Federal Prisons: Bureau of Prisons Should Improve Efforts to Implement its Risk and Needs Assessment System
Fast Facts
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.
Highlights
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) |
Open
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. In September 2023, BOP officials stated that they planned to enhance its auto-calculation time credits application to integrate risk, needs, and time credits assessments into a single, monthly automated process. According to BOP, the auto-calculation application will ensure that BOP is able to collect and maintain complete and accurate data in a readily-available format, including the actual dates when First Step Act risk and needs assessments and reassessments are conducted. To fully address this recommendation, BOP will need to provide documentation on how this application addresses issues related to data completeness and accuracy, such as ensuring dates assigned to each assessment represent the accurate date the assessment was completed as opposed to reflecting the date the assessment was entered into the system by the responsible staff member (since we know these two dates may not be the same).
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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) |
Open
In March 2023, we reported that BOP has not confirmed if its planned monitoring efforts will measure whether risk and needs assessments are completed according to First Step Act required and internal timeframes. 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. In September 2023, BOP officials stated they planned to enhance its auto-calculation time credits application to integrate risk, needs, and time credits assessments into a single, monthly automated process. According to BOP, this application will automate and independently generate these assessments and will more clearly document completion of each of these assessments at the intervals prescribed by the First Step Act and BOP requirements. To fully address this recommendation, BOP will need to implement its monitoring effort and ensure it can determine that BOP is conducting risk and needs assessments in accordance with First Step Act required and BOP internal timeframes.
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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) |
Open
In March 2023, we reported that BOP has not confirmed if its planned monitoring efforts will measure whether risk and needs assessments are completed according to First Step Act required and BOP internal timeframes. As such, BOP may not have any results from its monitoring efforts that could be utilized to document and determine whether it is conducting assessments on time and taking appropriate corrective action when it is not. We recommended that 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. BOP concurred with this recommendation. In September 2023, BOP stated they planned to enhance its auto-calculation time credits application to integrate risk, needs, and time credits assessments into a single, monthly automated process. According to BOP, this application will automate and independently generate these assessments and will more clearly document completion of each of these assessments at the intervals prescribed by the First Step Act and BOP requirements. BOP officials stated that it will take at least 1 year to generate data necessary to evaluate the need for corrective actions, as First Step Act-related assessments occur every 180-days. To fully address this recommendation, BOP will need to implement its monitoring efforts and demonstrate through documentation how they are using the results.
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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) |
Open – Partially Addressed
In March 2023, we reported that BOP's evaluation plan for its evidence-based recidivism reduction programs did not include pre-established, quantifiable goals that align with the First Step Act or clear milestone dates for the evaluation of most of its programs. Accordingly, we recommended that BOP ensure its plan included these elements and BOP concurred. In August 2023, BOP updated its evaluation plan to include milestone dates (i.e. initiation and anticipated completion dates for all of its evaluations) through fiscal year 2026 and goals and research questions for those evaluations that have been initiated. According to BOP officials in September 2023, while long-term outcomes will primarily focus on recidivism, short-term outcomes will vary by program. However, BOP's updated evaluation plan did not include timeframes for all of if evidence-based recidivism reduction programs and did not include pre-established, quantifiable goals that align with the First Step Act. To fully address this recommendation, BOP should ensure that its plan to evaluate evidence-based recidivism reduction programs include goals that align with the First Step Act, including a determination of which programs are the most effective at reducing recidivism, and the type, amount, and intensity of programming that most effectively reduces the risk of recidivism.
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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) |
Open
In March 2023, we reported that BOP missed dates it previously set to conduct evaluations of its evidence-based recidivism reduction programs. To help address this issue, we recommended that BOP evaluate its programs, according to the plan established. BOP concurred with this recommendation. In September 2023, BOP officials stated that it had initiated and was actively conducting research on 15 evidence-based recidivism reduction programs. BOP stated that its evaluation of evidence-based recidivism reduction programs would be ongoing and evolving, as BOP would be continuously working to evaluate and re-evaluate its programs. To fully address this recommendation, BOP should provide documentation that it is initiating its evaluations of evidence-based recidivism reduction programs, according to its plan- and that the evaluations include pre-established, quantifiable goals that align with the First Step Act.
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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) |
Open
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 September 2023, BOP officials stated they were in the process of developing a First Step Act Dashboard, which would display the level of needs and the amount of programming available to meet those needs at each facility. According to these officials, the First Step Act Dashboard would allow BOP to monitor trends, increase areas of emphasis, and shift focus and resources. BOP officials stated they anticipated completion and implementation of the first phase of the Dashboard by the end of the first quarter of fiscal year 2024. To fully address this recommendation, BOP should complete the implementation of First Step Act Dashboard and ensure it is offering a sufficient amount of evidence-based recidivism reduction programs and productive activities to meet the needs of its incarcerated population.
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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) |
Open
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. 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 September 2023, BOP officials stated incarcerated people cannot earn time credits for participating in unstructured productive activities. Rather, these individuals earn time credits for being in "opt-in status." Officials stated that they revised the First Step Act Approved Programs Guide in September 2023 to clarify this point. According to the guide, incarcerated individuals may begin opt-in status upon completion of all needs assessments survey. Further, the guide states that an individual would be in opt-out status-and not earn time credits-if the individual refuses to complete any of the initial need assessments, declines recommended programming that correspond to an identified need, refuses to participate in the Financial Responsibility Program, is placed in disciplinary segregation, or leaves a designated institution for an entire calendar day or more. While under BOP's current process, incarcerated people do not earn time credits for participation in unstructured productive activities, these individuals also do not earn time credits for actual participation in evidence-based recidivism reduction programs or structured productive activities. Further, BOP's FSA program guide is not consistent with its actual program statement on time credits, which states that "an eligible inmate who successfully participates in evidence-based recidivism reduction programs or productive activities that are recommended based on the inmate's risk and needs assessment may earn FSA Time Credits to be applied toward prerelease custody or early transfer to supervised release." And it further states that "successful participation requires a determination by BOP staff that an eligible inmate has participated in the evidence-based recidivism reduction programs or productive activities that the Bureau has recommended based on the inmate's individualized risk and needs assessment, and has complied with the requirements of each particular evidence-based recidivism reduction programs or productive activities" and that "[p]roductive activities include a variety of groups, programs, classes and individual activities which can be either structured or unstructured." To fully address this recommendation, BOP should document a complete list of all the unstructured productive activities.
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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) |
Open
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 September 2023, BOP officials stated incarcerated people cannot earn time credits for participating in unstructured productive activities. Rather, these individuals earn time credits for being in "opt-in status." Officials stated that they revised the First Step Act Approved Programs Guide in September 2023 to clarify this point. According to the guide, incarcerated individuals may begin opt-in status upon completion of all needs assessments survey. Further, the guide states that an individual would be in opt-out status-and not earn time credits-if the individual refuses to complete any of the initial need assessments, declines recommended programming that correspond to an identified need, refuses to participate in the Financial Responsibility Program, is placed in disciplinary segregation, or leaves a designated institution for an entire calendar day or more. While under BOP's current process, incarcerated people do not earn time credits for participation in unstructured productive activities, these individuals also do not earn time credits for actual participation in evidence-based recidivism reduction programs or structured productive activities. Further, BOP's FSA program guide is not consistent with its actual program statement on time credits, which states that "an eligible inmate who successfully participates in evidence-based recidivism reduction programs or productive activities that are recommended based on the inmate's risk and needs assessment may earn FSA Time Credits to be applied toward prerelease custody or early transfer to supervised release." And it further states that "successful participation requires a determination by BOP staff that an eligible inmate has participated in the evidence-based recidivism reduction programs or productive activities that the Bureau has recommended based on the inmate's individualized risk and needs assessment, and has complied with the requirements of each particular evidence-based recidivism reduction programs or productive activities" and that "[p]roductive activities include a variety of groups, programs, classes and individual activities which can be either structured or unstructured." To fully address this recommendation, BOP should collect and monitor participation data for unstructured productive activities.
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