should be taken to ensure that the speci- of service is required? How should staff be no- fications used define the minimum requirements tified of alerts or violations? Should notifica- without unnecessarily eliminating viable competi- tion be done by phone, fax, pager, e-mail, or tors. Further, care must be taken to ensure that all other methods? How frequently are reports on costs are considered in the responses. For example, individual offenders needed? How often must one vendor’s battery might cost $15.00 but is only agency reports be provided? replaced every two years of operation and can be • Research and evaluation — What type of in- replaced without destroying the strap or clips. An- formation does the agency need to track for other vendor’s battery may cost $5.00 but needs to research and evaluation purposes? be replaced every year, and replacement causes the • Upgrades — If a program is already in place, strap to be destroyed and requires new clips result- are changes in the program planned or is up- ing in a cost of $20.00. graded equipment needed?

Offender Supervision with Electronic Technology 81 Gain Stakeholder Support product. What is delivered at the time of purchase In Chapter 2, the value of involving stakeholders is all the agency has to use; however, when renting in the planning process for using electronic super- or leasing, equipment may be upgraded through- vision technologies was emphasized. It is also vital out the life of the contract. Purchased equipment, to maintain their involvement during the procure- like a home, is the property of the owner once it ment process. The person(s) preparing the request has been paid for, but leased or rented equipment for proposals and handling other aspects of the belongs to the vendor, and payments must continue procurement process is likely to need the support, as long as the equipment is in use. An advantage of expertise — and probably signatures — of others in leasing or renting is the opportunity to spread pay- the agency. The agency’s procurement process may ments out over a longer time. Purchased equipment require approval of key individuals as various steps can be used until it is broken, lost, or no longer are completed. Keeping stakeholders informed of relevant. Then the agency has the responsibility of the operation and progress is crucial for a relatively storing or discarding it. Leased or rented equipment problem-free procurement process. may go back to the vendor for upgrading or disposal, Determine the Parameters of the Procurement or the agency may have the option to purchase this Arrangement equipment at the end of the contract for an attractive Some basic decisions should be made before price. Purchased equipment also may be depreciated proceeding with the rest of the procurement pro- over its lifetime with resulting financial benefits in cess. These have to do with the combination of prod- some cases. Budgets, cash flow, and regulatory re- ucts and services needed and the basic processes straints may influence which option is best for an for obtaining them. agency. For a program with an electronic supervision Pay-per-day-in-use contracts are often used by component, agencies will need equipment, services, agencies when their funding is tied directly to their and other products. The equipment consists of the use of systems. In these cases, they only pay for use hardware components for operating the monitoring of the equipment and monitoring services when they process. Services include the monitoring compo- are in use. Many vendors require that the agency nent — the process of receiving information from commit to a minimum percentage of utilization, and offenders, processing it, interpreting it, and acting when they are unable to reach this level, they return upon it. Equipment installation and repair services equipment that they are not using. For example, an also will be needed. Other products may include agency may have 100 units with a commitment for software needed by the agency to efficiently inter- 80 percent utilization. The agency may drop to only face with the monitoring services. 50 units in use over a holiday period and return 40 An important issue to consider is how the moni- of the units, so they are only billed for the 50 they toring services will be handled. Equipment vendors are using rather than paying for 80 units while re- may supply both equipment and monitoring services ceiving funding for only 50. in package arrangements. Agencies may obtain only the equipment from vendors and contract with The Purchasing Process other providers for monitoring services. A third Obtain Lists of Service Providers/Manufacturers option is for agencies to obtain equipment from a To ensure the bidding process is competitive, vendor and set up their own monitoring center in- agencies should research the range of vendors that house. This last option usually is only practical in may be able to supply the equipment and services large agencies with a lot of defendants or offenders needed. There are several ways of learning about being supervised electronically. vendors, including attending trade shows held in A variety of arrangements may be contemplated conjunction with professional conferences, reading for the procurement of needed equipment, services, professional journals, and seeking information from and products. These may be purchased, leased, Web sites. rented, or provided on a pay-per-day-in-use basis. • The Journal of Offender Monitoring’s annual elec- Agencies may have a preference for one procure- tronic monitoring survey report is a widely ment approach, or they may be open to consider- used resource. ing the benefits and disadvantages of each. When • The National Law Enforcement and Corrections purchasing equipment, the agency receives a static Technology Center sponsored by the National

82 Chapter 9 Institute of Justice maintains Web links with a tronic supervision program component. Specifica- variety of manufacturers and product vendors tions must be clear and comprehensive; vendors and for related technologies at www.nlectc.org. agency personnel must know exactly what equip- • Dr. Marc Renzema, Professor of Criminal ment, services, and other products are needed and Justice at Kutztown University in Pennsylvania, what will be expected of the vendor and the agency maintains a list of electronic supervision tech- if a contract is developed (Imel & Hart, 2000). nology vendors available online at www.e- Imel and Hart (2000) and others recommend conscience.org. including at least the following components in a Requests for Information Request for Proposals: Requests for Information (RFI) are an interme- • The problem being addressed. diate step used by some agencies. They are a mecha- • Characteristics of the offender population to nism for gathering information in a structured way be supervised (e.g., geographic dispersion, that helps in making decisions about what products types of offenses). and services are available and their related costs. A • The existing environment, including equip- request for information describes the scope of the ment, operational procedures, agency stan- project, projected timeline, and other information dards, and constraints. that would be helpful to potential vendors in re- • Required project outcomes. sponding to the request. Vendors are requested to • The scope and standard of service required, provide information about their products and ser- such as functionality, system response times, vices and estimated costs (Imel & Hart, 2000). delivery schedule, service levels, and training. Gather Sample Requests for Proposals • Required and optional features. Requests for proposals (RFP) specify a detailed • Contractual terms and conditions, including list of requirements for equipment to be purchased any items the agency is not willing to negotiate. or services to be performed. Often, those who are • Criteria for acceptance and contract going to use the equipment and services to imple- completion. ment an electronic supervision program component Sample elements of the technical specifications may not have a great deal of knowledge and experi- for electronic supervision equipment and services ence with either the technology or the procurement are provided in Appendix 1 for this chapter. Agen- process (Dussault, 2000). If that is the case, learn- cies are cautioned, however, not to adopt these speci- ing from other agencies can save time and costly fications without evaluating the applicability of each mistakes. Many agencies will be happy to share cop- to their own program needs. ies of their RFPs with other agencies. By looking The RFP should be reviewed before it is distrib- through several of these, even an inexperienced pur- uted to potential vendors. A technical review should chaser will have a good idea of the range of specifi- be provided by the agency’s legal and purchasing cations that need to be included in their own RFP. departments or consultants (Imel & Hart, 2000). When gathering sample proposals, it is useful for Issue the RFP agencies to gather them from other agencies with The RFP should be distributed to potential ven- needs and characteristics that are similar to theirs. dors for the equipment and services needed. A Develop the Agency Request for Proposals variety of methods may be used, including sending Requests for proposals generally contain three copies to vendors who were identified during ini- sections (Imel & Hart, 2000): tial decisions and to those that have registered with • Instructions to the proposers. the agency’s purchasing department to receive RFPs • Terms and conditions of purchase. for electronic supervision equipment and services. • Technical specifications. Some agencies place RFPs on their or others’ Web Usually, the agency has standard material for the pages. Announcements may be placed in trade pub- first two sections. However, forms or examples for lications also. Build into the RFP a suitable response these sections provided by the purchasing depart- time for vendors to prepare their responses. This ment should be reviewed carefully, and necessary needs to include time for potential vendors to ask additions, modifications, or deletions should be questions. Someone within the agency should be made as appropriate for the current project. The responsible for answering questions posed by ven- technical specifications must be developed by those dors, and when the answers are prepared, they also who are involved in planning and managing the elec- should be distributed to all other vendors who have

Offender Supervision with Electronic Technology 83 received the RFP so everyone will have the same comparison of all these proposals (Imel & Hart, 2000). information for preparing their response. Some All vendors who submit proposals should be agencies host a vendors’ conference to answer ques- notified in writing about the results of their submis- tions publicly and at one general session (Imel & sion. Those who are unsuccessful should be inform- Hart, 2000). ed. However, Imel and Hart (2000) recommend that The RFP should include a firm due date and final contenders should not be notified until a final should stipulate the number of copies the vendors contract has been signed between the agency and are required to submit. Any other requirements — the selected vendor. If contract negotiations with the such as requests for sample products or other mate- selected vendor fail, then there will be other vendors rials — should be clearly stated. All requirements with whom to make contact and transact business. stated in the RFP should be followed by the agency Select and Evaluate Equipment and Services to maintain impartiality in the bidding process (Imel Part of the proposal selection and evaluation & Hart, 2000). process may include demonstrations and testing of equipment and services. This may be done by vendors in the presence The evaluation criteria and process should of agency staff, or it may be done by the be clear, fair, and equitable. agency staff. Some agencies develop small pilot projects involving just a few offenders before contracting for large-scale programs. This allows them to evaluate the Evaluate Responses functioning of the equipment and services beyond The evaluation process should be planned be- the claims made in vendors’ proposals. fore the RFPs are issued and the basic criteria upon Appendix 2 for this chapter contains ideas for which responses will be evaluated should be summar- evaluating equipment and services within the agency. ized in the RFP. The evaluation criteria and process Select the Vendor and Negotiate a Contract should be clear, fair, and equitable. All potential In today’s complex business world, written con- vendors should be treated equitably, and good tracts are necessary for the protection and benefit records of the evaluation results should be main- of all involved. Many agencies have standard contained. Imel and Hart (2000) recommend the fol- tract terms and conditions that should be included lowing categories for evaluation criteria: in the RFP and should be the foundations for nego- • Compliance of the proposal with the specifi- tiating final contracts. Contracts should contain, at cations in the RFP. minimum, the following (Imel & Hart, 2000): • Value including purchase price, quality, • Legal terms and conditions. warranties, maintenance costs, training, ser- • Milestones for completion of each project vices, response time, reliability, company sta- phase and specific responsibilities of the bility, delivery time, and contract terms and agency and the vendor for tasks. conditions. • A specific payment schedule. • Company performance and stability, including • Procedures for changing the scope of work or adequacy of staff, customer support and project costs and who authorizes such changes. resources. Contracts should be signed by the person in each Evaluations should be undertaken by more than organization who is legally authorized to do so. one person in the agency. Staff who are going to use the equipment and services as well as legal and Control Loopholes purchasing personnel should be included in evalu- Contracts should be examined for loopholes, ating the proposals (Imel & Hart, 2000). particularly when procuring more than one type of Agencies may want to request additional infor- equipment. In the past, vendors have been known mation before making final decisions, including to respond to such procurement initiatives by pric- checking references the company provides of other ing their main product high and their products with agencies using its equipment or services. Product or known performance issues lower. They then win the service demonstrations may be requested as well. contract on overall price but include a clause that Final contenders for the bid also should be asked to says nonperformance in one area does not result in submit best and final offers that will allow for equal cause to cancel the contract for the other areas. This

84 Chapter 9 results in the agency getting less than they want, and A checklist for the procurement process is in- paying more for it than if they had requested bids cluded in Appendix 3 for this chapter. for that item only. Manage Project Implementation CONCLUSION Having a signed contract is not the end of the This chapter described the process of procur- procurement process. Agency personnel must moni- ing equipment and services for programs that in- tor vendor performance, contract terms, and pay- clude an electronic supervision component. An ini- ments. A schedule should be in place, and agency tial overview of the electronic monitoring industry staff should oversee the vendor’s work to comply provided background for careful decisionmaking with the schedule. Payments should be based on throughout the procurement process. The chapter meeting predetermined milestones. Open and fre- then delineated the various steps required in the quent communications should occur between the purchasing process. vendor and agency staff, and questions or concerns This chapter is followed by three appendixes should be addressed as soon as they arise. Before that provide additional information including: • Appendix 1 — Sample elements of technical final acceptance of the equipment and services, the specifications for electronic supervision equip- vendor should demonstrate their performance and ment and services. any deficiencies should be corrected. Final payment • Appendix 2 — Evaluating technology should be made only after all equipment and ser- performance. vices have been delivered and are functioning prop- • Appendix 3 — Checklist for the procurement erly (Imel & Hart, 2000). process.

Offender Supervision with Electronic Technology 85 Chapter 9 APPENDIX 1 SAMPLE ELEMENTS OF TECHNICAL SPECIFICATIONS FOR ELECTRONIC SUPERVISION EQUIPMENT AND SERVICES4 Following are samples of possible technical • All equipment shall be of the same type and specifications that might be incorporated in a Re- model and from the same manufacturer un- quest for Proposals for electronic supervision tech- less expressly approved by the agency. nologies. These are not exhaustive, and agencies • All electronic supervision equipment in must examine them in light of their own program offenders’ homes shall be installed and re- needs, making modifications as needed. However, moved by agency staff, contractor, or offender, they provide a starting point for developing new depending on the equipment specifications RFPs. and security level of the offender. In all cases, These technical specifications have been however, only staff will install the transmitter. gleaned from RFPs developed by several agencies. The vendor will provide tools, tool kits, and They apply, primarily, to continuous signaling tech- activators to include one set of each per of- nologies. However, many specifications are appli- ficer. The vendor shall specify its policy and cable to other types of equipment and services as costs associated with replacement of lost or well. These specifications are not general and should stolen tools, tool kits, and activators. not be considered as an endorsement. They simply • Electronic supervision equipment installed in provide a framework for agencies’ consideration. the offenders’ homes shall be capable of com- municating with the computer, at a central General Requirements monitoring center, 24 hours per day and seven All responses considered to contain information days per week. regarding system functionality that should be treated • The system shall use standard telephone lines, as private and confidential should be provided in a wireless cellular telephones, or both to com- separate envelope marked “private and confiden- municate between the individual transmitter/ tial.” Responses to these questions should refer to receiver units and the host central computer. this confidential document. • Any equipment, consumables, attachments, • The electronic supervision equipment is to be and supplies must not be available to the pub- placed on the offender and in the offender’s lic or commercially available if this could com- home. The equipment shall be of a technol- promise the security of the system. ogy currently in use by the manufacturer, ven- • A one (1) year warranty against manufacturer’s dor, or both and must be identified by name. defects shall be provided. A copy of the manufacturer’s specifications • Vendors’ employees must be acceptable to the and literature must be attached to the pro- agency. The vendor shall not employ anyone posal. Bidders should also include the name currently under supervision of a local, county, of at least one government entity that has used State, or Federal criminal justice agency. The the equipment in a similar application com- vendor or agency (if the agency prefers) shall prising a minimum of (number) units of the be responsible for conducting a criminal back- proposed equipment. ground check on each employee (when hired or annually) and providing this information ______to the agency upon request. 4 Information for this appendix was provided primarily by • Vendors and agency understand and agree Doug Blakeway, who was a member of the Working Group that that the awarded contract can be canceled by guided the development of this document. Mr. Blakeway ana- the vendor or agency, for cause, in accordance lyzed RFPs from 17 agencies requesting continuous signaling electronic supervision equipment during 1999. These included with the following provisions: (List provisions State, county, and local agencies. Additional information was as appropriate). provided by Linda Connelly, Peggy Conway, Annesley Schmidt, • The vendor shall have a formal quality con- and Ray Villa, who were also members of the Working Group. trol program in place that will provide assur-

86 Chapter 9 ance of the services detailed in this contract. The vendor shall supply all necessary straps A copy of the quality control program for and batteries based on installation of transmit- equipment and monitoring services shall be ters on (number) offenders per year or they submitted with the proposal. ISO 9000 is the shall provide replacement costs for strap, bat- preferred quality program for manufacturing. tery, and any other consumable supplies re- Certification of the manufacturing operations quired to operate and ensure that equipment and provision of services should be included. functions properly. Vendors proposing fixed • The vendor will submit a bid bond with this straps must specify their policy regarding reuse proposal issued by a surety authorized to do of straps and sanitization process. The method business in the State of (name of State). of sizing straps also should be described. • The vendor awarded the contract shall obtain • Field replaceable straps are preferred. a performance bond in the amount of ($ • Transmitters must emit a signal that is unique amount) within 10 days following contract from similar electronic devices and the emit- award. The bond must be issued by a surety ted signal must be one that can be picked up authorized to do business in the State of (name by the vendor’s receiver/dialer. of State). • The transmitter’s signal must not be able to • In the event of noncompliance with the con- be captured or duplicated by commercially tract, the vendor shall be required to comply available equipment. immediately or submit a corrective action plan • Transmitters must be easily installed on offend- to include steps and time frames approved by ers’ ankles or wrists. the agency no later than ten (10) days after • Include a diagram of the proposed transmit- notification by the agency. ter, strap, and attachments and the assembly, installation, and removal processes required. Transmitter • The vendor shall include a list of the tools nec- • The transmitter must be lightweight, hypoal- essary for transmitter installation and their re- lergenic, sealed, shock resistant, water/mois- placement costs. The vendor also shall include ture resistant, and shall not unduly restrict the a description of any carrying case included for activities of the offender. Transmitters shall not required installation tools and supplies. pose a safety hazard to offenders. The trans- • Vendors shall specify the method for resetting mitter must be able to withstand a shower or transmitters, including whether tamper con- bath without failure. ditions can be reset automatically, manually, • Transmitters must function reliably under nor- or both. When a tamper has been reported to mal atmospheric conditions and temperatures the monitoring center, the tamper shall not of approximately thirty-two degrees (32° F) to automatically reset without an alarm that must one hundred twenty degrees (120° F). be checked by the supervising officer, and the • The transmitter must be FCC approved. vendor should specify the timeframe within • The vendor shall specify the procedure and which automatic reset will occur (24 hours or associated costs for replacing batteries. Ven- more). dors proposing sealed transmitters are to de- • Vendors shall specify the ability to pair trans- scribe procedures for replacing transmitters mitters with any proposed receiver/dialer. The when batteries are low or depleted. method of and location where matching of • Transmitter batteries must have an active life transmitter and receiver will be accomplished of at least six months and a shelf life of at least shall be specified. Pairing without the need to two years. Vendors must ensure that the agency return equipment to the manufacturer or a has easy access to batteries as needed. The service depot is preferred. vendor’s proposal shall specify the costs for • The proposed transmitter must be capable of replacement batteries for the entire contract sending a signal indicating that a low battery period. Batteries must be stamped with a date condition exists. The number of days or hours to assist in determining remaining battery life. of advance notice prior to possible failure shall • Transmitters must have a field replaceable be specified. strap, for sanitary reasons, and the strap must • The transmitter must send a tamper indica- be easily sized to the offender’s leg or wrist. tion upon coming in range of the receiver. The

Offender Supervision with Electronic Technology 87 vendor shall specify whether the time reported ties that shall initiate a tamper violation infor a unit tampered out of range is the time of clude the removal of the strap attachment occurrence or the time that the unit comes device, severing of the strap, or sliding the within range of the receiver. strap off. • The vendor shall describe how the transmit- • There must be an automatic means of detect- ter is shut off when not in use. ing strap tampers. The number of methods • Transmitters shall be capable of storing and and a brief description of the tamper detec- recording a tamper event that occurs out of tion technology should be specified. range of the receiver/dialer and communicat- • The straps should be able to be installed on ing the tamper signal to the receiver/dialer offenders with small and large ankle circum- when the transmitter returns within range. ferences accommodating as small as (# of • The vendor shall itemize the cost and any inches) and as large as 12 inches in length. limitations related to the vendor assuming re- • Vendors shall include a picture of the strap sponsibility for all costs associated with dam- offered by the vendor and a description of how aged, lost, or stolen equipment. This will in- straps are to be secured to offenders. clude the vendor’s policies regarding respon- • Vendors should include a description of how sibility for prosecution for stolen or damaged attempts to remove the unit without detection, equipment. Agency staff will cooperate, how- circumventing tamper detection, may be dis- ever, by assisting in recovering equipment and covered, even if the unit is not removed. Both by testifying at court hearings when subpoe- physical and electronic indications (reported naed. During orientation, clients will sign an status) should be included in this description. agreement indicating their responsibility for • A sufficient number of replacement straps the condition and return of the equipment. shall be provided in case existing straps are • Each transmission from the transmitter to the damaged or unusable. Nonreplaceable straps receive/dialer shall be at fixed or varying in- are unacceptable without a working inventory tervals not to exceed one (1) minute between of additional transmitters/straps being offered transmissions. The vendor shall specify the at no additional cost to the agency. If straps default interval of missed transmissions prior are nonreplaceable, this should be specified, to the receiver/dialer reporting a leave to the as well as planned inventory included at no monitoring center. Further, the vendor shall additional cost to the agency. The cost of ad- specify whether the system is able, and if so, the method of varying this interval. Only sys- ditional inventory units should also be speci- tems able to report within approximately 10 fied. (or fewer) minutes of missed transmissions will • The vendor’s proposal shall specify whether it be considered acceptable. includes all replacement straps for the entire • The signal waves sent from the transmitter contract period and whether there are any shall cover an area within a minimum radius limitations on the number of replacement of 150 feet (free air). straps provided at no cost per year per unit. • The vendor will specify whether the receiver • The vendor shall supply straps and other dis- can be programmed to support more than one posable items as requested by the agency so range setting, and if so, which setting supports that each supervising officer has a sufficient a radius of 150 feet (free air). supply at all times. • The vendor shall specify the recommended working inventory of supply batteries and Receiver/Dialer other disposable items per site based on the • Vendors shall specify the time required for in- following: (List office locations, number of stallation of electronic supervision equipment officers, and number of offenders per location). in offenders’ homes. • Communication should use standard tele- Straps phone connections and standard 110 volt AC • Straps must be designed so that an offender residential current. The vendor should specify cannot remove the transmitter without having units’ ability to support rotary/pulse, touch to tamper with the strap. The specific activi- tone telephone lines, or both.

88 Chapter 9 • The receiver/dialer shall not pose a safety haz- shut down, the timeframe of operation under ard to the offender or others and shall func- battery power, and the timeframe of operation tion reliably under normal environmental and after a shut-down warning. atmospheric conditions. • The vendor shall specify the unit’s operation • The receiver/dialer shall include an internal when both communications and power are dis- clock and memory to store data if communi- rupted. Further, the vendor shall specify the cation with the monitoring center is disrupted. ability of the receiver to store statuses not com- Vendors shall specify the number of events that municated even if the unit shuts down upon can be stored and communicated later to the battery depletion. This shall include the num- monitoring center when monitoring center ber of statuses and types of statuses stored if communications are disrupted. all statuses (such as multiple power loss and • The receiver/dialer-transmitter combination restorations) occur. shall be capable of informing the officer that • The receiver shall have internal surge protec- the system has begun monitoring the client tion on both the telephone line and power prior to the officer leaving the client’s resi- source. dence. The vendor shall describe how this is • The receiver must have internal tamper cir- done. cuitry to indicate that the receiver has been • The receiver/dialer shall notify the vendor’s opened, moved, disconnected from the tele- central monitoring computer at any time a phone line, or disconnected from AC power. tamper is attempted on the receiver/dialer. • The receiver/dialer must have internal diag- The tamper detection method(s) shall be de- nostics that can determine if the receiver/ scribed. dialer is operating properly and relay the in- • The receiver/dialer will have a phone line an- formation to the central monitoring computer. noyance. If the receiver/dialer attempts to call • The receiver/dialer must not lose any events the monitoring center and the telephone line after loss of internal backup battery power. If at the offender’s home is in use, the receiver/ the unit does lose events, the unit’s method dialer shall notify the telephone user, by au- of prioritizing events stored versus purging dible means, that the receiver/dialer is at- these data should be described. tempting to call out. The vendor shall describe • The receiver/dialer must be capable of screen- method(s) and frequency of the “annoyance ing out all transmissions other than those from tones” including the capacity of the unit to the transmitter attached to it, or the receiver/ emit an audible tone that can be heard by dialer should have the capabilities to receive household members, and the capacity for per- more than one transmitter and (1) report the sons using phones that are not directly con- random transmitter (or transmitter not as- nected to the unit to hear the annoyance signed to it) as an unauthorized transmitter tones. entry (giving the transmitter ID and date and • The receiver/dialer must have an internal re- time of event) or (2) report an alternate as- chargeable battery that will allow for continu- signed transmitter’s status with the trans- ous operation in cases of power failures or if mitter’s identity. power is interrupted. The receiver/dialer must • During periods of inactivity, the receiver/ have a battery backup power source that al- dialer must randomly communicate with the lows for 12 to 24 hours of continuous opera- central monitoring computer every two (2) to tion in the event of a power failure. The ven- six (6) hours. Vendors should specify the abil- dor shall specify the functionality of the re- ity to increase or decrease the frequency of ceiver while operating under battery power. communication with the central monitoring The vendor shall also specify the number of computer. hours the receiver will function under battery power. Field Monitoring Devices • The unit shall communicate pending shut • Field monitoring systems must be hand-held down of its operation and all statuses stored and portable, capable of being utilized by prior to depletion of the battery. The vendor agency personnel in the field and in an auto- shall specify the receiver’s operation prior to mobile to receive signals from transmitters.

Offender Supervision with Electronic Technology 89 • Field monitoring devices must be FCC • Unauthorized absences from the residence. approved. • Failure to return to residence from a sched- • Field monitoring devices must receive signals uled absence. from transmitter units at a minimum range of • Late arrivals, early departures from residence. 150 feet, equivalent to the receiver/dialer. • Equipment (including, but not limited to • Field monitoring devices must have a connec- transmitter and receiver/dialer) malfunc- tor for an external antenna to receive signals tions. from transmitter units while using the field • Entry into exclusion zones or exit from in- monitoring device inside an automobile. clusion zones for location tracking equipment. • The vendor should specify the number of • Tampering with equipment. transmitter events that the field monitoring • Loss of electrical power or telephone service. devices are able to store effectively. • Location verification failure. • Field monitoring devices must have the abil- • Missed calls from the receiver/dialer. ity to distinguish between several transmitters, • Access to the monitoring center and all rec- recognize only one transmitter, or both in a ords it houses shall be restricted to only au- given location. The vendor should describe thorized individuals. this capability. • The monitoring center shall provide a means • A field monitoring device should be able to of secured communication with agency staff download its log (stored information/events) to guarantee the security of data. to a personal computer, host computer, or • The monitoring center must provide a com- printer. The vendor should describe this puter database that is programmable for all capability. client information (e.g., demographic data, • The field monitoring device must run on 12- employment and school information, curfews). volt automobile current. The vendor should The monitoring center should be able to ac- specify the number of hours it can run on its curately modify offender information when internal, rechargeable battery. requested to do so by agency staff. The data- • The field monitoring device shall be equipped base should be able to export any selected with a 110 volt wall adapter to charge the in- combination of fields in formats readable by ternal battery. The vendor shall specify the standard statistical packages such as SPSS or SAS. number of hours required for full recharge. • The agency shall be notified in advance, and • The field monitoring device should be in writing, of any change in the location of equipped with a digital display that will show the monitoring center or any backup center transmitter ID number, date, and time of event • The monitoring center shall have contingency and transmitter status including any tamper plans in place in the event of electrical power indication and low battery. The vendor shall loss, telephone service loss, or other events describe any deficiencies in this area. that might compromise the security of information and the operation of the monitoring Remote Alcohol Detection center. These plans shall be included in the response to this request for proposals. • The remote alcohol detection device shall be • The vendor shall describe the redundancy, able to be integrated with other electronic su- backup, and restoration hardware, systems, pervision equipment or function as a stand- and procedures to minimize disruption of alone unit. operations in the event of a system failure. The • The alcohol detection device will contain capacity to maintain uninterrupted monitor- tamper resistant features. ing should be described. • The alcohol detection unit will have a back- • The monitoring center shall have multiple op- up battery to allow continued use during a loss tions for notifying agency personnel of any un- of power. authorized absences, late arrivals, equipment malfunctions, tampering, loss of power, or Monitoring Services other activities indicating a violation or equip- • The vendor shall notify the agency staff of any ment problem for the offender. The center or all of the following events: shall be able to develop a schedule for notifi-

90 Chapter 9 cation and use the communication methods • The contractor’s facility shall be secured, safe, preferred by agency staff. This ability should and grant access only to authorized person- be described in this proposal. nel. It shall be equipped with an operational fire protection system. Security systems and Administration procedures for the monitoring facility shall be • Prior to contract award, the vendor, if re- described in this proposal. quested by the agency, shall provide on-site • The vendor shall state what steps will be taken demonstrations of the proposed equipment. to ensure that information about program par- • Contractors shall be able to provide services ticipants will remain confidential and will only offered in the proposal and transition plans be released to authorized agency personnel. within thirty (30) working days after a request • The vendor shall be able to provide expert tes- to do so or they shall specify the lead time timony in the event of any legal process re- within which they are able to do so. quiring such testimony. The vendor shall also • Within a reasonable timeframe the vendor provide support to the agency in the event a shall be available to meet with agency staff to current or past offender is the subject of a discuss and accomplish plans for implemen- criminal investigation. tation of electronic supervision services. Items • The vendor shall not issue news releases, ad- to be discussed shall include, but not be lim- vertisements, articles, or any other informa- ited to, transition between vendors, training, tion of any kind about the agency and its pro- equipment delivery, acquisition of reports, grams without prior written approval from the monitoring center services, and invoicing. agency. • The vendor shall designate an account manager, stationed at the vendor’s monitoring cen- Training ter or other specified location, whose primary • Within ten (10) working days of contract award responsibilities will be to: or issuance of a purchase order after award, • Provide an ongoing review of files/ the vendor and agency shall develop the train- computer information regarding the ing schedule that will be of sufficient length agency and problem resolution. to thoroughly train all agency staff involved • Coordinate activities with agency per- in the electronic supervision project. The ven- sonnel to achieve computer-connec- dor shall describe the training program in- tivity. cluded upon initiation of the program. Fur- • Provide usage reports on a weekly ba- ther, the vendor shall describe provisions for sis to agency program coordinator. ongoing education throughout the term of the • Work closely with agency staff to evalu- contract, including the costs for any training ate the program on a continuous ba- beyond what is contained in this proposal. sis and make site visits to the agency • Training shall be conducted at (specify num- center office as conditions dictate or ber of sites) site(s) in (specify cities and States) upon request by the agency. selected by the agency. • The vendor shall provide copies of summary • Training costs borne by the vendor include all reports that will be prepared for agency staff. travel expenses for the vendor’s trainers, train- The vendor shall include information regarding manuals/handouts, training aids, all ing the capacity for electronic transmission of equipment and supplies used in training. these reports. • The vendor shall provide one training manual • Within 10 days of contract award or issuance for each person trained. The total number of of a purchase order after award, the vendor people to be trained is (specify number). shall cooperate with the agency to develop a • The vendor is not responsible for training-re- written conflict resolution procedure. lated travel of agency staff to include mileage, • The vendor shall include in this proposal the meals, and lodging or any associated costs. standard forms for receiving monitoring • The vendor shall describe its programs and schedules, offender enrollment data, and associated costs for assisting the agency in pro- other information necessary to provide moni- moting its program among stakeholders, the toring services. media, and the general public.

Offender Supervision with Electronic Technology 91 Service wise. Requests for equipment and supplies • All service calls, repairs, maintenance, and re- shall be made by telephone or fax and con- lated costs must be borne by the vendor. firmed by telephone or fax. The vendor will • The vendor shall, upon agency request, at no specify the cost associated with expedited ship- additional charge, and in a timely manner, pro- ments (shipments to be received within 3 days vide trained technicians for on-site repair and of order date). trouble-shooting to alleviate electronic super- • The vendor’s bid price shall include the cost vision equipment problems. of shipping all equipment from the vendor to the agency by the beginning of the contract Shipping and from the agency to the vendor at the end • Shipping time for equipment and supplies to of the contract. reach field offices shall not exceed three work • All equipment, including damaged or defec- days from the date the order is placed with tive equipment, shall be shipped FOB desti- the vendor unless the agency approves other- nation at the vendor’s expense.

92 Chapter 9 Chapter 9 APPENDIX 2 EVALUATING TECHNOLOGY PERFORMANCE How do you know the equipment will do what of each product are provided, making it easy to com- the manufacturers claim? If you ask that question, pare similar products offered by different manufac- you are not alone. No one wants to be in the posi- turers. The tables typically include information on tion of relying on electronic technologies to super- central monitoring computer system services, prod- vise an offender in the community and then having ucts, and communications processes; programmed the equipment fail. contact devices; transmitters and receivers for con- Verification of the performance and reliability tinuously signaling devices; alcohol testing equip- of electronic supervision technology is important ment; field monitoring devices (drive-by units); and for public safety. However, no national standards for location tracking devices (GPS). these tools have yet been established, although this Research studies and technical reports also may may occur as the industry matures. In conjunction be helpful. Research studies often focus on selected with the American Probation and Parole Association outcomes of supervision programs, but they may also project that produced this document, the National describe the equipment used and any problems in- Institute of Justice funded Sandia National Labora- herent in it. Dr. Marc Renzema, Professor of Crimi- tories to develop testing protocols for electronic nal Justice at Kutztown University in Pennsylvania, supervision technologies. The initial protocols ap- maintains a bibliography of electronic monitoring ply to continuously signaling devices using radio evaluation reports. The bibliography is available frequency transmissions, as these are the most com- online at www.e-conscience.org. Another source of monly used at present. literature on electronic supervision is available Until such national standards are adopted, there online at www.library.utoronto.ca/libraries_crim/ are still several ways current and potential consum- elecmon.htm. ers of electronic supervision technologies can assess Local or State agency reports on electronic su- their performance. These include: pervision program components also may be help- • Reviewing published information. ful to other agencies. Such reports may specify the • Reviewing manufacturers’ information. types of equipment used, types and number of • Obtaining information from present users. offenders supervised with it, and program successes • Conducting tests. or difficulties.

Published Information Manufacturers’ Information Increasing amounts of literature are being pub- Manufacturers’ marketing materials will usually lished about electronic supervision technologies. describe the features and technical capabilities of These range from surveys of electronic equipment their equipment. This is readily available by con- manufacturers, to reports of research studies, to tacting manufacturers, and most maintain Web sites agency-based program reports. Although it is not where information is available. Unless material is evaluative in nature, each year The Journal of Offender collected from all manufacturers of similar prod- Monitoring publishes the results of a survey of manu- ucts, this source of information is less helpful in facturers of electronic supervision equipment. Typi- making comparisons. cally, the survey report provides information about each manufacturer that responds to the survey and Present Users a brief description of the various technologies in- Staff of most agencies using electronic supervi- cluded. Then, in a series of tables, the specifications sion devices usually are pleased to share their expe- ______riences about using various electronic supervision 5 Some of the ideas for agency testing of electronic supervision products. They can provide first-hand accounts of equipment were contributed by Richard Irrer and Ray Villa, both the benefits and problems encountered with a members of the Working Group that guided the development particular type of equipment. They also can report of this document. on their experiences with the manufacturers and

Offender Supervision with Electronic Technology 93 service providers and how they respond to and re- terfere with the equipment. Sometimes the wiring solve problem situations. Talking with or request- in older homes is not adequate for the equipment, ing information from several customers is recom- and power surges may interfere with operations. mended to ensure that their experiences are con- With radio frequency equipment, transmitter sig- sistent. When contacting personnel of other agen- nals can occasionally be blocked because of “dead cies, those who are actually using the equipment may spaces,” metal that blocks the signal, or even cer- be more knowledgeable about how the equipment tain sleeping positions that may disrupt transmis- works than managers and administrators who have sions. Further, electronic supervision equipment broader program responsibilities. However, manag- may be vulnerable to tampering attempts by offenders and administrators may be better able to answer ers, and it is imperative to ensure that every effort is questions about the costs of the equipment. It may made to thwart tampering attempts. be helpful to visit the agency and watch the pro- Though most of these problems do not pose gram in operation, observing such procedures as difficulties in most situations, in the absence of na- equipment installation and receipt of alert notifica- tional testing programs and standards, some agen- tions, and perhaps riding along with or shadowing cies have developed their own testing protocols for staff who are electronically supervising offenders. electronic supervision equipment and services. Blackburn (2001) summarizes three types of Conducting Tests5 tests that can be administered: A variety of equipment problems can jeopardize • Technology evaluation is performed in labo- the effectiveness of electronic supervision. Agencies ratories using standard conditions to test each need to ensure that the equipment will work as re- component of the equipment or service. quired in their setting. Manufacturers are constantly • Scenario evaluations evaluate the overall ca- improving their products to overcome these prob- pabilities of the equipment in a specific sce- lems, but it is wise for program planners and stake- nario using conditions like one would find in holders to review these issues carefully in their the field. localities. • Operational evaluations are performed in the Electronic supervision products depend on com- field under conditions that might be found. munication technology, including conventional tele- In the procurement process for electronic su- phones, cellular telephones, radio frequency, and pervision technologies, the agency would want to satellites, depending on the type of equipment used. know and receive documentation of the vendor’s As Peggy Conway (2001a, p. 10) states, “These tech- or manufacturer’s testing of the technology during nologies vary in their coverage, ‘penetration,’ vulner- its development and marketing phases. Scenario ability to interference, availability, and reliability. evaluation should be much like the procedures out- This can impact the performance of these systems, lined below that can be conducted by agency staff. particularly as it pertains to continuity in informa- Operation evaluations might entail pilot projects tion and response time in notifying agencies of vio- with small numbers of offenders to allow the agency lations.” She goes on to state that most products are staff to observe the performance of the equipment designed to overcome most of these limitations. and services under field conditions. Products that rely on radio frequency communica- For the following four areas, expectations of the tion must meet certain standards of the Federal equipment are listed and then some agency-based Communications Commission (FCC), which requires testing strategies (scenario testing) are suggested. that the equipment accept interference of the trans- • Transmitters. mitter signals. Therefore, most systems are designed • Receivers. to miss the receipt of several signals before conclud- • Batteries. ing that the transmitter is out of range and there- • Computers and software. fore have a delay before reporting an alert (Conway, Transmitters 2001a). Transmitters should be easy to install and should Telephone communications also may be prob- be reasonably comfortable for the offender to wear lematic. Older telephone systems may not be ad- (e.g., no sharp edges, light weight, contain no sub- equate, and cellular telephone coverage may have stances that cause allergic reactions). They should dead spots and interference at times. Some extra be resistant to both intentional and accidental de- telephone services, such as call waiting, also can instruction. They also must be tamper resistant. The

94 Chapter 9 transmitter should be made of fire-resistant materi- • There is visible evidence of attempts als that will not produce toxic fumes if burned. to pry open plastic covers such as bro- Testing Ideas: Ask manufacturers to furnish a ken pieces or obvious disfigurement. few sample transmitters that can be used by staff or Receivers other stakeholders. Receivers should be easy to install and should • Examine the new transmitters to check for pose no hazards to the offender or family members. sharp edges, odors, or any other features that They should be resistant to both intentional and might make them uncomfortable. accidental destruction. They also must be tamper re- • After receiving instructions from the manu- sistant. The receiver should be made of fire-resistant facturer on installing transmitters, try install- materials that will not produce toxic fumes if burned. ing one or more. Check for the amount of time Testing Ideas: Ask manufacturers to furnish a required and the ease of installation. Does few sample receivers that can be used by staff or installation require extra tools? If so, are they other stakeholders. provided? What has to be done to check the • Examine the new receivers to check for sharp transmitter to ensure it is functioning properly? edges, odors, or any other features that might • Wear the transmitter for several days. Notice make them unsafe or unattractive. whether it causes any chafing or bruising on • After receiving instructions from the manu- the wrist or ankle and if it can slide enough facturer on installing receivers, try installing on the wrist or ankle to allow for air circula- one or more. Check for the amount of time tion. Does the weight of the transmitter or its required and the ease of installation. Does in- size and bulk cause any discomfort? stallation require extra tools? If so, are they • Test the transmitter for durability in several ways: provided? What has to be done to check the • Subject the transmitter to cold tem- receiver to ensure it is functioning properly? • Test the receiver for durability in several ways: peratures (place in a freezer) and hot • Subject the receiver to cold tempera- temperatures (leave it in a hot car on tures (place in a freezer) and hot tem- a sunny day). peratures (leave it in a car on a sunny • Drop the transmitter on a hard sur- day). face and drop a heavy object on it. • Drop the receiver on a hard surface • Immerse the transmitter in water. and drop a heavy object on it. • Use various chemicals on the transmit- • Spill a liquid on the receiver. ter, such as cleaning solvents, bleach, • Use various chemicals on the receiver, acetone, paint stripper, gasoline, and such as cleaning solvents, bleach, wa- diesel fuel. ter, and soda. • Check for tamper resistance by: • Check for tamper resistance by: • Trying to open the operating part of the • Trying to open the receiver with a transmitter with a small screw driver screwdriver or other tool. or other tool. • Moving the receiver from one location • Trying to open the strap. to another. • Cutting the strap while immersed in a • Turning the receiver upside down. bucket of water. • Turning it off or unplugging it from • Using a connecting wire to maintain the electricity and the phone line. the current, jumpering the strap, and • Adding another antenna to increase then cutting it. the range. • Stretching the strap to slip it over the • Trying to operate it with radio frequen- hand or foot. cy equipment other than the transmitter. • After tamper attempts be sure: • After tamper attempts be sure: • The tamper attempt has been commu- • The tamper attempt has been communicated to the monitoring unit. nicated to the monitoring unit. • The monitoring unit records the type • The monitoring unit records the type of tamper attempt. of tamper attempt. • The transmitter continues to work • The receiver continues to work prop- properly after the tamper attempt. erly after the tamper attempt.

Offender Supervision with Electronic Technology 95 Transmitter-Receiver Operation Have the person wearing the transmitter start The receiver should recognize the transmitter at the receiver and walk away from it toward each of signals and then send appropriate messages to the the positions marked, in turn, and stop just a few monitoring center. One of the important issues to feet beyond the marked location. The person wear- test is the transmitter-receiver range. This can be ing the transmitter will then need to stay in that tested in both unobstructed areas and in usual op- position until the length of the “leave window” has erating situations. elapsed. After that time has elapsed, an out-of-range Ideas for Testing6. The home monitoring unit signal should register with the monitoring center. and transmitter should be installed according to the If it does not, continue to walk away from the re- manufacturer’s instructions (e.g., an ankle transmit- ceiver in 25-foot increments until the unit deter- ter must be worn on the ankle and the console mines the person is out of range. Next have the placed in accordance with the manufacturer’s in- person go some distance beyond each of the out-of- structions). Several variables can affect unit range range locations. This time, the person will walk to- including some types of building construction, mir- ward the receiver until he or she has come inside rors, large metal objects (e.g., bathtubs, refrigera- each of the 100-feet markers. The monitoring cen- tors), unit position, radio frequency interference, ter should receive a signal that the transmitter is and atmospheric conditions. within range within one to two minutes regardless Open range testing can be informative, but it of the leave window setting. Check for signals at does not accurately indicate how the unit will func- positions above and below the receiver, as shown in tion in normal applications. If testing in an open the diagram in positions nine and ten, waiting again range, parking lots should be used only if no cars through the leave window delay period. are present, as the cars may interfere with the sig- Be sure to arrange the testing with the monitor- nals. To conduct open range tests measurements ing center and verify the devices are communicat- should be taken in ten different directions as shown ing properly before starting the tests. After the range in the following diagram. tests, be sure that each time the person wearing the transmitter went beyond the out-of-range radius, 12 3and each time he or she entered the radius, the leave or return was communicated properly to the monitoring center. Also evaluate how accurate the stated 9 above “range setting” is and be sure that the monitoring records during the testing period accurately record 8 Receiver 4 each leave and return. Next, test the equipment under more typical 10 below operating conditions. Have one or more staff members wear the transmitters and place receivers in 76 5 their homes, offices, or both. Those testing the equipment should be willing to keep notes on their Set the equipment for the range you want to activities during the testing time. Have them draw a test — for this example, 100 feet will be used. Also diagram of their home or other test site. Using the set the “leave window” for the amount of time it will same example of a 100-foot range and a leave win- take to register that the transmitter is beyond the dow setting, have the persons testing the equipment range of the receiver (usually four to fifteen minutes). try it in many locations throughout their home and For this example, a leave window delay is used. Mea- other settings as well as outside the buildings where sure the distance (100 feet) to positions one through the receivers have been placed. Inside a home, the eight shown on the diagram. For positions nine and transmitter should be tested in every room and on ten, try to arrange for testing conditions that will each floor if it is a multistory house. The person allow the person wearing the transmitter to be should use it during all normal activities, such as higher and lower than the receiver, respectively. bathing, doing yard work, and so forth. If the per- ______son is unable to remain in range while in his or her 6 home, try lengthening the range setting, increas- The ideas for testing continuously signaling equipment for operational range were contributed by Valerie Pierson, a mem- ing the leave window delay, or relocating the unit. ber of the Working Group that guided the development of Location tracking systems (i.e., GPS) also should this document. be tested in normal operating situations. The person

96 Chapter 9 wearing the transmitter and carrying the receiver last for several months without needing to be re- should try it in several locations within different placed and receiver batteries can operate for sev- types of buildings — especially those with metal in- eral hours without ceasing receiver/transmitter frastructures — and in different locations within the monitoring and reporting operations. Transmitters buildings. Inclusion and exclusion zones should be in current use have minimum battery lives of from set, and the person should spend time in each. one to three years. Only one is designed for battery The person conducting the tests for either type replacement while in use; most must be replaced of equipment should make the following notations by removing the transmitter and reinstalling it. This for each location or activity to check against the sometimes means having to replace the transmitter monitoring reports: strap and perhaps some clips. Still others require • Beginning and ending time. replacing the entire transmitter unit. Some can be • Location. returned to manufacturers for battery replacement • Activity. and then can be reused for offenders. Those testing the equipment should especially Receiver batteries should allow the device to try it in locations where the signal might be inter- function normally when electrical power is interrupted, such as in a bathtub and with a refrigerator rupted. Current manufacturers have back-up bat- between the transmitter and the receiver. Testing teries that will run receivers ranging from 12 to 48 positions should also include those outside the hours. Test the battery back-up system for receivers home to make sure leaves and returns are recorded by unplugging the unit for several hours. Note the time and date it is unplugged, then check the moni- at a 100-foot radius from the receivers. It would be toring reports for that time to ensure that a loss of advisable to test the equipment in a mobile home power was detected and the battery continued to and in an apartment building, as well as in single operate the equipment and all activities were de- family dwellings of typical construction. If the equip- tected. Note the time(s) that events occur and when ment is likely to be used by offenders living in apart- they are reported. Compare this to the unit’s per- ments, also test it in this environment. Install the formance while operating under normal power. receiver and then go to the next apartment to see if the receiver still picks up the transmitter. If it does, Computers/Software the range on the receiver should be reduced. This During agency tests, staff should request that the monitoring computers perform all possible func- test should also be conducted any time a receiver is tions that might be required. The monitoring cen- installed for an offender living in an apartment. ter will be involved in many of the test procedures Again, be sure that the monitoring records during the discussed above. Monitoring staff also should enter testing period accurately record each leave and return. enrollment data, verify violations, generate reports, Batteries and send messages through all the possible tech- Batteries are required to operate the transmitter nologies (i.e., fax, phone, pager, e-mail, Internet). and as a back-up power source in receivers. Batter- Compare the reports generated by the software and ies should be easy to install and should have a long- determine the ability to download or access moni- enough operating time that transmitter batteries will toring data for statistical analysis.

Offender Supervision with Electronic Technology 97 Chapter 9 APPENDIX 3 CHECKLIST FOR THE PROCUREMENT PROCESS ❏ Investigate agency procurement policies ❏ Define program needs ❏ Target population — type and project numbers ❏ Type of equipment ❏ Service level ❏ Agency research and evaluation needs ❏ Upgrades needed for existing programs ❏ Gain stakeholder support ❏ Determine the parameters of the procurement arrangement ❏ Equipment ❏ Purchase ❏ Lease ❏ Rent ❏ Pay per day in use ❏ Services ❏ Operated by equipment vendors ❏ Contract with monitoring service ❏ Operated in-house ❏ Installation services performed in-house or by vendor ❏ Fee collection services performed in-house or by vendor ❏ Other products ❏ Obtain lists of service providers/manufacturers ❏ Issue requests for information ❏ Gather sample requests for proposals (RFP) ❏ Develop agency request for proposal ❏ Instructions to proposers ❏ Terms and conditions of purchase ❏ Technical specifications ❏ Issue the RFP ❏ Evaluate responses ❏ Select and evaluate equipment and services ❏ Test the equipment ❏ Select a vendor and negotiate a contract ❏ Manage project implementation ❏ Develop a schedule for project implementation ❏ Monitor vendor’s performance ❏ Maintain frequent communication with vendor ❏ Make payments as designated milestones are achieved by vendor

98 Chapter 9 Chapter 10 SUPERVISING OFFENDERS

It is easy to become enmeshed in the technologi- lation and removal of equipment, violation cal aspects of electronic supervision and lose sight responses, and other tasks. of its real intent — effective supervision of offenders • Monitoring of computer data is contracted to in the community. Whether a program’s goal is vic- a service provider while agency staff perform tim protection, public safety, relief of crowded jail all other tasks. and prison facilities, or other goals, program planners • A contracted service provider furnishes ser- must not overlook the needs of the ultimate cus- vices beyond monitoring computer data, such tomers of the justice system: victims, the public, and as equipment installation and removal and offenders. Rob Watts (1999, p. 5) summarizes this equipment troubleshooting, while agency staff concept. tend to case management issues. The ironic thing is that we’re in a people busi- • All services — including monitoring computer ness, and the research tells us that the human data and providing field services — are per- connection between case manager and client formed by an outside contractor. However, the is still fundamentally important. Technology government agency (i.e., probation, parole, will increasingly drive us, but we cannot lose law enforcement, pretrial services) maintains sight of our purpose, which is to effect change legal authority and makes ultimate decisions with offenders. The personal bond between a about responding to violations. Corrections staff member and an offender is Each of the options has benefits and disadvan- fundamental to that occurring. The notion of tages an agency must consider. The best choice for a personal relationship must not be lost in the a given agency will depend on several factors, in- technology. cluding the number of offenders being supervised In this chapter, discussion focuses on the super- electronically and the purpose established for this vision of offenders using electronic technologies as program component. If an agency has highly com- tools to achieve the selected aims of the program. puter literate staff available to manage the complex As in previous chapters, this one will raise several software involved in electronic monitoring, then it questions for program planners to consider and will may choose to conduct all the monitoring services make recommendations where possible. Much will in-house. However, if staff already are stretched with depend, however, on the purpose of the electronic high caseloads, it may be more effective to contract supervision program component, the risk level of for some or all of the monitoring services. Monitor- offenders being supervised electronically, and other ing companies can spread the costs of monitoring decisions about how the program will operate. services across hundreds or thousands of offenders, making it much more cost-effective (L. Connelly, MONITORING OPTIONS personal communication, September 7, 2001). Effective monitoring is vital to offender super- The technical work of installing equipment vision. There must be a process for observing and properly and troubleshooting problems is cumber- managing the information received about each of- some and time consuming. Many agencies have cho- fender from the electronic devices. The way moni- sen to contract for this service, thus freeing their toring tasks are performed will influence the rest of staff to concentrate on the job for which they were the supervision process. Therefore, an early deci- trained. Similarly, some agencies choose to contract sion agencies need to address is how monitoring for case management and field services so their of- tasks will be structured. The options fall on a con- ficers are free to work with the more serious, high- tinuum from having agency personnel perform all risk offenders. On the other hand, some agencies services to contracting with outside service provid- believe that since they are already doing the case ers for all services. Among the various options are: management required for electronic supervision, • Agency personnel perform all services includ- they should do this portion as well (L. Connelly, per- ing monitoring computer data, supervision of sonal communication, September 7, 2001). offenders, drug and alcohol testing, verifica- There is no right or wrong approach. It depends tion of offenders’ community activities, instal- solely on agency needs and capabilities, program

Offender Supervision with Electronic Technology 99 goals, and the quality of the service provider with supervision responsibilities; on the other whom the agency may contract (L. Connelly, per- hand, electronic supervision responsibilities sonal communication, September 7, 2001). might be assigned to specialized staff while regular supervision tasks are handled by case DECISIONS ABOUT SUPERVISION AND managers. MONITORING Monitoring Decisions As policies and procedures are developed for an electronic supervision program component, a Whether monitoring is provided within the variety of decisions will be required. Many of these agency or is contracted to a private vendor as discuss- decisions will depend on the purpose of the elec- ed earlier in this chapter, there are several decisions tronic supervision program and the risk level of the about how monitoring is to be conducted that must offenders included in it. Some of these issues are be incorporated into program policies and procedures. discussed in other parts of this guide but are reiter- Monitoring staff must have clear instructions about procedures to follow regarding the information they ated here to provide a thorough discussion of super- process from the electronic equipment. Again, risk vision issues. levels of offenders, types of equipment, and the purpose of the program will influence these decisions. Staffing and Caseloads The following issues will need to be deliberated by As discussed in chapter 6, several issues about program planners, discussed with vendors, and en- staff involvement in electronic supervision program acted through program procedures. components must be determined. The number of staff needed to implement electronic supervision Curfews and how their time is scheduled will depend on the Other than for offenders supervised through program’s purpose and the number of offenders global positioning system (GPS), whose whereabouts involved. If high-risk offenders are to be supervised, can generally be tracked at various locations in the and there will be immediate followup of every viola- community, offenders will usually be held account- tion, then more staff time will be needed. On the able for being at specific places at specific times. In other hand, if violations are not followed up imme- some cases, a simple curfew time is established, and diately, less staff time may be needed, as they can offenders, for example, are expected to be at home use the information in their ongoing case work with by a certain time in the evening and are not allowed the offender. Similar issues relate to the scheduling to leave until a specified time the next morning. In of supervision staff for the program component. If traditional home monitoring programs, offenders immediate responses will be made to violations, then usually are given permission to be away from their staff will be needed continuously, and a 24-hour per residences only for certain activities during defined day, seven days per week schedule will be required. periods. For example, an offender may be allowed A variety of caseload options also can be consid- to leave his or her home one-half hour before the ered including: workday or school day begins and return one-half • Specialized caseloads of offenders being su- hour following the end of his or her work shift or pervised electronically. In this configuration, school day. Besides this, offenders may be allowed the same staff attend to the electronic super- time away from home for scheduled substance abuse vision procedures as well as all other field ser- treatment, medical appointments, attending religious vices required by a group of offenders. services, and tending to personal business, such as • Specialized caseloads based on other criteria, shopping. Often, the amount of discretionary time such as intensive supervision caseloads or sex offenders are allowed for tending to personal busi- offender caseloads. In this instance, supervi- ness can be used as a program incentive or sanc- sory staff may provide all services, or special- tion. More time can be given for compliance, and ists, such as surveillance officers, may attend discretionary time can be lost for noncompliance. to the duties related to electronic supervision For an electronic supervision program to work and other staff may perform all other duties. effectively, offenders should be given explicit instruc- • Regular or mixed caseloads in which some of- tions, both verbally and in writing, about the times fenders are supervised electronically. Regular they may and may not leave home or other program supervision staff would provide needed field expectations (e.g., automated reporting, taking services and might also perform electronic alcohol tests, inclusion/exclusion zones) and conse-

100 Chapter 10 quences for violations. It is also vital that monitoring ers may be beeped in any location and are required and supervisory staff have effective communication to call the monitoring center within a specified time. mechanisms for setting up and changing, if needed, This can be used to verify their attendance at work the specific activity information about individual or school. When computers are used to send sig- offenders. Many false alerts are generated by ap- nals to the offender to call the monitoring center proved schedule changes for the offender that have in programmed contact systems, the monitoring not been entered in the monitoring computer pro- center equipment should generate a call right back gram. Supervision staff should be required to to the offender. This will ensure that call forward- promptly complete written information about sched- ing and conference calling features are not being ule and other changes and transmit that information used to hide the true location of the offender (L. immediately to monitoring personnel. Monitoring Connelly, personal communication, September 7, staff should be required to enter changes within a 2001). With radio frequency equipment, the moni- specified time of receipt. Such policies will make toring computer receives a message when the the system operate much more effectively. offender’s transmitter signal is within range of the Range Options receiver. Most monitoring is not continuous, and Electronic supervision equipment that uses radio program planners should understand that there is frequency technology (e.g., continuous signaling always the possibility that offenders may leave the and GPS) to know when the signal from the location they are supposed to be in without their offender’s transmitter is picked up by the receiver, absence being detected immediately. Even GPS- may or may not have programmable ranges that can based location tracking systems often do not moni- be set to indicate when the offender is within a tor the offender’s location constantly because of the certain distance of the receiver. However, program high cost of cellular telephone services. However, planners should understand that range settings are the location tracking device does record the approximate and many factors may cause the range offender’s location continuously, and that data can to vary somewhat. If it is possible to set the be reviewed at a later time. equipment’s range, agencies may want to have a Program personnel need to make decisions policy for the usual distance the offender will be about how frequently and in what manner offender allowed to go from his or her receiving unit without monitoring will occur. In some cases, especially with an alert occurring. The policy also may have provi- lower-risk offenders, scheduled contacts may be ac- sions for varying the usual range on a case-by-case ceptable. For example, with an offender who is ba- basis. Individual ranges should be determined based sically on a 7:00 p.m. to 7:00 a.m. curfew, a pro- on the characteristics of an offender’s residence and grammed contact system may check that the of- lifestyle. For example, an offender living in an apart- fender is at home by 7:15 p.m. and check again to ment building might have a shorter range than see that the offender is still home at 6:45 a.m. Per- someone living in a single family dwelling with a haps a third check might be conducted at 7:30 a.m. spacious lawn. For electronic supervision devices to make sure the offender has left for work or school. that are designed to alert victims of the approach of With continuously signaling radio frequency equip- a perpetrator, the greatest possible distance to al- ment, the monitoring computer is programmed low the earliest notice of the offender’s approach is with the offender’s schedule and is able to compare probably the best policy. Program rules should be the times when the signal is received or not received clearly delineated and conveyed to offenders. It is with times at which the offender is supposed to be probably better for them to understand that they within range or out of range. are to stay within their home (their legal range) In other situations, random contact is prefer- rather than explaining that the equipment will al- able, especially with higher-risk offenders. Through low them to go a certain distance from the receiver whatever mechanism random contact is made, there (a technical range) before an alert occurs. should be no discernible pattern to it, and offend- Random or Scheduled Contacts ers should have an equal chance of being selected Programmed contact electronic supervision for contact at any time. Computer-generated ran- equipment and monitoring services can be program- dom contacts should occur several times a day and med in a variety of ways. In some cases, offenders are matched to the offender’s schedule in the com- are called at their residences and must respond to puter or his or her inclusion and exclusion zones. verify they are at home. In other situations, offend- If the offender is not detected at home at the ap-

Offender Supervision with Electronic Technology 101 propriate times, or if he or she is found within an detected or his or her presence in an exclusion zone exclusion zone, an alert or exception report is is determined, an alert would be generated. generated. Generally, program personnel would not advise Grace Periods and Leave Windows offenders of a grace period. They would be given Supervision policies and individual offender curfew times and be expected to abide by these. The case plans should clearly establish and communicate use of leave windows and grace periods may be help- schedules, inclusion/exclusion zones, and other ful to program personnel for certain types of equip- program parameters for offenders being supervised ment used or to avoid excessive violations in low-risk electronically. It is important to establish realistic cases. However, offenders should understand that schedules for offenders that take into consideration they can be held accountable for any exceptions commute times and other situations. This will save from their prescribed schedules. a lot of hassles for everyone when trying to manage Alerts and Violations schedule problems later. Monitoring programs can be customized to pro- Electronic supervision products that rely on vide alert and violation information in a variety of radio frequency communication must meet certain ways for an agency and can be individualized for standards of the Federal Communications Commis- particular offenders. When the computer detects an sion (FCC), which requires that the equipment ac- exception (e.g., out of range, entering an exclusion cept interference of the transmitter signals. Thus, zone, or tampering with equipment), the person most systems are designed to receive several signals operating the computer receives a message to that that the transmitter is out of range, and there is a effect. Agencies can then define the procedures that delay before reporting an alert (Conway, 2001a). A should occur when such messages are received. In “leave window” can be set for the amount of time some cases, monitoring personnel will attempt to allowed to register that the transmitter is beyond phone the offender to determine whether he or she the range of the receiver or has entered the is at home (or work). In some cases, false alerts are receiver’s range. After that time has elapsed, an out- generated because of equipment glitches, and these of-range (or in-range) signal should register with can be taken care of through telephone verification. the monitoring center. Therefore, there may be a Agency policy also should determine when brief lag between the established curfew for an of- agency supervisory or surveillance personnel are to fender and the time that his or her presence (or be notified about alerts or verified violations. Tim- absence) will be detected. Then, if the monitoring ing is likely to be determined based on offender risk center is to verify an alert, several more minutes may level, with immediate notification for the highest risk offenders. Supervisory or surveillance person- pass. For example, in some situations the offender nel can be notified of alerts and violations in a vari- could be late arriving home but might be home by ety of ways. Telephone, page, fax, or e-mail messages the time the monitoring center calls to confirm the to supervisory staff can be generated automatically violation. by computers or can be sent by monitoring staff Some programs may choose whether they want according to instructions. The computerized data to allow a grace period. In some cases, this might can be used not only for notification about indi- avoid unnecessary violation reports. For example, vidual offenders, but summary reports can be gen- with programmed contact systems, if a defendant erated about specific offenders, a group of offend- or offender is supposed to arrive home by 6:00 p.m., ers, or all offenders being supervised electronically. but is not there when contacted within 15 minutes This allows supervisory and surveillance staff to look after his or her curfew, the monitoring service may for patterns and detect problems. be instructed to give the offender a 15-minute grace period and check again no later than 6:30. There EMERGENCY/CONTINGENCY PLANS are potential problems, such as traffic jams, that could delay an offender’s return home. However, if Supervision program policies must include plans the offender is not at home after the grace period, for emergencies. A variety of technical problems can then an alert would be generated and a violation occur including electrical power outages, telephone would be reported to supervision staff. With other service interruptions, and computer crashes. Other offenders, particularly high-risk, violent offenders, circumstances beyond the control of staff also may the program can be set to allow for no grace peri- jeopardize program operations, such as extreme ods. Therefore, as soon as an offender’s absence is weather conditions and significant traffic problems.

102 Chapter 10 These potential problems should be anticipated, ous equipment options (L. Connelly, personal com- and contingency plans should be developed and munication, September 7, 2001). known by staff. When developing these plans, pro- Electricity or telephone service also may be dis- grams should begin by examining the emergency rupted in areas where offenders live or where su- or contingency plans developed for the agency in pervisory staff work. Staff must have contingency general, and then modify or expand these as required plans in place for such an event. For higher-risk of- for the electronic monitoring system. Planners fenders, this usually will entail home visits until the should focus especially on the types of situations that utility problems are corrected. Similarly, there would be most likely to occur in their locality and should be staffing plans in place in the event moni- also should consider the resources available to ad- toring or supervisory staff are ill, encounter bad dress these. For example, agencies might want to weather, or are delayed by traffic problems. On-call develop specific plans for events such as: staff should be available to assume responsibilities • Fire (in the agency, monitoring center, or in such an event. offender’s home). • Flood (in the agency, monitoring center, or FIELD SERVICES offender’s home). As noted previously, monitoring of offenders • Destructive weather (e.g., tornados, hurricanes, who are participating in electronic supervision tech- earthquakes, blizzards, or major snowstorms). nologies may be provided by the agency that has • Terrorist threats (e.g., bombs or bomb threats). sentencing or releasing authority oversight over the • Riots or civil disobedience. offender, or it may be provided by a private con- • Hostage situation. tractor. Private contractors should be required to • Power outage. provide an equivalent standard of service to that Available resources for such events might in- required by a justice system provider. The field ser- clude the agency staff, law enforcement agencies, vices to be provided may include: emergency management, other government or com- • Initial investigation of the home placement. munity agencies, and volunteers. For example, when • Offender orientation and installation of equip- electrical power and telephone services are lost for ment. several hours because of a major weather incident, • Monitoring compliance with established the agency’s protocol may be to have all field staff schedules and verifying all activities by reviewing data from the electronic supervision in- do periodic home checks and ask law enforcement strument as well as through face-to-face, tele- for assistance when needed. phone, and collateral contacts. If contracted monitoring services are used, pro- • Monitoring compliance with court or releas- gram personnel should inquire about their emer- ing authority conditions. gency and contingency plans during the contract • Documenting and inputting schedule changes negotiation phase. In general, monitoring comput- as appropriate (e.g., to accommodate changes ers should be equipped with back-up features for in hours of employment, counseling or other storing information that might be lost. Back-up bat- appointments, or to respond with incentives teries and generators should be available in case of or sanctions for case management purposes). power outages. Reserve computer equipment should • Recording and responding to offender status be available in the event of a system crash. Some changes. monitoring centers have two separate telephone • Job placement, referral, and assessment. conduits and networks available so the system can • Substance abuse testing. be switched immediately if service is disrupted. It is • Conducting regular counseling sessions. important that in-house or contracted monitoring • Preparing and distributing regular progress systems have emergency features so supervisory staff reports. will receive uninterrupted information. • Responding appropriately to noncompliance Most equipment used in offender’s homes is also (e.g., discipline reports, violations, application equipped with back-up batteries to ensure that no of sanctions). messages are lost during an emergency or power • Collecting, and perhaps disbursing, fees. outage. Equipment varies in the length of time the • Removing equipment from the offender’s back-up battery will work, and agencies should be possession at the termination of electronic sure to check this feature when reviewing the vari- supervision.

Offender Supervision with Electronic Technology 103 Besides the above activities with offenders, 2001). Finally, the offender must maintain continuous agency personnel must maintain an adequate inven- electrical and telephone services (including paying tory of equipment, develop and implement a system utility bills on time) so there is no interruption of for tracking equipment, test and clean equipment service and corresponding interference with the to assure it is working correctly, and return or replace functioning of the electronic supervision equipment. malfunctioning equipment. It is likely that some of these tasks will be performed by the equipment pro- Develop Operational Procedures vider, but performance should be specified as part To ensure field services are performed satisfac- of the contractual agreement. If a private company torily, an agency must develop operational proce- is providing field services relative only to the elec- dures and, if utilizing a private provider of services, tronic supervision, the sentencing or releasing au- must specify who is responsible for providing each thority oversight agency may still have responsibil- service. Defining and clarifying tasks and those re- ity for providing case management and other su- sponsible for performing them provides the frame- pervision services to the offender. work for optimum application of electronic super- Recognizing that legally an offender cannot be vision and lessens the likelihood that necessary tasks excluded from an electronic supervision program will be overlooked. because of indigence, there are still some basic ne- Some areas to address in operational procedures cessities that must be present for a system to be used. are listed in table 10a. Each locality should develop An offender must have appropriate housing that individualized operational procedures to satisfy their does not inhibit full utilization of the proposed needs, based on local jurisdictional laws and require- mechanism; that is, the housing must not be of such ments as well as whether field services are provided material or in such a location that it will interfere by the sentencing or releasing authority agency, pri- with the electronic supervision. In most situations, vate provider, or shared between them, telephone service must be obtainable, and if the service is not in the offender’s name or residence, Case Management Resources the offender must demonstrate permission to use Case management services include assessing the telephone for the purposes of electronic super- both the needs and risks an offender presents and vision. The telephone service must be free of spe- developing an individualized plan to reduce the cial features, such as call waiting, call forwarding, needs and lessen the risk. Electronic supervision three-way calling, and answering machines, if the supports the provision of case management services electronic supervision service requires it. Those pro- by providing both a punitive answer to noncompliance and a vehicle for monitoring an offender’s viding field services to offenders on electronic su- movement in the community. pervision should routinely review offenders’ phone Offender assessment and eligibility criteria must bills to ensure compliance. If an offender does not be accurately and consistently applied so that ap- have telephone service, the agency or company may propriate selection of offenders for electronic su- opt to provide a telephone, use cellular phones, or pervision can occur. Then the requisite services as rely on an electronic supervision system that does identified by the needs/risk assessment can be not utilize telephone lines such as GPS. Some equip- implemented with the offender’s participation ment allows monitoring of offenders without a tele- monitored through electronic surveillance, or lack phone. In these instances, the receiver in the home of participation can be sanctioned by instituting elec- monitors and records the offender’s entering and tronic supervision. Offenders’ counseling sessions leaving activity. However, the information is not and meetings can be monitored and supported, and downloaded until the offender takes the equipment the offender can be tested for the use of illicit drugs to a telephone line, typically the agency or moni- and alcohol, or other prohibited substances. Assist- toring service provider’s phone. This type of equip- ing adult and older youthful offenders in securing ment would not be appropriate for a high-risk of- and maintaining appropriate employment is an fender where immediate information about pro- important aspect of case management. Offenders gram compliance is necessary. However, it can work may be referred to job placement services, employ- well for a lower-risk offender. Monitoring informa- ment skills classes, or employment opportunities, tion is generated; it only varies in when and how and electronic supervision can be a useful tool for often the agency receives the information (L. monitoring offenders’ compliance with the referrals. Connelly, personal communication, September 7, Similarly, youth of school age can be assisted, support-

104 Chapter 10 Graduated Responses Table 10a A continuum of sanctions and incentives should Operational Procedures be available so that offenders can receive the appropriate level of response. This continuum, or gradu- Articulate enrollment process including select- ated response model, is predicated on responding ing assessment process, establishing eligibility cri- to lesser infractions with lesser penalty and respond- teria, and designing forms. ing to greater infractions (or ongoing lesser infrac- Designate responsibility for installing and remov- tions) with greater penalty. Similarly, continued ing equipment and tracking inventory, including compliance would merit increasing reward. Figure inspecting and replacing or returning damaged 10a provides a graphic representation of a gradu- equipment. ated response model. Conduct offender and household member orien- A cogent, well-designed system of responses can tation by: intersect the level of cooperation or resistance evi- • Establishing rules for the offender and family/ household members to sign. denced by the offender. Taxman, Soule, and Gelb • Delineating process for setting the offender’s (1999) examined several research projects to iden- schedule and processing changes. tify the features necessary to a graduated sanctions • Administering offender needs assessment and model. Those features can be applied as well to establishing requirements for offender’s par- graduated incentives and are: ticipation in the process to address identified • Certainty: respond to every infraction or needs. compliance. • Explaining need for and establishing access to offender’s residence. • Celerity: respond swiftly. • Consistency: similar infractions or levels of Determine how and when visual inspections and compliance receive similar responses. unannounced home visits will occur and how they will be documented. • Parsimony: respond at the least level that is likely to produce the desired result. Define process for verifying all community ac- • Proportionality: the level of response should tivities and documenting verification. equal the level of the offense or compliance. Establish requirements for responding to com- • Progressiveness: continued noncompliance re- pliance and noncompliance. sults in increasingly severe responses and con- Establish requirements and protocols for notify- tinuing compliance merits increasing rewards. ing victims, as appropriate (e.g., domestic violence • Neutrality: responses are an objective, impar- victims, victims of sex offenders, victims of personal tial reaction to an offense or compliance. attacks) of offender’s placement on electronic su- Ultimate sanctions include the revocation of pervision (unless victim indicates that contact is not wanted) and maintain contact as needed to keep electronic supervision resulting in incarceration, victim apprised of offender’s status. Determine offender and program information Figure 10a that must be recorded and select method for entering, storing, and retrieving data. GRADUATED RESPONSES Conduct process and outcome evaluation. A Stair Step Approach

Freedom ed, and monitored to maintain school attendance. The offender’s willingness to secure a job or Supervision participate in job readiness programs may be a de- terminant of eligibility for electronic supervision, Privileges particularly if the offender may be responsible for paying for the service. Additionally, the offender’s Materials participation in other case management referrals, such as counseling, substance abuse treatment, cog- Written nitive skills classes, and other services, may be both Sanctions for Incentives for an eligibility requirement for and a result of elec- NoncomplianceVerbal Compliance tronic supervision.

Offender Supervision with Electronic Technology 105 Table 10b EXAMPLES OF SANCTIONS AND INCENTIVES Sanctions Incentives Incarceration Freedom Discharge from electronic supervision Increased supervision contacts; Supervision Less frequent supervision; increased drug testing decreased drug testing Further restricted time away Privileges Additional time away from home from home (e.g., time for shopping) Monetary fine Materials Tickets to an entertainment event or certificates for a restaurant Written reprimand; written report Written Letter of commendation; positive report to to judge or paroling authority judge or paroling authority Oral reprimand Verbal Oral praise while an ultimate incentive is the successful comple- method with which most justice practitioners are tion of electronic supervision and pretrial, probation, familiar, but significant evidence suggests that pro- parole, or other community supervision. However, viding incentives is a more useful, effective tool for there are incremental and intermediate responses changing behavior. Psychological theory advises that that can be employed and can serve to guide the to most effectively change behavior, incentives offender to behavior change and subsequent success- should be delivered in a ratio of four incentives to ful achievement of supervision goals. Jurisdictions one sanction (Andrews, Bonta, & Hoge, 1990) be- may opt to generate a structured sanctions and cause, as cited by the Bureau of Governmental Re- incentives menu to delineate responses to noncom- search, University of Maryland (2001): pliance and compliance. This structured menu can • People respond better to positive reinforce- make responses more consistent, more equitable, ment than to sanctions. and more proportional to the seriousness of the vio- • Timely, consistent responses help offenders lation or the level of compliance, as well as more change to prosocial behaviors. certain and more swift. Each agency must develop • Clear expectations and definite boundaries its own menu of sanctions and incentives, and these guide offenders toward behavioral goals. may need to be modified further for particular offend- Consequently, as indicated previously, those ers on a case-by-case basis. Often, offenders can help administering electronic supervision should incor- define effective sanctions and incentives that are porate a system for providing rewards for compli- meaningful for them. However, based on the gradu- ant behavior if behavior change is among the ated response model shown in figure 10a, the options program’s goals. shown in table 10b are provided as examples of pos- Effective use of graduated sanctions and incen- sible sanctions and incentives. tives is dependent upon the court or issuing agency’s Each jurisdiction must address the timing of the willingness and ability to support and follow through responses to infractions and determine if person- with enforcement of the release conditions, as well nel will be available to respond during normal work as amenability to the delivery of sanctions and in- hours, after hours, on weekends, or all three. Response centives. Electronic supervision administrators must times may need to be individualized based on of- establish operating procedures with a realistic view fenders’ exhibiting different levels of risk; higher of the oversight agent’s position, and should nei- risk offenders may require a more immediate re- ther promise nor threaten what cannot nor will not sponse to infractions. However, both the type and be delivered. timing of responses may be dependent on an Electronic supervision field services may be pro- agency’s resources. vided for adult or juvenile offenders and by differ- Responding to offenders’ noncompliance ent types of agencies including probation or parole through application of sanctions has been the agencies, jails or detention facilities, residential pro-

106 Chapter 10 grams, or private providers. Based on the type of tain the integrity of electronic supervision, services it offers and the clientele it serves, each elec- absconders must be diligently prosecuted. tronic supervision services provider must develop sanctions and incentives that it has the resources to Determination/Collection of Fees deliver and that will be meaningful to the offenders If fees for electronic supervision services are to and stakeholders it serves. Each provider should also be paid by offenders, policy for determining the develop an explicit policy defining the levels of re- amount to be paid must be established (as discussed sponses that can be administered without notifica- in chapter 5), and the task of collecting the fees tion to the sentencing or releasing authority and must be assigned. Offenders may bear the entire the mechanism for supplying notification when ac- cost of their supervision, usually calculated on a per tion from the sentencing or releasing authority is diem basis, or they may pay a portion based on their needed. The policy should also outline the appeals financial ability. An offender’s financial obligations process for an offender who disputes responses ad- must be considered in determining his/her ability ministered by the electronic supervision services and responsibility for paying for electronic supervi- provider. sion, particularly court imposed obligations such as restitution, fines, and child support, and a priority for payment must There are incremental and intermediate be established. If electronic supervision fees are to responses that can be employed and can be collected from offenders, collection serve to guide the offender to behavior procedures must be established, and if the fees are to be distributed to a third change and subsequent successful party, appropriate accounting proce- achievement of supervision goals. dures for disbursement must be put in place as well. Sanctions for nonpayment must be established and enforced. In the case of juvenile offenders, jurisdictions must re- Absconders search applicable laws regarding collection of fees Providers of electronic supervision services need and comply with any jurisdictionally specific regu- to have a policy for aggressively responding to of- lations. Authorities may find it financially wise to fenders who violate by absconding. Areas to address provide electronic supervision, whether it is for in a response policy include: juveniles or adults, even if the offender is unable to • Determination of when to involve law enforce- pay for any portion of the fees. It may be more cost- ment or other arresting authority and how they effective than incarceration or institutionalization, are to be notified. especially if it allows the offender to maintain em- • Procedures to follow for filing orders of revo- ployment or provide care for minor children. cation including when and how to request a Besides regular program fees, agencies may want warrant for arrest. to hold offenders responsible for damaged or lost • Process for retrieval of equipment from equipment, particularly if damage is intentional. absconder’s residence. Costs and procedures for such events should be es- • Methods to secure restitution for lost or dam- tablished in advance. If offenders — especially ju- aged equipment. veniles — are unable to pay such expenses out of Offenders who abscond from electronic super- pocket, they might be required to perform commu- vision may be subject to new charges such as escape nity service instead. or theft of equipment. Research of local laws can provide information regarding levying new charges CONCLUSION in addition to violation or revocation charges on offenders who abscond (see chapter 3 on Legal Issues). This chapter presented important information Electronic supervision providers need to implement about the supervision of offenders with electronic a system to search, apprehend and return offenders technologies emphasizing various options and pro- who have absconded to the sentencing authority. cedures. The electronic supervision field services To provide safety for the community and to main- provider uses personal and collateral contacts and

Offender Supervision with Electronic Technology 107 the technological data from the instruments to lease and the supervision plan. • Obtain and provide information. • Administer appropriate responses to reward • Perform or acquire assessments of the compliance and sanction noncompliance. offender’s needs, risks, and strengths. • Notify the court or releasing authority of sta- • Establish efficient provision of services. tus changes. • Formulate an individualized case plan with It is a long list of duties that comprise field services specific goals and objectives for each offender. and case management, and the agent who performs • Provide or refer the offender to treatment pro- these services will draw upon many skills to perform viders, other agencies, and community re- them effectively. Various instruments and tools are sources as needed. available to accomplish the supervision and the • Advocate, intervene, assist, and track the agent will want to make judicious use of those, but offender’s participation in the services underlying all the activities is the interpersonal con- provided. tact that is both integral and essential to effecting • Monitor compliance with the conditions of re- offender change.

108 Chapter 10 Chapter 11 INFORMATION MANAGEMENT AND EVALUATION

A program’s purpose and the type(s) of evalua- the capacity to record detailed data on spe- tion it plans to conduct dictate the information that cific decisions, events (compliance and infrac- must be maintained. Thus, each agency must begin tions), and responses as they occur. Data, if planning both its information management system entered punctually, can provide immediate and its program evaluation at the same time that access to those with a need to know. initial planning for the implementation of the elec- • Management. For decisionmaking, manage- tronic supervision system is taking place. Critical to ment analyzes the operational activities with a the establishment of both an effective management focus on efficiency and effectiveness. An MIS information system and a useful evaluation process should provide management with information is stakeholder commitment to initiate and support to monitor the provision of services, identify both processes and to obtain and use results in a trends, make changes as needed, keep track thoughtful, meaningful manner to effect program of costs, and compile reports. The system improvement. should support management with a capacity to show interrelationships between data ele- INFORMATION MANAGEMENT ments and to present aggregate information across many cases or case events. An agency’s management information system • Evaluation/research. Data must be available to (MIS) must yield valid, reliable information, yet conduct both process and outcome evaluation must operate within the confines of the agency’s of the program. Thus, the MIS needs to have resources and expertise. Some factors to consider the capability to maintain and produce data when developing an MIS include (Crowe & Schaefer, to support decisionmaking and to assess 1992): progress toward achievement of the program’s • Ease of use — The system should be as un- purpose and goals. (Evaluation is more fully complicated as possible and multiple staff discussed in the next section.) To support both should be trained in operating the MIS with evaluation and research activities (e.g., com- updates as needed so that personnel changes parison of the performance of a group of of- will not unduly hamper entering and main- fenders who were electronically supervised ver- taining information. sus a similar group of offenders who were not • Ease of retrieval — Information should be eas- or changes in the number of offenders incar- ily retrievable and should be available in for- cerated after the implementation of electronic mats to fit the needs of the consumers. supervision), the MIS should have the capa- • Speed of compiling information — Ready ac- bility of extracting data for statistical analysis cess to data enables timely reports and allows and exporting it in widely readable formats access to information on demand if needed. such as those accepted by SPSS, SAS, and other statistical software packages. Determine the Information Needed A good information system is designed with the At its essence a management information sys- knowledge that different people will need different tem is a mechanism for storing data and producing types of information. The officer or agent conduct- it as needed to be read, searched, extracted, sorted, ing electronic supervision may be most concerned compiled, converted to reports, and analyzed. A with accurate information maintained on individual good information management system provides data clients and immediacy in the availability of data; to meet the following needs (Torbet, 1997): managers may be more interested in cost effective- • Operational. An MIS should offer an efficient ness, both of the management information system way to record case processing transactions re- and of the program for which the information is lated to the initiation, handling, monitoring, being managed, and access to aggregate informa- and closing of cases. A system should support tion; agents, managers, and others, including fund- the core activities of the officer or agent con- ing sources, will be interested in data to assess the ducting the electronic supervision and have success of the program. In the development of an

Offender Supervision with Electronic Technology 109 MIS, it is important to define everyone’s informa- of electronic supervision may be called into question needs, design the system accordingly, and build tion. Finally, there is the need to consider public in flexibility to make changes as needed. access. Recently, more information about offenders has become publicly available, especially through such mechanisms as sex Each agency must begin planning both its offender registries that are published on agency Web sites. It may be appropriate information management system and its for the public to have access to certain information, such as when a violent of- program evaluation at the same time that fender absconds, but it may not be ap- initial planning for the implementation propriate for the public to know each time a low-risk offender violates his or her of the electronic supervision system is curfew. Agencies must give careful consideration to the nuances of information taking place. sharing and make decisions that are in the best interest of public safety as well as offenders and their victims. Today’s technology allows agencies to consider information management beyond their own walls. Develop Information Collection Procedures 1 Integrated information systems are increasingly Developing appropriate data collection proce- needed to ensure effective decisionmaking at vari- dures is an important step in implementing a ous levels. For example, line personnel need the management information system. Agencies must capability to access background and current status devise forms, software, data storage formats, and information about each offender they supervise, and data retrieval mechanisms that will facilitate access agency managers and administrators need infor- to information as needed. Agencies must also des- mation that lets them evaluate their programs within ignate personnel to enter, maintain, and retrieve a larger context. The electronic exchange of infor- data and provide appropriate personnel training. mation among justice system agencies and related Agencies may depend upon the monitoring ser- community organizations is increasingly important. vice provider to maintain and provide data, they may When considering the information management set up their own system, or the record keeping duties system needs of a program for its electronic super- may be shared between the agency and the service vision component, the broader picture must be ex- provider. Planning at the outset for mutually shar- amined also, including how information about the ing data electronically and ensuring compatibility results of offender supervision can and should be of electronic data storage formats with existing shared with other agencies and what information record keeping systems will greatly enhance the ac- may be needed from other entities to make effective curacy and availability of data and allow for prompt case management and agency management deci- information retrieval. sions. When such information sharing tasks can be automated, time and other resources will be saved. EVALUATION However, important considerations in any management information system are privacy, security, Evaluation is the systematic collection and analy- and public access. Although their rights are dimin- sis of data needed to make decisions, an integral ished, offenders, their families, and victims still have and anticipated element of most well-run programs. basic rights to privacy of some personal information. Conducting an evaluation of an electronic supervi- Therefore, when designing information systems, it sion program is listed as an essential step in the de- is vital to consider precisely what information may velopment process that is described in chapter 2, be shared and in which situations confidentiality and the effectiveness and utility of the evaluation is must be maintained. System security is another cru- inherently dependent on a previous step in the devel- cial consideration. If the information system can be opment process: establishing the purpose and goals compromised by unauthorized users, the credibility of the program. The goals should be concrete, mea- ______surable, succinct, and written. Without clarity of the 1 More information on integrated information systems can be program’s purpose and goals, an evaluation can only found at www.it.ojp.gov. chart activity and cannot measure achievement.

110 Chapter 11 The second critical need for successful evalua- determine the effects of the program. The outcome tion is to have access to appropriate data. Information evaluation looks at the “how and why” of program should be available to provide quantitative assess- activities and can also assess intended results and ment of program activities, i.e., a description and uncover any unintended results of the program assessment of program participants, materials, and implementation. To make this qualitative assessment activities. The quantitative assessment, along with of an electronic supervision program, Cohn (2000) other qualitative information, should provide the suggests including subjective questions such as the basis for making judgments about the results and following in measuring program results: impact of the program. Both quantitative and quali- • Was the program “true” with regard to the in- tative information are needed to make a full assess- clusion in the program of only the targeted, ment of the program. at-risk offender population (i.e., did the pro- A third aspect of evaluation of an electronic su- gram accept offenders who did not qualify ac- pervision program is a cost-benefit analysis. If the cording to eligibility criteria)? program achieves its goals but does so with exces- • Was the response time adequate when there sive expense relative to the usefulness if offers, is it was a report of a violation? a viable alternative or enhancement to other forms • To what extent were graduated sanctions in of justice system control? place and used? • Was the level or kind of supervision related to Process Evaluation any risk/needs assessment or classification A process evaluation is a quantitative measure- schema? ment of the participants and activities of a program. • Was the monitoring center responsive? It consists of compiling and documenting the “who, • How well did the equipment work? what, when, where” activities of the program including: • To what extent did coverage by staff address • Identification information on each offender demand? such as name, date of birth, sex, race, and Additionally, gauging stakeholder satisfaction address. with the program might be somewhat difficult to • The presenting offense and legal history of quantify, but it can provide constructive informa- each offender. It is helpful to code the offenses tion for an outcome evaluation. If stakeholders are using the Uniform Crime Reporting (UCR) fully informed of the electronic supervision codes so that data can be compared across program’s purpose and goals and are offered a ve- sites. hicle to provide meaningful feedback, they can be • Number of offenders supervised. a valuable source of information about the • Length of time each offender was supervised program’s goal attainment. electronically. Ultimately, outcome evaluation data can be used • Number of violations. not only to determine the results of a particular pro- • Responses to violations. gram but also to provide a broader view of the effect • Case management activities, (e.g., number of of the program, sometimes referred to as an impact alcohol/drug tests conducted, number and evaluation. Cohn et al. (1996) cited Armstrong, type of referrals to resources, financial pay- Reiner, and Phillips (1987) in suggesting the follow- ment records). ing questions be answered to ascertain the longer- • When/how supervision was terminated. term value and impact of electronic supervision: For privately run electronic supervision pro- • Is electronic supervision a viable alternative grams, the involvement of the public sector (pre- to address the overcrowding of correctional trial release, probation, parole, corrections person- institutions? nel) and the private sector (program providers) will • Does electronic supervision offer a significant require an evaluation of the support provided by enhancement to community supervision? both sectors and their ability to work cohesively • Is there a net-widening effect as electronic su- together. pervision is implemented? • What is the relationship of electronic supervi- Outcome Evaluation sion to recidivism? An outcome evaluation studies the direct actions • What is the overall reliability of programs and of the program on the participants and seeks to equipment?

Offender Supervision with Electronic Technology 111 • What is the appropriate duration for an of- offender accountability (how are they held account- fender to be on electronic supervision? able without electronic monitoring and how has elec- • What is the cost effectiveness of electronic su- tronic supervision changed accountability levels); pervision as an alternative? changes in recidivism rates; stakeholders’ percep- • What are the legal concerns and constraints tions of the success of community supervision; and of an electronic supervision program? alterations in the timeliness of responses to violations. Connelly (personal communication, September 7, 2001) suggests two additional questions that Use of Results should be included in an impact evaluation: Once evaluation results are obtained, they must • Was compliance with probation/program con- be put to good use with the ultimate goal to effect ditions enhanced with electronic supervision? service improvement. The results may be limited to • Did offenders respond positively to the struc- internal use and can serve to assess program quality ture and accountability, and do they feel it and make decisions about operational changes. helped them maintain structure in their ev- Specifically, evaluation results assist in: eryday life after being released? • Understanding the strengths and weaknesses As additional data become available, statistically of the program. significant characteristics that are predictive of an • Assessing the efficiency of operations. offender’s performance on electronic supervision • Documenting progress toward achieving can be discerned, and electronic supervision pro- stated goals. grams can be more effectively designed and imple- • Making financial decisions about program ser- mented to achieve the greatest usefulness. vice delivery. • Selecting areas for program improvement. Evaluation Measures Related to Program Goals • Identifying and addressing unintended pro- As previously stated, for evaluation to be worth- gram results. while, the purpose for the electronic supervision If results did not meet expectations, revision of program must be clearly articulated and understood, the goals may be appropriate. Not fully achieving the goals and objectives must be measurable, ap- the original goal does not equate to failure of the propriate data must be kept, and the MIS must have program. Designing and implementing new strate- the capability of maintaining and producing the gies based on information obtained from the evalu- required data for analysis. The relationship of the ation may result in achieving the intended outcome, outcome measures to the program goals dictate or revision of the expected outcome may be war- which data elements must be available for analysis. ranted, particularly if the evaluation discloses insuf- Program goals for electronic supervision include the ficient resources, objectives that are difficult (or following: impossible) to measure, or there is a lack of data to • Reduction in incarceration costs/bed conduct evaluation successfully. avoidance. Evaluation results may be shared externally and • Offender accountability. can serve to hold program service providers account- • Avoiding new offenses. able to stakeholders for the quality of the program. • Enhancement of community supervision. Funding providers, stakeholders, and the commu- • Public safety. nity have a legitimate interest in how public money • Behavior change/early notification of prob- is spent, and they have the right to expect a program lem behaviors. to be true to its purpose. For example, if an elec- • Feedback to stakeholders. tronic supervision program’s stated purpose is to Table 11a lists these possible program goals and reduce the number of beds required for incarcera- appropriate data elements to analyze in assessing tion and to thus lower incarceration costs, the in- progress toward achieving each goal. terested parties should have information available Besides having data available to determine to know if the program did reduce the number of progress toward reaching the stated purpose of the beds required, the savings that resulted from the electronic supervision, data should be available to reduction in beds, and the cost of implementing determine the impact of the program. Data elements the electronic supervision. However, sharing of to consider include rates of incarceration before and evaluation results to external users is not limited to after implementation of electronic supervision; operational costs and savings. External customers

112 Chapter 11 Table 11a DATA ELEMENTS FOR ELECTRONIC SUPERVISION GOALS Electronic Supervision Program Goal Data Elements

Reduction in incarceration • Current population vs. capacity. costs/bed avoidance • Electronic supervision program cost. • Daily incarceration cost. • Welfare savings. • Foster care savings. • Payroll taxes paid by offenders. • Monthly income of program. • Medical cost savings. • Court appearance costs; failure to appear costs; arrest costs. • Offender fees. Offender accountability • Days worked or in school. • Days in treatment. • Restitution paid to victim(s). • Taxes paid. • Number of violations and types (e.g., alcohol, boundaries, tampers). • Tampers. • Absconders. Avoiding new offenses • Re-arrests for various offenses. • Technical violations. • Absconders. Enhancement of community • Demographics. supervision • Re-arrest information. • Technical violations. • Duration of electronic supervision. • Length of time before new crime is committed and level of that crime. • Duration of treatment programs. • Officer contacts. Public safety, behavior change/early • Verified electronic supervision violations (number of times notification of problem behaviors, offender left early or returned late). and feedback to stakeholders • Number of failed tests (polygraph, alcohol, drugs). • Number of treatment absences. • Number of missed reporting appointments. • Commission of new offenses and level of the offenses. • Number of unauthorized area violations (hot zones). • Compliance with program requirements. • Successful completion of termination. are likely to be interested in other results of the pro- Control Group/Comparisons gram offered and the evaluation should be designed Evaluation data for an electronic supervision to provide that information as well. program are best interpreted with the use of a con- Effective presentation of the results can deter- trol group. The control group serves as a reference mine the utility of the evaluation for both internal point for comparison. It is helpful to contrast those and external users. It is important to know who the who were exposed to the program (experimental audience is, what information they need, and how group) with those who were not (control group). they will use it (Geary, 2001). Geary suggests using The control group should be as similar as possible spreadsheets, tables, charts, graphs, and narration to the experimental group to minimize the possi- to present information. The goal is to place the infor- bilities of outside influences on the outcomes mation in a context that is understandable to the user. (Geary, 2000).

Offender Supervision with Electronic Technology 113 Barriers to Effective Evaluation of Electronic program is to divert pretrial offenders from incar- Supervision ceration pending resolution of the court process to Despite the use of electronic supervision since reduce incarceration costs. However, offenders who the mid-1980s, researched information about the prior to the implementation of the electronic efficacy of programs is not always readily available. supervision program component would have been Several factors inhibit evaluation of electronic su- released on their own recognizance are placed on pervision programs. electronic supervision. Thus, evaluating electronic Some service providers do not routinely conduct supervision based on its effectiveness at reducing evaluation. From a study he conducted of electronic incarceration costs is impossible unless the par- supervision programs for juveniles, Cohn (1998a) ticipant group can be bifurcated into those offend- reported that not one of the approximately 150 re- ers who would have been detained and those who spondents reported any attempts to measure or would have been released even without electronic evaluate their programs. Cohn said the lack of evalu- supervision. ation in the juvenile programs could be extrapo- The single attribute of cost-effectiveness is often the lated to adult programs as well, since many of the criterion for successful programs. Electronic supervision respondents reported they also served adult popu- is often advocated and touted as a cost-effective lations. The lack of evaluation protocol is not lim- mechanism for supervising high-risk offenders in the ited to electronic supervision programs but is often community. This singularity of purpose (reduced reflected by agencies’ lack of evaluation for any of expenditure) without acknowledgment of other its activities. However, the absence of evaluation correctional system goals such as increasing public precludes the possibility of determining the value safety, effecting offender behavior change, and re- of electronic supervision. ducing recidivism restricts the definition of a “suc- The program purpose is unclear. Without a clear cessful” program to an accounting process and sense of what an electronic supervision program is clouds the capacity for evaluating electronic super- supposed to accomplish, evaluation to assess achieve- vision as a corrections system tool to achieve broader ment of the purpose is futile. Too often, a program goals. Indeed, a variety of variables should be con- has been put into place because it is in vogue to sidered when conducting program evaluations. have electronic supervision, rather than because the program furthers the agency’s mission and goals by CONCLUSION addressing a specific articulated purpose. Either the The scarcity and/or ambiguity of evaluation in- absence of a program purpose, or a purpose that is indistinctly defined, negates valid evaluation. formation from electronic supervision program The data to conduct evaluation is not available. components has hampered efforts toward gauging Engaging in planning and designating resources for their effectiveness; evaluation studies often conclude collecting, compiling, and analyzing data for evalu- that further evaluation efforts are needed to satisfy ation is a frequently overlooked area of electronic remaining unanswered questions. What becomes ap- supervision program implementation. Consequent- parent in reviewing evaluation studies, too, is that ly, while data to conduct some minimal process familiarity with the program purpose and the tar- evaluation may be available, those who wish to as- geted population are necessary to understanding the sess the effects of a program may have difficulty evaluation results. A recitation of the number of of- gleaning the information. fenders being supervised and the length of time on The population that is supervised is not the popula- supervision in a given year is rarely helpful to un- tion that was targeted. An unintended consequence derstanding the success of a program. of implementing electronic supervision for a par- Engaging in effective evaluation can tell us the ticular segment of the offender population is that degree to which programs are successful and cost- other offenders not included in the targeted popu- effective. With adequate evaluation information, the lation are pulled in for supervision also. For ex- value of electronic supervision to the criminal jus- ample: the purpose of an electronic supervision tice system can be realistically assessed.

114 Chapter 11 Chapter 12 PUBLIC RELATIONS

A public relations plan that addresses the concerns increased communication, understanding, and de- and needs of the community stakeholders during bate among all the groups involved (Fairchild, program development can counteract negative pub- 1998). lic perceptions and negative stereotypical images of As with all community corrections initiatives, the electronic supervision systems. Fairchild (1998) sug- effectiveness of supervision programs that include gests that agencies conduct research and assess pub- the use of electronic technologies depend on lic perceptions using surveys and public opinion (Boone; 1996; Dillingham, 1994; Elrod & Brown, polls to identify problems and target public relations 1996; Evans, 1996; Flanagan, 1996; Immarigeon, and communication strategies to address those prob- 1995; Petersilia, 1996; Renzema, 1992; Sigler & lems as they relate to specific social groups, other Lamb, 1995): agencies, and the public. • The agencies that manage them. • The community and social service agencies IDENTIFY STAKEHOLDERS that provide treatment, jobs, and other offender services. The successful implementation of any community • Educational agencies. corrections program that utilizes electronic super- • Judges and elected officials. vision tools demands the partnership, commitment, • The media. and involvement of both the internal and external • Victims services. community stakeholders. Program innovators and • Public support. correctional leaders must give the public the opportunity to participate in problem solving, policy de- Internal Stakeholders velopment, program implementation, and offender supervision (Shall & Neises, n.d.). Any public agency The internal stakeholders are all those persons that purports to serve the community must become within an agency who will be managing, supervising, a part of that community; that agency cannot oper- evaluating, and overseeing a program involving elec- ate alone as a separate entity without the support of tronic supervision. These include program coordina- those who are the recipients of its services (Petersilia, tors, agency management professionals, line officers, 1998). Partnerships between the internal and ex- supervision teams and any and all agency personnel ternal stakeholders develop when both entities rec- who will maintain a working relationship with the ognize the need to listen to, understand, and work offenders and their communities as well as vendors toward the goals, needs, and concerns of each other and service providers for the electronic technologies for the greatest benefit of all. Evans (1996) found used. The successful implementation of an electron- that successful implementation of a correctional ic supervision system requires communication and program within a community depends on the co- cooperation among departments and agencies. Ac- operation and partnership of other agencies, social cording to Nidorf (1996), it is imperative that agen- institutions, and public acceptance and confidence cies communicate at all levels and functions of the when integrating the offender and the community. department and agencies that supervise offenders Ultimately, the community holds the solution to who reside within the community. crime, and all the stakeholders, both internal and external, must be involved (Klein, 1995). For stake- External Stakeholders holders to be involved, they must have a voice and The external stakeholders are all those persons take a piece of the action. Stakeholders are more outside the correctional agency who are affected by apt to support what they help to create. offenders’ releases into their neighborhoods and Administrators of programs that include elec- communities. Included are the victims, families, tronic supervision must assume the responsibility peers, business managers and owners, media, commu- for educating, informing, and enlisting the support nity professionals, social service agencies, treatment of stakeholders (Boone, 1996). Improving public re- facilities and services, judges, prosecuting attorneys, lations among all the community actors demands police, and any other public or private agency, po-

Offender Supervision with Electronic Technology 115 litical or social group, or person within a commu- vinced that the program is viable and acceptable to nity or neighborhood in which an offender resides the public (Friel, Vaughn, & del Carmen, 1987). while completing court-ordered community super- The Community Anti-Drug Coalitions of vision obligations. America (1995) recommends several steps for in- Political Leaders as Stakeholders fluencing public policy including: Programs that include electronic supervision • Being knowledgeable about facts that support components also require the support of policymakers the intended program development or en- who can build acceptance and support among lead hancement. agency professionals and community members. In- • Informing elected officials of the issues included are legislators, criminal justice officials such volved through letter writing. as judges and prosecuting attorneys, and State and • Alerting program supporters about the pro- local governments. For example, Immarigeon (1995) gram development or enhancement and urg- reports on an intermediate sanctions program ini- ing them to take action. tiated by the Center for Effective Public Policy. The • Meeting with elected officials to urge their sup- Center’s recommendations include four key tasks: port for the program. • Developing a high-level policymaking group. • Mobilizing a public response by gathering • Planning educational opportunities, gathering statements or signatures of support to be sent data, and developing decisionmaking pro- to elected officials. cesses to guide the group’s work. • Developing partnerships or collaborative ef- • Using local resources for specific policy forts with other organizations. objectives. • Educating the community about the issues. • Implementing the policies and sanctions • Spreading the message through local media. developed. Meeting with policymakers provide powerful The commitment of policymakers to join and opportunities for them to hear from their constitu- remain part of the decisionmaking and implemen- ents and experts involved in program development tation process and the availability of the staff, time, or enhancements. Policymakers often are eager to and fiscal resources to support the work and deci- hear from their constituents, but they may have dif- sions of the policy group are vital for the success of ferent goals from justice system agencies. While this process. agency leaders would like public officials to support Legislators are influenced by their perceptions their plans, policymakers may be reluctant to en- of what they believe the public wants. Brown and dorse approaches that are controversial. If arrang- Elrod (1995) found that policymakers often hold ing a meeting with elected officials is not possible, misperceptions of public attitudes toward punish- welcome a meeting with their staff who are usually ment in general and alternative sanctions in par- responsible for providing information to and edu- ticular. Furthermore, they found that “limited in- cating policymakers on various issues. Table 12a sight to public perceptions could jeopardize fiscal provides some suggestions for successful meetings and programmatic needs of the correctional system” with policymakers. (p. 337). The public generally supports alternative Victims as Stakeholders sentencing initiatives, believing they make the cor- Within a restorative justice framework, victims rections system more just and responsive to public are viewed as one of the primary clients of the jus- safety issues and they provide tools to help change tice system. Victims who have experienced personal criminal behavior. However, too often political ini- injury, financial loss, trauma, and other results of tiatives drive public opinion (Mauer, 2001), so edu- their victimization deserve both the understanding cating both policymakers and the public is vital for and attention of the community and the justice sys- programs that include an electronic supervision tem. Crime victims want the following as a result of component. the harm they have experienced (Reinventing Pro- It would be unwise for an administrator to in- bation Council, 2000): troduce electronic supervision into a community • Safety — To be protected from further victim- corrections program without some certainty of pub- ization. lic acceptance. Funding and operational support will • Knowledge — To be kept informed about what have to be obtained from public officials who may is happening with their case. be reluctant to give them. They will have to be con- • Restitution – To be repaid for their losses.

116 Chapter 12 Table 12a STRATEGIES FOR SUCCESSFUL MEETINGS WITH POLICYMAKERS Preparation • Know the policymaker and be ready to appeal to his or her personal, professional, and legislative concerns. Learn about the person’s district and voting record. • Furnish information about the purpose and agenda for the meeting. Provide summary information and a list of people who will attend the meeting. • Speak with a unified voice by enlisting the support of constituents who back the program’s purpose and goals.

During the Meeting • Work toward clear but limited goals by keeping the discussion focused on one or two key points. Be specific about what is needed from the policymaker. • Provide written materials and visual aids that are clear and succinct and summarize key points. • Make use of “small talk” during introductions and other appropriate times to create rapport and develop a relationship with the policymaker.

After the Meeting • Evaluate the meeting immediately. Appoint a note taker during the meeting and have that person prepare a written summary and distribute it to meeting participants. • Send a thank you letter that is gracious and polite, even if the meeting was not as successful as desired. Recount statements made and suggest ways the policymaker can help achieve program goals. • Let agency members and other stakeholders know the results of the meeting by providing a written summary. (Community Anti-Drug Coalitions of America, 1995)

• Services — To receive services and resources tion, treatment, and other victim’s services can be that address the harm they have suffered. instrumental in garnering support for programs that • Meaning — The outcome of the justice process utilize electronic supervision. The input from these to be meaningful for them (e.g., receiving an groups can provide valuable information on which apology from the offender, punishment that program features can help to instill comfort and fits the crime, knowledge about the justice reduce fear for victims and ensure offender com- process). pliance with court-ordered sanctions. • Involvement — To be included in the justice Media as Stakeholders process through providing victim impact state- The media is one of the most valuable and effect- ments, participation in plea bargaining and ive tools available to corrections professionals to in- sentencing recommendations, and, in some form and educate the public. However, the media cases, involvement in mediation with the of- is often considered the enemy — a negative force fender. to be avoided. Corrections professionals must change Victims are a key constituency group for com- their perceptions of the press and recognize that munity corrections agencies to consider and inform about the development and implementation of elec- the media can be instrumental in gathering support tronic supervision systems. Electronic supervision for various programs and policies, supplying infor- strategies that include victims as stakeholders can mation to stakeholders, and relating good news. The help meet many of the victim needs stated above, reporter’s job is to gather information and then re- especially those related to safety, knowledge, mean- late it to the public via television news programs, ing, and involvement. newspapers, radio, and other media. According to Another target population for support of commu- Immarigeon (1995), political leaders compete to be nity sanctions is agencies (both private and public) the toughest on crime, while little media attention and individuals who provide victim support services. focuses on how criminal justice agencies operate or Agencies that provide advocacy, restitution, repara- what they need to accomplish their mission.

Offender Supervision with Electronic Technology 117 The media must be supplied with valid and reli- als who fail to report their successes and ignore the able information about electronic supervision strat- opportunity to report what is positive and what is egies and equipment so the foundation is laid for working feed the stakeholders’ notions that elec- trust and confidence among the press, community tronic supervision tools are ineffective (Cohn, agencies, and the general public. The corrections pro- 1998b; Wittenberg, 1997). Table 12b provides some fessional is instrumental in ensuring that accurate useful information for working with news media information is given to the press, thereby ensuring representatives. that it is a credible source of information for the Community stakeholders who are informed and public (Sigler & Lamb, 1995). The media can be share in decisionmaking that addresses their fears instrumental in ensuring that the purpose and meth- and needs are more receptive to alternative sanc- ods of electronic supervision systems are reported tioning programs (Boone, 1996; Flanagan, 1996). accurately (Nicholl, 2000). Corrections profession- Garnering public support for such programs is a daunting task for community corrections professionals who must continuously perform numerous tasks Table 12b that keep both the internal and the external stake- TIPS FOR ATTENDING AN EDITORIAL holders informed and educated about a program’s BOARD MEETING electronic supervision policy and goals, program features, evaluations of successes and failures, pro- These tips focus on meeting with the editorial board gram and equipment costs, recidivism rates, and of a newspaper but may be equally applicable for other issues (Boone, 1996). meeting with representatives from other types of The Public as Stakeholders news media. Members of the community are important stake- • Know the newspaper’s position on the issue to holders of the justice system, and as such, should be discussed by researching recent relevant editorials and news stories. be informed and involved when electronic supervision strategies are designed and implemented. Gen- • Request a meeting with the editorial board. Ask that a reporter attend the meeting or schedule erally, the public wants the justice system to recog- a separate meeting with a reporter. If the nize and address the following needs (Reinventing editorial board does not support the issue of Probation Council, 2000): the meeting, a reporter may want to write a news • Safety from violent offenders. story. • Accountability of offenders for the crimes • Distribute short fact sheets about the program’s committed. position or needs and the names and contact • Repair of the damage done. information for people who can be reached for • Education and treatment for the offender. more information. • Involvement in making decisions. • Invite others to attend if they have particular • Truth. expertise on the issue, but keep the group small. • Sentences that fit the crime, the offender, and Prominent community stakeholders in the dis- the circumstances. cussion may increase the credibility and importance of the message. • Some good to come of justice. Members of the community want to have influ- • During the meeting, briefly summarize the program’s position, evidence supporting the ence on the system and they want to know how well position, anticipated criticisms, and appropriate it is working, its shortcomings, needs, and program responses to those criticisms. Be prepared to re- mistakes and successes. Programs that are develop- spond to questions and criticisms at a later time ing or enhancing electronic supervision strategies during the meeting. should address these needs from a program’s incep- • Defend the program’s position if arguments are tion throughout its implementation. Otherwise, they presented. Some questions may be intended to are likely to be misinformed and more reactive in test the validity of the program’s position. their response to the program and offenders’ un- • Respect the opinions and constraints of the edi- lawful actions while being supervised electronically. torial board. If they are unable or unwilling to Other Stakeholders support the program’s position, they may be willing to print a letter from the agency. Other external stakeholders also must be considered when assessing public relations develop- (Community Anti-Drug Coalitions of America, 1995) ments and electronic supervision. These include:

118 Chapter 12 • Other criminal justice system officials such as USING A PROACTIVE VERSUS REACTIVE judges, defense attorneys, prosecuting attor- APPROACH neys, and law enforcement. • Industry representatives such as technology Forward-thinking correctional agencies, antici- experts and manufacturers and distributors pating public moods and trends, are proactive rather who promote and sell electronic supervision than reactive in addressing them (Wilkinson, 1996). equipment. A key strategic factor for correctional officials is to • National associations such as the American find ways to encourage a public deliberation about Probation and Parole Association, American correctional policy, not just a public reaction Correctional Association, International Com- (Moore, n.d.). munity Corrections Association, and other or- Procedures for the effective flow of information ganizations that offer insight and assistance in requires a spokesperson who is qualified to address planning, developing, and implementing al- program issues including program policy and pro- ternative sanctions programs. cedures, the advantages and disadvantages of the

Table 12c TIPS FOR WRITING NEWS RELEASES There is no single way to prepare a news release. However, generally accepted practices include the following: Content • Tell the reader all the major facts in the first paragraph: • Who • What • When • Where • Why • How • Each paragraph should be more important than the paragraph that follows it. • Make sure all information is accurate and timely. • Check names, spelling, numbers, and grammar. • Use short sentences. • Write with active verbs; avoid fancy, stilted wording; avoid jargon and technical terms. • Provide a short summary or news memo covering the major points of the story. • If the story is complex, provide background information as a separate fact sheet. Length • Keep it short — limit to one double-spaced page, if possible. • Write “more” at the bottom of each page if the release exceeds one page. Title • You may title the release as a summary of the content. However, news organizations are likely to select their own headlines. Release Date • For most releases write “immediate” or “for use upon receipt” at the top. • If there is a specific reason to stipulate a release time, make this clear. Reasons a release might be held include a need to coordinate it with a speech by someone else, have it appear with another news announce- ment, or to release it during a meeting. For More Information. . . • Be sure to include the name, address, and phone numbers of the person who can provide additional information on the story. (National Institute of Corrections [NIC], 1999)

Offender Supervision with Electronic Technology 119 technology being employed, offender violation tend future press conferences or ignore press policy and procedure, program costs, and effective- releases. ness ratings. Houston (1999) recommends that an Public relations issues must be addressed agency appoint a public information officer (PIO) proactively. A good public relations strategy should to answer requests for statistics and other informa- “sell” the program to the top decisionmakers and tion. Smaller agencies can appoint agency staff such effectively elicit public support. The program design- as the director, chief probation officer, or anyone ers will need to develop press kits1 (suggested contents who can effectively address issues and deal with re- are provided in table 12d), conduct public informa- porters. The PIO should be responsible for arrang- tion forums and education seminars, and hold press ing press conferences and distributing all press re- conferences to effectively communicate program leases. (Some tips for writing press releases are pro- benefits and limitations honestly and fairly. The vided in table 12c.) The PIO protects the agency public often has negative perceptions because of the from charges of being uncooperative with the me- lack of information. It is much more difficult to put dia, especially during disturbances and unusual a different “spin” on negative perceptions once they events, and leaves agency professionals free to work are formed. Information should be available to help on the task at hand. the public understand the program, and questions Houston (1999) also suggests that to ensure ac- should be met with credible answers. curate and effective media coverage, the PIO should: The public must be given opportunities to work • Screen all inquiries. Routine requests can be through the issues and reach resolutions both intel- handled by the PIO, but all inquiries of a policy lectually and emotionally before some disturbance nature can be routed to the appropriate staff or event causes misperceptions that are difficult if member. not impossible to change. Program designers who • Provide news releases in a timely manner to address any successes or difficulties that can and do accommodate media deadlines. occur, can help the public overcome resistance to • Know the local lead reporters in both the print electronic supervision options. According to Shall and electronic media and give assistance wher- & Neises (n.d.), policy innovators — interested citi- ever possible so that they are knowledgeable zen groups, politicians, high level appointees, foun- about the agency and its functions. dations, and others — can have an impact on the • Be the single point of contact with the media ______to eliminate conflicting information. 1 Service providers and/or manufacturers may be able to as- • Avoid playing favorites with reporters, as other sist with developing materials for the media, or they may have reporters may perceive this bias and fail to at- materials already available.

Table 12d SUGGESTED CONTENTS OF A PRESS KIT

• Fact sheets and background information about the electronic supervision industry. • Fact sheets and background information about your agency or program. • Biographies of any spokesperson for the organization or industry. • Potential story topics. • Photographs. • News releases. • Brochures or annual reports. • News clippings and advertising reprints.

Be sure all materials in a press kit are: • Clearly written. • Accurate. • Current. (Johnston, n.d.)

120 Chapter 12 barriers that block progress in the resistance and such as the range of the transmitter, if and how evaluation stages, thereby increasing stakeholders’ the transmitter can be removed by the offend- capacity for reasoned risk, full understanding of the er, and whether tampering can be detected. goals sought, and the terms of accountability with In a study conducted by Sigler & Lamb (1995), which they must contend. the authors found that community stakeholders who were informed and had accurate knowledge of community corrections had more Public relations issues must be addressed positive attitudes toward the use of community correctional alternatives. Their proactively. findings concluded that community education should be a part of any effort to establish and maintain community cor- PUBLIC EDUCATION rections programs. What electronic supervision systems do varies According to Wilkinson (1996), knowledge is with the jurisdiction in which they are being used power, but only if it is given away. Community correc- and the technologies employed. Electronic super- tions professionals must educate and inform the vision is used as an alternative to probation/parole public of the policies, goals, advantages and revocation, an enhancement of probation/parole disadvantages, costs, recidivism rates, and other supervision, a tool for work release, and a part of issues related to electronic supervision systems. Ori- pretrial and post conviction jail diversion and diver- entation and educational programs should include sion from prison (American Probation and Parole all interested parties such as the judiciary, prosecu- Association, 1989). The devices are employed at all tors, defense attorneys, probation, parole, medical/ levels of the justice system to supervise both juve- health services, family support services, law enforce- niles and adults. Electronic supervision devices do ment, victims, community, media, and other interest provide increased surveillance, control, and super- groups (American Probation and Parole Associa- vision of offenders, but they do not replace personal tion, 1989). supervision and treatment services. Immarigeon Manufacturers, distributors, service providers, (1995) warns that no intervention, however well community corrections agencies, and the judiciary designed and implemented, is appropriate for share in the responsibility of understanding how everyone. electronic supervision technologies work to varying Effective community sanctions programs cost degrees. The amount of information needed by vari- money. Corrections professionals must be honest ous persons usually depends on the roles of those with the community stakeholders about what it costs involved. However, one should not hold back re- to ensure public safety. Funding for community cor- quested information based on another’s predeter- rections programs depends on whether programs mined role. Conway (1998b) suggests there are can prove to the public that they are efficient and three groups to consider in relating information: effective in bringing about behavior change. There- • Those involved in any aspect of managing elec- fore, needed resources depend on program results tronic supervision caseloads or programs who that are accurately measured and honestly reported. are responsible for formulating and carrying Some programs offset the cost of electronic super- out the policies and procedures of the equip- vision to the community by setting up systems in ment should know all the details of the equip- which offenders who are employed are responsible ment and the program. for paying a daily amount or a percentage of their • Those responsible for sentencing, referring, salary. Members of the public often want to know or authorizing offenders’ participation in pro- offenders are being held accountable in this way. grams using electronic supervision need ba- There are several obvious reasons to adopt elec- sic information to assess the level of risk and tronic supervision for offenders that appeal to the whether the offender can be supervised ad- public. Humaneness requires that, whenever pos- equately, but they do not need the level of sible, the correctional administrator take actions that detail required by program personnel. improve, or at least maintain, the life and potential • The public needs to know some of the basics of the offender while he or she is under the control about how the devices work to protect society of the State (O’Leary & Clear, 1984). When the

Offender Supervision with Electronic Technology 121 Table 12e CRISIS MANAGEMENT PLAN

• Have a designated public relations spokesperson who will take charge of handling communication during a crisis situation. • Seek all available information about the situation. • Make arrangements for and maintain contact with the press and other stakeholders. For example, separate designated areas may need to be set up for victims or family members and the press. • Have a designated agency administrator who will approve the text of press releases and with whom the public relations spokesperson can consult for answers to questions. • Respond with appropriate speed. Maintain close contact with media representatives and be willing to help them meet print, radio, or television deadlines. • Maintain composure even in tense situations. • Disseminate the same information to all sources. Keep a log of information released and the times at which it was released to avoid duplications and conflicting reports. • Maintain contact information for those who receive information in case it is necessary to provide them with followup information. • Always provide truthful information; never lie or minimize when answering questions. • When answering questions provide or confirm only information that is known; never speculate. Attempt to find out answers that are not yet known. • Accentuate the positive when possible. For example, although this crisis has occurred, in general, electronic supervision technologies work well and have benefits. • Prepare general information about the program and the technologies used that can be distributed to stakeholders if a crisis occurs. (National Institute of Corrections, 1999) offender is maintaining employment while under tions officials must approach the implementation community supervision, electronic monitoring de- of any new corrections program with the under- vices allow the offender to continue working, receive standing that things do go wrong. Any type of crisis a salary, and pay taxes. The employed offender may situation must be addressed during program devel- not need public assistance funds to support himself/ opment. It is wise to consider what can go wrong herself, may only need partial assistance for family and address policy issues to deal with adverse events support, and is responsible for his or her own medi- before they happen. cal care. Usually, coerced treatment services are a Every agency should have a crisis management condition of the offender’s release into the com- plan in place well before any untoward event oc- munity. Those under corrections supervision stay curs. The crisis management plan should spell out in treatment longer, thereby increasing positive the steps to be taken to notify both internal and treatment outcomes (Petersilia, 1996). external stakeholders about the event. Other jus- Community supervision also helps families stay tice system personnel, victims, the public, and the together, enhancing cohesiveness and increasing the media will need to be given information. They will chance for program success. The forced discipline, want to know: structure, and schedule may help advance long-term • What happened — Describe the situation with behavior change. as much detail as needed (without breaching confidentiality) for the appropriate audiences HAVE A CRISIS MANAGEMENT PLAN to understand the situation. • Who was involved — Provide specific informa- It is likely that some offenders will commit tion except where doing so would jeopardize crimes while under electronic supervision. Correc- a criminal investigation, in situations where

122 Chapter 12 relatives of victims have not yet been notified, standing, and good will (National Institute of Cor- when a juvenile offender is involved, or in cases rections [NIC], 1999). involving rape or sexual abuse. • When the event occurred. CONCLUSION • Where the event occurred. • How the situation developed. This chapter reviewed the important role of a The National Institute of Corrections (1999) variety of stakeholders in the implementation of a suggest the steps in table 12e for handling an emer- successful system to supervise offenders electroni- gency. Having a crisis management plan can avert cally. It then discussed the necessity for taking a pro- many problems including inaccurate stories from active approach in public relations around issues the media, rumors, criticism, and diverting the at- relating to electronic supervision. Tips for prepar- tention of staff from their most important job of ing and managing various public relations tasks as supervising offenders. Failing to manage crises ef- well as the importance of having a crisis manage- fectively can cost the agency prestige, community ment plan also were addressed.

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