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John Baldwin, Acting Director

Bruce Rauner, Governor

University of IllinoisHuman Subjects Research Conference

Prisoner Research in Illinois

Presented by:Sharon Shipinski, Ph.D.

Manager, IDOC Planning & ResearchNovember 10, 2017

John R. Baldwin, Acting Director


Mission Statement

"To serve justice in Illinois and increase public safety by promoting positive change in

offender behavior, operating successful reentry programs, and reducing

victimization."

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IDOC by the numbers• Budget: 1.45 billion • 11,914 staff (8,505 security, 3,409 non-security) (9/15/17)

• 42,368 inmates (11/1/17)

– 94.4% male, 5.6% female (58 transgender)– 25% have a violent holding offense – 1,689 life sentences

• 25,733 parolees (11/1/17)

– 90.5% male, 9.5% female– 589 sex offenders on parole residing in Illinois communities– 355 parolees residing in Champaign County

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Special Populations• 25% inmates have a violent holding offense

– 8,690 offenders have a holding offense of murder– 7,570 are sex offenders– 172 are sexually dangerous persons

• 50% committed from Cook County• 56.2% are African American• 24.2% inmates on mental health caseload • 11.4% considered seriously mentally ill (4,831)



Recidivism RatesFiscal Year 2013 Exits

Number Returned 1-Year Number Returned 2-Year Number Returned 3-YearOffense Variables1 in 1 Years Recidivism Rate in 2 Years Recidivism Rate in 3 Years Recidivism Rate

Offense TypePerson 8,722 2,380 27.3% 3,447 39.5% 3,955 45.3%Property 9,346 2,403 25.7% 3,692 39.5% 4,278 45.8%Drug 9,657 1,892 19.6% 2,950 30.5% 3,546 36.7%Sex 2,433 1,233 50.7% 1,384 56.9% 1,466 60.3%Other 534 146 27.3% 206 38.6% 244 45.7%

Offense ClassMurder 341 48 14.1% 75 22.0% 87 25.5%Class X 2,388 553 23.2% 808 33.8% 960 40.2%Class 1 4,702 1,122 23.9% 1,751 37.2% 1,997 42.5%Class 2 7,558 2,060 27.3% 3,142 41.6% 3,559 47.1%Class 3 4,887 1,423 29.1% 1,915 39.2% 2,196 44.9%Class 4 10,811 2,848 26.3% 3,988 36.9% 4,690 43.4%Other 5 0 0.0% 0 0.0% 0 0.0%

Number of Exits

FY17 – 25,321



Research Involving Prisoners as Subjects

• Subpart C - Additional Protections Pertaining to Biomedical and Behavioral Research Involving Prisoners as Subjects

• Source: 43 FR 53655, Nov. 16, 1978• (c) Prisoner means any individual involuntarily confined or detained in a penal

institution. The term is intended to encompass individuals sentenced to such an institution under a criminal or civil statute, individuals detained in other facilities by virtue of statutes or commitment procedures which provide alternatives to criminal prosecution or incarceration in a penal institution, and individuals detained pending arraignment, trial, or sentencing.



Research Involving Prisoners as SubjectsRegulatory considerations for research involving prisoners;

• The exemptions that generally apply to research involving human subjects do not apply to research involving prisoners (45 CFR 46.101, footnote 1);

• Prisoner research must fall into one of the six categories §46.305;1. Causes/effects, of incarceration/criminal behavior (45 CFR 46.306(a)(2)).2. Prisons as institutions or prisoners as incarcerated persons (45 CFR 46.306(a)(2)).3. Conditions affecting prisoners as a class (45 CFR 46.306(a)(2)). (vaccine trials,

hepatitis prevalence, drug and alcohol use, sexual assaults, etc.)4. Research on practices, which may improve the health or well-being of subjects (45

CFR 46.306(a)(2)). (control groups)5. Describes the prevalence or incidence of a disease by identifying all cases 45 CFR

46.305(a)6. To study potential risk factor associations for a disease 45 CFR 46.305(a)

https://www.hhs.gov/ohrp/regulations-and-policy/guidance/faq/prisoner-research/index.html



Research Involving Prisoners as SubjectsAn IRB must make the following seven additional findings:1. Represents one of the permissible categories under 45 CFR 46.306(a)(2);2. Any participation advantages are not of such a magnitude that receiving such

advantages in the limited-choice prison environment is impaired (food, recreation, medical care);

3. The risks involved are commensurate with nonprisoners;4. Selection procedures are fair to all and immune from intervention by prison

authorities or prisoners. Unless otherwise justified, control subjects must be selected randomly.

5. Utilize language that is understandable to the subject population;6. Assurance that parole boards will consider a prisoner's participation in the

research, and that participation in the research will have no effect on his or her parole (probation);

7. Adequate provisions in place for follow up care (45 CFR 46.305(a)).

https://www.hhs.gov/ohrp/regulations-and-policy/guidance/faq/prisoner-research/index.html



So You Want to Conduct Prisoner Research in Illinois…

1. Contact IDOC Planning & Research– Check website for available datasets/information– Review feasibility/logistics/methodology

2. IRB application review (including informed consent)

– Send to IDOC for review (may need revisions)3. Submit to the IRB/receive approval4. Submit application(s) for background checks

– Paper check (as a volunteer)– Possible fingerprint/drug tests




5. Receive approval letter signed by IDOC Director– Sign research agreement and return to P&R

6. Work out logistics w/Warden’s office– They will ask if you have approval

7. Inform P&R if any adverse incidents or changes in personnel/amendments to the research

8. Allow IDOC to review research findings prior to publication




• Interviews• Surveys

– Staff– Inmates

• Secondary data analysis– UIC medical records– Special runs– Info available on the website




Tips for Visiting IDOC Facilities:• Subject to search

– Vehicles– Bags/purses– Your person

• Leave cell phones/electronics in vehicle• Do not bring or accept gifts• Make no promises/agreements




https://www.illinois.gov/idoc/reportsandstatistics/Pages/default.aspx




27 Active Projects!

Questions????

Sharon Shipinski, Ph.D.Manager, Planning & Research

(217) 552-2200 [email protected]

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