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) |
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 response, 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. In February 2024, BOP officials stated they anticipated enhancements to be completed in September 2024. However, in August 2024, BOP officials stated that they experienced some delays in implementing these enhancements due to resource constraints and anticipated them to be completed in December 2024. Further, officials stated that they had resolved the data issues we identified in our report by developing a code to prevent incorrect dates from being recorded. We have requested more documentation of this resolution. To fully address this recommendation, BOP will need to finalize these efforts and provide documentation on how this application addressed issues related to data completeness and accuracy, such as ensuring dates assigned to each assessment represent the accurate date the assessment was completed.
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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 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 response, 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. In February 2024, BOP officials stated that they are implementing monitoring efforts to ensure that risk and needs assessments are conducted in accordance with required timeframes. In August 2024, BOP officials stated that they anticipated the enhancements to be completed in December 2024. However, these officials stated that determining whether monitoring efforts are effective will not be possible until at least 1 year after implementation to account for the entire cycle of both initial risk and needs assessments and 180-day reassessments. 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) |
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 requirements 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 response, 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. In February 2024, BOP officials stated that it will take at least 1 year after implementation of these changes to generate data necessary to evaluate the need for corrective actions. In August 2024, BOP officials stated that they anticipated the changes to be completed in December 2024. 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) |
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 response, 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. In September 2023, BOP officials stated that while long-term outcomes will primarily focus on recidivism, short-term outcomes will vary by program. Officials stated that specific research questions for each project are developed in collaboration with the researchers. However, BOP's updated evaluation plan did not include timeframes for all of its evidence-based recidivism reduction programs and did not include pre-established, quantifiable goals that align with the First Step Act. Specifically, the Attorney General is required to conduct ongoing research on which evidence-based recidivism reduction programs are the most effective at reducing recidivism, and the type, amount, and intensity of programming that most effectively reduces the risk of recidivism. In February 2024, BOP officials stated they revised their evaluation plan in January 2024, which states that BOP will revise its plan in 2026 to include the evaluation of programs not currently included. It further states that plans for future evaluations are dependent upon the availability of resources and funding as well as the ability to prioritize evaluations from a current list of programs, which is subject to change. While the evaluation plan references the First Step Act requirements, it does not indicate how BOP will determine 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. 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. Specifically, BOP should include goals that ensure its planned evaluations will address the mandated requirements to determine 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) |
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 response, 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 on time 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) |
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. In February 2024, BOP officials stated the initial construction of the dashboard was completed in the first quarter of fiscal year 2024, and they are working with the contractor to troubleshoot data access limitations. Upon resolution of the limitations, officials stated the dashboard will then be customized to meet the needs for executive-level purposes. In August 2024, BOP officials stated that they are working with the contractor and the Alcohol, Tobacco, and Firearms to develop a data transfer protocol and exploring options for expanding access to all BOP regions and facilities. BOP estimated the dashboard completion date to be December 2024. To fully address this recommendation, BOP will need to fully implement a mechanism that it can use to monitor if it is offering a sufficient amount of evidence-based recidivism reduction programs and productive activities to meet the needs of its incarcerated population at each facility.
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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. 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, BOP stated that it was not statutorily required to document such a list, and such action would not be useful or feasible. While the First Step Act and implementing regulations do not explicitly require BOP to document a complete list, the Act and regulations do provide an opportunity for eligible incarcerated people to earn First Step Act time credits if they successfully participate in programs or productive activities recommended based on their risk and needs assessment. Subsequently, BOP officials stated that they revised the First Step Act Approved Programs Guide in September 2023 to clarify that incarcerated people earn First Step Act time credits based on their "opt-in status." According to the guide, incarcerated people may begin opt-in status upon completion of all needs assessment surveys. Further, the guide states that a person would be in opt-out status-and not earn time credits-if the person 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 during a period of absence (such as when an individual leaves a designated institution for an entire calendar day or more). However, according to BOP's program statement, eligible incarcerated people who successfully participate in evidence-based recidivism reduction programs or productive activities, including unstructured productive activities, may earn time credits. It further states that successful participation requires a determination by BOP staff that an eligible person has participated in the evidence-based recidivism reduction programs or productive activities that BOP has recommended based on the individual's risk and needs assessment and the individual has complied with the requirements of each program or productive activity. In February 2024, BOP officials stated that unstructured productive activities do not have an impact on opt-in status, and that opt-in status is how BOP defines "successful participation" for the purposes of First Step Act time credits. These officials stated that the "opt-in/opt-out" model was adopted for a variety of reasons. For example, the regulations state that incarcerated people should not be penalized by factors outside their control, such as unavailability of a recommended program at their facility. In February 2024, BOP officials stated they are aware of the inaccuracies in the program statement and are in the process of revising it, with a goal to complete internal development in 2024. In August 2024, BOP officials also stated that program statements are subject to change as they go through the BOP development and union negotiation process. The intent of our recommendation is for BOP to be transparent in a process that BOP has established in policy. To fully address this recommendation, BOP will need to either document a list of unstructured productive activities or update its policy to reflect these changes.
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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, BOP stated that it was not statutorily required to do so, nor would it be helpful, to monitor these activities. While the First Step Act and implementing regulations do not explicitly require BOP to monitor these activities, the Act and regulations do provide an opportunity for eligible incarcerated people to earn First Step Act time credits if they successfully participate in programs or productive activities recommended based on their risk and needs assessment. In February 2024, BOP officials stated that unstructured productive activities do not have an impact on opt-in status, and that opt-in status is how BOP defines "successful participation" for the purposes of First Step Act time credits. BOP revised its First Step Act Approved Programs Guide in September 2023 to clarify this point. However, this is not consistent with BOP's program statement that states eligible incarcerated people who successfully participate in evidence-based recidivism reduction programs or productive activities, including unstructured productive activities, may earn time credits. It further states that successful participation requires a determination by BOP staff that an eligible person has participated in the evidence-based recidivism reduction programs or productive activities that BOP has recommended based on the person's risk and needs assessment and the person has complied with the requirements of each program or productive activity. BOP officials stated they are aware of the inaccuracies in the program statement and are in the process of revising it, with a goal to complete internal development in 2024. In August 2024, BOP officials also stated that program statements are subject to change as they go through the BOP development and union negotiation process. To fully address this recommendation, BOP will need take these actions or update its policy to reflect these changes.
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