Federal Prisons: Bureau of Prisons Should Improve Efforts to Implement its Risk and Needs Assessment System
About 45% of people released from federal prison are re-arrested or return within 3 years. The First Step Act of 2018 requires the Bureau of Prisons to regularly assess incarcerated people's needs and their risk of reoffending.
But the Bureau doesn't have reliable data on the timeliness of completing such assessments and lacks clear, measurable goals and milestones to evaluate whether its programs are working. Also, people participating in these programs can earn credits to reduce their time in prison, but accurate data is needed to apply such credits.
We recommended addressing these issues.
What GAO Found
Since the enactment of the First Step Act of 2018, the Department of Justice (DOJ) developed a risk assessment tool to measure an incarcerated person's risk of recidivism. In addition, the Bureau of Prisons (BOP) modified its existing needs assessment system to identify incarcerated people's needs, that if addressed may reduce their recidivism risk. However, BOP does not have readily-available, complete, and accurate data to determine if assessments were conducted within required First Step Act and internal timeframes. As of October 2022, BOP plans to implement monitoring efforts to assess First Step Act requirements, but has not determined if these efforts will measure whether assessments are completed on time. Without such data and monitoring, BOP is not in a position to determine if staff complete assessments on time, which are necessary for earning First Step Act time credits. These time credits may allow incarcerated people to reduce the amount of time they spend in a BOP facility.
BOP created a plan to evaluate its evidence-based programs, as required by the First Step Act. However, the plan did not include quantifiable goals that align with certain First Step Act requirements, or have clear milestone dates. By including such elements in its plan, BOP will be better positioned to ensure its evaluations are conducted in a timely manner, and align with the First Step Act. BOP has some data on who participates in its programs and activities, but does not have a mechanism to monitor if it offers a sufficient amount. Without such a mechanism, BOP cannot ensure it is meeting the incarcerated population's needs. Further, while BOP offers unstructured productive activities for which incarcerated people may earn time credits, BOP has not documented a complete list or monitored them. Without doing so, BOP cannot ensure it provides transparent information.
BOP's procedure for applying time credits has evolved over time (see figure). Initially, BOP did not have data necessary to track time credits and developed an interim approach in January 2022. Subsequently, BOP implemented an automated-calculation application for time credits that took into account factors the interim procedure did not. As a result, some incarcerated people may have had their time credits reduced. In November 2022, BOP issued its First Step Act Time Credits program statement, with new procedures.
Timeline of the Department of Justice (DOJ) and Federal Bureau of Prisons (BOP) Implementation of the First Step Act Time Credit Procedure
Why GAO Did This Study
Approximately 45 percent of people released from a federal prison are re-arrested or return within 3 years of their release. The First Step Act included certain requirements for DOJ and BOP aimed to reduce recidivism, including requiring the development of a system to assess the recidivism risk and needs of incarcerated people. It also required BOP to provide incarcerated people with programs and activities to address their needs and if eligible, earn time credits.
The First Step Act required GAO to assess the DOJ and BOP's implementation of certain requirements. This report addresses the extent to which DOJ and BOP implemented certain First Step Act requirements related to the (1) risk and needs assessment system, (2) identification and evaluation of programs and activities, and (3) application of time credits.
GAO reviewed legislation and DOJ and BOP documents; analyzed 2022 BOP data; and interviewed DOJ and BOP headquarters officials and BOP's employee union. GAO also conducted non-generalizable interviews with officials from four BOP regional offices facilities, selected to ensure a mix of different facility characteristics.
Recommendations
GAO is making eight recommendations for BOP to improve its implementation of the First Step Act, including collecting data, ensuring its evaluation plan has goals and milestones, having monitoring mechanisms, and tracking unstructured productive activities. BOP concurred with six recommendations, but did not concur with two. GAO continues to believe these are valid.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Bureau of Prisons | The Director of BOP should collect and maintain complete and accurate data in a readily-available format on First Step Act risk and needs assessments, including the actual dates when First Step Act risk and needs assessments and reassessments are conducted. (Recommendation 1) |
In March 2023, we reported that BOP does not have readily-available, complete, and accurate data to determine if risk and needs assessments were conducted within the First Step Act required and BOP established timeframes. We recommended that BOP collect and maintain such data and BOP concurred. BOP stated it will continue its ongoing efforts to ensure that its current technology collects and maintains complete and accurate data on risk and needs assessments, including dates these assessments are conducted, in a readily available format. We will continue to monitor BOP's efforts to address this recommendation.
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| Bureau of Prisons | The Director of BOP should ensure that the monitoring efforts it implements can determine if BOP is conducting risk and needs assessments in accordance with First Step Act required and BOP internal timeframes. (Recommendation 2) |
In March 2023, we reported that BOP's monitoring efforts have not included whether it completed risk and needs assessments according to First Step Act required and internal timeframes. Further, we reported that BOP has not confirmed if its planned efforts will measure whether assessments are completed on time. We recommended that BOP ensure that the monitoring efforts it implements can determine if BOP is conducting risk and needs assessments in accordance with First Step Act required and BOP internal timeframes. BOP concurred with this recommendation. BOP stated it will continue its ongoing efforts to ensure that its current monitoring efforts can determine whether risk and needs assessments are conducted in accordance with the First Step Act and BOP internal timeframes. We will continue to monitor BOP's efforts to address this recommendation.
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| Bureau of Prisons |
Priority Rec.
The Director of BOP should use and document the results of its ongoing monitoring of the frequency at which it conducts risk and needs assessments, and take appropriate corrective actions, as needed. (Recommendation 3) |
In March 2023, we reported that BOP may not have any results from its monitoring efforts of its risk and needs assessments that it could utilize and document on whether it is conducting risk and needs assessments on time. To help address this issue, we recommended that BOP use and document the results of its ongoing monitoring of the frequency at which it conducts risk and needs assessments, and take appropriate corrective actions, as needed. BOP concurred with this recommendation. In response to our report, in February 2023, BOP stated it will continue its ongoing efforts to use and document the results of monitoring the frequency of risk and needs assessments and take appropriate corrective actions as needed, to ensure these assessments are conducted within the statutorily required timeframes. In addition, BOP stated it is contracting for a quality assurance audit to verify it is conducting risk and needs assessments within the First Step Act of 2018 (First Step Act) required timeframes. If implemented effectively, these actions would better position BOP to ensure it is conducting assessments in accordance with the First Step Act requirements, and take corrective actions, as needed. We will continue to monitor BOP's efforts to address this recommendation.
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| Bureau of Prisons |
Priority Rec.
The Director of BOP should ensure its plan for evaluating evidence-based recidivism reduction programs has pre-established, quantifiable goals that align with the First Step Act, and includes clear milestone dates. (Recommendation 4) |
In March 2023, we reported that BOP's evaluation plan for its evidence-based recidivism reduction programs does not include specific details on pre-established, quantifiable goals or clear milestone dates for the evaluation of most of its programs. To help address this issue, we recommended that BOP should ensure its plan for evaluating evidence-based recidivism reduction programs has pre-established, quantifiable goals that align with the First Step Act, and includes clear milestone dates. BOP concurred with this recommendation. In response to our report, in February 2023, BOP stated its milestones will be finalized as BOP learns to gauge its capacity. We will continue to monitor BOP's efforts to address this recommendation.
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| Bureau of Prisons | The Director of BOP should evaluate its evidence-based recidivism reduction programs, according to the plan established. (Recommendation 5) |
In March 2023, we reported that BOP missed dates it previously set to conduct evaluations. To help address this issue, we recommended that BOP evaluate its evidence-based recidivism reduction programs, according to the plan established. BOP concurred with this recommendation. In response to our report, in February 2023, BOP stated the milestones for its plan will be finalized as BOP learns to gauge its capacity and that it has 14 evaluations underway. We will continue to monitor BOP's efforts to address this recommendation.
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| Bureau of Prisons |
Priority Rec.
The Director of BOP should develop a mechanism to monitor, on an ongoing basis, if it is offering a sufficient amount of evidence-based recidivism reduction programs and productive activities to meet the needs of its incarcerated population. (Recommendation 6) |
In March 2023, we reported that BOP does not have a mechanism to monitor, on an ongoing basis, if it is offering a sufficient amount of evidence-based recidivism reduction programs and productive activities to meet the needs of the incarcerated population at each facility. To help address this issue, we recommended that BOP develop such a mechanism and BOP concurred. In response to our report, in February 2023, BOP stated it has contracted to make this information available in a dashboard format that is continually updated. Further, BOP stated the technology currently being developed will offer information on the programs offered by each facility and the needs of the incarcerated people within that facility, and such information could be used to identify unmet needs. We will continue to monitor BOP's efforts to address this recommendation.
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| Bureau of Prisons |
Priority Rec.
The Director of BOP should document a complete list of all the unstructured productive activities that incarcerated people are able to participate in and earn First Step Act time credits. (Recommendation 7) |
In March 2023, we reported that BOP did not list the unstructured productive activities in its First Step Act Approved Programs Guide, or otherwise document a complete list of unstructured productive activities available for First Step Act time credits. To help address this issue, we recommended that BOP document a complete list of all the unstructured productive activities that incarcerated people are able to participate in and earn First Step Act time credits. BOP did not concur with this recommendation. In response to our report, in February 2023, BOP stated that it was not statutorily required to document such a list, and such action would not be useful or feasible. The intent of our recommendation is for BOP to be transparent in a process that BOP has already implemented and established in policy. Accordingly, we continue to believe this recommendation is valid. We will continue to monitor if BOP takes any action to address this recommendation.
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| Bureau of Prisons |
Priority Rec.
The Director of BOP should collect and monitor participation data for unstructured productive activities that incarcerated people are able to participate in and earn First Step Act time credits. (Recommendation 8) |
In March 2023, we reported that BOP did not collect or monitor participation data on unstructured productive activities that incarcerated people are able to participate in and earn First Step Act time credits. We recommended that BOP collect and monitor such data. BOP did not concur with this recommendation. In response to our report, in February 2023, BOP stated that it was not statutorily required, nor helpful, to monitor these activities. By monitoring participation in unstructured productive activities, BOP will be better positioned to know the status of each incarcerated person's successful participation for purposes of time credits. Accordingly, we continue to believe this recommendation is valid. We will continue to monitor if BOP takes any action to address this recommendation.
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