An International Investigation of Technology in Prison and Probation
An International Investigation of Technology in Prison and Probation The Role of Technology in Modernising the Criminal Justice System of England and Wales
2009 MPA Capstone Report Prepared for EDS By Jeff Dennler, Cristian Letelier and Dane Pflueger
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We would like to thank the LSE MPA programme and EDS for their support in undertaking this research project. We are especially grateful to Patrick Dunleavy, Simon Bastow, Leandro Carrera, Elise Legault, Myrthe Feddema, Elaine Hardy, James Johns and Mike Doherty.
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Table of Contents Executive Summary………………….……………………………..……………..4 Chapter 1: Key Challenges in Modernisation………….………………….…..7 • EDS has commissioned this LSE MPA Capstone Team to deliver a comparative review of technology in prisons and probation • The creation of NOMS offers new opportunities to focus on rehabilitation but presents new challenges of its own • Increasing demand and undersupply of prison capacity, increased diversity of needs, and high re-offending rates present challenges • Efficiency mandates, organisational culture and social-political objectives favour short-termism and ad hoc technology adoption Chapter 2: The Contingently-Networked Offender Model…..………….....19 • The Contingently-Networked Offender Model offers a long-term vision for reducing costs and improving service delivery outcomes • New technologies provide the means to contingently network offenders to pathways out of re-offending • By overcoming existing barriers offenders themselves can be empowered through ICT, reducing the strain on NOMS for staff time and resources Chapter 3: An International Investigation of Technology Use……………34 • Best practice research presents methodological difficulties that can be overcome to provide rewarding analysis • A systematic web census of 22 cases reveals heterogeneity in the amount and type of technology adopted • ‘Fuzzy set’ analysis illustrates important relationships between criminal justice systems and their use of technology Chapter 4: The Benefits of Technology Use………………………..……….62 • The benefits of technology use in the criminal justice system are farreaching but often overstated • Attempts to quantify the benefits of technology use must encompass medium- and long-term horizons • Technology synergies exist that amplify the business case for adopting technologies in groups rather than individually • Specific design characteristics dictate the realisation of the full benefits of technology use • Individual technologies are recommended for adoption and a benefits roadmap is provided to offer actionable proof of concept analysis Annex 1: Research Methods……………………..………………………..……86 Annex 2: Case Profiles…………………………………………..……………..108 Annex 3: Technology Profiles………………………………….……………..154
Executive Summary EDS commissioned this LSE MPA Capstone Team to undertake an international investigation of technology use in criminal justice systems and the benefits derived from its use in order to better advise its clients, the Ministry of Justice and the National Offender Management Service (NOMS), on their strategic approach to technology adoption. This report outlines our findings.
The criminal justice system of England and Wales faces considerable challenges. The creation of NOMS in 2004 has provided renewed emphasis on reductions in re-offending, but increasing offender populations and the systemic undersupply of capacity outlined by Lord Carter (2003, 2007) inhibit the effective delivery of services designed to enable the pathways out of reoffending. An increasing diversity of offender needs and the fragmentation caused by the introduction of contestability and the use of commissioning have further exacerbated these challenges.
Operationally, NOMS faces these challenges in the context of a shrinking budget, mandates for yearly efficiency savings of 3 per cent and a lack of critical IT infrastructure. Organisational culture and recent IT setbacks, such as the restricted development of C-NOMIS, provide incentives for technology risk aversion and ad-hoc adoption. Additionally, efforts to orient NOMS towards promoting offender rehabilitation face resistance from a popular and political penalist culture weary of a rehabilitation agenda.
These considerable challenges require a long-term and strategic vision that refines international best practice to fit the unique organisational context and penological views of the UK. We provide the ContingentlyNetworked Offender Model (C-NOM) as a transformative and pragmatic vision for the adoption of technology by NOMS. The model supports the adoption of networking capabilities that enhance the connection between the offender and
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critical pathways out of re-offending and emphasises digital delivery to address the growing diversity of offender needs and overcome spatial barriers. Informed by international best practice, C-NOM ensures the costeffective delivery of world-class criminal justice services for the 21st century.
Our team performed a non-intrusive Web Census data collection exercise covering 22 countries and US states. The census identified 372 instances of technology use and 19 widespread technology types in prisons and probation services worldwide.
The data shows extraordinary variation in the amount and type of technology adopted across cases. It also reveals that technology plays a dual role in the criminal justice system, helping to meet short-term objectives and enabling these objectives to change or be redefined over time.
We performed a Fuzzy Set Qualitative Comparative Analysis (fsQCA) to illustrate the dynamic relationships between the cases and their use of technology. Distinct differences between cases are driven by the underlying characteristics of their criminal justice systems, in particular their socialpolitical context, criminal justice policies, and the aspirations of their corrections departments.
Our data documents the extraordinary benefits of technology adoption. Case studies demonstrate large and often ‘cashable’ benefits in the form of efficiency savings, information, security and process improvements, enhanced staff satisfaction, and reductions in re-offending rates.
However, closer inspection reveals that realised business benefits such as efficiency and security often come at the expense of rehabilitation outcomes. In such cases the full benefits are overstated. Similarly, the specific design and intended uses of individual technologies make enormous differences in the full realisation of benefits. In many cases the business cases for technology are myopic, focusing on one benefit type at the expense 5
of long-term value for money.
We also found that the benefits of technology cannot be viewed in temporal isolation. A long-term view of technology and its benefits reveals stages of technology adoption with increasing or decreasing marginal benefits. As a result, long-term strategies are able to deliver substantial total benefits whilst ad-hoc short-term strategies effectively limit these benefits at a substantially lower level. In practice, capacity and infrastructure-building technologies with few early marginal benefits enable a much higher return in later periods.
A long-term view also illustrates the synergies between technologies. We cross-tabulated the adoption of each technology type in the 22 cases covered by the web census to illustrate which technology types are more or less connected to other types. Our analysis shows that where there are synergistic relationships, technologies that appear financially unfeasible in isolation may be bundled with other technologies to present a well-rounded and financially viable business case.
We apply all of these findings to the assessment of the 19 technology types found in different forms and functions across the world. We assess short- and long-term value for money, organisational fit, risk, and social-political acceptance to identify technologies for use in England and Wales. Consistent with C-NOM, the assessment reveals particularly striking opportunities in case management, data-sharing, videoconferencing, elearning and infrastructure investment.
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An International Investigation of Technology in Prison and Probation
Chapter 1 Key Challenges in Modernisation EDS, NOMS and the MPA Capstone EDS commissioned this LSE MPA Capstone Team to undertake an international investigation of technology use in criminal justice systems and the benefits derived from its use in order to better advise its clients, the Ministry of Justice and the National Offender Management Service (NOMS), the executive agency responsible for prisons and probation services in England and Wales, on their strategic approach to technology adoption. This report will address the range of challenges faced by NOMS (Chapter 1), present a vision for guiding the modernisation agenda for NOMS (Chapter 2), analyse the results of our international investigation of technology use in criminal justice systems around the world (Chapter 3), and discuss the potential benefits offered by technology in the context of prison and probation in England and Wales (Chapter 4).
EDS, an HP company, is a multinational technology and consulting services firm. EDS operates a number of major public sector contracts in UK government departments, in particular Defence, Justice, and Work and Pensions. Since 2001, EDS has provided information technology (IT) services (internet, intranet and email) to the 138 public prisons in England and Wales under the Quantum agreement, a £200 million private finance initiative running until 2012 (Silicon.com 2008). In 2004, NOMS awarded EDS an additional contract running through 2012 to supply HM Prison Service and the National Probation Service with the National Offender Management Information System (C-NOMIS). C-NOMIS, “a single offender management IT system across prison and probation services”, was originally intended to be operational by January 2008 and require a lifetime cost of £234 million, which has since more than doubled to £513 million and experienced a series of delays and significant reductions in scope (NAO 2009, 4-5). With both the Quantum and C-NOMIS contracts up for review in the next three years, this report will contribute to the efforts of EDS to demonstrate its ongoing 7
Chapter 1: Key Challenges in Modernisation commitment to innovation and cutting-edge technology adoption.
The IT and information communications technology (ICT) services provided by EDS in England and Wales are intimately tied to the 2004 reorganisation of the prison and probation services. Following Lord Carter’s influential review (2003), HM Prison Service and the National Probation Service were brought together under the National Offender Management Service (NOMS) commissioning body (Raynor 2007, 1083). The intent, according to Carter (2003), was to operationalise end-to-end offender management, institute a commissioner/provider split and introduce contestability among service providers, as a means of reducing re-offending whilst simultaneously providing ongoing cost savings. The mission of NOMS reflects these goals, aiming to make a “substantial reduction in re-offending” by 2010 through commissioning the “highest quality correctional services and interventions” (NOMS 2009).
The LSE MPA Programme is a professional, 21-month interdisciplinary degree “devised to meet the needs of government departments and public agencies in many countries for highly skilled and professional policy-makers” (MPA 2009). Capstone projects provide MPA students with the opportunity to apply their professional skills by “working in a group on an applied public project” (MPA 2009). This is the third year that EDS and the LSE MPA have worked together on a Capstone Project and this relationship continues to provide value to all participants.
The UK Criminal Justice System Context The UK has historically been an international leader in championing individual liberties and stands as one of the first countries to put rehabilitation into practice, which by the 19th century was relatively unexplored in the field of criminology. By the early 20th century, the UK witnessed “a new breed of experts”, from social workers and psychologists to judges and prison governors, who successfully set about orienting the criminal justice system towards preventing crime by rehabilitating offenders and gradually liberalising the treatment of offenders (Coyle 2005, 33-35). These principles continue to 8
An International Investigation of Technology in Prison and Probation guide the aspirations of the UK criminal justice system today, though much has unquestionably changed. NOMS maintains a commitment to reducing reoffending and has identified in its Reducing Re-offending National Action Plan (Home Office 2004) seven critical pathways out of re-offending illustrated in Figure 1.1 below. Effective delivery of programmes and services to address each of these seven pathways is seen to be critical to reducing re-offending in the UK by academics, politicians, and practitioners alike, and similar aims are pursued in corrections systems around the world.
The widely-supported Social Exclusion Unit (2002) report Reducing ReOffending by Ex-Prisoners marks a significant milestone in the UK, reinforcing the evidence and support for a strong commitment to re-offending. The report provides empirical support for the seven pathways and presents a strong business case for investment, citing the cost to society of re-offending to be a staggering ÂŁ11 billion per year, almost three times the annual budget of NOMS. The report and its specific recommendations received crossgovernment support, particularly by the prime minister. However, central government has been increasingly criticised for its lack of subsequent commitment to the principles and recommendations in the paper.
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Chapter 1: Key Challenges in Modernisation
1. Accommodation - Having accommodation and appropriate support helps offenders embark upon more stable lives and access mainstream services
Accommodation Attitudes, Thinking & Behaviour
Health
3. Education, Training, & Employment Offenders often lack the basic skills necessary to find and keep employment Offender Offender
Children & Families
Finance, Benefit & Debt
2. Health - People in the criminal justice system often experience problems in gaining access to adequate health and social care services
Education, 4. Drugs & Alcohol - Substance misuse is Training & strongly correlated with re-offending Employment 5. Finance, Benefit & Debt - Ex-offenders can face particular financial problems, including access to benefits Drugs & Alcohol
6. Children & Families - Strengthening family ties and supporting children can help reduce re-offending 7. Attitudes, Thinking & Behaviour Offenders often have a lifetime of experience of social exclusion and lack the basic skills to rejoin society
Figure 1.1: The seven pathways out of re-offending from Reducing Re-offending National Action Plan (Home Office 2004)
In its efforts to reduce re-offending rates, the criminal justice system in England and Wales faces substantial strains that inhibit both the effective delivery of rehabilitation outcomes and the cashable efficiency savings that NOMS was created to address. Historical performance and the latest Performance Report on Offender Management Targets (MoJ 2007) indicate that NOMS continues to under-perform in the priority areas of rehabilitation, victim support, resource use and the supervision and provision of treatment programmes for offenders on probation. Figure 1.2 summarises the nature of the barriers to delivery of these critical NOMS performance objectives. The remainder of this chapter outlines the barriers in greater detail and illustrates that their cumulative effect is to isolate the offender, rendering him or her ‘unnetworked’ or unable to gain access to the critical pathways out of reoffending, whilst simultaneously contributing avoidable costs to NOMS.
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An International Investigation of Technology in Prison and Probation
1. Endemic Issues - Chronic undersupply of capacity leads to more movement of offenders and changing demographics increase diversity of needs, frustrating the pathways out of re-offending
Accommodation Attitudes, Thinking & Behaviour
Health
Offender Children & Families
1. 2. 3. Finance, Benefit & Debt
Education, Training & Employment
2. Operational Limitations Limitations in data management and transfer, and operational limitations such as man power severely constrain the capacity to deliver effective services 3. Conflicts in Mission Contestability increases information costs and fragmentation while endto-end offender management require homogenization of business processes
Drugs & Alcohol
Figure 1.2: Barriers to pathways out of re-offending The UK criminal justice system faces multiple endemic issues that both contribute to and arise from a rising offender population. The size of the offender population in England and Wales has grown exponentially for the past fifty years as the result of increased criminalisation, changes in public and political attitudes about incarceration, and sentencing trends. Today it the largest in the European Union at 82,240 offenders in prison, or a density of 151 offenders per 100,000 residents (ICPS 2009). The total cost has grown and continues to climb in line with offender density increases from ÂŁ2.8 billion in 1995 to ÂŁ4.3 billion in 2006 in real prices (Carter 2007, 4). As of 2006, the cost of keeping an offender in prison stood at nearly ÂŁ41,000 in England and Wales (Hansard 2006). The re-offending rate of 65 per cent within two years of release (75 per cent for young men aged 18-20) is one of the highest in Europe (Home Office 2007) and poses substantial difficulties in ensuring public protection and limiting the costs of repeat offending.
Overcrowding in particular represents a major challenge for NOMS. Prison places have been persistently under-supplied and the current estate operates at over 110 per cent of capacity (ICPS 2009), with ten prisons experiencing
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Chapter 1: Key Challenges in Modernisation overcrowding rates above 160% (Prison Reform Trust 2008, 7). Lord Carter’s 2007 review of prisons projects offenders outstripping supply by 12,000 by 2014 (Carter 2007, 4). The capacity problem has led to the use of temporary police holding cells and the overcrowding of prison cells, prompting calls for the commissioning of several large ‘Titan’ prisons. Meanwhile, overcrowding has increased the distance and frequency of offender transfers between establishments and the community, frustrating the effective delivery of rehabilitation services (Carter 2007, 20). Overcrowding also produces large inefficiency costs. According to Carter (2007), “elements of the current capacity programme offer poor value for money and build further strategic and operational inefficiencies into an already inefficient prison system, principally because the programme has had to proceed on an emergency basis, keeping pace with demand” (16).
The offending demographics in the UK have also changed considerably in recent years to include an increasingly diverse population, currently 2.7 per cent under the age of 18, 5.2 per cent female and 13.8 per cent foreign national (ICPS 2009). The increased diversity of needs decreases the opportunities for economies of scale in service delivery whilst increasing the need for specialised services across the seven pathways out of re-offending. For example, increased numbers of youth and female offenders require the construction of new separate accommodation and language translation services are more regularly needed for services from administrative processing to medical care.
Such operational capacity limitations have hindered meaningful offender engagement in the seven pathways out of re-offending. For example, as offenders are increasingly transferred between institutions to alleviate overcrowding, scare resources are devoted to additional transport and administrative duties, much of which continue to rely on paper records that are often lost or lead to delays in the processing of offenders' records. In the transition period, offenders' relationships with case managers, social workers and other specialist staff, work programmes, and education courses can be disrupted. A 2002 National Audit Office report found that in 2000-01 60,000 12
An International Investigation of Technology in Prison and Probation transfers between prisons had taken place, whilst only “34 per cent of prisons considered transferees would be able to continue with an offending behaviour programme in virtually all/most cases [and only] 66 per cent with a drugs programme” (NAO 2002, 34). The inability to transfer cases electronically or at speeds suitable for the increased transfer rate of offenders has frustrated any attempts at seamless delivery of pathway programs.
Such operational limitations are in part due to conflicts in the underlying mission of NOMS. The simultaneous goals of seamless integration of prison and probation services, the introduction of contestability, and efficiency savings have proved conflicting in practice. Whilst seamless integration requires greater homogenisation of business practices, service provision, and data sharing capabilities, contestability and increased reliance on private sector service providers leads to a “greater fragmentation of service with consequent breakdowns in communication and loss of efficiency” (Criminal Bar Association 2004, 15) In effect, NOMS is tasked with delivering increasingly
consistent
and
joined-up
services
whilst
simultaneously
facilitating the development of a patchwork of very different public, private and third sector providers (Raynor 2007, 1084-7). The extraordinary complexity of the commissioning and partnership working arrangements of NOMS is further elaborated in Chapter 2.
Meeting Needs? Offender Learning and Skills Service The 2008 National Audit Office study of the delivery of offender learning and skills programmes provides an illustrative example of the barriers and effects that we have outlined. The analysis shows that skills programmes at each prison are not aligned to the specific needs of the population, that locally held information fails to follow the offender, and that critical partnership working is beset by fragmentation. As a result, a large numbers of courses are left uncompleted at an annual cost of £30 million and “offenders who do not complete the courses they start will not achieve a qualification that could demonstrate to a potential employer the skills required, undermining the core purpose of [the Offender Learning and Skills Service] of increasing employability” (NAO 2008, 7). The case of offender learning and skills programmes highlights the tensions that emerge in programme delivery as the rate and distance of transfer
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Chapter 1: Key Challenges in Modernisation increases, offender needs diversify, and operational limitations due to poor electronic case management and transfers increase. The extraordinary financial cost and the cost to the offenders who will not gain the skills necessary to break out of the cycle of re-offending underscore the dual savings that can be derived by overcoming these tensions.
Addressing the tensions within NOMS with the level of attention that they require encounters persistent but surmountable resistance from political economy, economic and operational forces. Gershon mandated efficiency savings, a shrinking budget, and performance indicators that marginalise reductions in re-offending shift operational incentives to the delivery of a range of outcomes such as short-tern cost savings and public protection at the expense of rehabilitation. For instance, despite the goal to reduce reoffending by 10 per cent by 2010, the headline measures for 2007/08 provided in the NOMS Operating Framework emphasise a much wider range of outcome targets. The full list of measures includes commitments to: •
Maintain the low level of escapes from prison (including no Category A escapes);
•
Reduce the rate of offences committed by offenders under the supervision of the probation service;
•
Ensure that offenders comply with their license order;
•
Take swift enforcement action where offenders fail to comply with the requirements of their supervision;
•
Sustain the fall in the rate of self-inflicted deaths in prison;
•
Increase the proportion of National Probation Service funding spent on voluntary/community sector, and private sector delivery.
According to the latest Comprehensive Spending Review, the Ministry of Justice, including NOMS, will also be expected to achieve three per cent efficiency savings annually for three years beginning in 2008-09 (HM Treasury 2007). These mandates will prove exceptionally difficult for NOMS as it faces “increasing demand for prison places and probation services, growing costs in Electronic Monitoring and Prison Escort services, the implementation of offender management, and growth in the numbers of Intermediate Public Protection Sentence prisoners who require increased assessment, sentence
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An International Investigation of Technology in Prison and Probation management and interventions” (NOMS 2007, 3).
These diverse mandates are driven and sustained by UK social-political views that favour an increasingly punitive criminal justice system. The penal populist tone set by the UK's two leading political parties are characterised famously in then Home Secretary Michael Howard’s statement that “prison works” as the overriding goals of an effective criminal justice system are merely to detain convicted offenders and deter potential criminals (Howard 1993). This tone has markedly shaped the criminal justice administrative focus in the UK over the last 15 years. The shift towards penal populism marks the end of the postwar welfarist focus on empowering professionals to rehabilitate offenders, largely at their discretion, to a more retributivist perspective with the understanding that offenders have earned their 'just deserts', whilst government has pursued policies of control over criminal justice agencies that define success through indicators and outputs, not outcomes (Muncie 2005, 38-40). Garland (1996) explains the severely limiting effects of these pressures, explaining that in the end, “the state is more likely to revert to punitive strategies (which are easier to deliver) than to sacrifice economic or social objectives in the service of crime control” (464). This is indicative of the UK
government's
recent
use
of
language
describing
rehabilitation
programmes in terms such as 'purposeful' or 'constructive', whilst adopting the more negative phrase 'reducing re-offending' in place of 'rehabilitation' (Coyle 2005, 115).
Additional barriers to modernising prisons in England and Wales emerge in the context of an aging prison estate and an organisational environment characterised by a resistance to change. Surprisingly, given the doubling of the prison population over the past two decades, 29 per cent of prison places are still provided in Victorian or pre-Victorian establishments (Prisons Handbook 2006). These older designs and buildings pose increased challenges for the installation of IT infrastructure, “significantly influence the number of staff required to safely and securely operate” the establishment, and produce unnecessary costs (Carter 2007, 24).
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Chapter 1: Key Challenges in Modernisation Against all the challenges it faces, NOMS is additionally burdened with an organisational structure and culture that is extremely resistant to change. Consisting entirely of organisations that can be described either as machine bureaucracies or professional bureaucracies according to the classifications established by Mintzberg (1992), the criminal justice system is well-suited to producing standard outputs and refining standard operating procedures to optimise service delivery, but, as a result, is inflexible and resistant to the adoption of new techniques or services. Organisations face additional barriers to change when staff consider their organisations to be successful in their primary missions. In the case of NOMS, the primary mission as viewed by staff is undoubtedly the confinement of offenders, which staff could easily claim to be successfully carried out. As explained to us in an interview with Andrew Coyle, a former prison governor and expert criminologist with the International Centre for Prison Studies, prison managers lose their jobs when an
offender
escapes,
not
when
re-offending
targets
are
missed.
Organisational resistance to change or new objectives is indicative of the ‘competence
trap’ described
by Greve
(2003) in
which
successful
organisations sabotage any change that could potentially interfere with their perceived successes, including by resisting the adoption of new technologies (3, 99).
Although the organisational cultures of diverse groups within NOMS vary considerably, the majority maintain a culture of risk-aversion and resistance to change. Birmingham (2001) points to the distinct organisational culture of HM Prison Service staff where, whilst "[s]ome prison staff are altruistic individuals who respect those in their custody...there are staff who thrive on the historical legacy of the prison service, uphold traditional values and resist change at all costs" (1). More starkly, Bryans (2007) describes the Prison Officers Association (POA) as “legendary” at resisting change, engaging in “oftenvitriolic” interactions with prison governors (144). Similarly, the National Association of Probation Officers has been historically confrontational and resistant to top-down organisational changes (Nash and Ryan 2003). Our interviews with prison practitioners illuminated a similar view of the organisational culture within prisons and probation, describing staff as eager 16
An International Investigation of Technology in Prison and Probation to improve outcomes but resistant to changing standard operating procedures or trusting new initiatives from senior managers. Mintzberg himself (2000) outlines a case from HM Prison Service, where recent restructuring of the organisation into an executive agency failed to overcome its ingrained political nature, as evidenced by the forced departure of its chief executive after refusing to sack a prison governor in the wake of a scandal. Together, the organisational and cultural obstacles throughout the criminal justice system present challenges to the effective delivery of the mission of NOMS that cannot be ignored.
Although NOMS faces numerous hurdles to its ambitious commitment to reduce re-offending by 10 per cent by 2010, the rewards for meeting this target should not be understated. Financially, the benefits to society of meeting the 10 per cent reduction target would be an estimated £1.1 billion in cost avoidance.1 Morally, the former home secretary and prime minister Winston Churchill reminds us of the need for “a constant heart-searching by all charged with the duty of punishment, a desire and eagerness to rehabilitate in the world of industry all those who have paid their dues...” (Hansard 1910). The size and complexity of the task facing NOMS and the enormous rewards for success must give rise to creative and ambitious thinking and action. We believe that an equally well-developed and creative strategic approach to the use of technology must be central to the overall delivery of the goals of NOMS.
We believe that NOMS today faces a crossroads. Earlier this year the National Audit Office released a report outlining the problems encountered in the delivery of C-NOMIS, the critical IT platform designed to operationalise the strategic goals of NOMS. The limited success of the project and its de-scoping to only public prison establishments will likely create both renewed riskaversion to IT adoption and a continued lack of necessary IT infrastructure to deliver the founding goals of NOMS to bring together different service providers in order to reduce costs and improve re-offending outcomes. As 1
Calculated as 10 per cent of the £11 billion cost to society represented by re-offending, as cited in Reducing Re-Offending by Ex-Prisoners (Social Exclusion Unit 2002)
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Chapter 1: Key Challenges in Modernisation outlined by Carlson (1999), the most “progressive” systems in the world, are able to successfully align and integrate each actor in the criminal justice system from courts to probation in order to “seamlessly work” with offenders, whilst others, such as the United States, merely pass offenders on, “with little continuity of care and no ownership” of the overall outcome (31). Regaining control and ownership of the modernisation and rehabilitation agenda should be a top priority for NOMS and one that technology can help to achieve.
Faced with rising challenges in the form of stark budget constraints and a rising offender population, the time is arguably most appropriate for farthinking solutions to the challenges faced by NOMS and the opportunities represented by new technologies and innovations in service delivery. Our international investigation of the use of technology and the benefits derived, outlined in the following chapters, provides clarity and vision to the use of technology in the current context of England and Wales.
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An International Investigation of Technology in Prison and Probation
Chapter 2 The Contingently-Networked Offender Model As outlined in the previous chapter, NOMS faces a series of challenges, from overcrowding and the inability to connect offenders with pathways out of reoffending, to declining budgets and calls for efficiency savings. These conflicting and high-profile demands would encourage any organisation to fall back on low-risk, tried and tested strategies for service delivery and cost reductions. However, there is increasing evidence that business-as-usual will not deliver a world class criminal justice system capable of delivering sustainable results. Already NOMS has been forced to compromise in its objectives due to financial pressure from government ministers, agreeing to increase the amount of time spent by offenders in their prison cells by an additional half-day each week, thus reducing offenders' access to constructive activities outside their cells (Tidball 2007). It is likely that tradeoffs such as this will continue under a business-as-usual scenario, to the detriment of the criminal justice system and society as a whole.
Evidence suggests that transformational changes in business processes and technology use will continue in jurisdictions around the world and that the time is right in England and Wales for a renewed emphasis on new technology. We provide a low-risk and evidenced-based vision for transforming service delivery in England and Wales called the Contingently-Networked Offender Model or C-NOM. C-NOM envisages new forms of digital delivery to allow the prison and probation services to overcome the barriers to rehabilitation whilst delivering cost-savings within a demanding institutional, political and cultural environment. C-NOM technologies are not only dependent on passing critical cost-benefit tests but, in order to overcome populist social-political pressure, the model is contingent on the circumstances of each offender and the appropriateness of networking opportunities. We demonstrate not only that CNOM can meet these requirements but that networking offenders will ultimately become viewed as a necessary and inevitable feature of modern 19
Chapter 2: The Contingently-Networked Offender Model criminal justice systems.
Integrating Organisational Theory C-NOM borrows from organisational theories, establishing the potential of digital delivery to transform the organisational structure of NOMS. Most notably, C-NOM is based on the principles of Digital Era Governance (Dunleavy et al. 2006), and in particular the central concept of 'needs-based holism'. Needs-based holism involves the merging or joining-up of departments within an organisation that has been previously divided into silos through management structures, geography or pragmatic divisions around areas of professional expertise. In organisations increasingly dependent upon and adept with information and communication technologies, digital era governance calls for “larger and more encompassing administrative blocs [that are] linked with 'end-to-end' re-engineering of processes, stripping out unnecessary steps, compliance costs, checks and forms� (Dunleavy et al. 2006, 227). In fact, the commitment demonstrated by the creation of NOMS itself and the attention and investment given to IT proves that the British government is prepared to embrace at least some of the opportunities offered by digital era governance.
A networked approach to offender management is particularly critical in the case of NOMS, where fragmentation has occurred as a result of the split between commissioning and service provision and the involvement of nongovernmental agencies from the private and voluntary sectors. As demonstrated in Figure 2.1 below, the scale of involvement from different actors in the criminal justice systems is massive and presents challenges from cooperation over service provision to administrative demands (and security concerns) over data sharing. In a sense, the vision of NOMS as a unified delivery department is inherently misleading as there can be no single manager responsible for an offender from the beginning to the end of their custody (Raynor 2007, 1085). In fact, HM Prison Service and the National Probation Service remain functionally split, each acting as a provider of services separately commissioned by NOMS and with staff divided in silos based on programme teams, preventing the common 'ownership' of an 20
An International Investigation of Technology in Prison and Probation offender throughout their progression through prison and probation.
Crime Reduction and Disorder Partnerships Community Safety
Wider connections
Local strategic partnerships Learning and Skills Councils Regional Development Agency Neighbourhood Renewal
Drug Action Teams/Service Providers
Post-release resettlement
Supported Housing and Hostels
Regional chambers
ESF Programmes, SPSlus, IMPACT, Partnership 2002
Job Centre Plus NHS, Mental Health Services
NW Universities
Youth Justice Board LSC
Connexions
Prolific Offender Teams Restorative Prisons Project/victim organisations
Voluntary and Community Organisations
Voluntary and Community Sector Organisations
Crime prevention/ policing
NOMS
Drugs Service providers
HMPS
DfEs, OLSU, LSC Education Providers FreshStart Progress to Work
Police/ Community Liason
National Probation Service
In custody
National Probation Service
Statutory Agencies
NHS Youth Justice Boards/ YOTS
Courts Local Authorities
Figure 2.1: NOMS partnership map from Home Office (2004) Reducing Re-offending National Action Plan
However, maintaining an end-to-end approach throughout NOMS is crucial if the efficiency and efficacy benefits of crossing artificial organisational boundaries are to be found. C-NOM depends on the integration of staff in each agency or partner organisation, working together to reduce costs and promote the successful rehabilitation of offenders. The potential benefits alone from reducing duplication of processes through 'ask once' methods of data collection warrant consideration in order to improve and preserve the administrative records of offenders who routinely come across a series of prison governors, case managers, social workers and other professionals.
Even without a common case manager holding ultimate responsibility for an offender across geographic boundaries and time, much of the digital workings of prison and probation can be standardised across England and Wales to improve cooperation among partner organisations. Although local variation and innovation should be retained to a certain extent to meet specific local
21
Chapter 2: The Contingently-Networked Offender Model needs and experiment with new approaches, a single-unified system for networking offenders and frontline staff offers multiple benefits. Through national standardisation, efficiencies can be created through economies of scale, equipment and training costs can be minimised through joint purchases and provision, back office functions can be pooled, and, after the completion of individual pilot programmes and initial roll outs, best practices can be implemented uniformly to ensure effective administration. Once implemented, administration would be made simpler and more effective with uniform delivery at the frontline. Traditional private sector practices of tracking performance and promoting continuous improvement, though still somewhat foreign to much of the public sector, can be more effectively realised through standardisation and focusing more on uniform inputs and processes (Swiss 1992, 360). A striking accomplishment envisioned by C-NOM would be the basic standardisation of networking equipment, software and routines for both staff and offenders such that movements of offenders between prisons would not require the additional resources lost transferring or replacing information or reorienting offenders.
By making use of the digital delivery of services, C-NOM enables a significant opportunity to use the time an offender spends held in their cell – an important but largely overlooked opportunity. Although offenders engage in activities outside of their cells critical to serving their sentences and fostering their rehabilitation, in-cell activities offer the potential to make use of an offender's alone time. Although threatened by overcrowding, the UK is unique from most other OECD countries in that offenders are typically housed in single-person units (Hansard 2008a). This provides an opportunity to deliver in-cell services, such as learning and skills programmes, that are critical to reductions in reoffending and allow productive use of in-cell time. Currently, a diverse number of countries employ in-cell service delivery through kiosks and portable devices that fulfil rehabilitation objectives and provide large efficiency savings.
22
An International Investigation of Technology in Prison and Probation
Case Study: In-Cell Kiosks A doubling in the prison population since the 1990s forced the Missouri Department of Corrections to look for ways to stretch it funding without compromising its mission of ensuring the security and rehabilitation of offenders. Analysis showed that much of its caseworkers’ time was spent acting as liaisons for individual offenders, providing them within information about their bank account balance, family visiting times and the content of the canteen menu, distracting them from their primary role of linking offenders with rehabilitation services. The department contracted IBM and another private sector provider to optimise caseworker productivity by installing tamper-resistant in-cell kiosks that allowed the offenders themselves to take responsibility for managing their bank accounts and access other information. The kiosks were considered a success, having resulted in a 50 per cent increase in caseworker productivity by allowing them to focus on their core rehabilitation responsibilities. Once the kiosks were installed, additional features could be added at a low cost and the department thought critically about additional services that could be offered. They began by adding medication request and canteen purchasing features, resulting in further savings in administrative costs. With rehabilitation in mind, they also provided access to a limited number of web pages, such as legal research websites. The department continues to look for new features to be added that facilitate rehabilitation and provide cost savings. Without the early investments in in-cell kiosk technology and software platforms, each of the features made available would have appeared prohibitively expensive. But as this case demonstrates, the adoption of in-cell kiosks facilitates numerous cost savings and rehabilitation options. From IBM (2008) C-NOM accounts for the political as well as practical factors that make networked delivery of services potentially unworkable in some contexts by making the networking of offenders contingent on their risk profile and behaviour. From a political perspective, services offered to offenders cannot be seen to conflict with the 'tough on crime' policies pursued by the UK government since the early 1990s (see Chapter 1). However, there are types of offenders for whom the delivery of networked services would be viewed more favourably, in particular offenders held in open and other low security prisons and remand prisoners. The contingent nature of C-NOM also
23
Chapter 2: The Contingently-Networked Offender Model conforms to HM Prison Service Rule 8, which specifies that certain privileges, such as the smoking of tobacco, are granted on the condition of good behaviour. In this context, the added benefits of utilising networked access to services as a method of promoting better behaviour amongst offenders adds an additional benefit to C-NOM. For example, e-book readers for use by offenders in personal education programmes can be sold or rented to offenders, much as televisions, radios and other items currently are. Possession of the readers would be contingent on continued good behaviour whilst proper maintenance of the device would be further motivated due to the monetary costs the offender would occur should there be any damages.
Connecting with the pathways out of re-offending As represented in Figure 2.2 below, C-NOM provides the technology-enabled potential to allow access to services that break down the barriers presented by the endemic issues in the criminal justice system, conflicts within the mission of NOMS, and other operational limitations. Through the innovative use of ICT and delivery devices, C-NOM offers meaningful access to contact with families, offender education and training programmes, resettlement into the community, banking, and special needs, whilst even facilitating improvements in the performance of basic tasks that promote more efficient use of prison resources.
24
An International Investigation of Technology in Prison and Probation
Accommodation Attitudes, Thinking & Behaviour
Health
2
1 Offender
Education, Training & Employment
Children & Families
Finance, Benefit & Debt
3
Drugs & Alcohol
The Three Components of C-NOM: 1. Digitalised services that ensure continuity of services between establishments and into the society 2. Communication technologies that overcome spatial boundaries allow the offender to connect with the pathways out of re-offending 3. Contingent access that matches needs and risk profile with services and overcomes social-political objections
Figure 2.2: The contingently-networked offender model Maintaining contact with their families offers offenders significant incentives and opportunities to avoid re-offending as well as reducing the likelihood of social exclusion among their family members, especially if the offender is a mother or father. With an estimated 160,000 children with a parent in prison in England and Wales each year (more than twice the number of children in care and six times the number recorded on the Child Protection Register), there are more children affected by having a parent in prison than the number affected by their parents' divorce (MoJ et al. 2007; CLINKS et al. 2007). Offering offenders closer contact with their families through electronic communication and other forms of ICT therefore offer social benefits beyond the rehabilitation of offenders.
The benefits of closer contact with families, although difficult to quantify, should not be understated, and innovative practice around the world offers guidance for technology-enabled contact. In particular, videoconferencing and email have been demonstrated to provide secure and effective digital delivery of
meaningful communication between offenders and their families.
Videoconferencing, used in many countries including England and Wales for
25
Chapter 2: The Contingently-Networked Offender Model staff contact or video links to courts, offers numerous benefits for cost savings as well as closer contact. In England and Wales, where offenders are often housed away from their communities due to overcrowding and prison transfers, money can be saved by reducing the amount of subsidies spent reimbursing families for transport costs to visit their family members in distant prisons as well as reducing the time-consuming and expensive inspection of visitors for contraband and supervision of visits.
Similarly, email offers much more frequent contact with families than an exclusive
reliance
on
paper-based
communication
and
reduces
communication delays and the significant costs incurred by prisons sorting and scanning mail for contraband. Email carries significant risks, including increased potential for participation in criminal activities, but the benefits in cost savings and closer contact with families as well as intelligence gathering and easier contact between staff and offenders have proven to outweigh the risks. In the US, where the federal government is nearing the completion of providing email access to offenders in all federal prisons, electronic communication is carefully monitored and assessed for risk by speciallydesigned software, enabling offenders across the country more significant opportunities to keep in closer contact with their families, lawyers and voluntary organisations.
Case Study: Video-visitation in the Singapore Prison Service Since 1991, Singapore has offered a range of video-visitation capabilities to the families of offenders, including through the construction of 10 Prison Link Centres near or inside the largest transport hubs. When families cannot meet an offender in person, due to transport costs or time constraints, they can video-visit directly from one of these centres during routine visitation hours. Families can also send money and approved items directly to offenders from these locations. For those that prefer video to face-to-face visits, a number of prisons also have video links at the institutions themselves, in addition to facilities for visits in person. Singapore’s is also the first corrections department to facilitate home-based video-visits, using web-based video conferencing to allow inmates virtual visits by family members directly from their homes. The extended range of visitation options in Singapore provides a safer and
26
An International Investigation of Technology in Prison and Probation more comfortable setting for conversations, saves families substantial travel costs and time, and allows offenders to stay better involved in the lives of their family – something critically important to reductions in re-offending. These measures have also delivered substantial cost savings and efficiency benefits as Singapore requires fewer staff to facilitate virtual visits and the system automatically creates a digital record of visitors for intelligence gathering purposes. From Singapore Prison Service (2009) Providing offenders with the education and training they need to find work once they have completed their sentence is critical to avoiding their return to prison.
However,
England
and
Wales
have
experienced
significant
deficiencies in the range and quality of educational services available to offenders (see Chapter 1). With spending of roughly £156 million on offender education and training in 2007-08, or roughly £1,900 per offender, the UK government still spends less than half the amount of money on offenders as on educating secondary school students (Braggins and Talbot 2003; Hansard 2008b). Meanwhile, less than a third of offenders participate in classes at any given time (Hansard 2008b), whilst close to half of all offenders in prison training programmes believed that they had not gained useful vocation skills or an education that would help them upon release (HM Inspectorate of Prisons 2008). Clearly significant room for improvement exists.
International best practise shows that these deficiencies can be improved in a cost-effective manner through digital delivery and larger online libraries, where offenders can choose what knowledge and skills they need to develop in order to find a job in the sector of their choice. Classroom time with trained instructors can be critical, as shown in practice (see Chapter 3). But when offenders are in computer rooms or even in their cells, they could make productive use of their time in prison by supplementing their education, especially if left to choose opportunities that better reflect their interests. Currently many of the skills offenders find most useful are not provided in every prison throughout England and Wales. When this occurs or where the offender is not comfortable in a formal learning atmosphere, multimedia or online courses can be provided in the offender’s cell or a common space via
27
Chapter 2: The Contingently-Networked Offender Model kiosk. Best practice shows that these courses can be provided at low cost through private sector employers or existing voluntary sector providers. Furthermore, digital forms of delivery allow the application of web 2.0 technologies creating specialist and targeted information. For example, testimonies or advice recorded for offenders by ex-offenders could ensure that programmes meet the targeted interests of the offenders. Instead of being a place where offenders learn from each other new methods of committing crime, prison has the potential to become an environment where offenders take their own initiative to pursue what they determine to be the best way out of re-offending.
Case Study: E-learning in HMP Garth Lancashire Adult Learning (LAL) provides a range of traditional and e-learning courses to offenders in the community. In 2007, HMP Garth, a category B training prison for adult males, contracted LAL to provide an expanded range of relevant courses within the prison beyond existing mainstream programmes, which were receiving limited engagement from offenders. After ensuring compliance with HM Prison Service IT security requirements, LAL installed an e-learning suite in the prison with 25 computers connected via broadband to a full range of LAL e-learning courses. Connecting directly to the current menu of courses provided by LAL ensured that offenders released before completing the course could easily continue from home, as a number of offenders have subsequently done. The programme design also ensured that courses were relevant to offender needs and could be updated or expanded as new needs and courses were developed. The initiative expanded the previous one-on-one paper-based course, undertaken for 2-3 hours per week by three or four offenders, to a situation where 25 offenders were attending twice weekly e-learning sessions. The feedback from offenders is entirely positive and the more informal nature of the learning environment has made many offenders feel more comfortable gaining skills. Prison staff have noticed a positive behavioural change in offenders that engage in the course, whilst, critically, no offenders have had insufficient skill levels to engage with the programme’s IT system. LAL are currently expanding the programme within HMP Garth and in talks with other establishments in Lancashire. From Becta (2009) C-NOM also offers numerous potential benefits in finding accommodation and employment for offenders upon release, an area of resettlement where the
28
An International Investigation of Technology in Prison and Probation decentralisation of a multitude of community service providers creates large transaction costs and operational complexity. Although stable housing for offenders upon release has been shown to reduce re-offending rates by more than 20% (Social Exclusion Unit 2002), roughly one third of offenders released from prison in England and Wales had nowhere to stay as recently as 2005 (Niven and Stewart 2005; Home Office 2005), although the government now reports that more than 90 per cent of offenders have some form of permanent or temporary housing arranged (Hansard 2007). Strikingly, the most vulnerable offenders are typically the ones least assisted during resettlement. The Revolving Doors Agency, a charity, found that 49 per cent of offenders with mental health problems had no fixed addressed upon release, whilst 40 per cent of those who had housing prior to their conviction lost their housing upon leaving prison (Revolving Doors Agency 2002). Housing is a critical aspect of resettlement and has a strong impact on finding employment, accessing support services, and enrolling in education or job training programmes, making it a critical area for consideration (Citizens Advice Bureau 2007; Social Exclusion Unit 2002; Niven and Stewart 2005; Home Office 2001).
Employment opportunities for offenders pose another significant challenge for NOMS in promoting rehabilitation. Of offenders who leave prison in any given year, two-thirds have no employment arranged upon release (House of Commons 2005). Together, offenders experiencing difficulties with both housing and employment when they were released from prison had a much higher re-offending rate than other offenders, 74 per cent within one year after completing their sentence compared to an average of 43 per cent for those who found housing and work (MoJ 2008).
Improving offender network access to information and services can provide significant opportunities to further offenders' progress on the resettlement pathways out of re-offending by allowing them to participate in finding housing, employment, specific educational qualifications and benefits for which they may be eligible upon release. Providing offenders in England and Wales with the opportunity to be involved by doing much of the work 29
Chapter 2: The Contingently-Networked Offender Model themselves, as they do in many other jurisdictions, offers improvements in both staff cost savings and resettlement outcomes. For example, at the very minimum offenders could complete self-profiles in the early stages of their prison sentences, detailing their housing, employment, benefit and further education needs and preferences. Prison and probation staff could then have an earlier start on finding appropriate services for offenders to ensure the completion of critical stages before the offender moves on to probation and life back in the community.
Encouraging offenders to take ownership of as much of the resettlement process as possible would treat the offender as the subject rather than object of the rehabilitation programme and in doing so, ensure more effective outcomes (Duguid 2000). For example, offenders could do the work of choosing accommodation by phoning hostels, council estates or housing associations – or better still, browsing a fully up-to-date website and making clear their preferences. Offenders could choose accommodation based on location, price or even special needs criteria, such as drug rehabilitation services. To assist offenders with employment and educational qualifications, offenders could have personal access, with only limited assistance from NOMS staff, to sit for educational qualifications online or create job applications. Through computer databases and remote customer assistance (when necessary), offenders could examine which qualifications they wish to pursue and then sit for exams online or by video conference. They could create CVs, submit applications or create video profiles to send to employers even before they leave prison. Such capabilities would be especially appropriate for employers who seek out offenders for work-probation programmes, or employers who develop specialised educational courses that offenders can study and test for in prison.
30
An International Investigation of Technology in Prison and Probation
Case Study: The Singapore Corporation of Rehabilitative Enterprises The Singapore Corporation of Rehabilitative Enterprises (SCORE) was established in 1976 to provide employment and vocational training opportunities for offenders. SCORE engages private sector employers aggressively through pointed media campaigns to de-stigmatise offenders in the community, and by inviting potential employers to their Industrial Enterprise division to show the high-calibre of work done by offenders in areas such as baking and digital design whilst in prison. With private sector buy-in, SCORE designs learning and skills courses for specific industries. In prison, offenders can access information about prospective employers (currently 212 employers are listed) via electronic database, view short videos about the employer and sector, then elect to undertake the training classes. Offenders can submit their CVs and apply for jobs online as they near the end of their sentence and SCORE will arrange interviews to take place inside the prison. From: SCORE (2005) The severity of financial exclusion faced by offenders has led NOMS and several voluntary sector organisations to pinpoint financial management and literacy as an important pathway out of re-offending. Here international practice again provides support for the C-NOM vision of networking offenders. Computer terminals, in particular kiosks in the United States, are demonstrated to provide opportunities for offenders to keep track of their earnings inside prison and gain experience using a debit account, budgeting their savings and even paying restitution to victims for their crimes. Strikingly, although roughly 95 per cent of citizens in England and Wales hold a current account or similar financial account, 40 per cent of offenders do not, according to a survey carried out by the Legal Services Research Centre (New Philanthropy Capital 2008). Offender access to financial functionality and training in prison would diminish this disparity and offer an opportunity to promote important life skills.
As outlined in Chapter 1, NOMS faces an increasingly diverse offender population as the number of foreign nationals and non-native English speakers in prison rises, particularly in diverse areas, such as London. Yet prisons have difficulty even utilising existing foreign-language resources, as
31
Chapter 2: The Contingently-Networked Offender Model illustrated by a prison survey that showed almost 90 per cent of prisons housing foreign nationals were not regularly utilising available translation services (Prison Reform Trust 2004). Having personalised services in all the areas identified above for foreign language speakers and offenders with other special needs would significantly empower offenders to promote their own journey towards rehabilitation.
Case Study: Hibiscus Centre video link to prisons The Hibiscus Centre is a non-profit organisation operating in the UK, Nigeria and Jamaica that provides specialist services and advice to foreign national women, working within a number of prisons. As this population increases in prisons in England and Wales (one in five women in prison are currently foreign nationals), the Hibiscus Centre has proven to be one of the only providers that truly understands the complex requirements and difficult issues affecting this demographic group. To provide extended hours of care and increasingly bespoke services to its client groups, a video link has been established between Hibiscus UK, Hibiscus Jamaica and HMP Morton Hall and HMP Downview. This digital connection “will enable Hibiscus to work with women via the technology, eliminating time consuming prison visits and allowing the charity to use more of its manpower to help more women�. In future, it may also be used to connect mothers with their family in Jamaica. From: HM Prison Service 2009 C-NOM does not only apply to rehabilitation services, but also basic tasks and daily routines carried out by prison staff. For instance, instead of relying on prison staff for basic questions regarding activities, cafeteria menus, scheduled visitors and other information specific to individual offenders, networked offenders would be able to directly access the information themselves. Additional requests for information could also be filed online and responded to more efficiently by remote, back-office staff. As illustrated by practice in Missouri in the United States, kiosks have saved significant amounts of staff time responding to routine questions and expanded in their functionality over time. Starting in the 1990s, whilst Missouri's prison population doubled, support staff numbers remained the same, relying instead on the support offered by kiosk-based banking systems to answer financial questions. Later, in 2008, the option of buying phone credit was added to the kiosks, leading to “an immediate 10-to-15 per cent jump in inmate telephone 32
An International Investigation of Technology in Prison and Probation usage� (IBM 2008).
The potential benefits of C-NOM are discussed more closely in relation to the costs involved in investing and operating networking services in Chapter 4. However, many of the potential benefits are clear and far-reaching. Just as ICT has proven to have the potential to transform organisational structures and many facets of service delivery, contingently networking offenders offers vast improvements over current operations within NOMS. Without overstating its significance, Dunleavy et al. (2006) describe the potential of digital era governance changes as having “the capability to radically simplify the internal workings of the state apparatus, cutting institutional complexity, and increasing the inter-visibility of government organisations to each other� (247). Digital era changes are in fact inevitable as the potential benefits of technologies become too apparent to ignore. We believe, based on the findings of our international comparative study outlined in the next chapter, that not only is the promise of C-NOM worth pursuing, but that its eventual adoption is also inevitable.
33
An International Investigation of Technology in Prison and Probation
Chapter 3 An International Investigation of Technology Use The severity of tensions in the criminal justice system of England and Wales warrants an original and far reaching analysis of possible solutions, and the international investigation that we pursue lends itself well to the task. Although criminal justice systems around the world face similar challenges as England and Wales, they are responding in an extraordinarily diverse manner, differing in the types and amount of technology adopted and offering different lessons to be learned.
Despite striking differences in prison densities between OECD countries (from 756 offenders in prison per 100,000 citizens in the United States to roughly one sixth of that in Europe2) offending trends and their effects are surprisingly consistent across countries. In particular, almost all OECD countries face steadily growing prison populations and costs, driven by sentencing trends as well as a growing diversity of needs (Van Zyl Smit and Dunkel 2001, 810). Figure 3.1 and further documentation found in Annex 2, show the population densities from 1998 of selected OECD countries, illustrating a sustained increase in most countries. In Belgium, Bulgaria, England and Wales, France, Greece, Hong Kong, Hungary, Italy, Portugal and Spain, among others, increasing numbers have similarly led to acute overcrowding (Van Zyl Smit and Dunkel 2001, 853).
2 ICPS 2009, figure used for Europe is European median.
34
An International Investigation of Technology in Prison and Probation
180
Prison Population Density
160 New Zealand Spain
140
England and Wales Australia
120
Canada The Netherlands France
100
Germ any Ireland
80
Denm ark
60
40 1998
2001
2004
2007
Year
Figure 3.1: Comparative prison population densities The historical international perspective also illuminates striking differences across countries with respect to cultural-political values, criminal justice systems and objectives, and political and administrative responses to common tensions, particularly in the use of IT. Cavadino and Dignan's (2006) study of eleven OECD countries and South Africa illustrates that imprisonment and punitive culture vary distinctly between political systems, being the most pronounced in neo-liberal societies and least developed in social democracies and “oriental corporatist� societies such as Japan. Similarly, studies by Beckett and Western (2001), and Downes and Hansen (2006) illustrate that differences between welfarist and penalist societies mirror similar distinctions in political systems and welfare spending. Dunleavy at el. (2006) also illustrate the extraordinary variations in use of IT in government across countries, describing and analysing the factors behind their successes and failures.
These vast social-cultural, and organisational differences are reflected in national criminal justice systems, their aims, and the technologies that they employ. Welfare states whose penological views embrace rehabilitation, and are often codified in legislation, as in Scandinavia, tend to have criminal
35
Chapter 3: An International Investigation of Technology Use justice systems with high staff to offender ratios, well-funded and functioning rehabilitation programmes, and low re-offending rates. Neo-liberal states, such as the United States and New Zealand, that focus on the punishment of offenders tend to have criminal justice systems that focus doggedly on costsavings (often through privatisation and outsourcing), have very low staff to offender ratios and high re-offending rates. Indicative of these differences is the varied response to overcrowding. Denmark and Sweden have consciously imposed shorter terms of imprisonment and excelled early release programmes, whilst Germany and Austria have accelerated the development and use of non-custodial sentencing (Van Zyl Smit and Dunkel 2001, 854). In Denmark, overcrowding in prisons is routinely handled much like hospital wait times as offenders are asked to remain at home until a place in prison is available (BBC 2006), whilst modifications to imprisonment such as workrelease programmes have been used in Belgium, Germany, Italy, and Scandinavia. The striking differences can be illuminated no better than through the contrast of pictures of prison cells below, representing the divergent views about what prison is intended to provide.
Swedish Prison
American Prison
Figure 3.2: The stark penological differences Differences uncovered through case comparisons must not be interpreted merely as limiting factors in the sense that cultural differences render alternative approaches to criminal justice and technology use ill-suited to England and Wales. Whilst positivist authors such as Lynn (1989) embrace the view that differences irreducible to scientific laws cannot be studied in any useful manner, more optimistic scholars such as Bardach (1994) demonstrate
36
An International Investigation of Technology in Prison and Probation that best practice studies, even when multi-causal explanations are given, can provide robust and useful information provided in the form of “possibilistic” explanations. This “possibilism”, as described by Barzelay (1993), is justification enough for the study of different systems and for the tempered consideration of any findings. In the case of technology use in criminal justice systems, where there is a startling lack of any comparative information or studies, well-researched possibilistic information should be embraced. It is upon the foundations of possibilistic information where layers of future information can be built and tested (Bardach 1994).
Evidence suggests that there is a two-way interaction between technology use and the criminal justice system, as illustrated in Figure 3.3, raising important considerations. On the one hand, numerous authors such as Holliday (2001), Hood (2000), and Kraemer and King (1986) show that technologies perform a passive utility-maximising function. Hood (2006) terms the
interaction
“dynamic
conservativism”
whereby
“technologies
in
government tend to mirror and reproduce the cultures they develop within” (437). In these instances, technologies are employed or rejected to promote the pre-determined goals of the criminal justice system. For example, a prison in
Clearwater
adopted
Utility-Maximizing Role
Florida
video-visitation
as a replacement, rather than
supplement,
personal
visits
in
for an
explicit attempt to meet
Technology Adoption
Criminal Justice System
very tight cost-reduction goals demanded by the social/political and
codified
organisational
system in culture
Performative or Enabling Role
and processes. Similarly,
Figure 3.3: The dual roles of technology
learning technologies for
widespread pilots of e-
37
Chapter 3: An International Investigation of Technology Use offenders in Canada, whilst proving robust efficiency savings, were not extended in Canadian prisons because of the organisational view that such technologies lack the personal interactions necessary to deliver reductions in re-offending rates.
On the other hand, authors such as Frissen (1998), Osborne and Gaebler (1992) and Rose and Rose (1976) suggest that technologies can themselves play a ‘performative’ or enabling function. In the analyses by Frissen (1998) and Osborne and Gaebler (1992), technologies play potentially radical and transformative roles, whilst Rose and Rose (1976) acknowledge the conservatism of change but pinpoint the technologies themselves as nonetheless performative. In these cases, technologies facilitate and encourage the definition and redefinition of the goals of the criminal justice system itself. Our analysis later in this chapter shows that many punitive states in the United States have adopted technologies on efficiency grounds but have inadvertently also enabled more rehabilitative outcomes. This duality of roles is explicit in Coyle’s Technocorrections report illustrating the “fearful” effects of certain technologies, warning that in the UK, American-style “technology is likely to prove a good servant but a bad master” (ICPS 2001, 8). Coyle’s well-founded fear is specifically based on the performative role of technology in the corrections context.
In this chapter we challenge the reader to imagine not just how NOMS can use technology to address immediate concerns (the utility-maximising function), but how technology can be used to fundamentally change what we perceive these concerns to be (the performative function).
Best Practice Research Despite the noted potential to glean useful information from the study of other cases and systems, there is an academic debate about the appropriate and robust methodology for doing so. On the one hand, authors such as Borins (2001) and Overman and Boyd (1994) show that traditional social science research methods prove limited in their ability to serve post-bureaucratic 38
An International Investigation of Technology in Prison and Probation demands. But, on the other hand, there has also been a backlash against small-N studies and ‘best practice research’ that implicitly adopts a practiceto-principles aspiration in an attempt to overcome these shortcomings (Lynn 1996; Overman and Boyd 1994). There is notable 'academic scepticism' regarding these methodologies on three fronts (Bardach 1994). Firstly, the research is often selective in that cases and information are chosen discriminately by the researcher and little effort is given to corroborate positive findings. Secondly, the findings are often discredited over time, and ‘achievements’ are shown to be ‘flash in the pan’ or unsustainable. And thirdly, there is little methodological rigour given to verify or substantiate claims of comparability between the objects of study and the location for application, so that best practice, if sustainable, is impossible to replicate in another place and time, much like a ‘great work of art’.
Our study acknowledges these common limitations fully but mitigates these problems through a thoughtful and robust methodological approach to best practice research. This type of analysis has been shown to be possible and immensely fruitful in a number of recent academic studies. In a study of several public management innovation competitions, Borins (2001) shows that problems of replicability and sustainability are relatively uncommon. Using the matrix in Figure 3.4, he finds that most innovations fit into the yellow boxes, being sustainable innovations that may or may not be replicable (although many were). Replicability is, of course, always uncertain and multi-causal. Therefore, authors such as Barzelay (1992) and Bardach (1994) recommend that small-N findings be interpreted only to “widen the range of solutions to problems” to provide limited but extraordinarily useful possibilistic information (Bardach 1994, 260). Finally, Borins (2001) argues persuasively that comparability limitations can be overcome with more use of statistical analysis. The generalisability and comparability of best practice and case study findings can be methodically and robustly tested through the use of large-N statistical analysis applied imperfectly but refined over time.
39
Chapter 3: An International Investigation of Technology Use
Innovation survives Innovation replicated
True success story
Innovation does not survive Prophet without honour
Innovation not replicated
Great work of art
Flash in the pan
Figure 3.4: Borins’ innovation typology From Borins (2001)
In this section we describe our choice of best practice research using a nonintrusive web census method and Ragin’s (2000) 'fuzzy set' Qualitative Comparative Analysis (fsQCA) technique to overcome objections of selectivity, sustainability and comparability. The web census is designed to glean officially published instances of technology use, mirroring the sustainability characteristics of those found in Borins’ (2001) public management innovation competitions, in a methodological and nondiscriminative (non-selective) manner. The fsQCA technique is adopted to reveal the comparability boundaries and limitations of our findings.
International Web Census Method Our team chose to study England and Wales alongside 21 countries and US states (henceforth referred to as ‘cases’) that face pressures similar to NOMS but vary in their political and cultural views, economic situations, IT capabilities, and criminal justice organisations. These selections are intended to be qualitatively different from England and Wales but no so different as to prove un-comparable. These cases are: Australia, California, Canada, Chile, Colorado, Denmark, Florida, France, Germany, Hong Kong, Ireland, Mexico, Minnesota, The Netherlands, New Zealand, Oregon, Singapore, South Africa, Spain, Texas, and the US federal corrections system. Individual case profiles are provided in Annex 2 that describe, in detail, the quantitative and qualitative characteristics of these cases, their criminal justice systems and their technologies in use. We performed a non-intrusive Web Census data collection exercise in each case to systematically document the full scope of technology enquiry and use in the criminal justice system of each case. Our findings provide a detailed and impartial view of each case's use of 40
An International Investigation of Technology in Prison and Probation technology, which we analyse using qualitative and quantitative methods.
The web census method, increasingly used in social scientific research, involves systematic documentation and analysis of publicly available information. We entered the same search terms (“technology” + “offender” or “prison” or “probation” or “prisoner”) into each case's public corrections agency website(s) using Google Advanced Search and documented the content of the first 200 resulting web hits. Where translation was necessary, native speakers provided the most appropriate translation of the search terms and analysis. We searched and systematically recorded over 2,000 web pages, revealing 372 unique instances of technology in use or enquiry, and 19 individual widespread technology types (as well as numerous other technologies). Annex 1 provides a detailed description of our methodology and the terms of reference used.
Analytically the web census approach is fully capable of capturing an accurate representation of each case. Budget requirements, departmental selfpromotion, attempts to spread best practice, and competition for resources all encourage corrections departments to publish information and document publicly their use of technologies, particularly those that are most innovative or expensive. At the same time, the increased vigilance of governmental and non-governmental actors dissuades departments from publishing information that is misleading or altogether false. Whilst it may be tempting for departments to overstate accomplishments slightly, the publication of false or misleading information about the use of a technology is highly unlikely given the amount of public scrutiny faced by democratic governments in developed countries. At the same time, as the effective use of technology is perceived to be an indicator of a government or department’s capabilities and public organisations compete implicitly and explicitly for resources and praise, corrections departments can be expected to publish information on their successful enquiry or adoption of new technology. The yellow boxes in the matrix below illustrate the type of information that would be revealed through our web census data collection method.
41
Chapter 3: An International Investigation of Technology Use
Information is displayed Information is misleading
Most difficult to do
Information is not displayed Utility-Maximising
Information is accurate
Utility-Maximising
Doing good by stealth
Figure 3.5: Web census incentives matrix To ensure the robustness of our web census results and the validity of our method we performed a number of robustness checks. First, we rated the relevance of each of the 200 pages that we viewed in a sample of the cases, and attempted to identify trends that suggest that we were truncating our search only after all of the relevant departmental information was revealed. The results, presented in Annex 1, illustrate that relevant information tends to taper off quickly after only the first fifty web hits and disappears entirely after the first 150. This suggests that we chose a sufficiently large number of web pages to review in each case. Secondly, we randomly selected cases and instances of technology for triangulation. We pulled five samples from each of three cases and set out to triangulate the findings of each with secondary data sources. The results, provided again in Annex 1, demonstrate that almost all triangulations were affirmed. Finally, we used all available sources to search for instances of technology use in these three cases that were not revealed by our web census method. Our results, provided in detail in Annex 1, demonstrate that, for the most part, our method revealed the full range of technology use. The few number of omissions revealed, however, suggests that our method may not capture the full range of technologies used in private prisons, as they tend to be less revealing about their operations, implying that our findings under-report the instances of technology use in cases with larger private prison systems. In the United States, where a significant private prison sector exists, the bias did not appear to compromise our overall findings, but in South Africa this may be the case. However, as the main area of focus of our international comparison was the public sector, our web census represents a sound and pragmatic approach that lends itself to use in criminal justice technology research in the future.
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An International Investigation of Technology in Prison and Probation
Our web census method revealed that whilst the level of development and degree of implementation of technologies varied substantially between cases, the range of technologies was limited to roughly 19 technology types. Figure 3.6 lists the 19 technology types across the x-axis and the cases down the yaxis. The colour and number represent the level of development of the technology, including: 'no evidence', ‘enquiry’ and ‘to pilot’ in red; ‘pilot’ and ‘to implement’ in yellow; and ‘in use’ and ‘in use and review’ in green.
We aggregate these findings in Figure 3.7 to illustrate the level of development of each technology across all the cases. The results show that automation, data-sharing, offender networking, and contraband detection are most developed across cases. Conversely, telemedicine, mobile phone detection and jamming, voice verification, and advanced surveillance technologies are found to be typically in only the early stages of development. Annex 1 provides a detailed profile and definitions for each of these technology types.
In Figure 3.8, we illustrate the level of technological development of the 19 technology types in each of the cases. Again wide variations are revealed. Australia, Florida and New Zealand have 70 per cent or higher of the 19 technology types in the pilot or use stages. Colorado, Germany, Mexico and The Netherlands, on the other hand have 20 per cent or less. England and Wales falls in the bottom third of the cases in technology in use, whilst scoring near the middle in total technologies in enquiry, pilot, or implementation stages. It must be cautioned that this chart should not be interpreted as a ‘ranking’ or performance indicator. As we will see in Chapter 4, a thoughtful approach to technology adopting is not simply to adopt more. In Canada, for example, we came across analyses of a number of technologies that provided pragmatic and thoughtful justifications for the government's decision not to further develop certain technologies.
43
Chapter 3: An International Investigation of Technology Use
44
An International Investigation of Technology in Prison and Probation
Automation Data-Sharing & Database Offender Networking Contraband Detection Infrastructure Technology
Technology Type
Case Management E-learning Videoconferencing GPS Tracking Radio Frequency Identification Green Technology Human Resource Management Perimeter Security Banking & Purchasing Advanced Biometrics Advanced Surveillance Voice Verification Technology Mobile Phone Technology Telemedicine
In Use Pilot Stage Not Adopted
0
200.2
40 0.4
60 0.6
80 0.8
1001
Percentage of cases
Figure 3.7: Level of technology development (by technology) Florida Australia New Zealand Canada California US Federal Denmark Minnesota Texas
Case
South Africa Hong Kong France Spain Singapore Oregon England and Wales Ireland Chile Colorado The Netherlands Germany
In Use Mexico Pilot Stage Not Adopted
0%
1 0%
20 2 0%
3 0%
40 4 0%
5 0%
60 6 0%
7 0%
Percentage of cases
Figure 3.8: Level of technology development (by case)
45
80 8 0%
9 0%
100
1 00%
Chapter 3: An International Investigation of Technology Use Among the technology types employed, close inspection reveals that they are used often in very different ways and even for altogether different purposes. Videoconferencing technology, for example, varies widely in use across twelve cases. It is used by staff for internal communication and learning in California, by offenders to communicate with family and specialist services in Florida and Singapore, and used exclusively for offenders to appear in court proceedings in Colorado and England and Wales. We captured these important details by coding the technology instances based on the individual(s) that actively use the technology and the type of relationship mediated or affected through its use. The detailed definitions of these distinctions are provided in the methods section in Annex 1.
Figures 3.9 and 3.10 below illustrate differences in the users of technologies. Whilst some technologies such as radio frequency identification (RFID), mobile phone detection and jamming, green technologies, and voice verification technology are consistently used to mediate only one relationship and used by one user type, other technologies such as automation, elearning, and offender networking can be and are used for a wide range of purposes. Similarly, the case-specific representation shows that the users of technology vary considerably between cases. The US Federal system, for example, employs an extraordinary amount of technology but none that is used by society and few for use by the offender, whilst Singapore uses roughly one third of total technologies available but of those employed most are utilised directly by offenders and society. These differences in users profoundly affect the potential impact on reductions in re-offending. Consistent with C-NOM, technologies used directly by the offender and society are necessary to operationalise offender networking. As we see in our fsQCA analysis, there may be organisational, cultural, and political factors that account for these differences between cases.
46
An International Investigation of Technology in Prison and Probation
F lo r id a A ust ralia N ew Z ealand C anad a C alif o rnia U S F ed er al D enmar k M inneso t a
Back-office staff
T exas
Central govt. office
So ut h A f rica
Case
Ho ng Ko ng
Front-line staff
F r ance
Offender Society
Sp ain Sing ap o r e O reg o n
Eng land and W ales Ireland C hile C o lo r ad o T he N et herland s G er many M exico
0
5
10
15
20
Number of instances
Figure 3.9: Technology user (by case)
A ut o mat io n D at a- Shar ing & D at ab ase Of f end er N et wo r king C o nt r ab and D et ect io n I nf r ast r uct ur e U p g r ad es C ase M anag ement
Technology Type
E- l ear ning
Back-office staff
V i d eo C o nf er encing
Central govt. office Front-line staff
GPS T r acking R ad i o F r eq uency I d ent i f i cat io n Gr een T echno l o g y
Offender
Human R eso ur ce M anag ement
Society
Per imet er Secur i t y B anki ng & Pur chasing A d vanced B i o met r i cs A d vanced Sur vei l l ance V o i ce V er i f i cat io n M o d i l e Pho ne T echno l o g y T el emed i ci ne
0
5
10
15
20
25
Number of cases
Figure 3.10: Technology user (by technology)
47
Chapter 3: An International Investigation of Technology Use
Figures 3.11 and 3.12 illustrate the relationships that the technologies mediate. The relationships are categorised into four types: relationships between offenders and society (such as video-visitations), offenders and the criminal justice system (such as telemedicine), society and the criminal justice system (such as online visit-booking systems), and relationships within the criminal justice system (such as human resource management software). Again we have discovered a range of uses that varies considerably between technologies. Automation, offender networking, and videoconferencing provide a large potential to mediate relationships between society and offenders with potentially far-reaching impact on the seven pathways out of re-offending. RFID, green technologies, perimeter security, and human resource management, on the other hand, appear entirely focused on relationships within the criminal justice system. Mirroring the findings of the technology user analysis, we also see differences in technology relationships between cases. The US federal system again overlooks technologies that mediate the relationships between offenders and society whilst Singapore dedicates roughly half of its technologies to such relationships. We also later illustrate in the fsQCA analysis that these differences may lie in organisational, cultural and political differences.
We further investigate the relationships between the institutional and socialpolitical context of each case’s criminal justice system and the amount and type of technologies adopted. Because technology plays both a utilitymaximising and performative function (refer to Figure 3.3 above), this analysis provides critical insight into the types of technologies most appropriate for adoption in England and Wales and their transformative potential in assisting NOMS in the promotion of rehabilitation. We illustrate the two-way relationship between the adoption of technologies consistent with C-NOM and the extent of each case's commitment to rehabilitation, suggesting that England and Wales can work towards its objectives in reducing re-offending rates whilst also encouraging renewed acceptance of those objectives through the use of C-NOM technologies.
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An International Investigation of Technology in Prison and Probation
F lo r id a A ust r al i a N ew Z ealand C anad a C al i f o r ni a U S F ed er al D enmar k M i nneso t a T exas
System <--> System
So ut h A f r i ca
Offender <--> System
Ho ng Ko ng
Case
F r ance
Society <--> System
Sp ai n
Offender <--> Society
Sing ap o r e Or eg o n Eng l and and W al es I r eland C hi l e C o l o r ad o T he N et her l and s Ger many M exico
0
5
10
15
20
Number of instances
Figure 3.11: Technology relationship (by case)
A ut o mat i o n D at a- Shar i ng & D at ab ase Of f end er N et wo r ki ng C o nt r ab and D et ect i o n I nf r ast r uct ur e U p g r ad es C ase M anag ement
Technology Type
E- l ear ni ng V i d eo co nf er enci ng
System <--> System Offender <--> System Society <--> System Offender <--> Society
GPS T r acki ng R ad io F r eq uency I d ent if i cat i o n Gr een T echno l o g y Human R eso ur ce M anag ement Per i met er Secur i t y B anki ng & Pur chasi ng A d vanced B i o met r i cs A d vanced Sur vei l lance V o i ce V er if icat io n T echno l o g y M o b il e Pho neT echno l o g y T el emed ici ne
0
5
10
15
20
25
Number of cases
Figure 3.12: Technology relationship (by technology)
49
Chapter 3: An International Investigation of Technology Use
Fuzzy Set Qualitative Comparative Analysis Undertaking the challenge of analysing the relationship between technology use and the commitment to rehabilitation immediately presents a number of analytical and methodological problems. Firstly, many of the variables of interest with respect to a case's rehabilitative focus, although composed of quantitative data, rely on subjective interpretation and the use of qualitative information. As we illustrated in Chapter 1, a range of cultural, political and institutional factors dynamically influence criminal justice systems and their adoption of new technology that cannot be characterised using only quantitative indicators such as re-offending rates. The use of simple presence/absence classifications, typical of truth tables, would potentially over-simplify our knowledge about each case. Secondly, the relationships between the causal preconditions are so diverse and dynamic that correlative relationships may be disguised by the use of traditional econometric analysis. And thirdly, many of the relationships and causal factors that we wish to study involve multivariate social and political cultures that are shown to be academically and analytically difficult to conceptualise and therefore difficult to assess empirically (Bardach 1994, 261).
To overcome these analytical barriers, we employ the Fuzzy Set Qualitative Comparative Analysis (fsQCA) developed by Ragin (2000). The 'fuzzy set' approach offers a systematic alternative to earlier forms of social science studies, taking a “middle path between quantitative and qualitative” methods that transcends the limitations of both (Ragin 2008, 175). Fuzzy set analysis rests on the ability of researchers to accurately calibrate the degree to which individual cases possess membership of a predetermined 'set'. Whilst a traditional qualitative research method may involve classifying a criminal justice system as either focused on rehabilitation or not, fuzzy sets allow calibration to determine the extent to which a case shares membership of that set. According to Dunleavy et al. (2006), who use fuzzy set methods in their analysis of government IT performance, the fuzzy set method “respects the distinctive value and insights achieved (only) from the in-depth study of a relatively small number of instances” as well as providing “well-founded and 50
An International Investigation of Technology in Prison and Probation well-codified rules for considering how cases may be sorted into sets” for comparative analysis (66).
Ragin's fuzzy set method allows richer analysis than could be obtained through traditional quantitative analysis, relying on large-N data sets. Our limited number of cases, 22, would limit our ability to demonstrate correlation or causality through an econometric regression. Additionally, traditional quantitative analysis would limit our ability to draw additional information through the systematic calibration of data. Uncalibrated measures are inferior to calibrated ones, as Ragin (2008) explains using the example that knowing that one temperature is higher than another does not allow one to ascertain whether it is hot or cold, or knowing that one country is more democratic than other does not reveal whether it belongs in the set containing democracies or the one containing autocracies (175).
Whilst the fuzzy set approach cannot clearly point to causality between membership of one set and another, it provides important insight into the relationships of factors or causal 'sufficiency'. It offers the opportunity to examine a combination of both causal and outcome effects, elucidating both “similarities and differences”, producing more of a “map providing guidance” than a prescriptive verdict on causality (Patton 2001, 492). As technologies used for rehabilitation purposes are potentially both a result of a case's rehabilitation focus as well as a performative influence on its rehabilitation potential and objectives, the fuzzy set method offers the optimal tool for analysing the data we have collected in our web census and international comparative research.
In our analysis, we use Ragin's five-category system to calibrate each case's membership in different sets with the ratings below: •
Full membership of the set, scored as 1
•
More in than out of the set, scored as 0.75
•
Neither in nor out of the set, scored as 0.5
•
More out than in the set, scored as 0.25
•
Fully outside of the set, scored as 0 51
Chapter 3: An International Investigation of Technology Use This calibration system is consistent with Raginâ&#x20AC;&#x2122;s recommendations that researchers adopt five-point scoring with complex small-N sample sizes.
We also created 'multi-criteria sets' of both the attention to rehabilitation in the criminal justice system and society, and the use of technologies allowing offenders networked access to paths to rehabilitation. The rehabilitation multicriteria set (labelled REHAB) consists of four individually calibrated sets: 1. The criminal justice system is historically focused primarily on rehabilitation 2. Criminal justice policy aspires to focus on rehabilitation 3. Corrections department demonstrates an explicit and significant commitment to rehabilitation 4. Popular culture accepts and supports a focus on rehabilitation
The first set (labelled HIST) describes the historical commitment of a case's criminal justice system to rehabilitating offenders. It is measured through the case's average prison detention rate, or the rate of offenders per 100,000 of the total population, over the past ten years.
The second set (labelled ASPIR) describes the policy aspirations of a case to rehabilitating offenders, which may have only recently been implemented and not fully realised. It is measured through the case's trend in its prison detention rate over the past ten years with consideration for its current detention rate. We look at three three-year time periods, taking the average change in detention rates over the three periods, thereby taking into account fluctuations within the last ten years as well as the overall change.
The third set (labelled VIS) describes the commitment of the corrections department of each case to rehabilitation. It is measured through a systematic evaluation of the mission and vision statements of the departments, looking at two factors: the presence of a declared commitment to rehabilitating offenders; and the level of prominence given to rehabilitation in relation to other objectives, often illustrated explicitly in the correction departmentsâ&#x20AC;&#x2122; operating framework. 52
An International Investigation of Technology in Prison and Probation
The fourth set (labelled CUL) describes the commitment of society to rehabilitation vis-Ă -vis penal populism. We draw from a variety of areas, including a case's political rhetoric, human rights commitments, key performance indicators, web census findings and academic sources. Statistics and other quantitative data on their own have been shown to be an incomplete measure of a country or region's overall rehabilitative focus. As Max Kommer (1994) explains: An international comparison of levels of punitiveness leads to different conclusions, depending on what one looks at. The 1978 detention rates (the number of prisoners per 100,000 head of population) they reported were 89 for West Germany, 52 for Sweden and 22 for the Netherlands. Adding length of sentence to the picture confirms the conclusion of a 'sunny penal climate' in the Netherlands: only 11 percent of the sentences were over six months, compared to 17 percent in Sweden and 70 percent in Germany. However, when they related these Figures to the number of suspects, the picture was reversed. In the Netherlands the proportion of suspects sentenced to an unconditional prison sentence was 9 percent, as opposed to 5 percent in Sweden and only 3 percent in Germany. Based on the number of convicted suspects, the proportion of unconditional prison sentences tells the same story: high in the Netherlands (23 percent), somewhat lower in Sweden (19 percent) and the lowest in Germany (6 percent). (Kommer 1994, 29) By using quantitative measures as a baseline, we draw on a range of sources to create a more accurate and full basis for scoring of each case's popular and political cultural commitment to rehabilitation.
The technology multi-criteria set (labelled TECH) consists of three individually calibrated sets: 5. Technologies promote active use by offenders and society 6. Technologies mediate relationships between society and offenders or the criminal justice system 53
Chapter 3: An International Investigation of Technology Use 7. Offenders are contingently networked to society and pathways out of re-offending
The fifth set (labelled USER) describes the extent to which each case has adopted technologies that are actively used by offenders and society, rather than exclusively used by staff. Results from our web census are used with attention given to the number of technologies in use by offenders and society and their proportion in relation to the total number of technologies used or considered.
The sixth set (labelled RELA) describes the extent to which each case has adopted technologies that facilitate relationships between offenders and society or the criminal justice system and society. Again results are obtained from web census data and calibrated in accordance with the number of technologies in use mediating relationships with society and their proportion in relation to the total number of technologies used.
The seventh set (labelled C-NOM) describes the extent to which offenders are contingently networked to society and pathways out of re-offending. We calibrate each case based on its use of technologies that are inherently useful in the context of C-NOM: videoconferencing, e-learning, offender banking, and the overall number of technologies actively being used to network offenders. Again the results from our web census are used.
When using fuzzy sets, calibrating membership within a set is as critical as defining the sets themselves. In addition to thresholds for set membership and non-membership, each set has a crossover point where a case is neither in nor out of a set as well as points at which a case is more out than in or more in than out. We determine the caseâ&#x20AC;&#x2122;s position on this continuum by creating thresholds in the indicators used for each set. We then critically check our classifications against other available information, to ensure that we are not overlooking any important considerations. In some cases this outside information justifies recoding a caseâ&#x20AC;&#x2122;s score in one or more sets. For example, Floridaâ&#x20AC;&#x2122;s falling offender density rate, although impressive, was not seen to 54
An International Investigation of Technology in Prison and Probation justify full membership in the set of cases that “aspire to focus on rehabilitation” given the case’s already extremely high offender density rate. Our full methodology for determining each case’s membership score in all of the seven sets is provided in Annex 1.
Consistent with the approach described by Ragin (2000), we take the minimum as well as maximum scores for the cases within the multi-criteria sets REHAB and TECH. We aggregate minimum scores to form an 'intersection set' and maximum scores to form a 'union set' across the multicriteria sets. Ragin (2000) explains that taking the average score for each case could be misleading by allowing a case's membership in one set to compensate for non-membership in another. For example, whilst one case may score highly in its stated commitment to rehabilitation and its cultural emphasis on rehabilitation, it may persist in locking away a comparatively high proportion of its citizens. Using a range from the minimum to maximum scores would accurately portray the scope of rehabilitation, but the minimum point is especially notable due to the nature of rehabilitation, where the result is only as good as its weakest link and any one deficiency has a significant impact on offenders. In other words, to demonstrate a true commitment to rehabilitation, a case must score highly in all four categories as a low score in even one category indicates offenders could be expected to have additional difficulties achieving rehabilitation.
Written algebraically, the rehabilitation multi-criteria intersection set can be expressed as: REHAB = HIST ∩ ASPIR ∩ VIS ∩ CUL For networking technologies, the multi-criteria intersection set can be expressed as: TECH = USER ∩ RELA ∩ C-NOM Using the intersection sets, a small box is formed in each graph at the intersection of the lowest scores from TECH, on the x-axis, and REHAB, on the y-axis. A large box is also formed, showing the space between points drawn from the intersection and union sets. Box graphs showing these relationships for individual cases are provided in the bottom right corner of 55
Chapter 3: An International Investigation of Technology Use each case profile provided in Annex 2.
In Figure 3.13 below, we aggregate the minimum points for all 22 cases. The 45 degree line is marked red to denote a simple 1:1 relationship between the two multi-criteria sets. Alignment of all cases on this line would provide robust evidence of a correlation between the relationship of interest: that cases with a more rehabilitative focus adopt networking technologies or conversely that cases employing networking technologies are more rehabilitative in focus. Our findings neither confirm nor deny this relationship. Whilst there is notable convergence, there are also outliers that cannot be disregarded. Cases in groups one through five, representing close to 75 per cent of our total cases appear relatively or entirely consistent with the 1:1 correlation. However, the remaining cases, particularly those in groups 8-10 demonstrate rather inconsistent relationship patterns. These outliers, Canada, Denmark, Germany, Florida, Oregon and Singapore suggest that other alternative correlative relationships may also exist.
1.
Colorado, Chile, Mexico, The Netherlands, South Africa, Spain, US Federal 2. France 3. Australia, England & Wales 4. California, Minnesota, New Zealand, Texas 5. Hong Kong, Ireland 6. Singapore 7. Oregon 8. Florida 9. Canada, Denmark 10. Germany
CJS Rehabilitative Focus
1.0
9
.75
0.5
10
5
.25
1
4 .25
2
3
6
7
8
0.5
.75
1.0
C-NOM Technology Use
Figure 3.13: Fuzzy set QCA
56
An International Investigation of Technology in Prison and Probation An analysis of each of these outlier profiles paints a more dynamic and interesting picture of the relationship between a criminal justice system and the technologies that it uses. The outliers fit into three distinct groups. We found that ‘Type I’ outliers (Canada, Denmark and Germany) whose intersection and union scores are shown in Figure 3.14 below, score particularly well in REHAB but less highly in TECH. In these cases, our analysis suggests, at least intuitively, that the criminal justice systems, intent of a rehabilitative outcome, embrace an explicitly people-centred approach and adopt relatively less technology overall. Such outcomes may result from steadfast beliefs about the uniqueness of personal care consistent with claims made by a British prison governor: “I would not trade the skills, expertise, common sense and humanity of the vast majority of professionals working at Wandsworth for any amount of hi-tech resources” (Rimmer 2002, 154). These cases seem to, wrongly in our opinion, endorse the view that almost all technologies are antithetical to offender rehabilitation.
Germany
Canada & Denmark
Figure 3.14: Type I outliers
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Chapter 3: An International Investigation of Technology Use
Florida
Oregon
Figure 3.15: Type II outliers We found that ‘Type II’ outliers (Florida and Oregon) shown in Figure 3.15 score poorly in REHAB but relatively well in TECH. These cases, we believe, are indicative of extreme efficiency-seeking leading epiphenomenally or accidentally to the adoption of technologies that facilitate offender networking. As shown in Chapter 2, C-NOM technologies are cost-saving and may increasingly be favoured by cases that are more advanced in their pursuit of efficiency savings, such as many US states. These results show a ‘silver lining’ to the privatisation and cost-cutting techniques pursued in the United States and other jurisdictions; if a corrections department becomes particularly advanced at cost-cutting it may find itself adopting more rehabilitative technologies.
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An International Investigation of Technology in Prison and Probation
Singapore
Figure 3.16: Type III outlier Finally, qualitative analysis of the â&#x20AC;&#x2DC;Type IIIâ&#x20AC;&#x2122; outlier, Singapore, suggests a mixed grouping of relationships. Singaporeâ&#x20AC;&#x2122;s corrections department appears to pursue a rather uncommon mixture of rehabilitative and punitive goals simultaneously. It has one of the highest incarceration rates and some of the harshest sentences in Asia, which as led to a trebling of the offender population in the last 15 years. At the same time, the commitment of the Singapore Prison Service to rehabilitation is unquestionably impressive. According to all available documentation, it views community safety as intimately linked with the rehabilitation of offenders, perhaps due to the high population density of Singapore. The ongoing completion of the massive Changi Prison Complex, designed to hold 23,000 prisoners, presented Singapore with the opportunity to embed offender networking technologies into its full range of prison operations and assume a central position in the delivery of outcome programmes. A review of the case profile provided in Annex 2 shows an impressive amount and sophistication of technologies adopted by Singapore to deliver its rehabilitation goals, especially in the new Changi complex.
59
Chapter 3: An International Investigation of Technology Use Despite the presence of outliers, Raginâ&#x20AC;&#x2122;s mathematically-grounded analytic software allows us to provide more clear evidence of a relationship between membership of the rehabilitation and technology multi-criteria sets. The software, known as fs/QCA 2.0 and available at Ragin's website, provides mathematical evidence of the conditions of causality. The software analyses the consistency and number of relationships between a dependent variable and the full range of logically possible combinations of independent variables. The results of the programme show the configuration(s) of independent variables that more or less consistently and more or less frequently give rise to inclusion in the dependent variable set.
We inputted our data into Ragin's software using the minimum scores for the TECH multi-criteria set as the dependent variable and used each of the four REHAB sets (HIST, ASPIR, VIS and CUL) as independent variables, whilst including control variables for EU membership, location in the United States and current prisoner population. The software revealed that ASPR, VIS, and CUL were consistently related to the use of offender networking technology, suggesting that the conditions of a criminal justice policy that aspire to focus on rehabilitation, a corrections department that demonstrates an explicit and significant commitment to rehabilitation, and a popular culture that accepts and supports a focus on rehabilitation are consistently related to the use of technologies to improve the access of offenders to the pathways out of rehabilitation. The softwareâ&#x20AC;&#x2122;s output confirms our analysis through all three categories: complex, intermediate and parsimonious. The complex and intermediate solutions suggest an especially high degree of robustness. However, the overall coverage and consistency levels of 0.47 and 0.52, respectively, are low compared to the more reassuring levels of 0.75 suggested by Ragin.
Nonetheless, these findings imply that statistical relationships are likely to exist between the types of technologies adopted and the characteristics of a case's criminal justice system. The low coverage and consistency scores indicate that our findings, namely that ASPIR, VIS, and CUL must be present for inclusion in the TECH multi-criteria set, should be interpreted with caution. 60
An International Investigation of Technology in Prison and Probation However, the existence of the same complex and intermediate findings add weight to our initial analysis based on Figure 3.13 (above) and the individual fuzzy set graphs for each case (see Annex 2). Together, our analysis and the results of inputting our data into the fsQCA software both suggest that a future research agenda exploring the connections between technology and the orientation of criminal justice systems may prove very fruitful.
61
Chapter 3: An International Investigation of Technology Use
Chapter 4 The Benefits of Technology Use Our research and web census data identify a range of potentially far-reaching benefits of technology adoption including efficiency savings, information, security and process improvements, enhanced staff satisfaction, reductions in re-offending rates, and critical capacity-building benefits. These benefits are often well-documented and â&#x20AC;&#x2DC;cashableâ&#x20AC;&#x2122; and translate well onto the short- and long-term priorities of NOMS. Biometric technologies, for example, were shown to double the response rate to disturbances in a US federal prison, increase visitor processing times substantially in Florida, virtually eliminate misidentification errors in Australia, and potentially demonstrate a two-year pay back period.
Quantifications such as those for biometrics provide formidable evidence for the development of convincing business cases and are invaluable in informing the ongoing debate about technology adoption priorities. Therefore, we have meticulously documented and displayed these benefits for each main technology type along with comprehensive descriptions and application risks and opportunities in England and Wales in Annex 3. However, critical technology theory and mainstream private and public sector best practice warn that these benefits should not be perceived in isolation. The appropriate use of the figures provided in the technology profiles in Annex 3 requires an informed evaluation framework provided in this chapter.
Throughout this chapter, we approach decision making on the adoption of technologies based on a rational cost-benefit framework in which the net benefits of a number of alternatives provide decision-making evidence. Whilst such rational calculations may not occur in practice for a number of welldocumented reasons (see Simon 1976, DiMaggio and Powell 1983), they offer a theoretically sound decision-support framework (Pearce, Atkinson and Mourato 2006). We focus specifically on the benefits of each technology, rather than the costs and benefits together or the costs alone, for two 62
An International Investigation of Technology in Prison and Probation reasons. Firstly, technology costs are inherently specific to local contexts and best revealed through competitive bidding. Secondly, our full analysis of benefits reveals many hidden costs. We show that, for example, the pursuit of business benefits at the expense of reducing re-offending outcomes engenders considerable costs.
Technology Adoption Temporal Dimensions and Technology Synergies Studies of technology adoption and diffusion consistently acknowledge the changes in the marginal benefits of technology adoption over time and describe a ‘technology lock-in’ or ‘path dependency’ phenomenon whereby early adoption decisions profoundly affect the long-term total benefits (Feenberg 1991). On the one hand, studies ranging from international internet adoption (Montealegre1999), to ‘computerisation’ (Kling and Iacono 1988), to the uptake of Java software (Garud, Jain and Kumaraswamy 2002) illustrate that large initial sunk costs often inhibit the realisation of future benefits. On the other hand, a number of other studies document the ‘transformative’ effects of certain enabling technologies with respect to health (Inglehart 2007), forestry (Garner and Kerekes 1974) and economies (Lipsey et al. 2005), in which difficult and often risky initial sunk costs facilitate the realisation of far-reaching future benefits.
Taken together, these studies imply an S-shaped benefit function in which a long-term perspective is necessary to fully realise the full benefits of technology. These types of situations often manifest themselves in collective action problems in which sustained cooperation between a number of actors is required to realise optimal outcomes and ‘policy entrepreneurs’ are needed to provide the critical early capital necessary to acquire full long-term benefits (Hargrave and Van de Ven 2006). Yang and Jarvenpaa (2005) illustrate this collective predicament well in the case of radio frequency identification technology (RFID) adoption in the construction industry, where large but uncertain future benefits led to systematic undersupply by participants.
Evidence suggests that collective action problems of this kind also systematically inhibit the delivery of long-term technology benefits in UK 63
Chapter 4: The Benefits of Technology Use government departments. The 2006 Achieving Innovation in Central Government Organisations report by the National Audit Office illustrates that politically-salient and short-term benefit realisation priorities are more likely to take precedence in the budget allocation process, suggesting an ad-hoc and short-term prioritisation of benefits. The private sector participants argue that â&#x20AC;Śministers naturally want to prioritise policy changes and politically salient issues. In their view this pattern can produce a chronic under-funding of, or insufficient attention to, the endogenous innovation processes within central government organisations.
Hence
the
core
â&#x20AC;&#x2DC;machineâ&#x20AC;&#x2122;
processes
of
departments and agencies tend to be too static or to lag behind innovations in the private sector partly because not enough resources and management attention can be spared to develop them or to build cumulatively innovative organisations on a par with some well-known private companies (NAO 2006, 18). Similarly, National Audit Office research shows that close to half of the innovation programmes in the UK are developed and implemented in a short period of between one and 24 months. Given the immediate pressures and incentives for short-termism outlined in Chapter 1, it is likely that these benefit priorities will remain acute in the England and Wales criminal justice system and may be particularly acute with respect to technology adoption given its Sshaped benefits curve. The short-term quantification of benefits, however, inherently limits long-term total benefits at a sub-optimal level, and must be overcome in order to reach the full potential of new technological innovations. We demonstrate below that the benefit losses can be very significant.
We created a simple model built on the theoretical insights outlined above. Figure 4.1 (below) illustrates two technology innovation scenarios over an investment timeline. The red line illustrates the effects of a benefit-maximising strategy in each period, while the black line represents a benefit-maximisation strategy that looks beyond the short-term period classifications. In the early adoption
period
the
short-term
strategy
secures
early
benefits
by
implementing low-cost, quick-return technologies whilst the long-term strategy invests heavily in critical infrastructure that provides low immediate returns. 64
An International Investigation of Technology in Prison and Probation However, the short-term losses are more than overcome in the realisation period as the infrastructure provides the low-cost adoption of a range of highyield technologies. The short-term strategy continues to implement ad-hoc solutions but is unable to substantially increase benefits without the investments in infrastructure pursued by the long-term strategist. Finally, both options experience declining marginal benefits in the maturation period, but at significantly different levels. These two scenarios warn of the very costly effects of short-term quantification of benefits.
Early Adoption Period
Realisation Period
Maturation Period
Marginal Benefits Level of Technology Development
Figure 4.1: Strategy graph The realisation of long-term benefits, however, will not result from simply adopting low-return technologies in an early adoption period. Strategic choices must employ enabling technologies to exploit future synergies and deliver long-term benefits. We analyse our web census data to provide evidence on what synergies may exist between technologies.
We employ a simplified form of a methodology used commercially by search engines to document web page connectedness and in academic papers to study relationships, such as those between corporate board members
65
Chapter 4: The Benefits of Technology Use (Hamdouch 2008; Vishwanath and Chen 2009). Due to the extraordinary analytical difficulties pre-determining the future value of technologies (Hamdouch 2008), we focus on technologies currently employed using our web census data. We cross-tabulate the frequency of use of each of the 19 technology types with the use of each of the other types. This creates a map of potential technology synergies in practice. We illustrate our findings below. The lines illustrate synergies between pairs of technologies that exist in three or more cases. As the number of cases increases to 6 through 7, then 8 through 11, the width of the line increases. We then calculated the â&#x20AC;&#x2DC;synergy scoreâ&#x20AC;&#x2122; of each technology by applying value to the width of each line and adding the values together. The technologies and their rankings are shown in Figure 4.3 below and the top performers are coloured in red in the synergy map.
Technolog y
These findings must be
Synergy Score
interpreted with caution. As
1. Data- Sharing & Database
22
2. Contr aband Detection
13
described
3. E-learning
13
factors that influence the
4. Inf rastr ucture Technology
12
adoption of technology are
5. Case Management
10
earlier,
the
many and by analysing the
6. GPS Tracking
9
7. Vi de oconfere ncing
8
connectedness
8. Radio F requency Identif ication
6
technologies in practice,
9. Perimeter Security
4
we reveal the result of
10. Human R esource Management
3
11. Green Tec hnology
2
practices
12. Banking & Purchasing
1
themselves
13. Advanced Biometr ics
0
often ad hoc, and as a
14. Advanced Surve illance
0
15. Mobile Phone Tec hnology
0
16. Telemedicine
0
Similarly, these findings do
17. Voice Verific ation Te chnology
0
not well illustrate temporal
Figure 4.2: Technology synergies
of
that
are
imperfect,
whole, less than strategic.
stages as they are merely based on cross-sectional
data. These shortcomings suggest that the synergy scores do not necessarily correspond to the actual synergistic potential. The strong connection between contraband detection and data-sharing, for example, is most likely a product 66
An International Investigation of Technology in Prison and Probation of organisational priorities rather than technology synergies. However, the synergies between many of the other technologies may represent actual synergistic potential. The strong connections between e-learning and case management, data-sharing, infrastructure upgrades and videoconferencing, for example, suggests that e-learning requires the development of a range or other technologies. The completely unconnected technologies also suggest that they may not require the development of other capabilities. These technologies, therefore, may provide quick-return opportunities that distract from capacity building in the adoption period. Similarly, the most wellconnected technologies suggest an importance in developing infrastructure and are potentially valuable in the benefits realisation and maturation periods. This analysis highlights the point that the synergistic benefits of technology adoption over time must be included in the benefits assessment framework. 14
13
15
17
18
6
16
4 7
8
2
3
11 12
1 5
9 10
Figure 4.2: Technology synergies Attention to technology synergies also facilitates the development of convincing
business
cases
for
a
wide
variety
of
often-overlooked
technologies. Firstly, technologies that appear financially unfeasible in isolation can be bundled with other technologies to preset a well-rounded and financially viable business case. A kiosk for offenders to access legal
67
Chapter 4: The Benefits of Technology Use information, for example, may itself appear very costly, but if extended to allow access to banking and canteen purchasing options, it may provide the critical efficiency savings necessary to encourage adoption. Secondly, all technology assessments should include the discounted benefits that they may enable in the future. Building biometric data-storing capabilities into C-NOMIS at a relatively low cost, for example, radically reduces the costs of adoption of biometric technologies at a later date.
Case Study: Changi Prison Complex Newly built clusters in the massive 20,000-bed Changi Prison Complex in Singapore integrate technologies into every aspect of its operations and business practices, including those that are most business-critical. Apart from using standard internet and intranet communications, central command stations monitor 1000+ CCTV digital feeds, operate and oversee thousands of electronic door controls, and interact via internet protocol (IP) telephony to the thousands of guards throughout the complex. The high degree of both automation of operations and centralisation allow the prison to operate highly efficiently and maximise caseworker capabilities to focus on rehabilitation. These technological capabilities are all supported by costly infrastructure installed during the prison’s most recent refurbishment. For example, the prison’s Gigabit Ethernet Infrastructure is uniquely capable of supporting the 3,000 data points necessary to enable technologies used to the level of reliability that is required for work processes carried out in a secure prison complex. The investment in state-of-the-art infrastructure underpins the low-cost delivery of many other cost-saving and outcome-enhancing technologies. Without it, a contractor explains, “prison officers would have to fold back to manual mode of operation (more officers needed, carrying multiple keys, needing to follow strict security procedures)”, and more worryingly, basic outcomes services such as web-cams for offenders to converse with the community would be inoperable. From Alcatel (2005) Realisation of Technology Benefits Our study documents the realisation of a full range of benefits from technology adoption, ranging from extraordinary efficiency savings to welldocumented outcomes improvements. However, an in-depth analysis of each instance of technology use illuminates that often one benefit type is realised at the expense of another. Reflecting the heterogeneity of relationships
68
An International Investigation of Technology in Prison and Probation mediated and technology users revealed in Chapter 3, the specific design factors of each technology influence dramatically the types and range of benefits realised. Yet these potential trade-offs are not well documented or understood in practice.
We have created a mind-map, illustrated in Figure 4.3 below, that allows value for money to be assessed and categorised into five distinct categories. Moving from left to right across the figure, we begin by evaluating a technologyâ&#x20AC;&#x2122;s efficiency or economy benefits in areas such as reductions in staff time usage, process improvements, and cost savings. If these benefits are confirmed, secondary effects on efficacy in areas such as reductions in reoffending and offender outcomes must also be evaluated. If efficiency and economy as well as reductions in re-offending and offender outcomes benefits exist, the technology can be considered a win-win opportunity. However, the realisation of efficiency benefits at the expense of efficacy either inevitably or due to specific implementation decisions, must only be considered with caution. Similarly, an efficacy or outcomes-seeking evaluation can take place following similar lines of assessment. If the technology reveals an unclear or unacceptable pay back period, caution is again recommended. In many cases we found these secondary effects underestimated or under-evaluated.
69
Chapter 4: The Benefits of Technology Use
Use leads inevitably to efficacy reduction
Examples: • Contact-less prison enabled through video technology
Economy benefits require efficacy reduction
• Video visitation in lieu of personal visits
Win-Win Opportunity
• Tele-visits coupled with court video link
At expense to efficacy Efficiency/ Economy Value for Money Efficacy/ Outcomes
Payback unclear At expense to economy Infeasible Pay back period
• Video visitation via personal incell kiosk delivery
Figure 4.4: Technology benefits mind map Videoconferencing technology provides a vivid example of the secondary effects on benefits that result from specific design and use features. Our web census data reveal a wide range of benefits realised through the use of videoconferencing technology across 42 instances in 15 cases. The diversity of uses is extraordinary, ranging from internal staff communication and the delivery of staff learning courses to court links with prisons and direct interaction between offenders and their families. Each of these uses yields very different benefits that fall into distinct outcomes classifications. In the United States, for example, videoconferencing has been aggressively pursued as a cost-savings mechanism. One facility in Clearwater Florida has a 112seat video visitation centre staffed by just one officer. The facility creates enormous operational savings and has been able to double allotted family visitation times from 15 to 30 minutes, make visitation easier for young family members, and reduce contraband infiltration. However, these goals have been pursued alongside a policy to eliminate face-to-face visitation (ICPS 2000). The effects of such implementation decisions are to provide only lesspersonal and often less-meaningful connections with family members, potentially frustrating the family pathway out of re-offending. Such uses result
70
An International Investigation of Technology in Prison and Probation in decreased benefits listed in the upper two blue boxes of Figure 4.3 above. However, extending video-visitation capabilities, whilst still allowing and encouraging face-to-face visitation provides many of the same benefits found in the Clearwater case without efficacy reductions, thus representing full value-for-money. The Singapore corrections service, recognising the high costs of travel, installed a number of Prison Link Centres located in or around central transport hubs and provides secure software to allow offenders’ families to arrange video-visits from their own homes when personal visits prove too difficult. At the same time, Singapore continues to facilitate face-toface visits, thus ensuring that there are no negative effects on re-offending outcomes whilst still deriving valuable efficiency savings.
In each technology profile provided in Annex 3, there is a detailed description of the possible benefits of each technology type’s use. To complete these charts we have drawn specifically from current cases of best practice around the world and well-researched reports detailing potential future applications. We have classified the benefits into ‘business benefits’ that include cashable savings, process improvements, security and information improvements, increased staff satisfaction, progress in performance indicators not directly related to reductions in re-offending, and ‘outcomes benefits’, defined as reductions in re-offending or increased, successful access to any of the pathways out of re-offending. The assessment of benefits assumes a best case scenario where the design features mirror best practice options and maximise total benefits.
In Figure 4.4, we represent our aggregated findings by scoring each technology on its potential business and outcomes benefits. We divide the space into four distinct quadrants: ‘Outcomes Opportunities’ that potentially enable or deliver reductions in re-offending through more effective delivery of pathways programmes but will little or no business benefits; ‘Efficiency Opportunities’ offering large efficiency benefits but few or no outcomes benefits, ‘Low-Reward Opportunities’ providing relatively few rewards of either type, and ‘Win-Win Opportunities’ that deliver potentially transformative benefits in both re-offending reductions and cost savings. It is important to 71
Chapter 4: The Benefits of Technology Use iterate that we illustrate the ‘best case scenario’. Therefore caution should be taken in interpreting our analysis, and attention should also be given to more complete analyses available in the technology profiles. We have also analysed the extent to which each technology type is ‘fit for purpose’ based on the specific demands of the England and Wales criminal justice system, as described in Chapter 1. Fit for purpose encapsulates the perceived or stated demand for the given outcome as well as the operational limitations and the political and cultural sensitivities in the UK. Our findings are described in the ‘Application’ section of each technology profile and also represented in Figure 4.4 by the size of the circle; the larger the diameter, the more fit for purpose the technology is in the context of England and Wales.
Figure 4.4 illustrates clearly that there are many opportunities for the delivery of business benefits through the use of technology in England and Wales. However, only 30 per cent of the surveyed technologies provide substantial outcomes opportunities. This is consistent with the recognition by scholars and practitioners that prison and probation are largely ‘people businesses’ much like the NHS, in which personal care is delivered by well-trained professionals (Leibling and Maruna 2005). This, however, does not negate the critical role that technologies can play in delivering far-reaching business benefits and reductions in re-offending. Given that the cost to society of reoffending is £11 billion annually (Social Exclusion Unit 2002), and that the annual budget of NOMS is only £4.5 billion in comparison, the outcomes benefits are critically important to the delivery of value-for-money technology adoption.
72
An International Investigation of Technology in Prison and Probation
73
Chapter 4: The Benefits of Technology Use Surprisingly, many of the technologies that garner ’high profile’ attention from NOMS and other criminal justice systems worldwide, such as voice verification technology and biometrics, do not appear to provide a full range of benefits. Similarly, many technologies such as data-sharing and case management technologies that are sometimes considered ‘basic’ and ‘uninteresting’ are shown by our study to actually prove paramount in practice.
The large number of low-reward opportunities suggests that there are considerable opportunities for distraction. With scarce resources for enquiry and piloting phases, these technologies, especially where they are not particularly fit for purpose (mobile phone jamming and detection proves an exception), may only appear attractive from a short-term, ad hoc adoption strategy perspective. On the other hand, the limited number of win-win opportunities should receive the full attention necessary to pilot and bring to market the most fit for purpose products. As we demonstrated above in Figure 4.1, critical adoption period prioritisation decisions dramatically affect the total benefits that can be derived from technology throughout the long-term technology adoption cycle.
Whilst low-return opportunities such as mobile phone jamming and detection should be adopted as expedient solutions to acute criminal justice problems, our analysis suggests that the bulk of the attention paid by NOMS should be focused on the win-win opportunities of case management, data-sharing, videoconferencing, e-learning and infrastructure technologies. Each of these technology types present specific opportunities in the context of England and Wales as elaborated in each technology profile. In light of the limited development of C-NOMIS, data-sharing technologies must be further developed
to
operationalise
end-to-end
offender
management.
The
complexity and size of the undertaking requires that business processes be homogenised, and scoping and piloting begin in earnest even before the full implementation of C-NOMIS. As the next generation of prisons are considered, attention must be given to the technological infrastructure that accompanies their development. This infrastructure should enable the lowcost development of C-NOM capabilities. The existing Video Prison Link 74
An International Investigation of Technology in Prison and Probation programme should be extended to provide additional communication between offenders and their families and services in the community. C-NOM provides a framework upon which to extend video communication capabilities in a manner that is sensitive to UK cultural and political sensibilities. These video technologies can and should be developed to provide an enlarged e-learning programme for both offenders and staff in order to provide more effective and relevant learning and skills modules whilst reducing operational costs. A kiosk system should be considered in the delivery of these classes, and they can be extended into areas such as messaging, access to information, and canteen purchasing and banking to provide extraordinary efficiency savings as well as increased access to programmes and services.
Well aware that the costs and benefits found internationally may vary substantially between location and context, we provide a Calculating Benefits Roadmap that can be used by UK policy-makers and technology practitioners to consider the benefits of technology adoption on a case by case basis. The roadmap lists key performance indicators found in England and Wales as well as abroad to measure and assess the benefits of each technology. The blue boxes are labelled with each of the seven benefit types and listed below them are specific quantifiable indicators of particular relevance to NOMS.
75
Chapter 4: The Benefits of Technology Use
Outcome Improvement
Quantifying the full benefits of technology adoption: This Roadmap provides a series of robust indicators for each benefit type
Efficiency Improvement
• Reduced FTE costs • Cost avoidance • Reduced overhead costs • Supply chain security • Reduced process times • Demand reduction
• Reduction in re-offending • Resettlement outcomes • Accommodation on release • Benefits access rates • Basic Skills starts • Basic skills awards • Behaviour Programmes completed • ICCP Completions • ECP/Unpaid work completions • Prison Drug treatment Programmes completed Security Improvement
Enhanced Staff Satisfaction
• Staff training completion rates • Productivity increase • Polled morale increase • Process completion rate increase (eg, assessments completed) • Reduced sick days
Information Improvement
Process Improvement
• Centralisation of visitor data • Speed of case file transfer • Data access times • Assessment completion frequency and times
• Completion of high-risk and PPO assessment plans • DDTO/DRR completions • Increased reports to court • Timely delivery to court • Reduced visitation wait times • Decreased redundancy needs
• Reduced offender transits • Increased incident response time • Decreased average investigation times • Increased surveillance coverage • Decreased contraband infiltration • Self-inflicted death reduction • Serious assaults reduction • Decreased escapes
KPI Improvement
• Reduced prison escapes • Completion of high-risk assessment plans • Overcrowding reduction • Negative mandatory drug tests • Victim contact increase • Reports to court increase • Compliance and enforcement outcomes
Figure 4.5: Technology benefits ‘roadmap’
International best practice illustrates clearly that technology adoption, no matter how strategic and well-considered, requires organisational change and social-cultural acceptance to provide the intended benefits. Analysing
76
An International Investigation of Technology in Prison and Probation performance and spending data from 2,200 US police departments between 1987 and 2003 Garicano and Heaton (2009) show that despite widespread adoption of technology, only departments that implemented new technology alongside particular management and organisational changes realised the expected productivity increases. Similarly, international studies show that technological diffusion gives rise to very different benefits among countries, depending critically on social perceptions of these benefits and user acceptance (Heintze and Bretschneider 2000; Tonry 2001). As Aas explains, “technological change should by no means be seen as apolitical or not involving social actors, but rather as essentially social and cultural – having as much to do with social actors and meanings as with the technical devices and their uses” (Aas 2004, 390).
In its consideration of these recommended technologies, NOMS must ensure political support and user acceptance of the C-NOM vision and new technologies. As Johnson (2005) concludes, by bypassing social and political objections that portray offenders as beneficiaries of unwarranted luxuries and special privileges, new forms of technology have the opportunity to reduce the “social isolation” of offenders by connecting them to their families and providing enhanced access to services facilitating rehabilitation (256). This report provides empirical and academic support for the C-NOM vision that can and should be used as platform for debate and future research. The realisation of the C-NOM vision does not represent an unmanageable ’quantum leap’ but rather a progressive and incremental path towards building a modern criminal justice system consistent with the UK’s long tradition of humane and responsible care. It provides the least-cost development path to meeting the short- and long-term goals of NOMS within the challenging UK political and social context. By drawing from international cases, this report also provides the proof of concept necessary to allow NOMS to pursue these recommendations
with
77
confidence.
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Kling, R. and S. Iacono S. (1988), “The Mobilization of Support for Computerization: The Role of Computerization Movements”, Social Problems, 25 (3), 226-243. Kommer M. (1994), “Punitiveness in Europe – A Comparison”, European Journal on Criminal Justice Policy and Research, 2 (1), 29-43. Kraemer, K. and J. King (1986), “Computing and Public Organizations”, Public Administration Review, 46, 488-496. Liebling, A. and S. Maruna (2005), The Effects of Imprisonment (Cullompton, Devon: Willan Publishing). Lipsey, R.G., K.I. Carlaw and C.T. Bekar (2005), General Purpose Technologies and Long Term Economic Growth (Oxford: Oxford University Press). LSE MPA Programme (2009) “Masters of Public Administration (MPA) Programme” [online], available from http://www.lse.ac.uk/collections/MPA. Accessed on 25/02/2009. Lynn, L.E. (1989), "Symposium: The Craft of Public Management," Journal of Policy Analysis and Management, 8 (2), 284-306. Lynn, L.E. (1996), Public Management as Art, Science, and Profession (Chatham, NJ: Chatham House Publishers). Ministry of Justice (2007), “Performance Report on Offender Management Targets: April 2007 – June 2007” (London: Ministry of Justice). Ministry of Justice (2008), “Factors Linked to Re-Offending: A One-Year Follow-Up of Prisoners who Took Part in the Resettlement Surveys 2001, 2003 and 2004” (London: Ministry of Justice). Ministry of Justice and Department for Children, Schools and Families (2007), “Children of Offenders Review”, (London: Ministry of Justice). Mintzberg, H. (1992), Structure in Fives: Designing Effective Organizations (London: Prentice Hall). Montealegre, R. (1999), "A Temporal Model of Institutional Interventions for Information Technology Adoption in Less-Developed Countries", Journal of Management Information Systems, 16 (1), 207-232. Muncie, J. (2005), “The Globalization of Crime Control – the Case of Youth and Juvenile Justice: Neo-liberalism, Policy Convergence and International Conventions”, Theoretical Criminology 9 (1): 35-64. Nash, M. and M. Ryan (2003), “Modernizing and Joining-Up Government: The
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An International Investigation of Technology in Prison and Probation Case of the Prison and Probation Services”, Contemporary Politics, 9(2), 157-169. National Audit Office (2002), “Reducing Prisoner Re-offending” (London: National Audit Office). National Audit Office (2004), “Youth Offending: The Delivery of Community and Custodial Sentences (London: National Audit Office). National Audit Office (2006), “Achieving Innovation in Central Government Organisations” (London: National Audit Office). National Audit Office (2008), “Meeting Needs? The Offender Learning and Skills Service” (London: National Audit Office). National Audit Office (2009), “The National Offender Management Information System” (London: National Audit Office). National Offender Management Service (2008), “End-to-end Offender Management” [online], available from http://www.noms.justice.gov.uk/managing-offenders/end-to-end. Accessed 12/03/2009. National Offender Management Service (2009), “About Us” [online], available from http://www.noms.homeoffice.gov.uk/about-us/how-noms-works. Accessed 15/03/2009. New Philanthropy Capital (2008), “Short Changed: Financial Exclusion: A Guide for Donors and Funders (London: New Philanthropy Capital). Niven, S. and D. Stewart (2005), “Resettlement Outcomes on Release from Prison, Home Office Findings” (London: Home Office). Osborne, D. and T. Gaebler (1992), Reinventing Government: How the Entrepreneurial Spirit Is Transforming the Public Sector (Reading, MA: Addison-Wesley). Overman, E.S. and K. Boyd (1994), “Best Practice Research and Postbureaucratic Reform”, Journal of Public Administration Research and Theory, 4 (1), 67–83. Patton, M.Q. (2001), Qualitative Research and Evaluation Methods, 3rd ed. (London: SAGE Publications). Pearce, D., G. Atkinson and S. Mourato (2006), “Cost-Benefit Analysis and the Environment: Recent Developments” (Paris: OECD). Prison Reform Trust (2004), “Forgotten Prisoners: The Plight of Foreign National Prisoners in England and Wales” (London: Prison Reform Trust).
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Prison Reform Trust (2008), “Bromley Briefings: Prison Factfile” (London: Prison Reform Trust). Prisons Handbook (2006), The Definitive 800 Page Annual Guide to Prisons in England and Wales, Ed. Mark Leech (London: Prisons.Org.Uk Ltd). Ragin, C. (2000), Fuzzy-Set Social Science (Chicago: University of Chicago Press). Ragin, C. (2008), Redesigning Social Inquiry: Fuzzy Sets and Beyond (Chicago: University of Chicago Press). Raynor, P. (2007), “Community Penalties: Probation, 'What Works', and Offender Management”, in The Oxford Handbook of Criminology, Eds. M. Maguire, R. Morgan and R. Reiner (Oxford: Oxford University Press), Chapter 31. Revolving Doors Agency (2002), “Where Do They Go? Housing, Mental Health and Leaving Prison” (London: Revolving Doors). Rimmer, S. (2002), “Leading the Development of Wandsworth Prison: Some Personal Reflections”, Probation Journal, 49 (2), 151-154. Rose, H. and S. Rose (1976), The Political Economy of Science (London: Macmillan). Silicon.com (2008), “HP/EDS meeting with troubled UK workforce” [online], available from http://www.zdnet.com.au/jobs/soa/HP-EDS-meetingwith-troubled-UK-workforce/0,139023216,339292574,00.htm. Accessed 15/03/2009. Simon, H. (1976), “Bounded Rationality and Organizational Learning”, Organizational Science, 2 (1), 125-134. Singapore Corporation of Rehabilitative Enterprises (2005), “Building Bridges Changing Lives: 2005 Annual Report” (Singapore: Singapore Corporation of Rehabilitative Enterprises). Singapore Prison Service (2009), “Televisit” [online], available at http://www.prisons.gov.sg/televisit.html. Accessed 20/03/2009. Social Exclusion Unit (2002), “Reducing Re-Offending by Ex-Prisoners” (London: Office of the Deputy Prime Minister). Swiss, J.E. (1992), “Adapting Total Quality Management (TQM) to Government,” Public Administration Review, 52 (4): 356-362. Tidball, P. (2007), Prison Governors’ Association, Justice Select Committee,
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An International Investigation of Technology in Prison and Probation Oral evidence, “Towards Effective Sentencing”, 12 December 2007. Tonry, M. (2001), “Symbol, Substance and Severity in Western Penal Policies”, Punishment and Society, 3 (4), 517-536. Van Zyl Smit, D. and F. Dunkel (2001), Imprisonment Today and Tomorrow: International Perspectives on Prisoners' Rights and Prison Conditions (The Hague: Kluwer Law International). Vishwanath, A. and H. Chen (2009), "Technology Clusters: Using Metric Multidimensional Scaling to Evaluate and Structure Technology Clusters", Paper presented at the annual meeting of the International Communication Association [online], available from http://www.allacademic.com/meta/p12891_index.html. Accessed 13/03/2009. Yang, G. and S. Jarvenpaa (2005), “Trust and Radio Frequency Identification (RFID) Adoption within an Alliance”, Proceedings of the 38th Hawaii International Conference on System Sciences, 8, 184.
Note: Works cited in Case and Technology Profiles are recorded separately. To obtain an electronic version of this report, please email mpapublicpolicy@lse.ac.uk.
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An International Investigation of Technology in Prison and Probation
Annex 1 Research Methods The evidence considered in this report was collected during a five month period from October 2008 through March 2009 and comes from five sources: • Comprehensive literature review and expert interviews • Online web census • Fuzzy Set Qualitative Comparative Analysis (fsQCA) • Synergies mapping exercise • Web site capabilities survey 1. Comprehensive literature review and expert interviews: Initial report scoping required a comprehensive review of criminal justice and technology literature. We pursued all traditional forms of investigation, including academic journal searches, Google scholar searches and University of London library searches. We found a surprising dearth of comparative and international studies on prison and probation systems and no systematic investigations of technology use. The academic literature in reference to prison and probation is vast but almost entirely falls into psychological, sociological and criminological analysis, whilst so-called evidence-based research into ‘what works’ in criminal justice often relies on very limited evidence bases. In particular, there is little up-to-date analysis of prison administration and technologies currently in use. We have concluded that much of the short-comings of published research stem largely from a scarcity of quantitative data and information more generally. Even the most basic information about costs per offender or reoffending rates is difficult or impossible to collect in a way that allows international comparison. We found the operational realities of prison administrations to be largely hidden behind literal and administrative walls. In some cases, such as Singapore, our official requests to undertake research were denied, whilst freedom of information requests in the UK met with only limited success. To obtain the necessary quantitative and qualitative data and information we conducted a number of on and off-record interviews with criminal justice professionals and academics via telephone and email. These interviews guided our research but did not form the evidence basis for our report. Interview Schedule Name James Johns Elaine Hardy Professor Andrew Coyle Professor Tim Newburn
Organisation EDS EDS Kings College, International Centre for Prison Studies London School of Economics and
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Date 21/10/2008 13/11/2008 28/11/2008 02/12/2008
Annex 1: Research Methods
Jim Pauli Alan Lindfield Chuck Hamilton-Warford Dr. Michael Reichard Eugene Atherton Catherine Hennessey Maria Solano Mike Doherty
Political Science, Department of Law EDS USA NOMS EDS Innovation Lab Hillsborough College, Criminal Justice Technology Programme National Institute of Justice (USA) The Revolving Doors Agency NOMS EDS
08/01/2009 15/12/2008 04/12/2008 20/11/2008 06/01/2009 06/01/2009 08/12/2008 12/02/2009
2. Online Web Census: This unobtrusive method of collecting data uses the Google Advanced Search tool to carry out a systematic search for information using key terms. It is increasingly used in social science research and rests on analytically and empirically sound principles, discussed below. a. We chose 22 jurisdictions to study (henceforth referred to as ‘cases’) including 17 countries and five US states. The selections were intended to be qualitatively different from England and Wales but no so different as to prove un-comparable. These cases are: Australia, California, Canada, Chile, Colorado, Denmark, Florida, France, Germany, Hong Kong, Ireland, Mexico, Minnesota, The Netherlands, New Zealand, Oregon, Singapore, South Africa, Spain, Texas and the US federal corrections system. b. We identified the key government departments responsible for administering prison and probation services in each case and undertook a Google Advanced Search within each departments’ website domain (eg, www.corrections.govt.nz) for the following key words “technology inmate OR offender OR prisoner OR probation OR parole OR prison”. The full search reference was, in the case of the UK, for example “technology inmate OR offender OR prisoner OR probation OR parole OR prison site:noms.homeoffice.gov.uk”. In countries that publish information in other languages, a native speaker was asked to provide the appropriate corresponding search terms as well as assist with the web search and analysis. For some federal countries (Canada, Mexico and the United States) we carried out the search within the federal agency domain to obtain information on federal prison and probation services. When no federal agency was available, as in Australia and Germany, we sampled representative jurisdictions indicative of the corrections situation of the country as a whole. After entered the Google Advanced Search terms, we then analysed the first 200 hits for instances of technology enquiry or use. In cases with multiple departments overseeing prisons and probation, we divided the number of hits analysed proportional to the total hits, making a total of 200. In England and Wales for example, 25 hits were analysed from NOMS, 75 from the National Probation Service and 100 from HM Prison Service.
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An International Investigation of Technology in Prison and Probation The following list includes the domains checked for each case: Case Australia Australia Australia Australia California Canada Chile Chile Colorado Colorado Denmark England and Wales England and Wales England and Wales England and Wales Florida France Germany Germany Germany Germany Hong Kong Ireland Mexico Minnesota Netherlands New Zealand Oregon Singapore South Africa Spain Texas US Federal US Federal
State/Territory/Institution Australian Capital Territory New South Wales Western Australia Victoria State Corrections Federal Government Corrections Ministry of Justice State Corrections State Corrections Corrections Prisons Probation NOMS NOMS State Corrections Ministry of Justice Bavaria Hesse North Rhine-Westphalia Saxony Corrections Prisons Federal Government State Corrections Ministry of Justice Corrections State Corrections Corrections Corrections Home Office State Justice Department Prisons Department of Justice
Website domain cs.act.gov.au dcs.nsw.gov.au correctiveservices.wa.gov.au justice.vic.gov.au cdcr.ca.gov csc-scc.gc.ca gendarmeria.cl minjusticia.cl exdoc.state.co.us doc.state.co.us kriminalforsorgen.dk hmprisonservice.gov.uk probation.homeoffice.gov.uk noms.justice.gov.uk noms.homeoffice.gov.uk dc.state.fl.us justice.gouv.fr justizvollzug-bayern.de hmdj.hessen.de justiz.nrw.de justiz.sachsen.de csd.gov.hk irishprisons.ie ssp.gob.mx doc.state.mn.us justitie.nl corrections.govt.nz oregon.gov/DOC prisons.gov.sg dcs.gov.za mir.es tdcj.state.tx.us bop.gov usdoj.gov
c. The analysis of each web page required recording and coding of information and was undertaken using terms of reference to ensure uniformity across all searches in addition to certain classification definitions listed in the following section. We followed a set of basic methodological rules listed below; i) Only record each technology instance. A technology instance is a specific technology used in one time and place or a programmespecific enquiry. Therefore, a report that mentions RFID pilots in 3 locations as part of one programme will be recorded once not three times but three separate pilots will be recorded three times ii) Technology instances should be updated with documentation of 88
Annex 1: Research Methods the latest development stage rather then recorded as a new technology instance. However, it must illustrate that it is regarding the exact same original technology instance iii) Turn off all filter options iv) Do each search in one sitting to avoid order changes between periods v) With repeat or irrelevant pages do not record anything other than relevance score vi) A report that shows multiple technology instances should be recorded as separate entries For each instance of technology use we recorded the web page, the report type, the date of publication, the technology type, the development stage, the technology user, and the technology relationship as well as any direct information about benefits, costs, motivation for adoption and evidence of outcomes. To ensure uniformity of coding, we relied on express definitions of each classification within each field. These definitions are listed in the table below. We did find it necessary to recode some technology types when analysing certain information sets because of the many ways in which we used the rich data. Specifically, we recoded technologies such as videoconferencing that were sub-categories of offender networking in some instances in order to aggregate technologies and show their general rather than specific attributes.
Technology Type: Definition: RFID (radio frequency Specific mention of RFID technology in any form identification) (typically anklet, bracelet, or chip somewhere) Voice biometric identification of user. Typically used Voice Verification Tech. for probation/community sentences. One or two-way video communication in real time Videoconferencing with caller. Used by staff, offender, courts or society. Biometric information use other than VVT and noncomputer-based fingerprinting identification. Must be intended for active use (other than information storage or gathering). Advanced Biometrics Electronic case files for offenders that can be accessed from multiple locations and by different Case Management staff members. Any technology used to inform the location of offenders, not including GPS or RFID tracking or Advanced Surveillance â&#x20AC;&#x2DC;non-intelligentâ&#x20AC;&#x2122; camera technology. Identification of plans for technology-enabling or technology-intensive infrastructure upgrades such as computing capabilities and weight-sensing sally Infrastructure Upgrade ports. Mobile Phone Jamming Technology designed specifically to detect or and Detection neutralise mobile phones and mobile phone 89
An International Investigation of Technology in Prison and Probation
Data-sharing / database Banking purchasing
and
Green technology GPS tracking Contraband detection
Perimeter Security
HRM (Human Resource Management)
Telemedicine E-learning
Offender Network
Access
Automation
to
capabilities. Technologies that centrally collect data and/or allow electronic data access between offices and agencies. Electronic access to account information and/or electronic payment and receipt of funds for use by offenders. Technology designed to address social and environmental effects of operations. Technology that uses satellite tracking to monitor an offenderâ&#x20AC;&#x2122;s physical location (in real or lagged time) Devices used to detect contraband (plastics, drugs, metals, etc) in persons or items. Technology specifically designed to mitigate or detect contraband and people breaching the perimeter of establishments. Back-office technology used to automate or store data regarding personnel, functions, and work processes. This includes work flow management software, automated HRM applications, etc. Technologies that allow medical diagnosis and information to be undertaken and accessed from remote locations. This includes video-visits with health professionals, electronic pharmacies, and medical data-sharing. Electronic access to educational programmes and activities, often but not exclusively online This is a partially-overlapping category that includes all technologies that allow the offender to electronically access services, outcomes pathways, and society. Colour coding was used to allow overlapping classifications. This is a partially-overlapping category that includes all technologies designed to automate activities and functions performed manually by staff. Colour coding was used to allow overlapping classifications.
Technology User:
Offender
Frontline staff Back office staff
The offender is the primary and active user of the technology although staff may be required for the offender to use it. It must primarily assist the offender. Examples include video conferencing with family but not with court. The officer, warden, or probation officer is the primary and active user of the technology particularly when interacting with offenders. Examples include contraband detection, and medical technology. The technology is actively and primarily used by staff who do not typically or regularly interact directly or
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Annex 1: Research Methods
Central office
Society
indirectly with offenders. Examples include human resource management software. Technology used by government staff that reside in an off-site central agency or department such as the government Ministry of Justice. Examples include prison management systems and central HRM databases. Non-offenders in the society are active direct users of the technology (not including any central government office staff). Typically these users include offendersâ&#x20AC;&#x2122; family members and visitors. Examples include video-visit technology.
Relationship Affected:
Offender <--> Society
Offender <--> System
Society <--> System
System <--> System
The technology is designed and employed to mediate the relationship between the offender and society or the society and the offender. The technology is designed and employed to mediate the relationship between the offender and the criminal justice system or the criminal justice system and the offender, typically via frontline staff. The technology is designed and employed to mediate the relationship between people in society and the criminal justice system and the criminal justice system and people in society. The technology is designed and employed to mediate the relationship between two parts or staff members in the criminal justice system.
Development Stage:
Enquiry
To Pilot
Pilot Stage
To Develop
In Use
A report or memo that investigates a specific technology, its applicability, or range of options in the case, or an international/comparative investigation of a technology in other jurisdictions. A specific mention that a technology will be piloted in the case (this does not include recommendations to pilot). Specific proof that a technology is currently or has recently been piloted in the case. One should not infer from the date of the publication that a pilot has occurred or is occurring if the document merely stated a future starting date. Specific mention that a technology, typically following a pilot, will be developed for regular or non-pilot use. This does not include an expanded pilot programme. Proof that the technology is in use and not considered a pilot programme. This may include mention in an annual review, or may simply be a notification of use/best practice publication. Offhand remarks implying that the technology is in use may be included but only if the evidence is beyond 91
An International Investigation of Technology in Prison and Probation
Use and Review
reasonable doubt and is verifiable from an outside source. A report that specifically analyses a current technology that is in use with the aim to provide recommendations for future development or uses. This must not include reviews of technologies considered to be in the pilot stage.
d. The analytical rigour of this approach was tested using three techniques: information triangulation, relevance mapping and theoretical testing. i) Information triangulation consists of substantiating the content discovered during our web census and checking for omissions using other data gathering techniques. Triangulating every claim would be prohibitively time consuming if not impossible. Therefore we test a random sample of our cases and technologies. a) Verification of revealed information â&#x20AC;&#x201C; We first test the degree to which the information revealed on corrections websites and recorded by our web census is truthful and up-todate. To do this, we randomly selected approximately five per cent of all instances of technology recorded (using SPSS software) and cross-referenced their existence and the validity of information provided. Typically this involved Internet searches, phone calls and emails to the case. The goal was to obtain triangulation from a primary source but this proved difficult in practice as emails rarely were returned, therefore secondary sources were obtained. The table directly below shows the results of each triangulation attempt. Technology Triangulated:
Sources Found: GPS for sex offenders in use CNN, USA (US Federal) Today, (http://www.ojp.usdoj.gov/BJA other news /pdf/IACPSexOffenderElecMo outlets nitoring.pdf)
Outcome:
Biometric technology Pilot (US Federal) (http://www.ojp.usdoj.gov/nij/j ournals/253/tracking_print.ht ml)
Confirmed by many mainstrea m news media sources Confirmed n/a by a variety of governmen t sources
NIJ Journal, Homeland Security Digital Library Offender telephone call Other DOJ Confirmed monitoring in use (US web cites but only Federal) within the (http://www.usdoj.gov/jmd/200 DOJ 8justification/exhibit300/bop_it website 92
Suspected Reason for outcome: n/a
Lack of outside verification may be due to the high profile of telephone monitoring and DOJ
Annex 1: Research Methods Technology Triangulated:
Sources Found:
s.pdf) Electronic monitoring in use (New Zealand) (http://www.corrections.govt.n z/news-andpublications/mediareleases/2007-mediareleases/contract-signed-forelectronic-monitoring-ofcommunity-detention.html ) Case Management (IOMS) in use and review (New Zealand) http://www.corrections.govt.nz /news-and-publications/iomsreview-ioms-strategy-to2012/extending-the-life-of-theioms-system-to-2012.html Green tech in Mt Eden Prison in development (New Zealand) http://www.corrections.govt.nz /news-andpublications/magazines-andnewsletters/correctionsnews/2009/corrections-newsaug-sep-2008/new-erabegins-for-130-year-old-mteden-prison.html Prison management system with digital image technology in use (Singapore) http://www.prisons.gov.sg/our _transformation.html
Social Justice journal, electronics websites and blogs
Video-visitation in use (Singapore) http://www.prisons.gov.sg/tele visit.html
Outcome:
Suspected Reason for outcome: incentives not to widely report it. Confirmed There is substantial by a documentation of the variety of contract with S4S by sources specialist websites. (but not all mainstrea m media outlets)
Other governmen t websites, mainstrea m media outlets, specialist media Mainstrea m media outlets in NZ and abroad, governmen t websites
Confirmed n/a including the decision to review the system
Other governmen t websites, specialist technology websites
Confirmed but not by many outside sources
Mainstrea m media, governmen t department s
Confirmed by a variety of sources, but also notes new home use to prison video software Confirmed n/a
E-learning system for staff in Private 93
Confirmed n/a with complete accuracy from a variety of sources
Media in Singapore is somewhat regulated. However, it is unknown why other international sources have not picked up the story. The addition of home-based videoconferencing software was not noted in the web census, and appears to be the first of its kind in the world.
An International Investigation of Technology in Prison and Probation Technology Triangulated:
Sources Found: use (Hong Kong) sector http://www.csd.gov.hk/textonl provider, y/sc_chi/pub/pub_ar/files/200 specialist 4_ch3.pdf technology website Use of solar panels Mainstrea (California) m media http://www.cdcr.ca.gov/News/ 2008_Press_Releases/Oct_9. html Voice verification technology Primary (England and Wales) information http://www.probation.homeoffi ce.gov.uk/files/pdf/Keir%20Ho pley.pdf Electronic tagging with GPS Mainstrea (Spain) m media, http://www.mir.es/DGRIS/Bala private nces/Balance_2001/pdf/balan sector 01_instituciones.pdf providers, academic research New data centre (Chile) News, http://www.gendarmeria.cl/do governmen c/director/DiscursoCuentaPub t lica2007.pdf department s Videoconferencing for court matters (Ireland) http://www.irishprisons.ie/New s2004-02.htm
Access to legal material for inmates through computers (Oregon) http://www.oregon.gov/DOC/P UBAFF/docs/newsletters/aug ust2004_news_online.pdf
Videoconference for court matters (France) http://www.justice.gouv.fr/inde x.php?rubrique=10030&article =12075
Outcome:
Suspected Reason for outcome:
Confirmed
n/a
Confirmed
n/a
Confirmed but without wide account of its use
It may be the case that GPS has just recently been applied widely
Confirmed by Public Procureme nt Agency, but not for media News, third Confirmed sector party (Irish Penal Reform Trust) News, web Though the search software exists, there is no other source confirming its use in Oregon Specialist Confirmed, technology but not for website, many News outside sources
Media may be insufficiently interested in such developments in Chile
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n/a
Because the stage of development was â&#x20AC;&#x2DC;To developâ&#x20AC;&#x2122;, it is likely that no further accounts were given if the implementation has not been fully completed The technology has recently been introduced (Sept 2008) and that may explain the lack of
Annex 1: Research Methods Technology Triangulated:
Sources Found:
Outcome:
Suspected Reason for outcome: more third party information
As can be seen, the first triangulation method widely supports the truth of the information published on institutional websites. Though such information may be out of date in some instances, our sample triangulation results suggest that there is a very low risk of capturing false information through the web census. b) To ensure that our method unearthed the full range of information about technology in each case, we triangulate negative instances of technology use in a sample of four cases. We attempt to find information that suggests the use of technologies in a case that has not been revealed through the web census exercise. To do this we searched trade journals, academic publications, and Internet sources using general reference terms as well as specific technologies that were purported to not exist in the four cases listed below. Out results are listed in the table directly below. 1) Case: US Federal New Cases Source: Discovered: Wireless IPIX http://www.allbusiness.com/ technology crime-law-enforcementcorrections/correctionsprisons/8367672-1.html Direct debit telephone http://findarticles.com/p/artic calling les/mi_qa4137/is_200510/ai _n15742486 RFID http://www.govtech.com/gt/3 12938 2) Case: New Zealand New Techs Source: Discovered: Video conferencing http://www.radionz.co.nz/ne technology pilot ws/stories/2009/02/27/1245 9edaaa2b E-learning offenders
unit
for http://www.corrections.govt. nz/news-andpublications/mediareleases/2008-mediareleases/prisoner-built-elearning-centredelivered.html
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Explanation for Omission: Perhaps too low-profile to be made explicit in web census Not necessarily a â&#x20AC;&#x2DC;newâ&#x20AC;&#x2122; or advanced technology instance Development occurred after web census exercise Explanation for Omission: There is reference to a pilot but no substantiation of this pilot actually occurring This instance was not located through the web census as the source does not use the word technology.
An International Investigation of Technology in Prison and Probation Telemedicine
http://books.google.com/boo ks?id=0GY5lZBY0J8C&pg= PA12&lpg=PA12&dq=telem edicine+new+zealand+priso n&source=bl&ots=NM4zNffj Jl&sig=lejt2mLAv0GyU1Ka NbOsmnJYYAo&hl=en&ei=t wu8SaSYJeDDjAeSl82NCA &sa=X&oi=book_result&res num=2&ct=result
3) Case: Singapore New Techs Source: Discovered: Video visitation with http://www.nete2asia.com/A in-home software and ll%20Pdf/Home/televisit.pdf hardware
This book explains that there have been substantial telemedicine tests and pilots in New Zealand but there is no reference cited. Other sources suggest that this may have been an Australian pilot that included members of the NZ corrections staff. Explanation for Omission: This appears to be a first of its kind technology programme that occurred a few years ago. Although our web census uncovered the use of videoconferencing in Singapore, the omission of these details is an anomaly in our outcome.
4) Case: Spain No new instances of technology use were found This triangulation exercises reveals that there may be some occasional omissions in our data. However, the contrary information found was rarely of the quality or legitimacy necessary to fully believe the source, nor is there any systematic under-reporting that would substantially affect our web census findings. The Singapore omission does illustrate that the web census method is, at times, imperfect. The small number of omissions in such a large data set, however, does appear to be consistent with reporting errors found in most traditional quantitative data sets. ii) To illustrate that analysing the first 200 hits is sufficient to unearth the full range of technology instances, we undertook a relevance mapping exercise during three of our search exercises. Each hit analysed was rated between 1 and 10 on its significance to our search for technology instances. In the figure below we illustrate three of the relevance checks performed that are indicative of the overall picture. Each consecutive hit is aligned on the x-axis below with its relevance rating on the y-axis. This shows that by the end of 200 hits, the relevance has significantly declined and that in fact, there are only a handful of relevant hits after number 100. Such a stark downward trend provides evidence that our web census results are not truncated.
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Annex 1: Research Methods
10 9
Relevance Rating
8 7 6
Canada
5
Texas Florida
4 3 2 1 0 0
50
100
150
200
Hit Number
Figure A.1: Relevance checks iii) Finally, there is also a convincing theoretical argument for the validity of the web census technique. Intuition suggests that there are few motivational drivers to not displaying information about technology innovation, and that it is very difficult to display information that in fact is non-existent. Budget requirements, departmental self-promotion, attempts to spread best practices, and competition for resources all encourage corrections departments to publish information and document publicly their use of technologies, particularly those that are most innovative or expensive. At the same time, the increased vigilance of governmental and nongovernmental actors dissuades departments from publishing information that is misleading or false. While it may be tempting for departments to overate accomplishments slightly, publishing misleading or false information about the use of a technology would not be possible given the degree of public scrutiny. The incentive structure that we encounter would in fact bias our method in favour of revealing best practices that resemble applications to an innovation award scheme like that studied by Borins (2001) and which are seen to be more analytically useful when undertaking best practice research. Effective use of technology is perceived to be an indicator of a government and a departmentâ&#x20AC;&#x2122;s capabilities and viability. Public managers and governments more generally, competing implicitly for resources and praise, and genuinely committed to the spread of best practice would lead them to publish exactly this type of information. The yellow boxes in the matrix below illustrate the type of information
97
An International Investigation of Technology in Prison and Probation that would be revealed through our web census data collection method. If the information is overtly misleading, display would require intricate systems to ensure that it is not discovered to be false, therefore, the simple and utility-maximising solution would be to keep it unpublished. Similarly, if the information is accurate, and particularly if it is positive or innovative it would be utility-maximising to publish the information. Doing good by stealth would not appear logical; if successful effort is put into a technology, utility would naturally be sought from it. Information is displayed Information is misleading
Most difficult to do
Information is not displayed Utility-Maximising
Information is accurate
Utility-Maximising
Doing good by stealth
Figure A.2: Incentives Matrix 3. Fuzzy Set Qualitative Comparative Analysis (fsQCA) The analysis presented in our report is reliant on two critical factors: the accuracy of the data collected; and the calibration we applied to it in performing the fuzzy set analysis. To ensure that both are intellectually robust, we provide in this annex a listing of our data and the reasoning behind the calibration steps we performed. To meet the requirements of qualitative comparative analysis, our work must prove to be both systematic and replicable. By describing our decision making process here and by enabling other researchers to replicate our work with the data provided, we ensure that both of these requirements are fully met. Figures A.3 and A.4 provide summary statistics of our full sets and our methodological approach for defining and calibrating sets are provided thereafter.
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Figure A.3: Summary statistics for rehabilitation focus of case
Figure A.4: Summary statistics for technology of case 8. Defining and Calibrating Sets: We define and calibrate our sets in a way that allows us in most cases to have a membership score provided by quantitative proxies. Beginning with these data, we apply qualitative analysis to define cut-off points and then systematically challenge the placements that are given. Where there is ample evidence to suggest that the proxy scoring is not fully representing the membership score, we justify recalibration. Below we list the set definitions and each proxy source: 1. HIST: describes the historical commitment of a case's criminal justice system to rehabilitating offenders. It is measured through the case's average prison detention rate, or the rate of offenders per 100,000 of the total population, over the past ten years. 99
An International Investigation of Technology in Prison and Probation 2. ASPIR: describes the policy aspirations of a case to rehabilitating offenders, which may have only recently been implemented and not fully realised. It is measured through the case's trend in its prison detention rate over the past ten years with consideration for its current detention rate. We look at three three-year time periods, taking the average change in detention rates over the three periods, thereby taking into account fluctuations within the last ten years as well as the overall change. 3. VIS: describes the commitment of the corrections department of each case to rehabilitation. It is measured through a systematic evaluation of the mission and vision statements of the departments, looking at two factors: the presence of a declared commitment to rehabilitating offenders; and the level of prominence given to rehabilitation in relation to other objectives, often illustrated explicitly in the correction departmentsâ&#x20AC;&#x2122; operating framework. 4. CUL: describes the commitment of society to rehabilitation vis-Ă -vis penal populism. We draw from a variety of areas, including a case's political rhetoric, human rights commitments, key performance indicators, web census findings and academic sources. By using quantitative measures as a baseline, we draw on a range of sources to create a more accurate and full basis for scoring of each case's popular and political cultural commitment to rehabilitation. 5. USER: describes the extent to which each case has adopted technologies that are actively used by offenders and society, rather than exclusively used by staff. Results from our web census are used with attention given to the number of technologies in use by offenders and society and their proportion in relation to the total number of technologies used or considered. 6. RELA: describes the extent to which each case has adopted technologies that facilitate relationships between offenders and society or the criminal justice system and society. Again results are obtained from web census data and calibrated in accordance with the number of technologies in use mediating relationships with society and their proportion in relation to the total number of technologies used. 7. C-NOM: describes the extent to which offenders are contingently networked to society and pathways out of re-offending. We calibrate each case based on its use of technologies that are inherently useful in the context of C-NOM: videoconferencing, e-learning, offender banking, and the overall number of technologies actively being used to network offenders. Again the results from our web census are used. 9. Application of Comparative Qualitative Analysis is often a difficult methodological process to document. However, we provide transparency by showing the initial proxy scores of each case, the set definition that was ultimately recorded, and provide justification for any changes. 1. HIST: The prison population rates are gathered from the International Centre for Prison Studies and US Bureau of Justice
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Annex 1: Research Methods Statistics consistent with our case profiles. Thresholds of 90 (In), 136 (Neither), and 300 (Out) were determined based on international comparisons. With several countries in Europe having prison population density rates below 90, the threshold represents the highest standards of rehabilitation focus. Similarly, 300 was deemed appropriate for full non-membership because the political and economic costs of maintaining such large numbers of inmates requires concerted focus on punishment above fiscal, social or political goals. We used the sample median of 182 as the crossover point. Cases that were closer to either threshold than to the crossover point were considered more in than out or more out than in. HIST: Prison population density rates as a proxy Case 2007-08 Calibration Denmark 62 1 Ireland 81 1 Germany 92 0.75 France 96 0.75 0.75 The Netherlands 110 Canada 116 0.75 0.75 Australia 129 England and Wales 148 0.5 Hong Kong 157 0.5 Spain 160 0.5 0.5 Minnesota 176 New Zealand 188 0.5 Mexico 193 0.5 Singapore 267 0.25 0.25 Chile 276 South Africa 336 0 Oregon 367 0 Colorado 469 0 0 California 475 Florida 509 0 Texas 683 0 US Federal 756 0
Verbal Label In In More in than out More in than out More in than out More in than out More in than out Neither Neither Neither Neither Neither Neither More out than in More out than in Out Out Out Out Out Out Out
2. ASPIR: We used the same data sources as above but for three year periods between 1998 and 2008. Thresholds were set at -7 per cent and 7 per cent changes. We believe that a criminal justice system has the ability to dramatically change prison population rates in either direction, as demonstrated by several of the cases below. For example, Singapore achieved an almost 32 per cent reduction between 2004 and 2007 after a decade of dramatic increases. A crossover point of 0 per cent was chosen with the understanding that no change in offender population reflects neither an increase or decrease in rehabilitate focus, whereas a focus on either rehabilitation or punishment suggest an iterative process whereby achievements in either direction are consistently made. There were large quantitative differences that suggested and were confirmed to relate to qualitative differences. A 5 per cent cut of point was
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An International Investigation of Technology in Prison and Probation chosen based on a natural break in both trend and prison population density rates, pointing to both a substantial quantitative and qualitative difference. As is apparent from the table below, several cases were recalibrated either into lower or higher categories. Texas, for example, had a reduction in its prison population density over the 10-year period. However, due to its comparatively high prison population, a reduction of close to 2 per cent is entirely insignificant and more indicative of a lack of serious rehabilitative focus given its high starting point. Germany on the other hand achieved a reduction in prison population rate of only 1.3 per cent. However, given its comparatively low prison population density, the change in rate is indicative of a focus that is more rehabilitative than neither in nor out of the rehabilitation aspiration set. ASPIR: slope of prison population density rates over the last ten years as a proxy 2007Trend Verbal Case 1998 2001 2004 08 (%) Calibration Label More in than Hong Kong 184 179 186 157 -4.8 0.75 out More in than South Africa* 387 409 333 336 -4.0 0.75 out More in than Singapore 312 359 392 267 -2.5 0.75 out More in than Canada 126 117 108 116 -2.5 0.75 out More out Texas 724 711 694 683 -1.9 0.25 than in More in than Germany 96 98 98 92 -1.3 0.75 out California 483 453 456 475 -0.5 0.5 Neither More in than Denmark 64 59 70 62 -0.2 0.75 out More out US Federal 669 685 723 756 4.2 0.25 than in More out Florida 447 437 486 509 4.6 0.25 than in Ireland 71 78 76 81 4.6 0.5 Neither France 86 75 92 96 4.7 0.5 Neither More out England and Wales 126 127 141 148 5.6 0.25 than in More out Australia 107 116 120 129 6.5 0.25 than in Colorado 357 391 438 469 9.5 0 Out New Zealand 143 152 160 188 9.7 0 Out The Netherlands 85 95 123 110 10.2 0 Out Spain 114 117 138 160 12.2 0 Out Oregon 260 327 365 367 12.6 0 Out Mexico 133 164 183 193 13.5 0 Out Minnesota 117 132 171 176 15.1 0 Out Chile 181 225 238 276 15.4 0 Out
*South Africa data from one year after years shown 3. VIS: Our methodology for rating the mission and vision statements of individual cases is based on the belief that these statements
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Annex 1: Research Methods serve a specific purpose in signalling to all stakeholders the objectives of each corrections department, including staff, political actors and the public. We calibrated each case based on specific commitments to offender rehabilitation or reductions in re-offending rates and the prominence given to rehabilitation in relation to other declared objectives, such as punishing offenders. For example, the mission statement of HM Prison Service in England and Wales reads: “Her Majesty's Prison Service serves the public by keeping in custody those committed by the courts. Our duty is to look after them with humanity and help them lead law-abiding and useful lives in custody and after release.” Although a commitment to rehabilitation is given in the reference to helping offenders “lead law-abiding and useful lives in custody and after release”, the reference is not explicit or particularly prominent, leading us to conclude that England and Wales do not merit full membership of the mission and vision statement rehabilitation set. However, it is clear that a commitment to rehabilitation is present and that England and Wales is not fully out of the set either. The same methodology was independently followed by each team member for each case with a clear consistency in the lack of ambiguity in calibrating each set. The mission and vision statements of each case are provided in Annex 2. 4. CUL: As noted in the body of our report, relying solely on quantitative indicators of a case’s cultural and political commitment to either rehabilitation or punishment is largely futile as indicators can often provide contradictory characterisations. We were therefore required to pull from a variety of sources and make qualitative judgements based on our in-depth knowledge of each case. Having between ourselves spent hundreds of hours searching corrections web sites to compile the web census, undertaken a thorough literature review, analysed numerous criminal justice indicators such as the longitudinal data available in the United Nations Survey of Crime Trends and Operations of Criminal Justice Systems report, and spoken to a number of experts, we are as well qualified to calibrate each case as any expert. We began by determining clear In and Out thresholds, then the crossover case, which were typically unambiguous, and consensus was then reached between the three of us. We next challenged each other to defend the calibrations assigned to each case and again reached consensus through evidence-based debate. To finalise disputes we often invited other colleagues to discuss the qualitative distinctions made.
5. USER: In the following three sets, results from our web census were used to calibrate each case’s membership level. Less emphasis was based on external qualitative judgements, and we instead relied on natural and pronounced breaking points in the data, specifically technology type count, and when necessary
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An International Investigation of Technology in Prison and Probation percentage was included in calibration decisions. Our calibrations proved to be uncontroversial due to the marked quantitative changes in the data. For this set, the percentage of offender and society technology users in Singapore was considered high enough to warrant its inclusion as a full member of the set. USER: Technologies used by offender and society (percentage and total) as proxies Case Count Percentage Calibration Verbal Label 26.67 1 In Florida 10 66.67 1 In Singapore 5 Australia 5 35.71 0.75 More in than out 25.00 0.5 Neither England and Wales 4 Oregon 3 37.50 0.5 Neither 22.22 0.5 Neither France 3 New Zealand 3 14.29 0.5 Neither 13.33 0.5 Neither US Federal 3 Ireland 2 22.22 0.25 More out than in 20.00 0.25 More out than in Minnesota 2 California 2 18.18 0.25 More out than in Spain 2 16.67 0.25 More out than in Canada 2 15.38 0.25 More out than in Hong Kong 2 15.38 0.25 More out than in 10.00 0.25 More out than in Texas 2 Colorado 1 25.00 0.25 More out than in Chile 1 14.29 0.25 More out than in Denmark 1 11.11 0.25 More out than in 0.00 0 Out The Netherlands 0 Mexico 0 0.00 0 Out South Africa 0 0.00 0 Out Germany 0 0.00 0 Out
6. RELA: The same methodology described above was used in this set. Again, natural breaking points were used in establishing calibration cut offs and the crossover point. RELA: Number and percentage of technologies that mediate the Offender <--> Society relationship as proxy Case Count Percentage Calibration Verbal Label Florida 6 26.67 1 In Singapore 3 50.00 0.75 More in than out Oregon 2 25.00 0.5 Neither France 2 22.22 0.5 Neither New Zealand 2 14.29 0.5 Neither Australia 2 14.29 0.5 Neither Ireland 2 11.11 0.5 Neither England and Wales 2 8.33 0.5 Neither Chile 1 14.29 0.25 More out than in Denmark 1 11.11 0.25 More out than in Minnesota 1 10.00 0.25 More out than in Texas 1 10.00 0.25 More out than in 9.09 0.25 More out than in California 1 Canada 1 7.69 0.25 More out than in
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Annex 1: Research Methods Hong Kong South Africa Spain US Federal Mexico The Netherlands Germany Colorado
1 0 0 0 0 0 0 0
7.69 0.00 0.00 0.00 0.00 0.00 0.00 0.00
0.25 0 0 0 0 0 0 0
More out than in Out Out Out Out Out Out Out
7. C-NOM: This set also uses data gathered from our web census. We identify the technologies most illustrative of the C-NOM vision: videoconferencing; banking and purchasing; offender-networking; and e-learning. Our in-depth analysis of these technologies in practice confirms that they enable significant examples of networked access for offenders. Scores between 0 and 6 represent the level of development of each technology type in each case, with 5 and 6 representing that the technology is in use or in use and review. Calibrations were made based on the number of technologies in use in each case, with natural breaks used between calibration points. C-NOM: Number of technologies in use that are indicative of C-NOM In Calibration Case Video Banking O.N. Learn Use Singapore 5 5 5 5 4 1 5 5 5 4 1 Florida 5 California
4
5
5
5
3
0.75
Australia
5
5
5
4
3
0.75
USA (federal)
5
0
5
5
3
0.75
Hong Kong
5
0
5
5
3
0.75
Texas France Minnesota Oregon Canada England and Wales Denmark
5 5 2 1 1 5 0
0 0 0 0 0 0 0
5 5 5 5 6 5 5
5 4 6 5 6 1 5
3 2 2 2 2 2 2
0.75 0.5 0.5 0.5 0.5 0.5 0.5
Spain
4
0
5
0
1
0.25
Ireland
5
0
1
0
1
0.25
Colorado
5
0
0
0
1
0.25
New Zealand Germany Chile Mexico South Africa Netherlands (The)
0 0 0 0 0 0
0 0 0 0 0 0
5 0 0 0 0 0
0 0 0 0 0 0
1 0 0 0 0 0
0.25 0 0 0 0 0
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Verbal Label In In More in than out More in than out More in than out More in than out More in than out Neither Neither Neither Neither Neither Neither More out than in More out than in More out than in More out than in Out Out Out Out Out
An International Investigation of Technology in Prison and Probation
4. Synergies Mapping: We seek to illuminate the synergies that exist between technologies. One method may be to use intuition to show these synergies. For example, we could show that database capabilities are necessary for effective electronic case management. However, we believe that our client, EDS, is the expert in this respect. We can add knowledge value by illustrating the synergies that exist in practice. To do this we use a less advanced version of a technique common in academic studies of connectedness between corporate boards (see for example Hamdouch 2008; Vishwanath and Chen 2009). This technique is adopted from advanced practices used by private sector search engine services such as Google to document the connectedness and importance of websites. We cross tabulate the 19 technology types with each other. For example, we calculate how many cases have RFID in use and videoconferencing, database, advanced surveillance, advanced biometrics, etcâ&#x20AC;Ś then how many cases have video conferencing and database, advanced surveillance, advanced biometrics, etcâ&#x20AC;Ś This is a very simple process and also a quite basic one but it provides original and useful data. It illuminates only the relative number of cases that employ certain combinations of technologies. If we had included handcuffs in our technology coding, it would have likely appeared the most connected. This is because there are many other drivers of technology adoption other than strategic relationships. Nonetheless, we believe that these summary findings at least provide useful and interesting data about potential synergies. The results from our cross tabulations are available in Figure A.3. The cross tabulations were summed to create a full map of the synergies. These numbers, presented in the table 4.3 were then used to create the map in the report. Technologies with between 3 and 4 cross tabulations were drawn with a thin line, 4-7 were drawn with a medium width line, and 8 and above were drawn with a wide width line. These lines were then given scores of 1, 2, and 3 respectively, and the sums of connections were recorded in the connectedness table presented in the report.
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Figure A.5: Cross tabulation 5. Web site capabilities survey: Each Case Profile includes a web site capabilities survey. This survey was undertaken in the methodological but simple manner of going to each corrections website included in the web census and browsing the capabilities as any lay user would do. We informally agreed to investigate only up to two sub-pages away from the homepage but would investigate further where there was evidence of capabilities a few clicks away. This is in many ways an informal methodology but it is designed to illustrate the capabilities clearly available to the lay audience. Capabilities were described as any digital access or portal to information that a lay member of the public, such as a friend or family member of an offender, might reasonably seek. This would naturally include information about an offenderâ&#x20AC;&#x2122;s location, the ability to send him or her messages and money, or even to access offender case records.
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Annex 2 Case Profiles The 22 following case profiles provide detailed information about the criminal justice systems and their use of technology. Data is drawn from a number of sources described in each grey box below.
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Australia DOJ Corrections Victoria Mission Statement1 To deliver a safe and secure corrections system in which we actively engage offenders and the community to promote positive behaviour change. Statistics Population Prison population (2008) Number of establishments (2004) Re-offending rate (2006)2 Demographics Female offenders
27,615
Prisoner density
129
124 38%
Occupancy Level (2000) Staff/Offender rate
105.9% n/a
7.1%
Foreign offenders Juvenile, minor and young offenders (<18)
20.1% 0.1%
Cost Total expenditure As a % of GDP
US$2.5 billion3
Cost per inmate per day
n/a
Graphs
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n/a
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Synthesis Australia has a number of private sector prisons built in the 1990s to replace aging prison estates. A rising immigrant population is increasing strains on the system and overcrowding is acute, and new building programmes are currently being discussed. Australia has taken a leading role in the development of biometric technologies. Technology Development Case management technologies: o E-case management, mobile technology in community sentences (in partnership with Syscon Justice Systems Canada), and risk-assessed workload model (NSW) Data sharing and database: • IT facility management services (NSW) and new computer system as a part of the Criminal Justice Enhancement Project (Victoria) Biometrics: • Hand, iris or fingerprint scanning for visitors; and scanning social visitors (WA) • In Acacia Prison (WA) Smart Cards allow inmates to move freely within the prison • Iris-scan is also used in Acacia for dispensing methadone Green Technology: • A waste water treatment plant is in used in Western Australia Videoconferencing: • Video legal interviews and professional interviews facilitating court procedures • Videoconferencing used for family video visits (NSW) and for the parole board and corrections in Victoria E-learning: • ‘Learndirect’ is based on a system-wide Intranet, with a firewall between it and the Internet. Offenders have access to online learning and opportunities for computing skill development. The appointment of a ‘download chief’ to censor but give access to appropriate internet documents operates as a ‘human firewall’ for prisoners. Banking and purchasing: • A secure transactional environment for offenders, and banking and purchasing electronically (WA) Other technologies: • Duress alarm for staff Website Facilities • Limited
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California California Department of Corrections and Rehabilitationâ&#x20AC;&#x2122;s Mission Statement4 We enhance public safety through safe and secure incarceration of offenders, effective parole supervision, and rehabilitative strategies to successfully reintegrate offenders into our communities. Statistics Population
Prison population (2008) Number of establishments Re-offending rate5 Demographics
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate
160,000 90 54%
Female offenders
6.7%
Foreign offenders Juvenile, minor and young offenders
468 100+% 1/3.25 n/a n/a
Cost Total expenditure6
US$9.7 billion
As a % of GDP
0.54%
Cost per inmate per day (2008)7
Incarceration Rate Trend California
0
Prison Population Rate 500
Graphs
1990
1995
2000
2005
Year Source: Sourcebook of Criminal Justice Statistics 2006
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US$97
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Synthesis California has the nation’s largest offender population after the federal government, increasingly acute overcrowding and severe cost overruns. These have led to the implementation of a new infrastructure plan with a focus on secure re-entry facilities and small correctional centres in local communities, a marked contrast with past policies8. Court-imposed human rights orders have created pressure for widespread reform.9 California is a world leader in the development of GPS tracking as a result of legally mandated investments to monitor sex offenders. Technology Development GPS Tracking: • Advanced system, streaming information to a number of authorities, to keep sexual offenders in restricted zones and alert violations by phone or email IT development: • To effectively deliver an integrative plan of rehabilitation (OARP) based on staff interaction at very different stages aiming to keep continuity or capacity to work collaboratively on services for the offender10 Data-sharing: • Since 1997, an award-winning system called LEADS is used to share information with the police about offenders on probation • CalParole is a web-based platform that can be accessed remotely by the police Green technology: • Installation of solar panels is expected to save $3.2 million annually Contraband detection: • Rapid Scan X-Rays • See-through TVs used to minimise storage of contraband Banking and purchasing: • The Trust Restitution Accounting Canteen System (TRACS) replaces three obsolete applications, helps victims receive restitution and is thought to be used state-wide Videoconferencing: • E-learning to deliver programmes to staff Website Facilities • Information and link for sending money to an inmate • Information on how to locate an inmate by phone
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Canada Correctional Service Canadaâ&#x20AC;&#x2122;s Mission Statement11 As part of the criminal justice system and respecting the rule of law, contributes to public safety by actively encouraging and assisting offenders to become law-abiding citizens, while exercising reasonable, safe, secure and humane control. Statistics Population
Prison population (2008) Number of establishments Re-offending rate12 Demographics Female offenders
Prisoner density (rate per 100,000 population) Occupancy Level (2005) Staff/Offender rate13
38,348 172 34% 5%
116 91% 1/2.17
Foreign offenders Juvenile, minor and young offenders (<18)
n/a 5.7%
Cost per inmate per day15 (2006)
US$211
Cost Total expenditure14
US$1.8 billion
As a % of GDP
0.12%
Incarceration Rate Trend Canada
0
Prison Population Rate 50 100 150
Graphs
1990
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
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Synthesis Canada’s correctional service is a federal agency that enforces sentences over two years, managing one third of the total offender population in Canada. Canada proactively assesses technology but has been reluctant to adopt many options for fear that they will interfere with its people-focused rehabilitation programme. Considering its proximity to the US, Canada has impressively resisted penal populist pressures by maintaining a low offender population and a rehabilitation focus. Technology Development GPS Tracking: • Used for community sentences • Used for probation officers’ mobile phones for security purposes Case management: • OMS is a web-based assessment system and database that monitors offenders' progress in rehabilitation from end-to-end, including probation Data sharing: • InfoPol shares information with the police about offenders • A national database stores information about all prison visitors C-NOM technology: • Parole2000 allows inmates limited access to the Internet, providing them with the opportunity to understand the advancement in information technology and assist them in their reintegration process. At the completion of this programme, inmates are referred to a job within the labour market and so far there has been an 85 - 90% success rate. E-learning: • Pilots have been undertaken but they believe a teacher is vital to all learning, even if delivered over the net, and there should always be an instructor in the room Videoconferencing: • Used for staff functions Website Facilities • Online form for general enquiries • Availability of forms to be printed and filled out by hand then sent to the institution (transfer request, private visit application, common-law union declaration) • Online Consultation on the Relocation of the Ottawa Parole Office
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Chile Gendarmeria de Chileâ&#x20AC;&#x2122;s Mission Statement16 Contribute to a safer society, ensuring the effective implementation of preventive detention and deprivation of freedom or restriction of those who courts determine; providing for those affected to be treated with dignity, according to their human being condition; developing rehabilitation social programs and seeking to reduce the chances of a repeat offense. Statistics Population
Prison population (2008) Number of establishments (2004) Re-offending rate (2005)17 Demographics Female offenders
50,230
Prisoner density (rate per 100,000 population)
297
149 +50%
Occupancy Level Staff/Offender rate
155% n/a
7.8%
Foreign offenders (2004) Juvenile, minor and young offenders
3.4% 0%
Cost US$358 million
18
Total expenditure As a % of GDP
Cost per inmate per day (2008)
0.2%
Incarceration Rate Trend Chile
0
Prison Population Rate 100 200 300
Graphs
1990
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
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US$919
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Synthesis Chile has one of the largest offender densities in Latin America. It is also a regional leader in privatising the construction and operation of new prisons. As a result, the country has adopted new technologies that focus almost entirely on cost-reduction.
Technology Development Infrastructure upgrade: • A PFI initiative for the construction and management of 16,000 new places in ten modern prisons with total public investment of $280 million • A refurbishment program that was led by the implementation of a new Youth Crime Law Advanced surveillance and contraband detection: • Package of standard new technologies required by contract with private providers: x-ray detection system for entrance of parcels; metal detection (Silla BOS); drug and explosive detection system; wireless communication blocking; central door locking; and digital CCTV Automation and info-sharing: • DNA register of offenders using a system called CODIS that it is used by the FBI in US • Fingerprint database of all offenders to share with the police and the Prosecutor Office in pilot stage Other technologies: • Digital radio communication for staff • Electronic signature for pre-sentencing reports Website Facilities • Limited
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Colorado Colorado Department of Correctionsâ&#x20AC;&#x2122; Mission Statement20 The missionâ&#x20AC;Śis to protect the public through effective management of criminal offenders in controlled environments which are efficient, safe, humane, and appropriately secure, while also providing meaningful work and self-improvement opportunities to assist offenders with community re-entry through pro-social stabilization. Statistics Population
Prison population (2008) Number of establishments Re-offending rate (2007)21 Demographics
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate
23,147 24 49.7%
Female offenders
10%
469 98% n/a 53%22
Foreign offenders Juvenile, minor and young offenders (<18)
0.98%
Cost per inmate per day (2007)24
US$79
Cost US$761 million
Total expenditure23 As a % of GDP
0.32%
Incarceration Rate Trend Colorado
0
Prison Population Rate 500
Graphs
1990
1995
2000
2005
Year Source: Sourcebook of Criminal Justice Statistics 2006
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Synthesis Colorado has a steadily increasing prison population (604% increase since 1980) and commensurate costs. In the 1990s an extensive building programme was initiated but the mounting costs are leading to widespread concern and political rethinking. 25 Rehabilitative technology, now completely absent, may attract increased attention. Technology Development GPS tracking: • Electronic surveillance for probation and community sentences Contraband detection: • ION scan for drug detection Videoconferencing: • Termination review for sex offenders is available via Tele-video • Video is also used for administrative reviews of sex offenders on probation Website Facilities • Service of inmate localisation CDOC/inmate locator • Electronic Fund Transfers to Offenders (EFT)
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Denmark Kriminalforsorgen Mission Statement26 We will help to reduce crime through targeted, effective and meaningful activities for the criminals. We must organize our activities so that the criminals have the opportunity to develop responsibility, self-esteem, confidence and skills, and so they are encouraged and motivated to a life without crime. Statistics Population
Prison population (2008) Number of establishments Re-offending rate 27 Demographics
3,448 50 42%
Female offenders
4.4%
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate Foreign offenders Juvenile, minor and young offenders (<18)
63 90.5% n/a 22.5% 0.3%
Cost US$170 million
Total expenditure28 As a % of GDP
Cost per inmate per day
n/a
Graphs
Prison Population Rate 0 20 40 60 80
Incarceration Rate Trend Denmark
1990
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
120
US$166 29
An International Investigation of Technology in Prison and Probation
Synthesis Denmark has one of the lowest incarceration rates in Europe and the lowest reoffending rate of 27 per cent in 2003.30 Society and courts support rehabilitation and many of the prisons, especially the most recent, are well-designed and managed to encourage rehabilitation. The overriding concern of corrections is to create an environment that mirrors ordinary life.31 The emphasis on personal interactions may explain the limited use of some technologies. Technology Development Database: • Data-sharing32 • Oracle database, intranet33 Case Management: • Planning and dialogue sharing • Client Management System34 Contraband detection: • Ion scanners and urine tests35 • Hand-held mobile phone detectors36 RFID • Electronic tagging37 38 E-learning • E-learning via the web39 Infrastructure upgrades: • Very large public modernisation investment programme40 Website Facilities • Limited
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England and Wales HM Prison Serviceâ&#x20AC;&#x2122;s Mission Statement41 Her Majesty's Prison Service serves the public by keeping in custody those committed by the courts. Our duty is to look after them with humanity and help them lead law-abiding and useful lives in custody and after release. Statistics Population
Prison population (2009) Number of establishments Re-offending rate (2007)42 Demographics Female offenders
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate (2004)
82,240 140 55.5% 5.2%
Foreign offenders Juvenile, minor and young offenders (<18)
151 110% 1/1.66 13.8% 2.7%
Cost Total expenditure
US$3.8 billion
As a % of GDP44
0.19%
43
Cost per inmate per day
Incarceration Rate Trend England and Wales
0
Prison Population Rate 50 100 150
Graphs
1990
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
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n/a
An International Investigation of Technology in Prison and Probation
Synthesis The UK has witnessed an increased penal populist culture over the last 15 years with commensurate increases in prison populations and costs, resulting in severe overcrowding. Despite some interest in rehabilitation, there has been no wholehearted embrace of rehabilitative technologies and outcomes. The creation of NOMS, however indicates a renewed focus on rehabilitation. Technology Development Database/Data Sharing: • Violent and Sex Offender Register (ViSOR), as a tool for intelligence sharing and assessing and managing risks to staff and the public 45 • HRM technologies create greater standardisation in hiring processes, spread best practice and provide a much richer dataset to target future improvements in race equality46 Case Management: • OASys is a tool to assess an offender’s likelihood of re-offending and the risk of harm to others they present 47 • C-NOMIS (database) aimed to integrate prison and probation services’ information, supporting the entire offender life-cycle across probation and prison48 • XHIBIT Portal is a computer system which allows authorised users from criminal justice organisations to share detailed Crown Court hearing information sent from XHIBIT49 Videoconferencing: • Video Links (PVLs), over 50 facilities using prison video link50 • Web Cam for foreign national women support51 • Video Messaging (to families) at HMP The Verne52 Green Technology: • Solar energy water heating system at Cardif 53 GPS Tracking: • Used for probation worker safety54 • Used for community sentences, post-release55 Other technology: • Voice recording (storybook Dads)56 Website Facilities • Instructions on how to find out where an inmate is • Tailored information for relatives and fiends of an offender
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Florida Florida Department of Correctionsâ&#x20AC;&#x2122; Mission Statement57 To protect the public safety, to ensure the safety of Department personnel, and to provide proper care and supervision of all offenders under our jurisdiction while assisting, as appropriate, their re-entry into society. Statistics Population
Prison population (2007) Number of establishments Re-offending rate (1999)58 Demographics Female offenders
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate
92,844 137 33.2% 7.1%
Foreign offenders Juvenile, minor and young offenders
507 1/7.43 n/a n/a
Cost Total expenditure59
US$2.8 billion
As a % of GDP
0.38%
Cost per inmate per day (2008)60
Prison Population Rate 0 200 400 600
Graphs
1990
Incarceration Rate Trend Florida
1995
2000
2005
Year Source: Sourcebook of Criminal Justice Statistics 2006
124
US$53
An International Investigation of Technology in Prison and Probation
Synthesis Florida has the nation’s third largest prison population and an increasing offender density despite lower than average re-offending rates. It has many private prisons and has over the years, focused aggressively on cost savings. Financial pressures have led to the implementation of extraordinary amounts of technology and many that have inadvertently improved offender outcomes. Technology Development Data-Sharing: • Mobile Data Access System provides real time updates on offenders to officers both in the office and out in the field via laptop (includes GPS updates)61 • Offender Based Information System (OBIS)62 • Public Access to Inmate Records through a web-bases information system63 • SAS technology keep records of information about 1.2 million criminal offenders and 2.3 million court sentences, providing officials and managers with the insight needed for both immediate and long-term management decisions64 • Visitation system computerises the developing of visitors lists and tracking visitation contacts65 Videoconferencing: • Allows incarcerated mothers in two rural central Florida institutions to have weekly family visits using high-speed videoconferencing technology66 Biometrics: • Hand geometry for visitors67 Bank and purchasing: • Cashless Canteen/Inmate Bank System68 E-learning: • Corrections Distance Learning Network has meant that the department has become a national leader in prison education solutions for the 21st century69 • CD-Rom technology as a support for educational purposes70 Contraband detection: • Ion Mobility Spectrometry71 Website Facilities • Offender Search Service • On line Victim Notification Form • Web form to submit tips about absconders • Email for form requests • Virtual Tours
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France Direction de l'Administration PĂŠnitentiaire In its contribution to the overall goal of public safety, the prison administration has a dual mission: surveillance of persons placed in police hands of justice and for their rehabilitation. Statistics Population
Prison population (2008) Number of establishments (2002)
Prisoner density (rate per 100,000 population)
59,655 185
Occupancy Level Staff/Offender rate (2004)72
Re-offending rate Demographics Female offenders (2007)
3.7%
Foreign offenders (2007) Juvenile, minor and young offenders (<18)
96 118% 1/2.14 19.2% 1.10%
Cost Total expenditure
US$3.3 billion
As a % of GDP
0.11%
Cost per inmate per day
Prison Population Rate 0 50 100
Graphs
1990
Incarceration Rate Trend France
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
126
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Synthesis French prisons have faced overcrowding for many years and the former annual pardoning of large numbers of offenders has been recently eliminated by President Sarkozy, exacerbating the problem. The European Commission and French doctors have criticised France for health and human rights concerns at its over-crowded establishments. Its court system, however, appears to be initiating technology adoption throughout the system. Technology Development Videoconferencing: • For audience with offender, sentencing, parole decisions73 Offender access to network: • Access to rights' points in prisons, and 'houses of justice and rights'74 • Some inmates allowed to communicate with the outside world via email75 E-learning: • IT is used as a part of inmates’ educational programmes. Offenders to eventually have access to their judicial records.76 Infrastructure upgrade: • An IT upgrade has been implemented since June 200777 GPS Tracking: • Electronic bracelet for offenders on probation78 Data-sharing: • Digitalisation of penal procedures for lawyers79 • Online transmissions form to courts80 • Electronic identification and registration of offenders81 Surveillance, • Activity security in high-security prisons to protect staff and lower the possibility of escape82 • Mobile electronic surveillance83 Website Facilities • Limited
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Germany Bavarian Prison Law The execution of imprisonment serves to protect the public. It will enable the offenders, the future of social responsibility in a life without crimeâ&#x20AC;Ś [Authorities must ensure] custodial sentences can lead the offenders in front of a relapse into delinquency and to preserve him for a future life in a social responsibilityâ&#x20AC;Ś[and] in all measures including the safety of law-abiding people in mind and to ensure that the public from further crimes is protected. Statistics Population Prison population (2008) Number of establishments
73,203 195
Re-offending rate Demographics
n/a
Female offenders
5.3%
Cost Total expenditure
n/a
As a % of GDP
n/a
Prisoner density Occupancy Level Staff/Offender rate (2004)84 Foreign offenders (2006) Juvenile, minor and young offenders (<18) Cost per inmate per day
Incarceration Rate Trend Germany
0
Prison Population Rate 50 100
Graphs
1990
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
128
89 92% 1/2.13 27% 4.2% n/a
An International Investigation of Technology in Prison and Probation
Synthesis The German criminal justice system has been classified as ‘conservative corporatist’,85 and each regional prison system varies slightly. Generally they have a relatively low incarceration rates and have not experienced the recent growth in offender populations witnessed in other countries. The prisons are known to be ruleoriented and somewhat authoritarian. Technology Development In Bavaria, • Protective wall, inner security ring, video sensors86 In Saxony, • Infrastructure upgrade as part of a new wing in prison87 Website Facilities • Limited
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Hong Kong Correctional Services Department88 As an integral part of the Hong Kong criminal justice system, we detain persons committed to our custody in a decent and healthy environment, and provide comprehensive rehabilitative services in a secure, safe, humane and cost effective manner, so as to enhance the physical and psychological health of offenders, protect the public and help reduce crime. Statistics Population
Prison population (2008) Number of establishments Re-offending rate89 Demographics Female offenders
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate
10.434 28 n/a 20%
143 99% n/a
Foreign offenders Juvenile, minor and young offenders (<18)
34.3%
Cost per inmate per day91
US$74
3.2%
Cost US$335 million
Total expenditure 90 As a % of GDP
0.15%
Graphs
Prison Population Rate 0 50 100 150 200
Incarceration Rate Trend Hong Kong
1990
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
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An International Investigation of Technology in Prison and Probation
Synthesis Despite decreasing prison populations, many female prison establishments have been operating at close to 150 per cent occupancy and has led to the commissioning of large high-tech prisons.92 The technology-focused corrections department embraces a rehabilitation focus but it is less clear exactly what conditions exist inside the prisons since the return of Hong Kong to China. Technology Development Data sharing: • Major computerisation project of Penal Information Management System (PIMS) under which all institutions are being merged together into one Wide Area Network through fibre optics and frame relay of asynchronous transfer mode93 Videoconferencing: • Used for both visits and legal purposes, the Video Visit Scheme has been used since 2001 with video links for visits of remand prisoners by lawyers94 Advanced surveillance: • Includes electronic optical devices, electronic security locks, intrusion detection and video-electronic gate system95 • Estimated expenditure for introducing advanced surveillance technology is about $9.5 million in 2007-08 and $25.3 million in 2008-0996 Case management: • Penal Electronic-workflow Management System (PEMS), which is a pilot test of the electronic workflow management concept and technology and will set the blueprint for automation of penal administration processes. Two institutions were installed with PEMS for trials in 2003.97 E-learning: • Used for staff as a way to provide permanent time-saving, convenient and cost-effective methods to complement traditional learning98 GPS tracking: • For transport of offenders99 Green technology: • Solar panels as part of a wider strategy100 Other technologies: • Multimedia educational centre as part of a purpose-built penal facility that also includes vocational training workshops and a parent-inmate centre101 Website Facilities • MP3 upload service of musical items performed by staff and offenders • Educational videos and television programmes
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Ireland Irish Prison Serviceâ&#x20AC;&#x2122;s Mission Statement102 The mission of the Irish Prison Service is to provide safe, secure and humane custody for people who are sent to prison. The Service is committed to managing custodial sentences in a way which encourages and supports offenders in their endeavouring to live law abiding and purposeful lives as valued members of society. Statistics Population
Prison population (2008) Number of establishments Re-offending rate Demographics
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate (2004)103
3,653 14 n/a
Female offenders (2007)
3.5%
Foreign offenders (2006) Juvenile, minor and young offenders (<18)
81 95% 1/1 12.6% 1.7%
Cost US$590 million
Total expenditure104 As a % of GDP
Cost per inmate per day (2007)105
0.21%
Graphs
0
Prison Population Rate 20 40 60 80
Incarceration Rate Trend Ireland
1990
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
132
US$400
An International Investigation of Technology in Prison and Probation
Synthesis Ireland has a low prison population rate and a very small prison system. Despite its small size, Ireland pays impressive attention to technology for efficiency and outcomes purposes. Despite scandals with HIV, staff safety, and mobile phones, its prisons are considered humane and relatively efficient. Technology in Use Data-sharing: • IT based offender health care record system since 2000 • Recent introduction of a new offender record system HR management: • A computerised staff management system and IT systems being delivered, including a Prison Records System, Staff Time and Attendance System (linked to payroll), a Prisoner Medical Records System and a Financial System Contraband detection: • Drug detection technologies include CCTV, random searching, screened visits, random urinalysis, staff vigilance, monitoring and recording of offender phone calls Phone Jamming: • A pilot of blocking mobile phone calls was developed in Midlands Prison in 2007, and it has been decided to extend the pilot to most prison facilities Green technology: • Environmental management system, infrastructure, waste management equipment, energy and resource usage projects (Loughan House, Midlands and Portlaoise centres). Videoconferencing: • Limited to use for lawyers and courts Website Facilities • Limited
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Mexico Subsecretaria del Sistema Penitenciario Mission Statement106 To protect society against crime, by confining those who damage her in controlled environments of prison that are safe, humane, efficient and self-sustainable; giving peace to society and generating conditions for social reintegration based on the work, job training, education, health and sport, to allow those sentenced to recover their freedom as citizens useful to themselves and society, respectful of law and social order. Statistics Population
Prison population (2008) Number of establishments Re-offending rate Demographics Female offenders
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate
222,671 442 n/a 5%
Cost Total expenditure
n/a
As a % of GDP
n/a
Foreign offenders (2007) Juvenile, minor and young offenders (2006; under 18) Cost per inmate per day
Graphs
0
Prison Population Rate 50 100 150 200
Incarceration Rate Trend Mexico
1990
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
134
207 132.5% n/a 0.9% 14% n/a
An International Investigation of Technology in Prison and Probation
Synthesis Mexico has witnessed an extraordinary increase in its prison population, largely due to the near collapse of its courts system, and has operated at above 125% capacity for a number of years. There are reports of human rights abuses and gang activity inspired by drug-trafficking cartels who dominate the administration of many establishments. These pressing daily concerns have effectively inhibited any modernisation attempts. Technology in Use GPS Tracking • Consideration of the implementation of electronic monitoring system Other technology: • A digital system of fingerprint identification Website Facilities • Limited
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Minnesota Minnesota Department of Correctionsâ&#x20AC;&#x2122; Mission Statement107 To hold offenders accountable and offer opportunities for change while restoring justice for victims and contributing to a safer Minnesota. Statistics Population
Prison population (2008) Number of establishments Re-offending rate (2008)108 Demographics
9,224 155 26%
Female offenders
6.4%
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate Foreign offenders Juvenile, minor and young offenders (<18)
177 n/a n/a n/a 1.3%
Cost US$472 million
109
Total expenditure As a % of GDP
Cost per inmate per day (2008)110
0.19%
Prison Population Rate 0 50 100 150 200
Graphs
1990
Incarceration Rate Trend Minnesota
1995
2000
2005
Year Source: Sourcebook of Criminal Justice Statistics 2006
136
US$90
An International Investigation of Technology in Prison and Probation
Synthesis Minnesota, as one of the most progressive states in US, has the second lowest prison population density in the country, although recently its offender population has been steadily increasing. Technology use is limited but used effectively for both efficiency and rehabilitation outcomes. Technology in Use Data-Sharing: • Statewide Supervision System (S3) allows investigators to search by name, physical characteristics, release date or elements of the crime E-learning: • Used for staff GPS tracking: • Used primarily for sex offenders, GPS tracking has proven to be unexpectedly time consuming for probation officers whilst deadspots have created challenges when GPS coverage is limited in specific areas Offender access to network: • Some computers in classrooms are connected to a limited network for use in accessing housing, jobs and education for life after prison • Offenders can request distance learning media for use in prison computer labs Website Facilities • Search offender records • Crime victim information • Offender locator • Instructions on how to send money to an offender
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The Netherlands National Agency of Correctional Institutionsâ&#x20AC;&#x2122; Mission Statement111 The Correctional Institutions Agency ensures a safe, efficient and dignified execution of freedom-depriving punishments and measures. That way, the department contributions to the increase in the safety of society. Statistics Population Prison population (31.08.08) Number of establishments Re-offending rate112 Demographics Female offenders
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate113
16,416 99 59% 8.7%
Costs Total expenditure
n/a
As a % of GDP
n/a
Foreign offenders Juvenile, minor and young offenders (<18) Cost per inmate per day
Prison Population Rate 0 50 100 150
Graphs
1990
Incarceration Rate Trend Netherlands
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
138
100 77% 1/1.16 30.5% 7.6% n/a
An International Investigation of Technology in Prison and Probation
Synthesis Despite the former Dutch reputation for its rehabilitation-focused criminal justice system, recent increases in prison populations and re-offending rates have given rise to a more punishment-focused department. The government has initiated a large new building programme and indicates a willingness to move away from its traditional rehabilitative focus. However, it continues to lead a number of high-profile pilot schemes of rehabilitative technologies such as those used in Lelystad. Technology in Use RFID: • In Lelystad RFID bracelets are one of the key elements that enables the implementation of the ‘family unit’ model. GPS and voice verification: • Used for some community sentences • Voice verification is provided by Siemens, Elmo Tech and Premier Geographix Website Facilities • Limited
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New Zealand New Zealand Department of Correctionsâ&#x20AC;&#x2122; Mission Statement114 The Department of Corrections manages sentences and orders imposed by the courts and the Parole Board, contributing to safer communities by protecting the public and reducing re-offending. Statistics Population
Prison population (2008) Number of establishments Re-offending rate Demographics Female offenders
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate
7,887 20 58%115 5.5%
Foreign offenders Juvenile, minor and young offenders (<18)
185 85% n/a 20.6% 1%
Cost US$653 million
Total expenditure116 As a % of GDP
Cost per inmate per day
0.48%
Incarceration Rate Trend New Zealand
0
Prison Population Rate 50 100 150 200
Graphs
1990
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
140
n/a
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Synthesis New Zealand is a leading neo-liberal state with a penalist approach to prison and probation. Partly due to its advanced implementation of New Public Management reforms, its investment in technology tends to be cautious and short-term in approach. It has recently considered plans to re-introduce private management of prisons to cut costs.117 Technology Development Data-sharing and database: • VOIP and data networks, data management, archiving capabilities and thin technological platform Case management: • IOMS system has been further developed to ensure that all cross-service and inter-agency offender reintegration information is available in a timely, easily accessible and seamless manner Green Technology: • Infrastructure program includes sustainable features, such as solar heating. • Corrections have won the award for Sustainable Improvement in Energy Efficiency Biometrics • Being considered to screen visitors. The Department is part of an inter-agency forum to develop a whole of government approach to the implementation of biometric technology in New Zealand Offender access to network, • Inmate access to computers and Internet access can be provided to websites that are business related, the department has appropriate polices for use, and monitoring will be in place if web access is provided from desktop computers Inmate education platform: • A requirement has been identified to provide improved technology systems to offenders as part of offender training and programme delivery Other technologies • Includes a sound recording system, RCF introduced the "Story Book Dads" programme that enables offenders to write and record stories onto DVD for their children Website Facilities • Inmate Locator
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Oregon Oregon Department of Correctionsâ&#x20AC;&#x2122; Mission Statement118 The mission of the Department of Corrections is to promote public safety by holding offenders accountable for their actions and reducing the risk of future criminal behavior. Statistics Population
Prison population (2008 Number of establishments Re-offending rate (2007)119 Demographics
13,557 19 30.7%
Female offenders
13%120
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate
358 n/a n/a
Foreign offenders Juvenile, minor and young offenders
n/a
Cost per inmate per day
n/a
n/a
Cost US$1.3 billion
Total expenditure121 As a % of GDP
0.8%
Prison Population Rate 0 100 200 300 400
Graphs
1990
Incarceration Rate Trend Oregon
1995
2000
2005
Year Source: Sourcebook of Criminal Justice Statistics 2006
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An International Investigation of Technology in Prison and Probation
Synthesis Oregon prison populations have been increasing rapidly for the past ten years and recent voter initiatives have created longer and stricter sentencing, which will exacerbate this problem. The state faces critical overcrowding and budget shortfalls that have reduced funding for rehabilitation programmes.122 Technology Development Offender Access to Network: • Certiport offline-testing technology • Software called Premise allows inmates access to legal resources via computer Data-sharing: • Correction information system and also electronic medical records in use Advanced surveillance: • Heart beat sensing device used to detect stow-aways at sally-ports Videoconferencing: • Video visits Case management: • Intranet-based application called WebLEDS allows adding offender photos and displaying the report in PDF format which can be saved and emailed E-learning • Limited to staff Website Facilities • Offender search • Sex Offender Inquiry System
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Singapore Singapore Prison Serviceâ&#x20AC;&#x2122; Mission Statement123 As a key partner in Criminal Justice, we protect society through the safe custody and rehabilitation of offenders, co-operating in prevention and aftercare. Statistics Population
Prison population (2007) Number of establishments Re-offending rate124 (2003) Demographics Female offenders
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate
11,768 14 24.9% 10%
267 92% 1/8
Foreign offenders Juvenile, minor and young offenders (<21)
25.7%
Cost per inmate per day126
US$50-75
4.7%
Cost US$244 million
125
Total expenditure As a % of GDP
0.16%
Incarceration Rate Trend Singapore
0
Prison Population Rate 100 200 300 400
Graphs
1990
1995
2000
2005
Year Source: International Centre for Prison Studies 2009
144
An International Investigation of Technology in Prison and Probation
Synthesis Despite a dramatic trend upward, seen by many to be unsustainable, prison populations have declined in recent years. Singapore corrections focus specifically on both rehabilitation and punishment and employ technologies fully to realise their objectives. Singapore’s pronounced focus on rehabilitation is likely due in large part to the city-state’s high population density and island geography.
Technology Development Database: • Organisational Performance Tracking and Management System, a new model for better management of inmates by rehabilitation programmes, activitybased costing and a balanced scorecard programme • The Prison Management System is an integrated electronic database that supports prison operation, tracks all information of inmates and is the first amongst prison and correctional services in the world to be equipped with digital imaging technology. Videoconferencing: • Tele-visitation since October 2001, when the Singapore corrections department was also awarded for its application of information communication technology in internet home Tele-visits Case management: • Singapore Prison Short Risk Scale is a simplified tool for risk assessment that has increased the predictive accuracy of assessment tools Offender access to network: • Online job portal where offenders can submit CVs. Since 2005 to date, 365 employers have registered and 280 job vacancies have been posted online; 316 offenders have used the portal of which 265 have posted their CVs online E-learning • Used for staff Other technologies: • Offenders record videos to promote good social skills Website Facilities • Research request • Chat online with director of prisons • Booking visit system for families and friends • Booking system for official interviews • E-poll to give feedback on specific plans and programs implemented by corrections department
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South Africa Department of Correctional Servicesâ&#x20AC;&#x2122; Mission Statement127 Placing rehabilitation at the centre of all Departmental activities in partnerships with external stakeholders, through: the integrated application and direction of all Departmental resources to focus on the correction of offending behaviour, the promotion of social responsibility and the overall development of the person under correction; the cost effective provision of correctional facilities that will promote efficient security, corrections, care and Development services within an enabling human rights environment; progressive and ethical management and staff practices within which every correctional official performs an effective correcting and encouraging role. Statistics Population
Prison population (2008) Number of establishments Re-offending rate (2003) Demographics Female offenders
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate
164,957 237 n/a 2.2%
336 144% n/a
Foreign offenders Juvenile, minor and young offenders
n/a
Cost per inmate per day
n/a
n/a
Cost Total expenditure
US$1.4 billion
As a % of GDP
0.48%
128
Graphs
0
Prison Population Rate 100 200 300 400
Incarceration Rate Trend South Africa
1990
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
146
An International Investigation of Technology in Prison and Probation
Synthesis Despite an explicit commitment to rehabilitation by the South African corrections department, the de-facto commitment to rehabilitation is limited. South Africa has a high offender population and harsh sentences, whilst public and private prisons vary considerably in their use of technology and are sometimes criticised for human rights violations and the spread of HIV/AIDS among offenders. Technology Development Data-sharing/database: • Database on offender admission and release done using Microsoft software Contraband detection: • X-ray scanners Surveillance and perimeter security: • Security fencing with motion detectors that also link with CCTV monitors Biometrics: • Used for access control Case management: • Electronic reporting system with judiciary and other officials HR management: • Text messaging to find out about leave days Other technology: • Staff’s mobile phones interacting with electronic system • New call centre that can take and respond to questions from the public in phone, fax, mail, email and text message Website Facilities • Limited
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Spain Secretaria General de Instituciones Penitenciarias129 Corresponds to the General Secretariat of Institutions Prison the management, promotion, coordination and supervision of correctional institutions; and in especially the monitoring and management activities for the public service provision of execution of criminal penalties, for the purposes mandated constitutionally. Statistics Population
Prison population (2009) Number of establishments
Prisoner density (rate per 100,000 population) Occupancy Level (2006) Staff/Offender rate (2004)130
73,787 77
Re-offending rate Demographics Female offenders
8%
Foreign offenders Juvenile, minor and young offenders (<18)
160 140% 1/3 35.7% 0%
Cost US$1.7 billion
Total expenditure131 As a % of GDP
Cost per inmate per day
0.1%
Graphs
0
Prison Population Rate 50 100 150
Incarceration Rate Trend Spain
1990
1995
2000 Year
2005
2010
Source: International Centre for Prison Studies 2009
148
n/a
An International Investigation of Technology in Prison and Probation
Synthesis Spain has a relatively low but increasing incarceration rate that has led to an expanded prison modernisation and new building project. The country has a historical focus on punishment and has used technology mainly as a cost-saving measure. Technology Development Data-sharing: • Information system for wide use in corrections • Also contains data on health indicators and other socioeconomic variables Telemedicine: • Tele-diagnosis and appointments, with focus on dermatology and radiology, in partnership with university hospital Prince of Asturias Videoconferencing: • Its use is limited mainly to court matters, though it is also used for telemedicine Green technology: • Use of renewable energy and own water treatment Advanced surveillance: • Upgrade of surveillance equipment (CCTV, infrared detecting devices, etc.) to reduce the gap between old and new centres Infrastructure upgrade: • 1,000 offender places are designed in the form of a city, facilitating rehabilitation and re-socialising activities, costing 92€ million Other technologies: • Fingerprint identification system • Maintenance technology that includes control of incidents for facilities Website Facilities • Limited
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Texas Texas Department of Criminal Justiceâ&#x20AC;&#x2122;s Mission Statement132 The mission of the Texas Department of Criminal Justice is to provide public safety, promote positive change in offender behavior, reintegrate offenders into society, and assist victims of crime. Statistics Population
Prison population (2007) Number of establishments Re-offending rate Demographics
Prisoner density (rate per 100,000 population) Occupancy Level Staff/Offender rate
168,105 n/a n/a
Female offenders
n/a
691 n/a n/a
Foreign offenders Juvenile, minor and young offenders
n/a
Cost per inmate per day
n/a
n/a
Cost Total expenditure133
US$2.9 billion
As a % of GDP
0.26%
Incarceration Rate Trend Texas
0
Prison Population Rate 200 400 600 800
Graphs
1990
1995
2000
2005
Year Source: Sourcebook of Criminal Justice Statistics 2006
150
An International Investigation of Technology in Prison and Probation
Synthesis Texas has the highest incarceration rate in the US. To accommodate such as population it has pushed radically for cost-reductions and has undergone substantial privatisation. The aggressive cost-saving commitment may inadvertently be encouraging the adoption of more C-NOM technologies. Technology in Use GPS Tracking: • For sex offenders and probation, a single officer with an average caseload of 14 offenders supervises offenders using GPS tracking Case management: • One of their major technology initiatives includes the implementation of the Offender Information Management System to support the Parole Division and the Board of Pardons and Paroles Videoconferencing: • Implementation of a new video conferencing system that utilises video convergence technology over a wireless network, limited to court matters and the probation board Data-sharing: • Used for Parole Supervision System E-learning: • Video classroom for deaf inmates using television and camera networks Website Facilities • Online offender search • Texas Friends and Family Enrollment Center Website for Prisons Phones • Fugitive Watch Links • Online form for Victim's Informer Mailing List • Online Course: Correspondence Learning on Substance Abuse Education and Treatment Within TDCJ
151
An International Investigation of Technology in Prison and Probation
US Federal US Bureau of Prisonsâ&#x20AC;&#x2122; Mission Statement134 It is the mission of the Federal Bureau of Prisons to protect society by confining offenders in the controlled environments of prisons and communitybased facilities that are safe, humane, cost-efficient, and appropriately secure, and that provide work and other self-improvement opportunities to assist offenders in becoming law-abiding citizens. Statistics Population
Prison population (2007) Number of establishments Re-offending rate Demographics Female offenders
Cost Total expenditure136
Prisoner density (rate per 100,000 population)
756
5,069
Occupancy Level Staff/Offender rate
108% n/a
9.1%
Foreign offenders Juvenile, minor and young offenders (<18)
5.9%
2,293,157135
US$6 billion
As a % of GDP
0.04%
Incarceration Rate Trend USA (Total)
0
Prison Population Rate 200 400 600 800
Graphs
1990
1995
2000
2005
Year Source: International Centre for Prison Studies 2009
152
Cost per inmate per day
0.4% n/a
An International Investigation of Technology in Prison and Probation
Synthesis Although created to focus on rehabilitation and stop abuses, the department has focused almost entirely on cost-savings as populations have rapidly increased and needs have diversified. Technology adoption patterns mirror US states, such as Texas and Florida, that have also focused on costsavings. The US federal criminal justice system has no use of probation or community sentencing. Technology in Use Videoconferencing: • For meetings with lawyers and pre-trial hearings Biometrics: • US Navy and NIJ project testing biometric surveillance software in a Navy prison Case management: • Inmate Skills Development System (ISDS) is an automated web-based application that will integrate the agency’s release preparation efforts, incorporating information from a structured interview with offenders, court documents and behavioural observations Advanced surveillance: • Tracking and monitoring system that includes looking at computerised pattern detection of when violence will occur Data-sharing: • Justice Detainee Information System is an initiative involving offender management and inter agency information sharing Green technology: • All establishments to seek LEED certification Contraband detection: • Ion scanners used in 40 facilities for drug detection • Millimeter Wave Technology in pilot stage to be used for detecting mobile phones Telemedicine: • Electronic medical record • Tele-radiology and Tele-psychiatry treatment Other technologies • Duress Alarm System to be piloted soon in 2008-09 Website Facilities • Inmate Locator • Facility Locator • Access to Bureau policies and frequently-requested forms • Online Freedom of Information Act requests
•
Special
access
to
information
153
for
staff
and
their
families.
Annex 2: Case Profiles
Annex 3 Technology Profiles The 17
following technology profiles document the various uses,
benefits
deriver,
disks
associated,
and
possible
opportunities in England and Wales. They all follow template described below.
154
application
an easy-to-use
An International Investigation of Technology in Prison and Probation
155
Advanced Biometrics
Annex 3: Technology Profiles
Advanced Biometrics Biometric technologies use automated mechanisms to identify a person based on their unique physical features or behavioural patterns. Physical features include hand and finger geometry, fingerprints, iris and face recognition, and DNA-matching. Behaviour patterns include voice recognition, signature analysis, and gait verification. An important distinction exists between techniques that require the active participation of an individual and passive forms of identification that do not. Visual Representations
Northern Ireland
Commercial Application
Biometrics provide identity verification with greater accuracy than other methods. However, increases in response times and efficiency improvements may be overstated.
Health
Finance, benefits & debt
Education & employment
Accommodation
Attitudes & behaviour
Children & families
Drugs & alcohol
General improvement
UK KPI Improvement
Reducing Re-offending Benefits Efficiency Improvement
Process Improvement
Enhanced Staff Satisfaction
Information Improvement
Security Improvement
Business Benefits
Robust identify verification enables biometrics to facilitate automated processes such as dispensing medication or checking in visitors to prisons. Linking biometric readers with databases also allows opportunities to detect patterns in offender or visitor movements.
Case Development Stages â&#x20AC;˘ In Use: Australia, Florida, South Africa â&#x20AC;˘ Pilot Stage: Chile, US federal
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Advanced Biometrics
An International Investigation of Technology in Prison and Probation
Potential Uses • Identity verification: instantly grants access for movement or services whilst preventing identify fraud, including the use of multiple identities • Enhanced surveillance: tracks individuals through facial recognition (see Advanced Surveillance profile) Proof of Concept • Biometrics have Increased security in the identification of inmates and visitors in Australia137 and been piloted in US federal prisons138, Florida139 and Chile140 • In Australia, biometrics are used to provide access to medication and other services141 • A system in a Florida prison has catalogued 40,000 iris scans in its first two years and on eight occasions has successfully stopped former inmates trying to enter the prison under false identities142 • A US federal pilot of biometric-enhanced surveillance resulted in a drop in average response times to disturbances from 47 minutes to 17143 • Tests have shown biometrics to be 99.9 per cent accurate in identifying individuals144 Risks • Security: biometrics are not foolproof; in one prison test, inmates were able to trick a finger scanning machine, most likely by lifting other inmates’ fingerprints with tape145 • Trade-offs: a comprehensive $1 million study of iris, facial, retinal, finger and hand geometry, voice, and fingerprint biometrics found advantages and disadvantages for each; iris scans were most accurate but deemed too slow, whilst fingerprint scanners were deemed appropriate for use in prison but only when supplemented by hand geometry scanners in high-risk areas146 • Privacy: the potential for biometrics to one day passively monitor the public has provoked fear in some privacy campaigners147, although some forms, such as iris scanners, provide little basis for opposition Application in England and Wales • To meet European privacy and security standards, the use of biometrics should be restricted to a minimum, ideally avoiding forms of passive recognition • Limited applications are both feasible and recommended in processes that rely on secure identity verification, such as dispensing methadone and other medication • The use of biometrics for more routine operations does not appear feasible as other technologies, especially RFID have proven to be more efficient and equally as robust
157
Advanced Biometrics
Annex 3: Technology Profiles
Advanced Surveillance Through the combination of digitally compatible hardware and intelligent software, advanced surveillance technologies represent a step beyond closed-circuit television (CCTV). Pattern-matching capabilities and more sophisticated digital manoeuvrability allow advanced surveillance programmes to more effectively monitor events and alert staff to unusual or potentially dangerous situations. Visual Representations
Video Analytics
Infrared and Thermal Camera
Automated surveillance of offender movements and phone conversations provides increased security and invaluable crime prevention intelligence, reducing the burden on staff and improving efficiency.
Health
Finance, benefits & debt
Education & employment
Accommodation
Attitudes & behaviour
Children & families
Drugs & alcohol
General improvement
UK KPI Improvement
Reducing Re-offending Benefits Efficiency Improvement
Process Improvement
Enhanced Staff Satisfaction
Information Improvement
Security Improvement
Business Benefits
Reductions in the offender to staff ratio can have a negative effect on offender outcomes, as seen in many US prisons. However, the use of advanced surveillance to encourage new offender management models such as family grouping may provide significant synergistic and outcome improvements.
Case Development Stages â&#x20AC;˘ In Use: South Africa, Spain â&#x20AC;˘ Pilot Stage: US federal
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Advanced Surveillance
An International Investigation of Technology in Prison and Probation
Potential Uses • Automated video analytics: video and other forms of monitoring automatically alert staff of suspicious behaviour or events by reviewing the content of CCTV footage in real-time to biometrically identify individuals or detect patterns in individuals, groups and objects148 • Advanced detection technologies: a wide variety of detection sensors can be integrated with surveillance systems, including infrared and heartbeat sensors • Remote monitoring: integrated cameras and sensors can be relayed to back-office centres for more efficient monitoring Proof of Concept • Although advanced surveillance technologies have been shown to provide critical business benefits including greater security and cost savings in staff time, there has been no substantial quantification of the benefits • Video-analytics allow increasingly over-burdened centralised surveillance centres to only focus on monitors with suspicious activity149 • Surveillance footage is better recorded to allow more successful prosecutions and crime prevention analyses150 • A private prison in Hungary has 500 cameras and 1,500 sensors relaying information to a central control centre where information can be directly transmitted to field officers on mobile devices151 • Successful implementation of CCTV with infrared capabilities has occurred in Australia152 • In Oregon, prisons remotely monitor offender vital sings,153 including heartbeat detection154 Risks • Infrastructure: the use of advanced surveillance requires a substantial investment in infrastructure technology, such as digital cabling or wireless networks • Limitations: the ability of technology to detect each and every subtle movement or different forms of interpersonal communication will always be limited, making the continued role of well-trained prison officers in surveillance necessary Application in England and Wales • New buildings or substantial upgrades in existing prisons should incorporate the infrastructure necessary to enable advanced surveillance technologies • Other prison estates should consider the digitalisation of CCTV and use of video analytics where synergies in infrastructure technology exist in order to reduce surveillance costs and maintain the highest levels of security and offender behaviour intelligence
159
Advanced Surveillance
Annex 3: Technology Profiles
Banking and Purchasing Electronic terminals or computers enabling offender banking and purchasing offer significant efficiency savings in staff time as well as the potential to facilitate activities that promote rehabilitation. Typically through multi-purpose kiosks, often installed and maintained by private sector banks and financed through user fees, offender banking incorporates money earned in prison employment and electronic payments for goods available in prison canteens or restitution payments to victims. Visual Representations
Singapore
Florida
In addition to significant savings in staff time by giving offenders access to their own account information, international practice includes substantial benefits from intelligence acquired by tracking offender financial transactions.
Health
Finance, benefits & debt
Education & employment
Accommodation
Attitudes & behaviour
Children & families
Drugs & alcohol
General improvement
UK KPI Improvement
Reducing Re-offending Benefits Efficiency Improvement
Process Improvement
Enhanced Staff Satisfaction
Information Improvement
Security Improvement
Business Benefits
Personal banking offers offenders the opportunity to become more proficient and comfortable at managing their own finances, advancing along one of the key pathways out of re-offending. Bundling banking kiosks with other services offers additional benefits, such as paying restitution to victims and increasing communication with families.
Case Development Stages â&#x20AC;˘ In Use: Australia, California, Florida, Singapore â&#x20AC;˘ Pilot Stage: n/a
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Banking and Purchasing
An International Investigation of Technology in Prison and Probation
Potential Uses • Development of financial experience: banking offers offenders the opportunity to manage their own financial savings by keeping track of wages and budgeting their purchases, making up for their often limited experience with the modern financial system • Automation of transactions: important efficiency savings can result by allowing offenders to purchase goods in prison shops online, pay for services such as phone cards, or make payments to victims as part of court-arranged restitution agreements Proof of Concept • In Florida, efficiency improvements from offender banking facilitated the elimination of 52 staff positions, saving $1.3 million in 2002155 • In several prisons across North America, offender banking is provided at no cost to prisons with initial investments and maintenance fees paid for by private sector companies and offender user fees156 • Access to banking is facilitated through identity verification, including RFID bracelets at Lelystad prison in The Netherlands 157 and biometric hand scanners in Canada158 • Multi-lingual interfaces provide increased accessibility for foreign national offenders • California integrates an electronic canteen system with the restitution payment system developed for offenders in prison159 Risks • Exclusion: some offenders may have difficulty with automated banking and account access and would lack access to services if electronic delivery were the only option provided • Cost: despite providing medium- and long-term efficiency benefits, many systems require substantial initial costs, for example $5-10,000 per institution in Canada160 Application in England and Wales • Inmate banking systems can offer substantial efficiency savings and may be appropriate for the growing number of foreign national offenders who require translated services • Integrating the service with other systems in a kiosk-based delivery unit can derive far-reaching outcomes benefits, incorporating messaging services, access to legal and court information, and, if provided in-cell, e-learning and job training opportunities
161
Banking and Purchasing
Annex 3: Technology Profiles
Case Management Case management technology includes the software and hardware designed to facilitate the digitalisation of offender case files and provide availability to multiple frontline and back-office users via a secure network in real time. Visual Representations
Oregon
Canada
Effective case management technologies increase security, improve access to critical offender information, allow staff to perform their roles more effectively, and improve efficiency through elimination of task redundancy.
Health
Finance, benefits & debt
Education & employment
Accommodation
Attitudes & behaviour
Children & families
Drugs & alcohol
General improvement
UK KPI Improvement
Reducing Re-offending Benefits Efficiency Improvement
Process Improvement
Enhanced Staff Satisfaction
Information Improvement
Security Improvement
Business Benefits
Electronic case management technologies are critical in delivering the pathways out of re-offending. These technologies ensure continuity of services and provide necessary linking technologies between organizations.
Case Development Stages â&#x20AC;˘ In Use: Australia, Denmark, England and Wales, Florida, France, Hong Kong, Minnesota, New Zealand, South Africa, Texas â&#x20AC;˘ Pilot Stage: California, Canada, Oregon, US federal
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Case Management
An International Investigation of Technology in Prison and Probation ` Potential Uses • End-to-end case management: seamless case management is central to the mission of NOMS, represented by the potential of CNOMIS to significantly reduce costs, increase processing times and replace existing legacy and paper-based systems • Reporting capabilities: case management technology has the potential to instantly generate customised reports and performance indicators or automatically alert case mangers of important dates or problems in an individual offender’s progress in rehabilitation programmes • Risk assessment: case management risk assessment systems provide a critical function at every stage in an offender’s movement through the criminal justice system, having been effectively incorporated in case management systems around the world, including in England and Wales through OASys Proof of Concept • Common functionalities include web-based access (Oregon161), automated risk profiles (California162), matching of offenders to appropriate rehabilitation programmes (US federal163), supplying staff access to case information on hand-held devices (Australia164 and The Netherlands165), and integrating RFID and GPS tracking of offenders on probation with case management systems (various US states166) • The Smart Tracking System of Offenders in Washington, DC offer webbased modules, including customised reports, offender demographics, replication of drug testing results, detailed supervision information, and tracking capabilities for treatment, community service, employment, and education167 Risks • Complexity: successful design and implementation is hugely complex and demanding, as evidenced by the recent NAO report on C-NOMIS • Business Process Changes: case studies illustrate the need to change underlying business processes to fully realise potential benefits, creating challenges for certain agency-types or organisations that lack buy-in from staff168 Application in England and Wales • Recent plans to restrict the immediate development of C-NOMIS to only publicly managed prisons severely limits its potential benefits, particularly with respect to reductions in re-offending, which requires the input and cooperation of actors throughout the criminal justice system and society • Fully achieving the potential of C-NOMIS may require incremental progression and the integration of C-NOMS with existing legacy systems, rather than their immediate replacement, as demonstrated by a recent New Zealand report evaluating the costs and benefits of overhauling its existing system169 163
Case Management
Annex 3: Technology Profiles
Contraband Detection Contraband detection refers to the detection of illicit items, including drugs and weapons, to prevent their entry or storage in prisons. Contraband detection technologies can be stationary or hand-held and include devices that detect contraband itself or identify residual traces of contraband, such as drugs and explosives, on clothing, letters or packages. Advanced surveillance also plays an important role in many prisons, monitoring visits with offenders to prevent the passing of contraband between visitors and offenders. Visual Representations
Boss II Body Scanner
Increased detection of illicit materials and drug use provides crime prevention information, and increases prison security. ION scanners and mobile devices can reduce processing times and search costs.
Health
Finance, benefits & debt
Education & employment
Accommodation
Attitudes & behaviour
Children & families
Drugs & alcohol
General improvement
UK KPI Improvement
Reducing Re-offending Benefits Efficiency Improvement
Process Improvement
Enhanced Staff Satisfaction
Information Improvement
Security Improvement
Business Benefits
Orion Electronics Finder
Drug and alcohol detection may facilitate more effective interventions to treat substance addiction, as seen in Canada. The use of ION scanners may facilitate easier and faster processing of visitors, encouraging family visits and closer contact with offenders.
Case Development Stages â&#x20AC;˘ In Use: Australia, California, Canada, Chile, Colorado, Denmark, Florida, Ireland, Minnesota, New Zealand, Oregon, South Africa, US federal â&#x20AC;˘ Pilot Stage: France
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Contraband Detection
An International Investigation of Technology in Prison and Probation
Potential Uses • Visitor searches: stationary or hand-held devices can prevent the introduction of contraband by offenders, visitors or staff by locating metals, plastics or drugs on or inside individuals’ bodies • Detection within prisons: regular sweeps of prisons, including offenders’ cells, play an important role in preventing and eliminating the use of weapons or drugs, including through routine scans of post sent to offenders and monitoring of perimeters to detect items passed over or through fences (see Perimeter Security profile) Proof of Concept • Contraband detection devices are widely used, but whilst numerous studies document their effectiveness, few quantify their benefits beyond less tangible improvements in security and reductions in drug use • Reducing the supply of drugs through contraband detection has been shown to decrease instances of offender abuse within prison and lead to more successful re-offending outcomes,170 as with Canada’s awardwinning drug loo programme171 • Ion mobility spectrometers (IMS) or handheld IMS, whilst expensive172, are widely used, including in US federal prisons, Australia, Canada, Colorado, Denmark, Florida and New Zealand and have been found to be the most effective method of mailroom drug screening173 Risks • Privacy: contraband detection may be viewed as a violation of privacy rights or resisted for individual groups, as was the case in US federal prisons where scanning of officers was rejected as a threat to staff morale174, although to ensure successful attempts to prevent contraband, all visitors and staff should be subjected to scans as in Canada175 Application in England and Wales • Appropriate options depend largely on the costs of individual technologies, which vary widely from $10,000 to $74,000 per unit in the case of portable IMS,176177 although considerable advances have occurred in recent years with older and potentially more cost-effective technologies, such as x-ray devices • As more cutting-edge devices may be prohibitively expensive and prone to technical problems, an on-going cost benefit analysis of the available technologies is suggested
165
Contraband Detection
Annex 3: Technology Profiles
Data-Sharing and Databases Data-sharing involves the digital collection or updating of records that are made accessible to multiple actors throughout the criminal justice system. Databases specifically include the software and hardware necessary to provide timely and accurate data required to perform critical functions, and may include, but are not limited to, case management systems. Visual Representations
New Zealand
Commercial Application
Even the most basic datasharing technologies, such as encrypted CDs for transferring case files, improve security, information management, staff satisfaction, and process performance with considerable efficiency savings.
Health
Finance, benefits & debt
Education & employment
Accommodation
Attitudes & behaviour
Children & families
Drugs & alcohol
General improvement
UK KPI Improvement
Reducing Re-offending Benefits Efficiency Improvement
Process Improvement
Enhanced Staff Satisfaction
Information Improvement
Security Improvement
Business Benefits
NOMS has identified end-to-end offender management as critical in delivering effective offender outcomes. Effective datasharing is vital in providing the necessary continuity of services between agencies working across prisons and probation in order to promote effective development of offenders on the pathways to rehabilitation.
Case Development Stages â&#x20AC;˘ In Use: Australia, California, Canada, Chile, Denmark, England and Wales, Florida, France, Ireland, Mexico, Minnesota, Oregon, Singapore, South Africa, Texas, US federal â&#x20AC;˘ Pilot Stage: New Zealand, Spain
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Data-sharing and Databases
An International Investigation of Technology in Prison and Probation
Potential Uses • Effective utilisation of data: in order to achieve maximum value from the significant amounts of information recorded and collected, effective data-sharing is essential; it provides more intelligence gathering capabilities178 and holistic awareness and analysis with actors from police, courts and prison to probation and social workers whilst reducing the duplication of tasks through ask-once capabilities • Bespoke presentation: by digitising information using web-based software, information and analysis can be presented in a variety of customisable formats, including risk assessment reports, timelines and even multimedia files, such as video recordings of interviews with offenders to formulate psychological assessments Proof of Concept • California’s CalParole enables real-time data-sharing with police, including GPS location of offenders on probation • Canada uses a national visitor database to recognise and record when members of the public visit multiple offenders, potentially for criminal purposes179 • Canada’s InfoPol180 and Florida’s MDAS181 systems allow sharing of real-time information on offenders across the criminal justice system • The US government is developing a nationwide data-sharing system182 • Electronic offender medical records are used in Florida183 and Ireland184 Risks • Cost: larger and more holistic databases cost hundreds of millions of pounds, require customised hardware and software, extensive staff training and ongoing technical support, requiring governments to maintain high-quality project management capabilities as seen in the development of C-NOMS in England and Wales • Standardisation: all databases require uniform business practices, particularly when multiple agencies participate in recording and accessing data, raising security as well as consistency concerns Application in England and Wales • The recent NAO (2009) report on C-NOMIS underscores the complexity and delivery costs of large-scale databases,185 although, the report should not dissuade NOMS from pursuing its objectives of implementing data-sharing capabilities to fully operationalise end-toend offender management • The decision to restrict the deployment of C-NOMIS beyond publiclymanaged prisons leaves significant information and capability gaps, which severely limit the ability of NOMS to reduce re-offending • As recommended by the NAO, legacy systems should be integrated with C-NOMIS through the use of middle-ware systems, to allow better data-sharing capabilities until the point at which C-NOMIS is ultimately expanded throughout the criminal justice system 167
Data-sharing and Databases
Annex 3: Technology Profiles
E-Learning The electronic delivery of educational services, or e-learning, is the use of technology to assist in distance learning, typically though not exclusively through computers. E-learning often involves digital video or other multimedia capabilities, and the learning experience can be interactive either between a teacher and students or through unidirectional video streams. Visual Representations
England and Wales
Large cash savings have been derived from e-learning courses for staff, whilst delivery of a wide range of online courses for offenders substantially reduces staff costs and allows more productive use of in-cell time if delivered via in-cell kiosks.
Health
Finance, benefits & debt
Education & employment
Accommodation
Attitudes & behaviour
Children & families
Drugs & alcohol
General improvement
UK KPI Improvement
Reducing Re-offending Benefits Efficiency Improvement
Process Improvement
Enhanced Staff Satisfaction
Information Improvement
Security Improvement
Business Benefits
Commercial Application
Some programmes have a positive effect on the range and completion rates of courses and have been demonstrated to improve the self-confidence of offenders. However, cases, such as Canada, have determined that the complete replacement of a teacher’s physical presence would potentially decrease programme effectiveness.
Case Development Stages • In Use: California, Canada, Denmark, Florida, Hong Kong, Minnesota, Oregon, Singapore, Texas, US federal • Pilot Stage: Australia, England and Wales, France
168
E-Learning
An International Investigation of Technology in Prison and Probation
Potential Uses • Substitution of traditional learning methods: delivering courses and trainings online, whether for staff or offenders, has been shown to significantly reduce costs whilst offering more targeted learning experiences, which make use of videos and various forms of interaction through different types of media • Expanding available educational opportunities: e-learning offers enormous potential to provide specialist education courses that would otherwise be unavailable due to resource constraints or insufficient demand among a prison’s offender population whilst offering continuity of learning experiences for offenders moved between prisons or transferred to higher or lower security accommodation at different times in their sentences Proof of Concept • Staff e-learning resulted in savings worth more than 29,000 staff hours valued at HK$3 million in Hong Kong in 2004186 and savings worth US$700,000 in travel and daily duty expenses in Florida in 2003187 • Staff certifications earned through e-learning in Oregon have resulted in more effective systems of career development and enabled better cost management of training programmes188 • Trials in Spain and Greece189 successfully used e-learning as a substitute for traditional teaching of younger offenders, whilst in California specific pre-release programmes are provided online by private providers190 • In Canada e-learning is successfully used in offender education, although teaching staff continue to be maintained in classrooms to more effectively promote offender rehabilitation191 Risks • Effectiveness: studies suggest that distance learning may not provide the same quality as classroom learning, including a robust experiment in a prison setting that demonstrated no outcome differences between traditional learning and e-learning192 • Delivery cost: in-cell kiosks provide the most effective delivery method in order to expand the quality and range of e-learning programmes, though the formidable initial investments required are most justifiable only in combination with other service delivery objectives, such as offender banking and ICT functions (see Videoconferencing profile) Application in England and Wales • E-learning provides value for money when used to deliver education and skills courses for both staff and offenders and should be developed further by NOMS • Multiple delivery methods should be considered to meet the needs of different offender groups such as young people and foreign nationals who may not be proficient in English, including upgrades to existing classrooms and computer labs as well as in-cell kiosks and e-books 169
E-Learning
Annex 3: Technology Profiles
GPS Tracking Global positioning satellite (GPS) technology represents an improvement on other forms of electronic monitoring, tracking the location of offenders at a high level of accuracy often in real time via GPS units in ankle bands. Offender movements may be recorded continuously or uploaded daily to a central database through equipment linked to offenders’ phone lines. Visual Representations
England and Wales
The use of GPS with noncustodial sentencing represents significant efficiency improvements compared to confining offenders in prison. GPS offers more reliable security than alternatives, although at a higher cost than RFID devices.
Health
Finance, benefits & debt
Education & employment
Accommodation
Attitudes & behaviour
Children & families
Drugs & alcohol
General improvement
UK KPI Improvement
Reducing Re-offending Benefits Efficiency Improvement
Process Improvement
Enhanced Staff Satisfaction
Information Improvement
Security Improvement
Business Benefits
Florida
Custodial sentencing is shown to create substantial barriers to the pathways out of re-offending. GPS offers the most robust means of safely monitoring offenders in the community. However, electronic monitoring has only been used explicitly to reduce prison populations in Sweden, merely adding to penalist policies in other jurisdictions.193
Case Development Stages • In Use: California, Canada, Colorado, Florida, Minnesota, The Netherlands, Texas, US federal • Pilot Stage: England and Wales, France, Mexico, New Zealand
170
GPS Tracking
An International Investigation of Technology in Prison and Probation
Potential Uses • Non-custodial sentencing: used as an alternative to keeping offenders in prison, GPS tracking of offenders in the community offers a secure alternative with more meaningful access to the pathways out of re-offending, in particular for offenders on early release from prison, sex offenders, gang members or individuals who have committed nonviolent offences that do not warrant time in prison Proof of Concept • In California, all sex offenders on probation are tracked using GPS systems, which are enabled to immediately alert probation staff if offenders enter restricted zones, such as playgrounds or schools, at an initial cost of $1,500 for each GPS device and an additional $6 a day 194
• •
• •
Increasing public safety in order to comply with Jessica’s law was the driving force for the current level of usage in California, which is now the world’s leader in GPS tracking technology 195 GPS tracking is used for specific offenders such as repeat drink driving offenders, abusive spouses and drug dealers in New York196 and gang members in California,197 where GPS tracking has been used to provide police intelligence and crucial evidence in criminal trials198 GPS tracking is used to transport offenders more securely between court and prisons in Hong Kong199 and for community sentences in Canada,200 Colorado,201 France202 and New Zealand203 In Florida MDAS (Mobile Data Access System) gives probation officers real-time access to the GPS location of sex offenders, allowing staff to pinpoint offenders’ exact location from their mobile laptop system204
Risks • Reliability: the gap between the expectations of GPS tracking and reality has been shown to create a false sense of security,205 particularly when probation staff are not adequately prepared to respond quickly to breaches in security • Legal issues: the ability to intervene before crimes occur may create legal responsibilities for the state, leaving probation departments open to civil lawsuits should offenders commit crimes whilst monitored206 • Privacy: the real-time tracking of offenders may violate rights to privacy, though these can be mitigated by making participation voluntary Application in England and Wales • Although GPS is a costly technology when compared to voice verification and RFID, in the context of community sentencing, it offers a substantially less expensive approach than incarceration, whilst providing sufficient amounts of security for many types of offenders207 • GPS tracking may be particularly well-suited to the reintroduction of offenders into the community by allowing real-time surveillance and providing the flexibility for offenders to pursue new life paths208 171
GPS Tracking
Annex 3: Technology Profiles
Green Technology Green technologies contribute to environmental sustainability in the prison estate or local community by providing clean sources of energy or promoting reductions in energy usage. Although not directly tied to meeting rehabilitation outcomes or enhancing prison security, green policies are increasingly prominent in all segments of the public sector. Visual Representations
California
England and Wales
Green technologies are typically instituted to meet regional or federal clean-energy targets but may provide substantial cost avoidance in the medium- to long-term.
Health
Finance, benefits & debt
Education & employment
Accommodation
Attitudes & behaviour
Children & families
Drugs & alcohol
General improvement
UK KPI Improvement
Reducing Re-offending Benefits Efficiency Improvement
Process Improvement
Enhanced Staff Satisfaction
Information Improvement
Security Improvement
Business Benefits
There are no direct offender rehabilitation outcome benefits from the use of green technologies; nor are there perceived to be any negative effects.
Case Development Stages â&#x20AC;˘ In Use: Australia, California, England and Wales, New Zealand, US federal â&#x20AC;˘ Pilot Stage: Florida, Ireland
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Green Technology
An International Investigation of Technology in Prison and Probation
Potential Uses • Green leadership: with increased government attention to environmental sustainability, prisons are proving an attractive location to undertake green technology projects due to the availability of land and significant opportunities to reduce energy consumption to meet government-wide targets Proof of Concept • New Zealand Corrections won a government award for sustainability and energy efficiency by reducing energy consumption and moving towards more reliance on sustainable energy sources209 • In Cardiff, a solar energy water heating system has been installed that will reduce carbon dioxide emissions by 30 to 50 tonnes per year with an annual savings of around £3,600 in energy costs210 • Waste water recycling plants have been established in Australia211 • Solar panels are in use in California212, Hong Kong213, New Zealand214 and England and Wales • 16 major energy saving projects launched in California in 2008 will conserve the equivalent amount of energy as taking 3,770 cars off the road, resulting in $3.2 million in annual savings215 • Ireland and other jurisdictions are integrating environmental management systems into departmental performance matrices and the everyday thinking of staff through the use of ‘lean thinking’ management techniques216 • Cases such as New Zealand217 and Spain218 are integrating green technologies into new builds and infrastructure projects through BREEAM building certification and other schemes Risks • Capital Costs: green technologies require substantial investment costs, which may not be feasible without special grants from central government, with, for example, the solar energy project in Cardiff costing £77,280219 • Project Management Requirements: the initial investment costs and complexity of green projects require well-designed contracting mechanisms and attentive project management, making value for money difficult to achieve in the short-term Application in England and Wales • In order to meet legally binding carbon emission reductions mandated under the 2008 Carbon Change Act, all government departments will need to undertake lowest-cost carbon-reductions • In particular, new buildings and prison estates due for refurbishment have significant potential to achieve these targets at a comparatively low cost • All future options should be thoroughly considered in order to pursue the options representing highest value for money
173
Green Technology
Annex 3: Technology Profiles
Human Resource Management Human Resource Management (HRM) technology represents databases, communication devices and automation procedures that enhance personnel management functions, such as benefits management, the distribution of information among staff and other common human resource functions. Visual Representations
SAP HRM Software
Workflow and roster management have demonstrated positive effects on performance and more efficient use of resources, whilst building management software has facilitated more sustainable use of facilities.
Health
Finance, benefits & debt
Education & employment
Accommodation
Attitudes & behaviour
Children & families
Drugs & alcohol
General improvement
UK KPI Improvement
Reducing Re-offending Benefits Efficiency Improvement
Process Improvement
Enhanced Staff Satisfaction
Information Improvement
Security Improvement
Business Benefits
HRM Network Map
There is no direct effect on offender outcomes, but HRM technologies allow optimal staffing levels which may contribute to more effective prison management and rehabilitation outcomes.
Case Development Stages â&#x20AC;˘ In Use: Australia, Demark, Ireland, Florida, Minnesota â&#x20AC;˘ Pilot Stage: Chile, England and Wales, Hong Kong, New Zealand
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Human Resource Management
An International Investigation of Technology in Prison and Probation
Potential Uses • Shared services: human resource management technology plays an important role in seeking efficiency savings through shared services by pooling different functions in one central database system centrally operated in a single back-office location • Operational Efficiency: optimal staff and building resource use can be achieved using HRM software Proof of Concept • New Zealand has realised significant payroll system efficiency improvements using SAP software220 • An electronic workflow management system piloted in Hong Kong is aiming to set the future blueprint for the automation of penal administration processes221 • In England and Wales, progress has been made on building management systems to promote sustainability222 and a human resources data warehouse for the National Probation Service223 • Roster management systems have been implemented in Florida224 and Australia,225 offering greater efficiency in managing staff scheduling and guaranteeing the safe and secure operation of institutions by minimising disruptions and ensuring experienced staff are available at all times226 • A computerised staff management system has been implemented in Ireland,227 replacing a variety of older systems • Text messages are used by prison officers in South Africa to enquire about leave days and other scheduling questions to a central human resources office, where their enquiries are responded to by text228 Risks • Cost: as with other investments in software, including case management systems, larger and more encompassing human resources management systems can be prohibitively expensive, including ongoing customisation and customer support and extensive staff training, requiring departments to pay careful attention to project management Application in England and Wales • NOMS already possesses, in the form of Phoenix, an effective and reliable shared services centre and human resource management software system • Phoenix has achieved early success in assisting NOMS in reaching later objectives in the form of Gershon efficiency savings through its foundation on advanced software by Oracle and expert advisory services from EDS, all based out of a single facility in Newport, Wales, where finance, purchasing and human resources services are centrally provided
175
Human Resource Management
Annex 3: Technology Profiles
Infrastructure Technology Many of the technologies in our survey require the development of critical information technology infrastructure, including the physical wiring and access capabilities necessary within prisons themselves as well as technical data management platforms and communication infrastructure in prisons and departmental offices. This technology profile examines these infrastructure technologies and the role they play in enabling the adoption of other technologies. Visual Representations
Digital Cabling
Back-Office Servers
Investments in state-of-the-art infrastructure not only increase productivity and create efficiency savings, but can increase staff morale and performance through timesaving improvements to routine activities
Health
Finance, benefits & debt
Education & employment
Accommodation
Attitudes & behaviour
Children & families
Drugs & alcohol
General improvement
UK KPI Improvement
Reducing Re-offending Benefits Efficiency Improvement
Process Improvement
Enhanced Staff Satisfaction
Information Improvement
Security Improvement
Business Benefits
Infrastructure upgrades that facilitate the introduction of offender networking technologies, such as the installation of communication-enabling kiosks and private video-visitation facilities, provide the necessary components for effective delivery of outcome programmes.
Case Development Stages â&#x20AC;˘ In Use: Australia, California, Canada, Chile, Denmark, Florida, France Germany, Hong Kong, New Zealand, Texas â&#x20AC;˘ Pilot Stage: England and Wales, Ireland
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Infrastructure Technology
An International Investigation of Technology in Prison and Probation
Potential Uses • Technology enabling: the benefits of infrastructure investment are often overlooked, with individual technologies that build off of infrastructure investments, such as electronic door locks or digital CCTV, viewed in isolation rather than as synergistic elements • Centralised control: by allowing different functionalities to share digital infrastructure, often over IP networks, previously separate systems, including perimeter security networks, alarm systems and lighting, can all be controlled centrally in each prison estate, offering greater control and security as well as efficiency gains Proof of Concept • New buildings and investments in IT platforms have allowed Ireland229, California230 and Texas231 to introduce a range of new technology solutions, including voice, data and video convergence • New prison models that rely on advanced technologies are being tested in Acacia, Western Australia,232 Lelystad prison in The Netherlands233 and Spain234, enabling concepts such as family grouping and city models that may significantly impact rehabilitation outcomes • The French Ministry of Justice is considering reforms to enable the digital recording of different procedures, including electronic communication with court officers, and videoconferences in courts and prisons235 • E-government programmes in New Zealand have focused on infrastructure upgrades to facilitate faster paperless court proceedings and transfers of offenders to prison236 • In 2007, Hong Kong Corrections completed the centralisation of its Electronic Mail and Confidential Mail System along with departmentwide intranet and internet capabilities via a wireless network237 Risks • Price: often part of larger modernisation programmes, infrastructure technology is often taken for granted or viewed as too expensive • Complexity: even the most innovative organisations have difficulty ensuring that infrastructure is fit for purpose over the long-term • Incompatibility: infrastructure investments may proceed without sufficient attention given to compatibility issues between systems and technologies, creating substantial costs when compatibility challenges must later be addressed to achieve full operational potential Application in England and Wales • New builds in England and Wales must incorporate state-of-the-art technology infrastructure in order to facilitate the long-term, costeffective adoption of a range of new technologies • A thorough review of current estates may also illuminate many low-cost opportunities to upgrade technology infrastructure with attention given to ensuring long-term compatibility with future system requirements 177
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Annex 3: Technology Profiles
Mobile phone blocking and detection Illicit mobile phone communication from prisons has created widespread security concerns in cases around the world. Phone blocking and detection technologies specifically inhibit mobile phone communication or help to detect its presence in order to confiscate phones in prisons. Visual Representations
New Zealand
Commercial Application
The use of mobile phones in prison poses a large security risk, including the potential coordination by offenders of criminal activity outside the prison. Detecting or disabling phones substantially increases staff, offender and public safety.
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It is not clear that mobile phone jamming and detection increase rehabilitation outcome performance. In fact, the use of illicit communication may be a response to offenders’ inability to maintain critical pathways ties through legal mechanisms. However, illicit communication’s contribution to the drug trade in prisons may actively prevent effective movement on the drugs pathway out of re-offending.
Case Development Stages • In Use: Chile, New Zealand • Pilot Stage: Ireland
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Potential Uses • Detecting mobile phones: whether at prison entrances or in regular sweeps of offender cells, numerous tools have been developed to detect mobile phones, primarily through metal or electronics detecting devices (see Contraband Detection profile) • Blocking phone signals: faced with an overwhelming number of phones and phone cards smuggled into prisons, many governments have sought to block signals entirely, completely eliminating phone reception in and around prisons Proof of Concept • A report suggests that the drugs trade in HMP Wandsworth would be halved if phones were jammed238 • New Zealand carried out a joint project with Telecom and Vodafone to identify and evaluate several phone jamming options, ultimately choosing to block phone signals near prisons located in remote areas239 • Spain,240 Chile241 and Ireland242 have successfully used jamming devices on a smaller scale Risks • Legality: in many jurisdictions, complex legal issues have arisen between corrections departments, telecommunications regulators and area residents, including the US, where phone jamming is a high priority and the state of South Carolina has been blocked by the federal communications regulator over efforts to jam phone signals243 • Personnel requirements: detection devices, although increasingly sophisticated, require significant amounts of staff resources to regularly confiscate phones as a New Zealand report shows244 • Implementation costs: phone detecting technologies can be prohibitively expensive at up to $25,000 in the US, whilst phone jamming devices require complicated mapping processes in the design and implementation stages as well as licensing approval, which can delay a project for a significant amount of time245 Application in England and Wales • Recent reports show that the UK has yet to adopt effective phone blocking technologies, 246247 creating serious security risks through the participation of offenders in crimes committed outside of prison, including the arrangement of murders by inmates • A number of technologies, most notably detecting devices, have proven to be successful in other jurisdictions, all of which should be considered along with low-tech solutions such as the use of electronics-sniffing dogs and offering incentives to offenders, such as easier access to communication options in exchange for increased punishments for phone smuggling
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Perimeter Security Technologies used to guard or monitor the perimeter of prison estates operate primarily through detecting or discouraging offenders from moving close to barriers, including through electrified fences that can seriously injure or, in some jurisdictions, kill individuals. Increasingly, detecting contraband passed over or through barriers is also an important component of perimeter security. Visual Representations
Infrared Cameras
US Federal
Contraband poses a significant security threat, highlighting the need for technologies to monitor perimeters and detect breaches in order to reduce the need for more resource intensive efforts, such as routine searches of offendersâ&#x20AC;&#x2122; cells.
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Perimeter security increases offender outcomes by keeping out contraband and providing for a safer, more secure prison. As drugs are frequently passed through the perimeters of prison estates, perimeter security plays an important role in drug rehabilitation programmes.
Case Development Stages â&#x20AC;˘ In Use: Australia, Canada, Minnesota, New Zealand, South Africa â&#x20AC;˘ Pilot Stage: Florida
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Potential Uses • Increasing security: perimeter security helps maintain control over who and what enter and leave prison establishments, the basic requirement necessary for community and prison security • Limiting contraband: prisons around the world frequently experience problems with the smuggling of drugs into prison estates, from packages passed through fences to drugs placed inside hollowed out balls or dead animals being thrown over walls, which can be mitigated through the latest perimeter security technology Proof of Concept • The effective use of perimeter technology has been shown to provide extraordinary efficiency savings through reductions in staff processes that do not appear to conflict with offender outcomes • The implementation of new electric fencing technology is expected to save the US federal government $11 million through the elimination of 165 staff positions, reductions in the number of guard towers, and new staffing patterns248 • The US federal government and Florida are currently upgrading fences in certain prison estates to include stun-lethal capabilities249 • Sterile zones accompanied by motion detectors, often buried in the ground, and CCTV cameras are in use in New Zealand,250 Canada, 251 Australia,252 Minnesota253 and South Africa254 to deter escapes as well as detect contraband Risks • Effectiveness: it is difficult to accurately measure the effectiveness of perimeter security technologies as a deterrent, although it is likely that all options are imperfect and should not be perceived as an end in themselves • Human rights: Potentially lethal perimeter security raises concerns from a human rights perspective that could preclude their use in most developed countries, especially EU member states Application in England and Wales • The UK should continue to consider the full range of perimeter technologies available in order to maintain safe and secure prison estates and protect the communities in which they reside • Effective perimeter technology can provide critical efficiency savings whilst contributing to community safety performance targets and promoting offender outcomes on the drugs pathway out of re-offending
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Radio Frequency Identification Radio Frequency Identification (RFID) is an electronic monitoring technology that tracks the location of a small chip emitting a signal every few seconds, which can be inserted into ankle or wrist bands, vehicles and other containers. In addition to standard commercial uses in inventory control, RFID can be used to detect when an offender on probation is at home or to monitor realtime offender or staff movements within prisons. Visual Representations
California
Commercial Application
Minimalist uses can provide efficiency savings in inventory tracking and other common commercial applications. Full integration of RFID can provide increased security, improve response times, automate warnings, and allow comprehensive incident investigations whilst reducing staff requirements.
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RFID is not directly used to improve offender outcomes, whilst reductions in staff levels and decreased supervision often come at the expense of meaningful offender engagement. However, RFID is instrumental in enabling the 'family unit' grouping model, seen in Lelystad prison in The Netherlands and other cases, as well as easier processing of offenders being transferred between prisons or court and monitoring offenders in open prisons.
Case Development Stages â&#x20AC;˘ In Use: Canada, Denmark, Florida, The Netherlands, New Zealand, Spain, Texas â&#x20AC;˘ Pilot Stage: England and Wales, US federal 182
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Potential Uses • Home detention: RFID is the least costly and most basic form of electronic monitoring used in home detention or probation orders • Tracking in prisons: in recent years, RFID is increasingly used to track, in real time, items, such as transport vehicles, offenders and even staff within prison estates or facilitating more secure transfers to and from prisons and verifying offenders’ identities Proof of Concept • RFID is widely used across several industries to secure valuable items though up-to-date location information,255 offering lessons for prisons in securing keys and other critical items • In prisons, RFID chips have been successfully implemented to provide accurate real time information on offenders’ locations, improving security, deterring and more effectively investigating violent incidents, replacing the manual counting of offenders, and reducing opportunities for known gang members to associate with each other256 • RFID has been used to allow offenders to move more freely within prison estates, to access resources and even facilitate open-style facilities like those in Canberra, Australia257, and Lelystad, The Netherlands258 using RFID chips securely embedded in bracelets • Staff in several jurisdictions, including several US states and Sweden259 wear RFID chips to monitor staff performance and devices for signalling an alarm in emergencies260 • Outside prisons, RFID has proven to be significantly cheaper than GPS tracking, though less reliable for high-risk offenders due to lower security robustness261 Risks • Reliability: RFID is less resistant to tampering than GPS tracking devices, making it less desirable for offenders on probation and community sentencing262 • Resistance from staff: unions in particular may resist the introduction of RFID devices being used to monitor staff performance,263 although legally binding guarantees that RFID will only be used to enhance staff security may persuade unions to agree to RFID-enabled alarm systems • Infrastructure limitations: electronic monitoring devices used in offenders’ homes require landline telephone connections, leading to potential delays in implementation and additional expenses for offenders or the state,264 whilst in prisons, particularly older estates, necessary infrastructure upgrades may be prohibitively expensive265 Application in England and Wales • Non-custodial sentencing using RFID devices should be used as an alternative to prison, particularly for young266 or non-violent offenders • In prisons, RFID may provide large efficiency, security and intelligence gathering gains if used to improve daily processes, such as reducing the need to count offenders, currently a minimum of four times daily267 183
Radio Frequency Identification
Annex 3: Technology Profiles
Telemedicine Telemedicine is a broadly applied term, referring to technologies that assist in the medical care of individuals, often over long distances. In corrections, telemedicine includes the use of technologies such as videoconferencing and electronic medical records to transfer information between prisons and remotely based doctors and clinicians to perform diagnostics, health checks and updates and to provide access to specialist care. Visual Representations
Dental Application
Telemedicine has substantially reduced the costs of medical care delivery in prisons, but there is much evidence that such savings come at the expense of quality of care, potentially negating long-term efficiency gains.
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Telemedicine is used to provide specialist mental and physical health services to minority ethnic or language populations and people with particularly complex problems. In cases where there would be little or no attention otherwise devoted, telemedicine offers a clear improvement. However, telemedicine is often used primarily to reduce the costs of service delivery at the expense of personal care.
Case Development Stages â&#x20AC;˘ In Use: Spain, US federal â&#x20AC;˘ Pilot Stage: Canada
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Potential Uses • Specialist care: telemedicine is often the only solution in instances where on-site medical personnel are unavailable, such as in remote locations or instances where back-office functions such as the testing of physical samples, complex diagnoses, or the examination of radiological or other specialist tests are not practical • Primary service delivery: in prisons, telemedicine is often used as an alternative to transferring offenders to medical facilities in order to reduce costs or potential security threats Proof of Concept • A pilot project in US federal prisons realised savings of $7,200 per month in external consultations and air transport or roughly $102 per patient per month268 • An NHS pilot resulted in 82% fewer patients requiring offsite A&E or outpatient care269 • Other associated benefits of telemedicine include fewer risks from transfers and external consultations, shorter waiting times, better access to higher quality specialists and specialty care not previously available, and fewer grievances about physical or mental health care270 • Electronic medical records may improve the confidentiality of offenders’ medical records,271 whilst improving the quality and continuity of care,272 and are in use in Canada, 273 Florida, Oregon and US federal prisons274 • Videoconferencing is used to confirm diagnoses in Spain,275 whilst telepsychiatry sessions are provided to offenders in Greece276 and the UK277 Risks • Inflexibility: a telemedicine programme in Athens failed despite intensive training and preparation due to a lack of flexibility in the Greek national health service278 • Medical acceptance: many medical practitioners are opposed to the use of telemedicine due to potential conflicts with health practitioner codes of conduct and equality of care • Quality of care: there are conflicting reports about the effect of telemedicine on care, making improvements in offender care through telemedicine a positive step with potentially negative long-term effects Application in England and Wales • With the cost of escorting an offender to hospital in England and Wales up to £40,000 per visit,279 there are sufficient reasons for NOMS to invest in some forms of telemedicine • Significant improvements in video-link technology may minimise many of the costs involved, although an incremental approach, starting with specific high-cost activities before gradually expanding to cover more areas of heath care, is advisable
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Videoconferencing Videoconferencing consists of remote simultaneous video and audio communication, typically over an IP network. The increasing sophistication and decreasing costs of video links have led a large number of corrections departments to implement or consider using videoconferencing technologies for court appearances, internal communication and family visitation. Visual Representations
Texas
Singapore
Videoconferencing between staff members has been successfully used to offer staff trainings, hold meetings and improve inter-agency communication at reduced cost. The use of video links between offenders and courts has shown to have significant cost savings as well as improvements in safety by reducing the frequency of transporting offenders and remand prisoners.
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Video technology can support rehabilitation outcomes when used to integrate offenders with society. Tele-visit centres have the potential to increase the amount and frequency of family contact, whilst videoconferencing with social workers can increase access to services for offenders with special needs, such as non-native language speakers. However, when used to replace rather than supplement personal contact, videoconferencing can have a negative effect of offender outcomes.
Case Development Stages â&#x20AC;˘ In Use: Australia, Colorado, England and Wales, Florida, France, Hong Kong, Ireland, Singapore, Texas, US federal â&#x20AC;˘ Pilot Stage: California, Spain
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Potential Uses • Staff communication: video links facilitate increased communication levels whilst reducing travel costs for meetings and staff trainings • Judicial and probation hearings: it offers a safer and less expensive means for offenders to attend court or probation proceedings, typically those for which physical attendance would offer relatively insignificant benefits for the offender, such as routine or brief actions • Family communication: family visits can be supplemented through kiosks or communication centres maintained by the state or from home • Service provision: video links offer the potential for the contingent networking of offenders to social workers and service providers Proof of Concept • Projected savings in transport and security costs are estimated at $2 million annually in Florida280 and $2.7 million in Wisconsin281 • Videoconferencing was introduced in Texas probation offices as part of a systematic cost-reduction programme282 • The use of videoconferencing in probation was found to have a 12 month pay back period in England and Wales283 • The use of videoconferencing for staff trainings has been shown to lead to increased staff satisfaction in California284 • In Spain, a new prison was built with cells specifically designed for video-conferencing capabilities285 • In 2000, several Florida prisons initiated a videoconferencing programme specifically to allow female offenders more options to connect with their children, including access to external communication centres in the community for use by families286 • A UK charity uses video links to offer increased services to female foreign national offenders287 • Singapore provides ten videoconferencing centres in train terminals across the city to provide more offender visitation options for families288 Risks • Efficacy: video communication has been shown to lack some of the important benefits of face-to-face communication289 • Security and privacy: as with other forms of communication, security and privacy may be compromised, although low-costs technical solutions are available, such as ‘virtual private network tunnels’290 • Public perception: videoconferencing for offenders may be viewed as an unwarranted luxury by some, although the issue has been avoided in the US and other jurisdictions by framing it as a cost-saving measure Application in England and Wales • England and Wales already operate multiple videoconferencing sites for use in judicial proceedings with documented efficiency savings291 • Further value for money can be achieved by extending video links between offenders and family members as well as service providers
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Voice Verification Technology Voice recognition is an automated form of biometric technology that analyses vocal patterns to verify an individual's identity. Whilst word recognition technology asks a user for a specific password, with voice verification, the unique tone or timbre of a person’s voice acts as the password and can be used to authenticate identity through digital comparison against a database. Visual Representations
England and Wales
Trials in England and Wales, New Zealand, Span and various jurisdictions in the US have shown that voice verification has potential security benefits but suffers from operational difficulties. It offers a lower cost identification method than GPS but is only currently viewed as appropriate for some low-risk offenders.
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Custodial sentencing has been shown to create substantial barriers to the pathways out of re-offending, and voice verification and other forms of electronic monitoring, such as RFID and GPS tracking, all offer potentially inexpensive alternatives. However, voice verification has serious limitations compared to other forms of ensuring compliance with non-custodial sentencing, making it the least secure option for moderate- or high-risk offenders.
Case Development Stages • In Use: The Netherlands, New Zealand, Spain • Pilot Stage: England and Wales
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Potential Uses • Non-custodial sentencing: voice verification can ensure compliance with home sentencing by requiring offenders to verify their identity on their home telephone at predetermined or randomly selected times • Restricted access security: as with other forms of biometric technology, voice verification can be used at entryways or on telephone systems to restrict access to authorised personnel only Proof of Concept • Voice verification is often used in conjunction with other forms of identity authentication, including electronic monitoring devices, offering benefits due to its comparatively low price and ease of use by offenders292 • Although trials have revealed weaknesses in the level of security provided by voice verification, it is viewed as a low-cost alternative to RFID or GPS tracking for low-risk offenders293 and considered as accurate as fingerprint scanners as each individual’s voice is unique294 • In Spain, voice verification is used for offenders who have committed mild offences and are currently serving community sentences295 • Voice verification has been piloted in England and Wales with offenders on community sentences as well as young offenders and some adult offenders on probation in West Yorkshire, Nottinghamshire and Hampshire296 Risks • Security: due to call-forwarding capabilities and actions by offenders to manipulate telephone equipment, voice verification has proven to be difficult to reliably ensure compliance with home sentences without expensive installations in offenders’ homes • Reliability: in the US, voice verification has proven to be the least accurate form of all forms of biometric technology,297 whilst users with illnesses or significant background noise have experienced limited reliability, with subjects often needing to be re-enrolled in the system after some time298 • Privacy concerns: as a form of biometrics that may in future allow individuals to be identified passively (without requiring their consent), voice verification has provoked criticism from some campaigners299 Application in England and Wales • In 2004, 5,310 offenders were monitored through voice verification in England and Wales300, and as part of a variety of technologies used to ensure compliance with community sentences, voice verification should continue to be used for low-risk or young offenders • However, the limitations of voice verification and proven security flaws, which are unlikely to be overcome in the near future, make it a less desirable alternative to RFID and GPS tracking for moderate- or highrisk offenders serving probation or community sentences
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1 The comparative review carried out included 4 out of the 8 regions that comprise Australia. In terms of mission statements, they are no too dissimilar. As an example, New South Wales (NSW) Department of Corrective Services’ Mission Statement is: ‘Managing offenders in a safe, secure and humane manner and reduce risks of re-offending’. The other states are Western Australia (WA) and Australian Capital Territory (ACT). 2 Prisoners released in 2003–04 returned to prison under sentence in 2005–06. Australian Institute of Criminology. http://www.aic.gov.au/publications/rpp/80/rpp80.pdf 3 Australian Institute of Criminology. http://www.aic.gov.au/publications/facts/2007/07_criminal_justice_resources.html 4 California Department of Corrections and Rehabilitation. http://www.cdcr.ca.gov/About_CDCR/docs/mission.pdf 5 Two Year Follow-up Recidivism Rates Under the Supervision of the California Department of Corrections and Rehabilitation For All Paroled Felons Released from Prison for the First Time in 2005. http://www.cdcr.ca.gov/Reports_Research/Offender_Information_Services_Branch/Annual/RECID2/RECID2d2005.p df 6 Budget 2007-2008. Third Quarter 2008 Facts and Figures. http://www.cdcr.ca.gov/Divisions_Boards/Adult_Operations/Facts_and_Figures.html 7 Corresponds to US$35,587 operational annual cost per inmate in 2008. Third Quarter 2008 Facts and Figures. http://www.cdcr.ca.gov/Divisions_Boards/Adult_Operations/Facts_and_Figures.html 8 California Department of Corrections and Rehabilitation. http://www.cdcr.ca.gov/News/2007_Press_Releases/Press20070516.html 9 New York Times, 10 Feb 2009. http://www.nytimes.com/2009/02/10/us/10prison.html 10 California Department of Corrections and Rehabilitation. http://www.cdcr.ca.gov/News/docs/GovRehabilitationStrikeTeamRpt_012308.pdf 11 Correctional Service Canada. http://www.csc-scc.gc.ca/text/organi-eng.shtml 12 Correctional Service Canada. http://www.tbs-sct.gc.ca/dpr-rmr/2007-2008/inst/pen/pen-eng.pdf 13 Only considered correctional officers for federally convicted offenders. Correctional Service Canada. Performance Report 2007-2008. http://www.tbs-sct.gc.ca/dpr-rmr/2007-2008/inst/pen/pen-eng.pdf 14 Correctional Service Canada. Performance Report 2007-2008. 15 Average annual cost of maintaining a federally sentenced male offender in a penitentiary was $85,757 in 20052006. Correctional Service Canada. http://www.tbs-sct.gc.ca/dpr-rmr/2007-2008/inst/pen/pen-eng.pdf 16 Gendarmeria de Chile. http://www.gendarmeria.cl/ 17 According to Latin American Faculty of Social Sciences (FLACSO). www.flacso.cl 18 Fiscal Year 2009. Chilean Directorate of Budget. www.dipres.cl 19 There has been a large debate overt this point. Some authors say that the cost of private prisons in Chile is nearly US$35 per offender whilst in public prisons is about US$11. Dammert, L. and Javiera Diaz (2005). ‘Los desafios del sistema carcelario en Chile’. Clacso, Caracas. 20 Colorado Department of Corrections. Administrative Regulation 100-18 (2008). https://exdoc.state.co.us/userfiles/regulations/pdf/0100_18.pdf 21 Prisoners released in 2004 who returned to prison within two years. Statistical Report Fiscal Year 2007. Colorado Department of Corrections. https://exdoc.state.co.us/secure/combo2.0.0/userfiles/folder_18/StatRpt2007.pdf 22 California Department of Corrections and Rehabilitation. http://www.ccjrc.org/pdf/2008_Colorado_Quick_Facts.pdf 23 Colorado Department of Corrections. Fiscal Year 2008-9. Budget in Brief. Colorado General Assembly. http://www.state.co.us/gov_dir/leg_dir/jbc/FY08-09BIB.pdf 24 Statistical Report Fiscal Year 2007. Colorado Department of Corrections. 25 Independence Institute. (2007) How will Colorado pay for the coming prison boom?. http://www.i2i.org/main/article.php?article_id=1392 26 Danish Prison and Probation Service, 2002.
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27 All convicted persons commit new offences within the two-year period. The frequency of relapse varies a great deal among the various groups of offenders. The overall percentage of recidivism has been fairly constant in recent times. There are, however, more or less considerable variations within the individual groups of offenders. Danish Prison and Probation Service, 2002. http://www.kriminalforsorgen.dk/ 28 According to 1999 USD level. Idem. 29 For open and local prisons. The first is for closed prisons. Idem. 30 BBC News. http://news.bbc.co.uk/2/hi/europe/3036450.stm 31 Institute for Public Policy Research. http://www.ippr.org/articles/?id=2304 32 Danish Prison and Probation Service. http://www.kriminalforsorgen.dk/Indhold.aspx?page=Visioner 33 Danish Prison and Probation Service. http://www.kriminalforsorgen.dk/projektarbejde/b03b_p00/b03b_evalueringsrapport_marts02.htm 34 Danish Prison and Probation Service. http://www.kriminalforsorgen.dk/publika/aarsrapport2002/html/default.htm 35 Danish Prison and Probation Service. http://www.kriminalforsorgen.dk/projektarbejde/c02_p99/c2_modvirketiltag/c02_delindstil_modvirke_feb2001.htm 36 Danish Prison and Probation Service. http://www.kriminalforsorgen.dk/projektarbejde/b03b_p00/b03b_evalueringsrapport_marts02.htm 37 Danish Prison and Probation Service. http://www.kriminalforsorgen.dk/publika/aarsberetning_2007/html/helepubl.htm 38 Danish Prison and Probation Service. http://www.kriminalforsorgen.dk/publika/nyt/nyt05_02/html/kap03.htm 39 Danish Prison and Probation Service. http://www.kriminalforsorgen.dk/publika/nyt/nyt05_02/html/kap03.htm 40 Danish Prison and Probation Service. http://www.kriminalforsorgen.dk/publika/virkregnskab2000/virkregnskab2000-3.htm 41 HM Prison Service. http://www.hmprisonservice.gov.uk/abouttheservice/statementofpurpose 42 Home Office Statistical Bulletin. Re-offending of adults: results from the 2004 cohort. http://www.homeoffice.gov.uk/rds/pdfs07/hosb0607.pdf 43 Operational Costs HM Prison Service 2007-8. HMPS Annual Report and Accounts 2007-2008. http://www.hmprisonservice.gov.uk/assets/documents/10003D1DHMPS_AR_accounts_2007-08.pdf 44 Gross Value Added (GVA) 2007. UK National Statistics Publication Hub: Regional Accounts. http://www.statistics.gov.uk/hub/economy/national-accounts/regional-accounts/index.html 45 National Offender Management Service. http://noms.justice.gov.uk/news-publicationsevents/publications/guidance/OM-Overview.pdf?view=Binary 46 HM Prison Service. http://www.hmprisonservice.gov.uk/assets/documents/1000439CRace_Review_part_1.pdf 47 National Offender Management Service. http://noms.justice.gov.uk/news-publicationsevents/publications/guidance/OM-Overview.pdf?view=Binary 48 National Offender Management Service. http://noms.justice.gov.uk/news-publicationsevents/publications/guidance/OM-Overview.pdf?view=Binary and National Probation Services. http://www.probation.homeoffice.gov.uk/files/pdf/Briefing%2025.pdf 49 National Probation Services. http://www.probation.homeoffice.gov.uk/files/pdf/PC52%202005.pdf 50 HM Prison Service.http://www.hmprisonservice.gov.uk/news/latestnews/index.asp?id=3492,38,6,38,0,0 51HM Prison Service. http://www.hmprisonservice.gov.uk/prisoninformation/prisonservicemagazine/index.asp?id=1442,18,3,18,0,0 52 HM Prison Service. http://www.hmprisonservice.gov.uk/news/latestnews/index.asp?id=6412,38,6,38,0,0 53 HM Prison Service. http://www.hmprisonservice.gov.uk/prisoninformation/prisonservicemagazine/index.asp?id=1030,18,3,18,0,0 54 National Probation Services. http://www.probation.homeoffice.gov.uk/files/pdf/Bulletin%2019.pdf 55 National Probation Services. http://www.probation.homeoffice.gov.uk/files/pdf/NPS%20Briefing%2021.pdf 56 HM Prison Service. http://www.hmprisonservice.gov.uk/resourcecentre/prisonservicejournal/index.asp?id=5066,3124,11,3148,0,0 57 Florida Department of Corrections. http://www.dc.state.fl.us/
58 Prisoners released in 1995 to 2001 who reoffended within 2-years. Recidivism Report 2003. Florida Department of Corrections. http://www.dc.state.fl.us/pub/recidivism/2003/curves.html 59 Fiscal Year 2009. http://www.dc.state.fl.us/secretary/press/2008/budget.html 60 Statistics in Brief September 2008 (excluding private prisons). http://www.dc.state.fl.us/pub/statsbrief/cost.html 61 Florida Department of Corrections. http://www.dc.state.fl.us/secretary/press/2008/MDAS.html 62 Florida Department of Corrections. http://www.dc.state.fl.us/orginfo/oit.html 63 Florida Department of Corrections. http://www.dc.state.fl.us/pub/annual/9798/oit.html 64 Florida Department of Corrections. http://www.dc.state.fl.us/secretary/press/2003/computerworld.html 65 Florida Department of Corrections. http://www.dc.state.fl.us/pub/compass/0005/page09.html 66 Florida Department of Corrections. http://www.dc.state.fl.us/pub/compass/0102/page07.html 67 Florida Department of Corrections. http://www.dc.state.fl.us/pub/annual/0001/accomplishments.html 68 Florida Department of Corrections. http://www.dc.state.fl.us/pub/asp/19982003/add/issue5.html 69 Florida Department of Corrections. http://www.dc.state.fl.us/pub/asp/19982003/goal2-1.html 70 Florida Department of Corrections. http://www.dc.state.fl.us/pub/asp/1998prog/issue7.html 71 Florida Department of Corrections. http://www.dc.state.fl.us/pub/annual/0607/accomplishments.html 72 Aromaa, K. and Markku Heiskanen (eds.) (2008) Crime and Criminal Justice Systems in Europe and North America 1995-2004. European Institute for Crime Prevention and Control, affiliated with the United Nations, Helsinki. 73 France Ministry of Justice. http://www.justice.gouv.fr/index.php?rubrique=10030&article=13919 74 France Ministry of Justice. http://www.justice.gouv.fr/art_pix/budget2009mj.pdf 75 France Ministry of Justice. http://www.justice.gouv.fr/art_pix/RPE2.pdf 76 France Ministry of Justice. http://www.justice.gouv.fr/bulletin-officiel/dap86b.htm; http://www.justice.gouv.fr/index.php?rubrique=10016&ssrubrique=10259&article=12214 77 France Ministry of Justice. http://www.justice.gouv.fr/art_pix/plaquette_justiceenfrance_fr.pdf 78 France Ministry of Justice. http://www.justice.gouv.fr/mots-cles/mc_p.html 79 France Ministry of Justice. http://www.justice.gouv.fr/index.php?rubrique=10016&ssrubrique=10259&article=14768 80 France Ministry of Justice. http://www.justice.gouv.fr/index.php?rubrique=10016&ssrubrique=10259&article=15230 81 France Ministry of Justice. http://www.justice.gouv.fr/index.php?rubrique=10054&ssrubrique=10055&article=12449 82 France Ministry of Justice. http://www.justice.gouv.fr/index.php?rubrique=10036&ssrubrique=10262&article=12214 83 France Ministry of Justice. http://www.justice.gouv.fr/index.php?rubrique=10036&ssrubrique=10262&article=11265 84 Aromaa, K. and Markku Heiskanen (eds.) (2008) Crime and Criminal Justice Systems in Europe and North America 1995-2004. European Institute for Crime Prevention and Control, affiliated with the United Nations, Helsinki. 85 Cavadino, M. and J. Dignan (2006). Penal Systems: A Comparative Approach. London: SAGE Publications. 86 Bavaria Corrections. http://www.justizvollzug-bayern.de/JV/Presse/2005/2005_06_06_pm 87 Saxony Corrections. http://www.justiz.sachsen.de/smj/download/Rede-Staatsminister-Einweihung-NordfluegelJVABZ.pdf 88 Hong Kong Correctional Services. http://www.csd.gov.hk/english/abt/abt_vis/abt_vis.html 89 Hong Kong Correctional Services. http://www.csd.gov.hk/english/news/news_st/eee0809/sb011e.pdf 90 Actual expenditure in 2008, excluding capital building works. Annual Review 2008. Hong Kong Correctional Services. http://www.csd.gov.hk/view/2008/annual_2008_eng.pdf . 91 Examination of Estimates Expenditures 2008-2009. Hong Kong Correctional Services. http://www.csd.gov.hk/english/news/news_st/eee0809/sb011e.pdf 92 http://www.hkdf.org/newsarticles.asp?show=newsarticles&newsarticle=137 93 Hong Kong Correctional Services. www.csd.gov.hk/tc_chi/pub/pub_ar/files/2000_ch05.pdf 94 Hong Kong Correctional Services. www.csd.gov.hk/tc_chi/pub/pub_ar/files/2002_chapter1.pdf
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95 Hong Kong Correctional Services. http://www.csd.gov.hk/english/news/news_st/files/annex_a_e.pdf 96 Hong Kong Correctional Services. www.csd.gov.hk/english/news/news_st/eee0809/sb037e.pdf 97 Hong Kong Correctional Services. www.csd.gov.hk/tc_chi/pub/pub_ar/files/2003_ch5.pdf 98 Hong Kong Correctional Services. www.csd.gov.hk/tc_chi/pub/pub_ar/files/2002_foreword.pdf 99 Hong Kong Correctional Services. http://www.csd.gov.hk/view/2007/west/chapter04/index.htm 100 Hong Kong Correctional Services. http://www.csd.gov.hk/tc_chi/pub/pub_ar/files/2005_ch7.pdf 101 Hong Kong Correctional Services. http://www.csd.gov.hk/english/news/news_st/files/se0603cb2-1748-5-e.pdf 102 Irish Prison Service. http://www.irishprisons.ie/about_us-home.htm 103 Aromaa, K. and Markku Heiskanen (eds.) (2008) Crime and Criminal Justice Systems in Europe and North America 1995-2004. European Institute for Crime Prevention and Control, affiliated with the United Nations, Helsinki. 104 Estimated expenditure of both Prison Service and Probation Service by the end of 2008. 2008 Irish Estimates for Public Services. http://www.budget.gov.ie/2008/downloads/2008EstimatesforPublicServies&SummaryPublicCapitalProgramme.pdf 105 Irish Prison Service. Annual Report 2007. http://www.irishprisons.ie/documents/IPS_AR_2007.pdf 106 Secretaria del Sistema Penitenciario. http://www.ssp.gob.mx/portalWebApp/appmanager/portal/desk?_nfpb=true&_pageLabel=contenido3&nodeId=/BEA %20Repository/366868//archivo&menu=SubSecretaria%20Sistema%20Penitenciario 107 Minnesota Department of Corrections. http://www.doc.state.mn.us/aboutdoc/mission.htm 108 Prisoners released in 2004. Performance Report 2008. Minnesota Department of Corrections. http://www.doc.state.mn.us/publications/legislativereports/documents/PerformanceReport2008.pdf 109 Fiscal Budget 2008. Notable Statistics. Minnesota Department of Corrections. http://www.doc.state.mn.us/aboutdoc/stats/documents/NotableStatistics12-08.pdf 110 Notable Statistics. Minnesota Department of Corrections. 111 Dutch National Agency of Correctional Institutions. http://www.dji.nl/index.aspx 112 Adjusted reconviction rates within two years after release from the institution (only ex-prisoners). B.S.J. Wartna, B., Beijersbergen, K., Blom, M., Tollenaar, N. Weijters, G., Essers, A., Alma, S. and Alberda, D. (2008) Recidivism report 1997-2004: Developments in the reconviction rate of Dutch offenders. Available online from http://english.wodc.nl/onderzoeksdatabase/recidive-innederland.aspx?nav=ra&l=criminologische_aspecten&l=recidive. 113 Latest data available for both items is 2001: prisoner rate was 95 per 100,000 population and staff in adult prisons was 82 per 100,000 population. Aromaa, K. and Markku Heiskanen (eds.) (2008) Crime and Criminal Justice Systems in Europe and North America 1995-2004. European Institute for Crime Prevention and Control, affiliated with the United Nations, Helsinki. 114 New Zealand Department of Corrections. http://www.corrections.govt.nz/about-us.html 115 Offenders reconvicted within 24-months follow-up period from released in the period 2005/6. The rate of imprisoned released prisoners was 37.9%. New Zealand Department of Corrections. Annual Report 2007-2008. http://www.corrections.govt.nz/__data/assets/pdf_file/0005/295241/07-08-Annual-Report.pdf. 116 Annual Report 2007-2008. New Zealand Department of Corrections. 117 New Zealand Department of Corrections. http://www.nbr.co.nz/article/private-prison-management-plan-criticised33686 118 State of Oregon: Department of Corrections. http://www.doc.state.or.us/ 119 In this case the percentage corresponds to the 3-years recidivism rate. Oregon Department of Corrections Annual Performance Progress Report (APPR) for Fiscal Year 2006-07. http://www.oregon.gov/DOC/PUBAFF/docs/pdf/DOC_APPR2007.pdf 120 Institute on Women and Criminal Justice. (2005) The Punitiveness Report. States Report: Oregon. http://www.wpaonline.org/institute/hardhit/states/Oregon.pdf 121 Annual Performance Progress Report (APPR) for Fiscal Year (2007-2008). Oregon Department of Corrections. http://www.oregon.gov/DOC/PUBAFF/docs/pdf/doc_appr_021209.pdf
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