Transcript National Criminal Justice Association Western Regional

Administrative Office of the Illinois Courts
December 2005
Guideposts for the Proper
Implementation
of the Post-Conviction Polygraph
Colorado Division of
Criminal Justice
Office of Research and
Statistics
Kim English, Research Director
Linda Jones, Diane Patrick, Diane
Pasini-Hill, Peggy Heil
http//dcj.state.co.us/ors
Why Use the Polygraph????
These crimes occur in secret
We need information to
learn each person’s
assault process
Only 16% of victims
in the
Rape in America
study reported
the rape.
Kilpatrick, et al.,1992. Rape in America: A Report to the
Nation. Medical University of South Carolina. N=4008
An Earlier Study of
Both Men and Women
• 33% of women…
• 42% of men… never disclosed
the rape until the researcher
asked
Finkelhor et al., 1990 studied a
national sample of men and women.
Other Rape Victim Studies
of Reporting Rates
• <10% of Rape Victims Reported
Dupre, Hampton, Morrison, Meeks, 1993.
• 16% of women raped in the last
year reported the crime.
Colorado Coalition Against Sexual Assault with the Colorado
Department of Public Health and Environment, 1999
• 2% of Incest Victims Reported
Russell, 1982
Other Rape Victim Studies of
Reporting Rates
Lamb and Edgar-Smith (1994): Studied 60 incest victims.
One-Third had been abused for over
five years
Half of the group had been abused on a
weekly basis
On average, victims did not disclose the
abuse till ten years after the abuse
began (from age 8 to 18, on average)
Other Rape Victim Studies
of Reporting Rates
Roseler and Wind (1994) studied 228 female incest victims
who responded to a questionnaire after watching Marilyn
Van Derbur Atler’s televised disclosure of her incestuous
victimization.
Victims reported the abuse started at age 6
and lasted till they were 13.8 years old.
The average length of abuse was 7.8 years.
Average age at disclosure was 25.9,
nearly 20 years after onset.
36.1% disclosed prior to age 18, most
commonly to a parent.
In 52% of childhood disclosures, the abuse
continued for at least another year.
What is the difference between
rape victims who report and
those who do not report?
• Younger age
• Knowing the perpetrator
Smith, Letourneau, Saunders,
Kilpatrick, Resnick, Best, 2000
• Life threat
• Physical injury
• Stranger perpetrator
Hansen, Resnick, Saunders,
Kilpatrick, Best, 1999
Disclosure
Is
Delayed
Disclosure is
Significantly
More
Likely
Age at Time of Rape
3% (Unknown)
30+
25-29
6%
7%
22%
32%
11-17
National Women's Study (n=714)
18-24
29%
Less Than
11
Who Raped These Women???
35
29%
30
25
22%
20
16%
15
9%
11%
10%
3%
5
0
1
STRANGER
2
HUSBAND/
EXHUSBAND
3
FATHER/
STEPFATHER
4
BOYFRIEND/
EXBOYFRIEND
5
OTHER
RELATIVES
6
OTHER
NONRELATIVES
7
UNKNOWN
National Women's Study (n=714)
10
Sex Offender Recidivism:
• 2-16% of sex
crimes are
reported to law
enforcement.
• 27% of
reported sex
crimes resulted
in arrest.
NIBRS 1991-1996, Snyder, 2000
You do the math!!
Sex Offender Recidivism
Hanson and Bussiere’s (1997) meta-analysis of 61 studies: 4-5 years follow-up
Measure: SEX CRIME
– 18.9% Rapists
– 12.7% Child Molesters
Measure: Non-sex Violent
– 22.1% Rapists
– 9.9%
Child Molesters
Measure: Any reoffense
– 46.2% Rapists
– 36.9% Child molesters
Only 16% of
rape victims
report the
crime to
authorities.
29%-34% of victims
Are under the age of 12
What do we know
about risk of new
sex crime?
Sex Offenders Who Failed
Supervision
• Sees self as no risk
• Diverse Victim Types
• Fewer months in the
community
• Access to victims
• Sexual entitlement
• Poor social influences
© 2005
Kim English, Peggy Heil
Hanson and Harris, 1998
2003 U.S. Recidivism Study
U.S. Bureau of Justice Statistics, November 2003 NCJ 198281
Compared to non-sex
offenders released
from State prisons,
released sex
offenders were 4
times more likely to
be rearrested for a
sex crime.
The people on your caseload are high risk
Sex Offender Risk Assessment
Is ongoing
Again and again and again and again and again
© 2005 Kim English, Peggy Heil
Guideposts
for Proper
Implementation
of the Post-Conviction
Polygraph
The PC Polygraph:
Best Practices
Guidepost 1
Implement inside the 5 part containment
approach described in English, Pullen and
Jones, 1996.
1. Victim Oriented Philosophy
2. Multidisciplinary Teams and
Cross-agency collaborations.
3. Containment tools
4. Empirically Based Policies
5. Mechanisms of Quality Control.
CONTAINMENT Requires
Team Communication
Call family
• Call each other
• Make notes in
the file
• Reports go to all
team members
• Use email
• Obtain
corroborating
information
• Meet monthly
The PC Polygraph:
Best Practices
Guidepost 2: Team members
must understand the polygraph
results. And respond to them.
DI
Deception
NDI
No Deception Indicated
INC
Inconclusive: Not enough
data, non-cooperative,
countermeasures?
The PC Polygraph:
Best Practices
Guidepost 2: Team members
must understand the polygraph
results. And respond to them.
DI on any single question requires the
test to be called DI.
Retest DI findings within a few weeks
(perhaps immediately)
The offender must finance the retest.
The PC Polygraph:Best Practices
Guidepost 3: Team members must work
together to prepare the offender for
the PC polygraph examination.
•The expectation of HONESTY should occur
immediately and continuously.
•Sex History Journal/Workbook
•Warn about countermeasures (innocent
subjects are more likely to be found DI)
•Work the program
•Talk realistically about risk
•Research shows use of the polygraph with
intense supervision and treatment WORKS
•The goal is HONESTY and passing the
polygraph will follow
The PC Polygraph:Best Practices
Guidepost 4: Disclosures of key
information occur in group therapy (not
the polygraph exam).
“The polygraph office should not be
the first time the sex offender has
attempted to disclose the information.
This is not a conductive environment for
disclosure. This is one reason
we work as a team.”
Susan Holmes, Polygraph Examiner,
Jackson County, Oregon
The PC Polygraph: Best Practices
Guidepost 5:Written Sex History Logs
are an essential tool in treatment and
management.
Frequency
Duration
Versatility
And the written logs must be
readable !!
The criminology literature is clear
that risk is related to…
• Early onset
• Duration
• Frequency
• Variety
The PC Polygraph: Best Practices
Guidepost 6: Successful Sex History
Disclosure Exams Occur EARLY.
•Within the first six months
of supervision.
•Offenders need clear
timelines for complete
disclosure.
•Helps break denial early in
treatment.
The PC Polygraph: Best Practices
Guidepost 7: When the SH/disclosure
exam is deceptive, invoke
consequences.
• If the offender has visitation
privileges, cease visitation
immediately.
• Increase surveillance immediately.
• Increase homework, monitor
leisure time activities.
• Obtain corroborative information.
• Retest within 3 months.
• Do a specific issue test.
The Criminal Justice System
Provides the Hammer
• Consequences for
noncompliance:
The Hammer Is
On the Back of
the CJS
– Immediate
– Linked to the Implied
Risk
– Include Increased
Surveillance
– Involve Obtaining
Corroborative
Information
– Include Informing
Others of Poly Results
COLORADO DEPARTMENT
OF CORRECTIONS
POLYGRAPH SANCTIONS
GRID FORM
(7/1998)
ADMISSIONS
PRIOR TO
PRE-TEST
ADMISSIONS
DURING
PRE-TEST
1
2
ADMISSIONS
TO NONDECPT
DURING
POST-TEST
3
ADMISSIONS
TO DECPT
DURING
POST-TEST
4
NO
ADMISSIONS
TO DECPT
5
Old Offenses &
Old High Risk Behaviors
A
Old refers to behaviors which
happened before being placed on parole,
community, or at Phase II TC.
NONE
NONE
LOW
LOW
MODERATE MODERATE
MODERATE MODERATE
MODERATE MODERATE
LOW
LOW
LOW
LOW
LOW
LOW
MODERATE
HIGH
MODERATE
HIGH
MODERATE
HIGH
HIGH
New High Risk Behaviors
& New Behavioral Lapses
B
New refers to behaviors which happened after being
placed on parole, community, or at
Phase II TC, or since the last polygraph.
New Major Violations
C
MODERATE MODERATE
HIGH
MODERATE MODERATE
HIGH
MODERATE MODERATE
HIGH
HIGH
HIGH
SEVERE
HIGH
SEVERE
HIGH
SEVERE
HIGH
SEVERE
SEVERE
New Offenses
D
© 2005 Kim English, Peggy Heil
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
SEVERE
The PC Polygraph: Best Practices
Guidepost 8: Clear policies and
practices regarding offenders in denial.
•For crime of conviction: single issue exam
within first two months of treatment.
•Public safety depends on developing
supervision and case management
strategies that regard denial as
dangerous.
•Allowing an offender to stay in denial
undermines the group treatment process.
The PC Polygraph:Best Practices
Guidepost 8 (con’t): Clear policies and
practices regarding offenders in
denial.
• Order a specific-issue examination
AFTER psycho-education occurs.
• Test again within 4 treatment
sessions on any new disclosures.
• If still deceptive on exam,
discharge.
Polygraph result is a measure of cooperation.
Non-cooperative offenders have a deleterious
effect on group process.
The PC Polygraph:Best Practices
Guidepost 9: Maintenance/Monitoring
exams occur every three months.
1Additional information obtained at the end of the
exam must be verified by a subsequent polygraph
examination.
1Smart offenders will be prepared with bogus
explanations.
1Reliable self-report information should occur
prior to the in-test portion of the exam.
1All other disclosures must be the subject of
additional testing to be considered valid.
The PC Polygraph:Best Practices
Guidepost 10: Consequences are
invoked for monitoring exams
indicating deception.
Accurately detecting deception requires there be something
important at stake.
The treatment efficacy literature states the value of
positive rewards for good behavior (Andrews and Bonta, 1994),
but these do not have the potential to activate the autonomic
nervous system.
 When “contingencies are enforced in a firm but fair
manner” (Gendreau, Paparozzi, Little and Murray, 1993), the
application of sanctions remains consistent with empirical data
regarding “what works” in corrections.
The PC Polygraph:Best Practices
Guidepost 10: Consequences are
invoked for monitoring exams
indicating deception.
Deceptive exams require
retesting.
The PC Polygraph:Best Practices
Guidepost 11: Maintenance exams do
not substitute for the sex history/
disclosure exam.
Nor should these
exams extend the
deadline for the
history exam.
The PC Polygraph:Best Practices
Guidepost 12: Specific-Issue Tests
Are Used to Clarify Risk Concerns.
A specific-issue exam
should be scheduled
when concerns persist
even after increasing
surveillance.
The PC Polygraph:Best Practices
Guidepost 13:The polygraph is used in
making family reunification and
visitation decisions.
“I would not sign off on any decision about
reunification if my assessment information is
limited, and that includes any practice that
does not use polygraph information. Kids want
to believe that dad won’t reoffend.
Reunification is dangerous. If it turns out that
the offender is prosecuted for a new crime
after reunification, then they should prosecute
all of us as well.”
David Robinson, Ph.D,
Sex Offender Treatment Provider – Medford Oregon
The PC Polygraph: Best Practices
Guidepost 14:The implementation
of the post-conviction polygraph
occurs in the context of the
“What works” corrections
literature.
Pro-social environment.
Challenge clients in a supportive way.
Well trained staff.
Well supervised staff.
Intermediate sanctions.
Have high expectations of offenders.
Recognize and reward positive behavior.
The PC Polygraph: Best Practices
Guidepost 15:
Choose excellent examiner(s),
learn the best post-conviction
polygraph practices, expect the
examiner to follow those
practices, and monitor their
services to assure best practices
are implemented.
14 points….
The PC Polygraph: Best Practices
Guidepost 15: Choose excellent
examiners.
• Those who meet your qualifications and
training criteria
• Engaging in participatory behaviors which are
supportive to the functioning of containment
team
• Adhering to existing and emerging standards
of practice, for polygraphy in general, and
post-conviction testing in particular, and
•
Submitting to quality control reviews
The PC Polygraph: Best Practices
Guidepost 15: Choose excellent
examiners.
The polygraph examiner that you hire should
meet the tests for being accepted as an expert
witness.
The examiner should have a minimum
of an undergraduate degree. (Some
standards have provisions for
“grandfathering” experienced examiners
without an undergraduate degree, but this
is not desirable if there is any possibility
of expert testimony being expected of this
individual.)
1.
The PC Polygraph: Best Practices
Guidepost 15: Choose excellent
examiners.
The polygraph examiner that you hire should
meet the tests for being accepted as an expert
witness.
2. The examiner should have
graduated from an American
Polygraph Association (APA)
accredited school.
3. If licensing or certification is
required in the examiner’s home
state, the examiners should be
licensed or certified.
The PC Polygraph: Best Practices
Guidepost 15: Choose excellent
examiners.
The polygraph examiner that you hire should
meet the tests for being accepted as an expert
witness.
4.
The examiner should meet all APA
standards, including APA Post-Conviction
Polygraph Standards for Sex Offender
Testing, that include, among other items,
a requirement for a minimum of 40 hours
of post conviction specialized instruction
beyond the basic polygraph examiner
training course requirements.
The PC Polygraph: Best Practices
Guidepost 15: Choose excellent
examiners.
The polygraph examiner that you hire should
meet the tests for being accepted as an
expert witness.
5. The examiner should show evidence
of active membership in professional
polygraph associations and evidence of
continuing education/training he has
received to say current in his field of
expertise, particularly in the area of
post-conviction polygraph testing.
The PC Polygraph: Best Practices
Guidepost 15: Choose excellent
examiners.
The polygraph examiner that you hire should
meet the tests for being accepted as an expert
witness.
RED FLAG: The examiner who
indicates he already knows it all,
without additional training.
The PC Polygraph: Best Practices
Guidepost 15: Choose excellent
examiners.
6. The examiner should demonstrate an
understanding, through training and/or
experience, of the dynamics of sexual
offending behaviors and sex offenders.
Further, the examiner, like the other members
of the team, must be comfortable talking
about sexual behavior.
7. The examiner should be willing to provide
references and submit to QA reviews.
The PC Polygraph: Best Practices
Guidepost 15: Choose excellent
examiners.
8. The examiner should have conducted the
minimum number of specific-issue and postconviction exams required by their state
standards (or comparable standards).
Lacking this experience, the examiner
should be prepared to apprentice with a
more experienced examiner, and/or submit
to regular quality control reviews by an
examiner who has been trained in the same
techniques.
The PC Polygraph: Best Practices
Guidepost 15: Choose excellent
examiners.
9. The examiner should be willing to think
of him/herself as part of a team who
prioritizes public safety.
10. The examiner should understand, or
learn, the roles and the terminology used by
the treatment provider and the supervising
officer. (The supervising officer and
treatment provider have the same obligation
to other members of the team.)
The PC Polygraph: Best Practices
Guidepost 15: Choose excellent
examiners.
11. The examiner should be able to make a
credible explanation to a lay audience about
why he conducts polygraph exams the way
he does, and what the strengths and
limitations of a polygraph are.
12. The examiner should be prepared to
audiotape and videotape each post-conviction
exam in its totality.
The PC Polygraph: Best Practices
Guidepost 15: Choose excellent
examiners.
13. The examiner should be willing to
provide formal or informal training to other
members of the team about what polygraph
can and can’t do.
14. The examiner should be respectful of
victims.
Choose Excellent Examiners
National Academy of
Sciences (2003) set
median accuracy at 89%
with a range of 70 to
99%
Page 125
Information from Raymond Nelson & H. Lawson Hagler (2004)
It’s not a silver bullet.
But it will
help you
see
things
you might
otherwise
have
missed.
A goal of containment is to
obtain information.
Thank you and keep up the good work!