Bureau of Prisons: Improvements Needed in Bureau of Prisons' Monitoring and Evaluation of Impact of Segregated Housing
Highlights
What GAO Found
The overall number of inmates in the Bureau of Prisons' (BOP) three main types of segregated housing units--Special Housing Units (SHU), Special Management Units (SMU), and Administrative Maximum (ADX)--increased at a faster rate than the general inmate population. Inmates may be placed in SHUs for administrative reasons, such as pending transfer to another prison, and for disciplinary reasons, such as violating prison rules; SMUs, a four-phased program in which inmates can progress from more to less restrictive conditions; or ADX, for inmates that require the highest level of security. From fiscal year 2008 through February 2013, the total inmate population in segregated housing units increased approximately 17 percent--from 10,659 to 12,460 inmates. By comparison, the total inmate population in BOP facilities increased by about 6 percent during this period.
BOP has a mechanism to centrally monitor segregated housing, but the degree of monitoring varies by unit type and GAO found incomplete documentation of monitoring at select prisons. BOP headquarters lacks the same degree of oversight of ADX-specific conditions of confinement compared with SHUs and SMUs partly because ADX policies are monitored locally by ADX officials. Developing specific requirements for ADX could provide BOP with additional assurance that inmates held at ADX are afforded their minimum conditions of confinement and procedural protections. According to a selection of monitoring reports and inmate case files, GAO also identified documentation concerns related to conditions of confinement and procedural protections, such as ensuring that inmates received all their meals and exercise as required. According to BOP officials, in December 2012, all SHUs and SMUs began using a new software program that could improve the ability to document conditions of confinement in SHUs and SMUs. However, BOP officials acknowledged the recently implemented software program may not address all the deficiencies GAO identified. Since BOP could not provide evidence that it addressed the documentation deficiencies, GAO cannot determine if it will mitigate the documentation concerns. BOP expects to complete a review of the new software program by approximately September 30, 2013, which should help determine the extent to which the software program addresses documentation deficiencies GAO identified.
BOP has not assessed the impact of segregated housing on institutional safety or the impacts of long-term segregation on inmates. In January 2013, BOP authorized a study of segregated housing; however, it is unclear to what extent the study will assess the extent to which segregated housing units contribute to institutional safety. As of January 2013, BOP is considering conducting mental health case reviews for inmates held in SHUs or ADX for more than 12 continuous months. However, without an assessment of the impact of segregation on institutional safety or study of the long-term impact of segregated housing on inmates, BOP cannot determine the extent to which segregated housing achieves its stated purpose to protect inmates, staff and the general public.
Why GAO Did This Study
BOP confines about 7 percent of its 217,000 inmates in segregated housing units for about 23 hours a day. Inmates are held in SHUs, SMUs, and ADX. GAO was asked to review BOP's segregated housing unit practices. This report addresses, among other things: (1) the trends in BOP's segregated housing population, (2) the extent to which BOP centrally monitors how prisons apply segregated housing policies, and (3) the extent to which BOP assessed the impact of segregated housing on institutional safety and inmates. GAO analyzed BOP's policies for compliance and analyzed population trends from fiscal year 2008 through February 2013. GAO visited six federal prisons selected for different segregated housing units and security levels, and reviewed 61 inmate case files and 45 monitoring reports. The results are not generalizable, but provide information on segregated housing units.
Recommendations
GAO recommends that BOP (1) develop ADX-specific monitoring requirements; (2) develop a plan that clarifies how BOP will address documentation concerns GAO identified, through the new software program; (3) ensure that any current study to assess segregated housing also includes reviews of its impact on institutional safety; and (4) assess the impact of long-term segregation. BOP agreed with these recommendations and reported it would take actions to address them.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Bureau of Prisons | To improve BOP's ability to centrally oversee the implementation of segregated housing policies, the Director of the Bureau of Prisons should develop ADX-specific monitoring requirements. |
We found that the Bureau of Prisons (BOP) could improve oversight of the implementation of segregated housing policies at its most restrictive segregated prison, the Administrative Maximum Facility (ADX). As a result, we recommended that BOP develop ADX-specific monitoring requirements to provide BOP with additional assurance that inmates held at ADX are given their procedural protections in accordance with BOP policies. In June 2014, BOP developed ADX-specific monitoring requirements that were added to the Correctional Services Guidelines. Specifically, the Correctional Services Guidelines includes ADX-specific monitoring of conditions of confinement, such as exercise, telephone and visitation. BOP also improved oversight of ADX procedures by including a requirement to review a sample of psychological assessments of inmates placed in ADX, as well as inmates who are in the Control Unit. Overall, BOP took steps to address and include ADX-specific monitoring requirements that are consistent with our recommendation. By developing requirements to centrally monitor policies specific to ADX, BOP can have more assurance that staff consistently follow ADX-specific policies to the same degree that these requirements are followed for other segregated housing units.
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| Bureau of Prisons | To improve BOP's ability to centrally oversee the implementation of segregated housing policies, the Director of the Bureau of Prisons should develop a plan that clarifies the objectives and goals of the new software program, with time frames and milestones, and other means, that explains the extent to which the software program will address documentation concerns we identified. |
In May 2013, we found that Bureau of Prisons (BOP) officials were not consistently documenting that segregated housing unit inmates' conditions of confinement, such as food and exercise privileges, were being met. According to BOP officials, in December 2012, all special housing units (SHU) and special management units (SMU)--which are segregated housing units used by BOP--began using a new software program that could improve the ability to document conditions of confinement in SHUs and SMUs. However, BOP officials acknowledged that the recently implemented software program may not address all the deficiencies GAO identified. As a result, we recommended that BOP develop a plan that clarifies the objectives and goals of the new software program, with time frames and milestones, and other means, that explain the extent to which the software program will address documentation concerns we identified. In 2014, through their reviews of the data entered in the system, the BOP Correctional Services Branch and Program Review Division found continued deficiencies in segregated housing unit documentation and made additional modifications to the software program to help address the deficiencies. For example, BOP added the capability to generate an exception report for supervising staff so that they can immediately see when information is missing from SHU documentation. Additionally, in July 2014, BOP began sending a SHU Application Dashboard Report to BOP regional directors and wardens providing statistics related to their current SHU population. Furthermore, Program Review Division summary reports for July through December 2014 did not list segregated housing unit documentation deficiencies as a "most frequently" found deficiency during program reviews. We believe that the additional enhancements to the SHU software program have helped to address the documentation errors we identified and will help ensure that segregated housing unit inmates' required conditions of confinement are being met.
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| Bureau of Prisons | To ensure that BOP's use of segregated housing furthers BOP's goal to confine inmates in a humane manner and contributes to institutional safety without having a detrimental impact on inmates held there for long periods of time, the Director of the Bureau of Prisons should ensure that any current study to assess segregated housing units also includes an assessment of the extent that segregated housing contributes to institutional safety, and consider key practices that include local and state efforts to reduce reliance on and the number of inmates held in segregated housing. |
In May 2013, we found that BOP authorized a study of segregated housing in January 2013; however, the extent to which the study would assess the impact of segregated housing on institutional safety was unclear. As a result, we recommended that BOP ensure that any current study to assess segregated housing units also include an assessment of the extent that segregated housing contributes to institutional safety, and consider key practices that include local and state efforts to reduce their reliance on and number of inmates held in segregated housing. In May 2014, BOP officials reported that through a competitive procurement process, BOP's National Institute of Corrections selected an outside contractor, CNA Analysis and Solutions (CNA), to conduct an independent and comprehensive review of BOP's operation of restricted housing, and CNA reported its findings in December 2014. According to our analysis of the CNA report, CNA both assessed the extent that segregated housing contributes to institutional safety, and considered key practices from state and local efforts to reduce reliance on and the number of inmates held in segregated housing. First, CNA assessed the impact of segregated housing on institutional safety by (1) conducting a literature review of studies on the impact of segregated housing on institutional safety in both federal and state correctional facilities; and (2) analyzing BOP data on assault rates, lockdowns, and recidivism rates. CNA concluded on the basis of its literature review and data analysis that it is not clear whether there is a causal relationship between segregated housing policies and institutional safety. For example, on the basis of its analysis of assault rates and the number of lockdowns from 2004 through 2013, CNA found that there has been a decrease in the assault rate at BOP's high-security prisons, suggesting that the rapid increase of the Special Management Unit (SMU) population did have an incapacitation effect, but CNA noted that no claim of causation could be made, as other external factors may be related to these trends. Second, CNA examined the efforts of several states to reduce their segregated housing populations and identified key practices and recommendations for BOP to consider. For example, CNA found that some state systems have shorter step-down programs than BOP and that data on BOP inmates' length of stay in SMUs and recidivism support a move to moderate the current length of the SMU program. We believe CNA's study and recommendations can help inform BOP's consideration of its segregated housing policies and the impact of segregated housing on the safety and security of inmates and staff. As a result, this recommendation is closed as implemented.
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| Bureau of Prisons | To ensure that BOP's use of segregated housing furthers BOP's goal to confine inmates in a humane manner and contributes to institutional safety without having a detrimental impact on inmates held there for long periods of time, the Director of the Bureau of Prisons should assess the impact of long-term segregation on inmates in SHUs, SMUs, and ADX. |
We found that BOP had not evaluated the impact of long-term segregation on inmates. As a result, we recommended that BOP assess the impact of long-term segregation on inmates held in Special Housing Units (SHU), Special Management Units (SMU), and Administrative Maximum (ADX). In May 2014, BOP reported that they developed an expanded mental health screening tool--including a record review, behavioral observations, and a private clinical review--that would help assess the impact of long-term segregation on inmates. This screening tool, along with new policy on the Treatment and Care of Inmates with Mental Illness issued May 1, 2014, is to be used by BOP Psychology Services staff to assess any inmate held in ADX for 12 continuous months, SHUs for more than 6 continuous months, and for inmates who fail to timely progress through SMU phases. In June 2015, BOP reported that the mental health screening tools have been fully implemented by all BOP institutions. Also, in December 2014, the CNA, a nonprofit research organization issued a report for BOP which included an assessment of the impact of (1) long-term segregation at ADX on the mental health of inmates, (2) inconsistent conditions of confinement in SMEs, and (3) conditions of confinement for inmates held in SHUs based on protection claims. As a result of developing screening tools to assess inmates held in segregation, and conducting a study to help assess the impact of segregation, BOP will have tools and should be better informed about the impact of long-term segregation on inmates. As a result, this recommendation is closed as implemented.
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