colorado division of criminal justice office of research and statistics kim english, research...

Colorado Division of Criminal Justice

Office of Research and Statistics

Kim English, Research Director

Linda Jones, Diane Patrick, Diane Pasini-Hill, Peggy Heil

Administrative Office of the Illinois Courts

December 2005Guideposts for the ProperGuideposts for the Proper ImplementationImplementation

of the Post-Conviction of the Post-Conviction PolygraphPolygraph

http//dcj.state.co.us/orshttp//dcj.state.co.us/ors

Why Use the Polygraph????Why Use the Polygraph????

These crimes occur in These crimes occur in secretsecret

We need information We need information to to

learn each person’slearn each person’s assault processassault process

Only 16%Only 16% of of victims victims in thein the

Rape in AmericaRape in America study reportedstudy reported

the rape.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 An Earlier Study of Both Men and Both Men and WomenWomen

•33% of women…•42% of men… never never

disclosed the rape until the disclosed the rape until the researcher askedresearcher asked

•33% of women…•42% of men… never never

disclosed the rape until the disclosed the rape until the researcher askedresearcher asked

Finkelhor et al., 1990 studied a national sample of men and women.

Other Rape Victim Other Rape Victim Studies of Reporting Studies of Reporting

RatesRates• <10% of Rape Victims

Reported

• 16% of women raped in the last year reported the crime.

• 2% of Incest Victims Reported

Dupre, Hampton, Morrison, Meeks, 1993.

Russell, 1982

Colorado Coalition Against Sexual Assault with the Colorado

Department of Public Health and Environment, 1999

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 On average, victims did not disclose the abuse till ten years disclose the abuse till ten years after the abuse began (from age 8 after the abuse began (from age 8 to 18, on average) 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 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 nearly 20 years after onset.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

• Life threat• Physical injury• Stranger perpetrator

DisclosureIs

Delayed

Disclosure isSignificantly

More Likely

Smith, Letourneau, Saunders, Kilpatrick, Resnick, Best, 2000

Hansen, Resnick, Saunders,Kilpatrick, Best, 1999

Age at Time of RapeAge at Time of Rape

32%

11-1711-17

3% (Unknown)

29%Less Than

11Less Than

11

22%18-2418-24

7%

25-2925-29 6%

30+30+

Nati

on

al W

om

en

's S

tud

y (

n=

71

4)

0

5

10

15

20

25

30

35

1 2 3 4 5 6 7

Who Raped These Who Raped These Women???Women???

Nati

on

al W

om

en

's S

tud

y (

n=

71

4)

22%22%

STRANGERSTRANGER HUSBAND/EX-

HUSBAND

HUSBAND/EX-

HUSBAND

9%9%

FATHER/STEP-

FATHER

FATHER/STEP-

FATHER

11%11%

BOYFRIEND/EX-

BOYFRIEND

BOYFRIEND/EX-

BOYFRIEND

10%10%

OTHERRELATIVES

OTHERRELATIVES

16%16%

OTHERNON-

RELATIVES

OTHERNON-

RELATIVES

29%29%

UNKNOWNUNKNOWN

3%3%

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

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% ofOnly 16% ofrape victimsrape victimsreport thereport thecrime tocrime to

authorities.authorities.

Hanson and Bussiere’s (1997) meta-analysis of 61 studies:4-5 years follow-up

29%-34% of victimsAre under the age of 12

What do we What do we know about risk know about risk

of new sex of new sex crime?crime?

Sex Offenders Who Failed Supervision

• Sees self as no risk• Diverse Victim Types• Fewer months in the

community• Access to victimsAccess to victims• Sexual entitlement• Poor social

influences

Hanson and Harris, 1998© 2005 Kim English, Peggy Heil

2003 U.S. Recidivism StudyU.S. Bureau of Justice Statistics, November 2003 NCJ 198281

Compared to non-sex offenders released from State prisons, released sex

offenders were 4 4 times more likelytimes 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 Guideposts for Properfor Proper

ImplementationImplementationof the Post-Conviction of the Post-Conviction

PolygraphPolygraph

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 each other• Make notes in

the file• Reports go to

all team members

• Use email• Obtain

corroborating information

• Meet monthly

Call family


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?


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 Retest DI findings within a few weeks (perhaps immediately)(perhaps immediately)The offender must finance the retest.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 The expectation of HONESTY should

occur immediately and continuously.occur immediately and continuously.•Sex History Journal/WorkbookSex History Journal/Workbook•Warn about countermeasures (innocent Warn about countermeasures (innocent subjects are more likely to be found DI)subjects are more likely to be found DI)•Work the programWork the program•Talk realistically about riskTalk realistically about risk•Research shows use of the polygraph Research shows use of the polygraph with intense supervision and treatment with intense supervision and treatment WORKSWORKS•The goal is HONESTY and passing the The goal is HONESTY and passing the polygraph will followpolygraph will follow


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


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 Early onset •Duration Duration

•FrequencyFrequency•VarietyVariety


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.


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 The Criminal Justice System Provides the System Provides the

HammerHammer• Consequences for

noncompliance:– Immediate– Linked to the

Implied Risk– Include Increased

Surveillance– Involve Obtaining

Corroborative Information

– Include Informing Others of Poly Results

The Hammer Is On the Back of

the CJS

SEVERESEVERESEVERESEVERESEVERE

SEVERE

SEVERESEVERE

SEVERE

SEVERESEVERE

SEVERE

SEVERESEVERE

SEVERE

SEVERESEVERE

SEVERE

SEVERESEVERE

SEVERE

SEVERESEVERE

SEVERESEVERE

SEVERE

SEVERESEVERESEVERESEVERE

NONENONE

HIGHHIGH

HIGHHIGH

HIGH

HIGHHIGH

HIGHHIGH

HIGH

HIGHHIGH

MODERATEMODERATE

MODERATE

MODERATEMODERATE

MODERATEMODERATE

MODERATEMODERATE

MODERATEMODERATE

MODERATEMODERATE

MODERATEMODERATE

LOWLOWLOW

LOWLOW

LOWLOWLOW

NO ADMISSIONS

TO DECPT

5

ADMISSIONS TO DECPT DURING

POST-TEST4

ADMISSIONS TO NONDECPT

DURING POST-TEST

3

ADMISSIONSDURING

PRE-TEST

2

ADMISSIONSPRIOR TO PRE-TEST

1

Old Offenses & Old High Risk Behaviors

AOld refers to behaviors which

happened before being placed on parole, community, or at Phase II TC.

New High Risk Behaviors& New Behavioral Lapses

BNew 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

New Offenses

D

COLORADO DEPARTMENT OF CORRECTIONS

POLYGRAPH SANCTIONS GRID FORM

(7/1998)

© 2005 Kim English, Peggy Heil


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.


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.


Guidepost 9: Maintenance/Monitoring exams occur every three months. Additional information obtained at the end of the Additional information obtained at the end of the

exam must be verified by a subsequent exam must be verified by a subsequent polygraph examination.polygraph examination. Smart offenders will be prepared with bogus Smart offenders will be prepared with bogus explanations.explanations. Reliable self-report information should occur Reliable self-report information should occur prior to the in-test portion of the exam.prior to the in-test portion of the exam.

All other disclosures must be the subject of All other disclosures must be the subject of additional testing to be considered valid. additional testing to be considered valid.


Guidepost 10: Consequences are invoked for monitoring exams indicating deception.

Accurately detecting deception requires there be Accurately detecting deception requires there be something important at stake. something important at stake.

The treatment efficacy literature states the value of The treatment efficacy literature states the value of positive rewards for good behavior (Andrews and Bonta, positive rewards for good behavior (Andrews and Bonta, 1994), but these do not have the potential to activate the 1994), but these do not have the potential to activate the autonomic nervous system. autonomic nervous system.

When “contingencies are enforced in a firm but fair When “contingencies are enforced in a firm but fair manner” (Gendreau, Paparozzi, Little and Murray, 1993), manner” (Gendreau, Paparozzi, Little and Murray, 1993), the application of sanctions remains consistent with the application of sanctions remains consistent with empirical data regarding “what works” in corrections. empirical data regarding “what works” in corrections.


Guidepost 10: Consequences are invoked for monitoring exams indicating deception.

Deceptive exams require Deceptive exams require retesting.retesting.


Guidepost 11: Maintenance exams do not substitute for the sex history/ disclosure exam.

Nor should these Nor should these exams extend the exams extend the deadline for the deadline for the history exam. history exam.


Guidepost 12: Specific-Issue Tests Are Used to Clarify Risk Concerns.

A specific-issue exam A specific-issue exam should be scheduled should be scheduled

when concerns when concerns persist even after persist even after

increasing increasing surveillance. surveillance.

The PC Polygraph:Best PracticesGuidepost 13:The polygraph is

used in making family reunification and visitation decisions.

““I would not sign off on any decision I would not sign off on any decision about reunification if my assessment about reunification if my assessment

information is limited, and that includes information is limited, and that includes any practice that does not use polygraph any practice that does not use polygraph

information. Kids want to believe that information. Kids want to believe that dad won’t reoffend. Reunification is dad won’t reoffend. Reunification is dangerous. If it turns out that the dangerous. If it turns out that the

offender is prosecuted for a new crime offender is prosecuted for a new crime after reunification, then they should after reunification, then they should

prosecute all of us as well.”prosecute all of us as well.”David Robinson, Ph.D,David Robinson, Ph.D,

Sex Offender Treatment Provider – Medford OregonSex Offender Treatment Provider – Medford Oregon


Guidepost 14:The implementation of the post-conviction polygraph occurs in the context of the “What works” corrections literature.Pro-social environment.Pro-social environment.Challenge clients in a supportive way.Challenge clients in a supportive way.Well trained staff.Well trained staff.Well supervised staff.Well supervised staff.Intermediate sanctions.Intermediate sanctions.Have high expectations of offenders.Have high expectations of offenders.Recognize and reward positive behavior.Recognize and reward positive behavior.


Guidepost 15:

Choose excellent Choose excellent examiner(s), learn the best examiner(s), learn the best post-conviction polygraph post-conviction polygraph practices, expect the practices, expect the examiner to follow those examiner to follow those practices, and monitor their practices, and monitor their services to assure best services to assure best practices are implemented.practices are implemented.

14 points….14 points….


Guidepost 15: Choose excellent examiners. • Those who meet your qualifications and Those who meet your qualifications and

training criteriatraining criteria

• Engaging in participatory behaviors Engaging in participatory behaviors which are which are supportive to the functioning supportive to the functioning of containment of containment teamteam

• Adhering to existing and emerging Adhering to existing and emerging standards standards of practice, for polygraphy in of practice, for polygraphy in general, and general, and post-conviction testing in post-conviction testing in particular, and particular, and

• Submitting to quality control reviewsSubmitting to quality control reviews


Guidepost 15: Choose excellent examiners. The polygraph examiner that you hire The polygraph examiner that you hire should meet the tests for being accepted should meet the tests for being accepted as an expert witness. as an expert witness.

1. 1. The examiner should have a The examiner should have a minimum of an undergraduate minimum of an undergraduate degree. (Some standards have degree. (Some standards have provisions for “grandfathering” provisions for “grandfathering” experienced examiners without an experienced examiners without an undergraduate degree, but this is undergraduate degree, but this is not desirable if there is any not desirable if there is any possibility of expert testimony being possibility of expert testimony being expected of this individual.)expected of this individual.)



2. The examiner should have 2. The examiner should have graduated from an American graduated from an American Polygraph Association (APA) Polygraph Association (APA) accredited school. accredited school.

3.3. If licensing or certification is If licensing or certification is required in the examiner’s home required in the examiner’s home state, the examiners should be state, the examiners should be licensed or certified.licensed or certified.



4. The examiner should meet all 4. The examiner should meet all APA standards, including APA Post-APA standards, including APA Post-Conviction Polygraph Standards for Conviction Polygraph Standards for Sex Offender Testing, that include, Sex Offender Testing, that include, among other items, a requirement among other items, a requirement for a minimum of 40 hours of post for a minimum of 40 hours of post conviction specialized instruction conviction specialized instruction beyond the basic polygraph beyond the basic polygraph examiner training course examiner training course requirements.requirements.


Guidepost 15: Choose excellent examiners.

The polygraph examiner that you hire The polygraph examiner that you hire should meet the tests for being should meet the tests for being accepted as an expert witness. accepted as an expert witness.

5. The examiner should show 5. The examiner should show evidence of active membership in evidence of active membership in professional polygraph professional polygraph associations and evidence of associations and evidence of continuing education/training he continuing education/training he has received to say current in his has received to say current in his field of expertise, particularly in field of expertise, particularly in the area of post-conviction the area of post-conviction polygraph testing.polygraph testing.



RED FLAG: The examiner who RED FLAG: The examiner who indicates he already knows it indicates he already knows it all, all, without additional training.without additional training.



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.



8. The examiner should have 8. The examiner should have conducted the minimum number of conducted the minimum number of specific-issue and post-conviction specific-issue and post-conviction exams required by their state exams required by their state standards (or comparable standards).standards (or comparable standards).

Lacking this experience, the Lacking this experience, the examiner should be prepared to examiner should be prepared to apprentice with a more experienced apprentice with a more experienced examiner, and/or submit to regular examiner, and/or submit to regular quality control reviews by an quality control reviews by an examiner who has been trained in the examiner who has been trained in the same techniques.same techniques.



9. 9. The examiner should be willing to The examiner should be willing to think of him/herself as part of a team think of him/herself as part of a team who prioritizes public safety.who prioritizes public safety.

10.10. The examiner should understand, The examiner should understand, or learn, the roles and the terminology or learn, the roles and the terminology used by the treatment provider and used by the treatment provider and the supervising officer. (The the supervising officer. (The supervising officer and treatment supervising officer and treatment provider have the same obligation to provider have the same obligation to other members of the team.)other members of the team.)



11.11. The examiner should be able to The examiner should be able to make a credible explanation to a lay make a credible explanation to a lay audience about why he conducts audience about why he conducts polygraph exams the way he does, polygraph exams the way he does, and what the strengths and and what the strengths and limitations of a polygraph are.limitations of a polygraph are.

12. The examiner should be prepared 12. The examiner should be prepared to audiotape and videotape each post-to audiotape and videotape each post-conviction exam in its totality. conviction exam in its totality.



13.13. The examiner should be willing to The examiner should be willing to provide formal or informal training to provide formal or informal training to other members of the team about other members of the team about what polygraph can and can’t do.what polygraph can and can’t do.

14. The examiner should be 14. The examiner should be respectful of victims.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)

http://www.vsp.state.va.us/images/polygraph.jpg

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!Thank you and keep up the good work!

colorado division of criminal justice office of research and statistics kim english, research...

Documents

sex crime18

reported sex crimes

nonsex offenders

sex offender recidivismmeasure

nonsex violent22

average age

risk of new sex crime

america study reportedthe