heir own agencies and their specific experi- ence and expertise.
Though building a broadly representative and diverse group of experts seeks to reduce the effect of such biases (Appendix A), it can also help to use structured methods to ensure a syst


s were relatively modest, however, the taxonomy presented is substantially equivalent to the one used.
 From Corrections Today to Corrections Tomorrow: Identifying Needs in Corrections 45
between and among agencies. In addition, the panel noted probl


ding on how it was implemented in a facility, a case where private-sector business models could adversely affect prisoners and families if they have to pay to access the service.
• For institutional corrections, contraband coming into facilities rema


ed as contributing to each corrections objective, for both working groups. Single needs could—and often did—contribute to more than one objective (e.g., saving money while also protecting the public). As a result, percentages across the graph add to


operations and population services, as well as person-worn and weapons/force technologies (e.g., protective equipment). Within both communities, however, there is strong representa- tion of information and communications needs, with emphasis on infor


Acquisition and technology decisionmaking
  Doctrine, tactics, management, and behavioral knowledge development and training
Management/ leadership knowledge development and training
 Officer/practitioner knowledge development and training
 Other
 Do


at will always be challenges—even as the details of the challenges shift over time. The drug monitoring tech- nologies identified in 1995 were not focused on the same set of drugs that are of concern now, but the challenge of drugs either as contraba


 is equally important. For
1 The web reference (RAND Corporation, undated) includes the formative RAND papers on the method and more recent applications of the technique to a range of policy problems.
2 A more detailed description of the prioritizati


(10 percent chance of being broadly adopted and used) to 9 (90 percent chance).
These three scales sought to capture the key components needed to calculate the expected value of a possible innovation—how valuable it would be multiplied by the probabi


tarting point for such tasks as building business case estimates or constructing research and investment portfolios where costs must be considered explicitly.
Rather than simply taking the average of a group of experts’ rankings, the Delphi method se


ublic
Facilitate positive behavioral change
Improve correctional competencies
Hold offenders accountable
Reduce officer/ offender casualties and injuries
Save money and/ or time
Protect rights of victims/ restitution
Improve officer/ offender health


r some participants, the probability of adopting individual solutions for some needs was viewed as very easy, while the constraints that existed in other agencies (e.g., existing information technology infrastructure or standard approaches to tasks o


ly. To identify top-tier needs based on both of these measures, we plotted each need’s scores on each measure and identified natural breakpoints in the distributions (graphs are included in Appendix C).
9 Appendix C describes these calculations and r


d data system interoperability. The goal is to allow access to informa- tion in national, state, and local databases across agencies and provide easy access to that data by practitioners. Discussion of these topics during the working group focused on


ators of ongoing cooperation with terms of supervision.
Develop guidance to help evaluate numbers of cases versus actual workloads, specifically to include better methods to assess how much time should be spent on a specific case.
Develop affordable,


r research on which sanctions should be applied to which type of violation and need.
Develop or gather research on which type of sanction is most likely to produce a positive behavioral change in response to which type of violation and need.
Develop


o achieve and likely to be adopted. As a result, these needs could be candidates for limited investment or for near-term focus (Table 5.2).
The nature of potential low-hanging fruit is that the expected benefits of meeting the needs vary widely. Two


it risks insufficiently highlighting needs that might be very valuable in niches of corrections practice. As a result, we have included in Appendix D a table of the top needs for each corrections objective—that is, the highest median expected value


lted in a slightly greater number of top-tier needs than community corrections because of where the breakpoint fell in the distribution of rankings (Appendix C) and because of the spread of rankings, which brought additional needs into the top tier b


s environment.
Develop cost-effective unmanned aerial vehicle (UAV) technology suitable for perimeter monitoring.
Develop higher throughput and cheaper scanning technologies to scan incoming logistical shipments to facilities.
Develop a single overal


mployees coming into facilities.
Universally adopt Incident Command System (ICS) and National Incident Management System (NIMS) for all agencies.
Hold a greater number of interagency exercises to build relationships among agencies and bolster prepare


stem goals, even if they provide revenue to agencies
Associated Need
Implement a recycling program to reduce facility waste stream.
Develop new and more-effective less-than-lethal technologies to reduce the level of force necessary.
Develop tools to


 to require sufficient contract terms that include service and maintenance.
Make changes in procurement policy and practice
to structure contracts and require compliance with technology standards to prevent proprietary lock-in.
Develop succession pla


., 2012), and practices to better manage inmates across multifacility systems. Unlike community corrections, the institutional corrections working group highlighted several broader societal or legal practices. They included developing legal alternati


reflected the differences between the two areas—notably, the focus on information-sharing in the commu- nity corrections group (versus information collection and analysis for institutional corrections) and the focus on contraband in the institutiona


much lower.
• Though there were top-tier needs related to alternatives to incarceration, both groups had other lower-priority needs related to this topic, including the desire to manage certain prisoner groups, including the elderly, in nonsecure set


ility of corrections organizations and staff, meeting the needs of victims, and main- taining the health and safety of their staff, offenders, and the public.
An Innovation Agenda for the Entire Corrections Sector
Meeting all of these goals requires


nologies, especially management information sys- tems, more often than they identified areas in need of any initial technological innovation. Many of the comments seemed to reflect a desire to adopt available technologies, such as improved identifica


hold offenders accountable for their behavior but also to encourage better behavior.
• Validate tools. For community corrections in particular, there was a clear call for assis- tance in demonstrating that tools actually do what they say they do. Ris


xtrapolate from the present and anticipate the future, there are obvious caveats to keep in mind. To make it possible to draw on the expertise of the practitioner community, we chose to use an expert panel and elicitation process to generate the need


el—even one guided by a methodology designed to systematically consider the full range of problems, issues, and oppor- tunities in an area—will always be shaped by the individuals involved, creating a measure of subjectivity in the process. Furthermo


hwhile to take a step back and take a wider view. Because the goal of this effort was to identify needs that might be addressed with definable improvements in technology, policy, or practice, our examination occurred at a rela- tively detailed level.


ons Advisory Panel
    Olympia Salem
OREGON
NEVADA
CALIFORNIA
Los Angeles Santa Ana
RAND RR820-A.1
MONTANA
Helena
WYOMING
COLORADO
NEW MEXICO
NORTH DAKOTA
SOUTH DAKOTA
NEBRASKA
KANSAS
MAINE
WASHINGTON
    MINNESOTA
St. Paul
Williston
    IDAHO
Salt L


o, Fla.
Tom Williams
Associate Director
Court Services & Supervision Agency Washington, D.C.
Robert Zastany Jr.
Principal Probation Officer 19th Judicial Circuit Waukegan, Ill.
    APPENDIX B
Corrections Advisory Panel Agenda
 This appendix presents


sts prioritized the eight corrections objectives using a technique known as swing weights (Von Winterfeldt and Edwards, 1986). This technique asks raters to consider each objective in succession, comparing the importance of each objective with the im


 low (1–3)—and then make a second judgment on whether they thought it fell in the middle or on an extreme of the category (e.g., for a need that was in the 7–9 range, deciding it was a 7).
We then mathematically combined the benefit and probability o


ng expected values this way assumes linearity in the ranking scales. For example, it assumes that, from our top value of 9, associated with 20 percent improvement in performance for the objective, raters divided the scale below 9 linearly down to no


 needs rated with medians representing combinations of 7 and 9, 8 and 8, 8 and 9, and 9 and 9. Needs that were already captured by the Tier 1 and Tier 1* needs were removed from the list of potential low-hanging fruit.
2 The median is the score that


e 3 transitional housing and supervision for offenders.
Develop educational materials based 2 on prior research to help offenders
prioritize their financial obligations, to
include prioritizing between restitution,
child support, treatment costs, liv


on a specific case.
Develop tools or components of 1* case management systems that can dynamically update risk assessments and automatically validate or update risk assessment models. The tool should also identify anomalies in case management,
such a


Develop quick, fast background checks 2 on candidates for employment in
corrections agencies that can identify
and remove high-risk persons.
Develop simple risk models using 1* easily observed indicators known to
be correlated with recidivism that
c


t models. The tool should also identify anomalies in case management,
such as signs of risk-score manipulation and anomalous churn.a
Develop tools that monitor officers’ 2 activities and track performance, using
inputs like GPS tracking devices.
Deve


cial expressions, remote biometrics sensors, and P200 (brain waves).
Research (in a controlled experiment 2 with analysis of return on investment) whether phone or web conference
reporting by offenders is as effective
as in-person sessions, and what


e, time-sensitive 3 portal to manage information about high-profile cases.
Develop a search tool to provide quick 3 access to relevant data in response to
public records requests.
Create gateways or centers that can 1 translate and exchange correctio


n report compliance and track progress, validated by location services and facial recognition. Also develop companion apps for probation and parole officers to manage offenders. Such apps should integrate with records management systems to capture da


ios, handcuffs, flashlights, computers, GPS and radio frequency trackers, and off-the-shelf and FBI-compliant records management systems.
Develop guidebooks and training materials on how to plan for and recover from a natural disaster from the commun


lop a guidebook of best practices 2 on the effects of officer stress and
methods to reduce it, based on prior
research on stress and fatigue for law enforcement.
Develop a concept for and test a mobile 2 mental health team to provide services
in remo


ion of Chiefs of Police Social Media Center and Court Services and Offender Supervision Agency social media efforts.
Produce a guidebook on best practices 2 on positive incentives to reward positive behavior.
Table D.5—Continued
Competing financial d


lations yet not moving the
saved money to community corrections
to supervise the released prisoners.
94 Fostering Innovation in Community and Institutional Corrections: Identifying High-Priority Needs
Table D.5—Continued
  Category and Subcategory
Pr


rs
carrying out roles knowledge for Policies and
Officer/practitioner development and
knowledge
training
tracking systems that include long-term reliability Perform assessments of GPS and radio frequency and maintainability.
functionality of tracking


l disaster from historic issues with victims not wanting to talk to provide for victim needs. Work on overcoming the community corrections perspective. Develop a guidebook on best practices to
and model types and can provide dynamic, near- real-time


r corrections
practices Tactics and
Officer/practitioner development and knowledge
training
behavioral knowledge
Doctrine, tactics,
management, and
development and
training
Create gateways or centers that can translate and exchange corrections data b


 and remove high-risk persons.
Difficulties recruiting, hiring, training, and retaining corrections staff
analytical Individual methods
Information analysis
Create gateways or centers that can translate and exchange corrections data between and among


ement.
Cumulative stress effects due to long-term assignments
resources policy Organizational and practices and human
diagnosed with mental illnesses or exhibiting corrections officers to work with offenders Develop training programs for community sy


ited knowledge and training provided to officers on safety topics
practices Tactics and
Officer/practitioner development and knowledge training
behavioral knowledge Doctrine, tactics, management, and communications development and Information and
tra


le and practical in the institutional corrections environment.
Develop alternatives that reduce staffing 2 requirements for monitoring and
controlling inmate use of technology.
Develop contracts and procurement 3 practices that require the ability to


tinued
Full List of Institutional Corrections Needs 103
  Category and Subcategory
Problem or Opportunity
High cost of implementing managed access to cellular phones, which helps reduce contraband phones
Ranking Associated Need Tier
Evaluate approach


ding to unwillingness to wear
Wearable conductive-energy clothing (which administers a shock when wearer is touched
by another person) as a potential opportunity for staff protection
Develop lower-cost puncture-resistant 3 gloves.
Develop cooler and


om transferring inmates outside of a facility to receive specialized medical care
High cost of available tools for data analysis
Current video analytics insufficient to monitor inmate behavioral problems
Difficulties calculating sentences, given vary


ably dressed people in poor lighting conditions.
Develop analysis and scheduling tools for 3 seat management on buses to improve transport logistics efficiency.
 Individual analytical methods
Develop tools to identify the right periods for individual


ities at fence lines
Contraband coming into facilities at fence lines
Contraband coming into facilities through logistics systems
Associated Need
Improve methods to identify individuals working in high-stress positions (e.g., mental health units) tha


osts of RFID tracking 2
individuals within facilities
Difficulty managing gang presence within facilities
Contraband coming into facilities at fence lines
technologies where deployment is practical in the corrections environment.
Develop information


 Homeland Security) to increase their robustness and reduce their costs for corrections environments.
 Adapt existing technology to better address challenges of the institutional environment, including the presence of many comparably dressed people i


 a standards-based, readily 3 available, low-cost system architecture
to provide a starting point for agencies
to link their data sets internally and with other agencies’ systems.
Replace pieces of older systems 2 to become compatible with new
techno


ed Need
Low- Hanging
Ranking Fruit Tier Candidate?
        112 Fostering Innovation in Community and Institutional Corrections: Identifying High-Priority Needs
Table E.5
Doctrine, Tactics, Management, and Behavioral Knowledge Development and Training


ts and procurement 3 practices that require the ability to use third-party material on systems designed
to deliver educational and other content
to inmates.
Identify suppliers and explore contract 3 opportunities for upgrading to more- energy-efficie


facilities.
Provide risk management training for 2 leadership and supervisors to educate
them on the rules for these issues and
provide tools to assess requests.
Share lessons learned about established 2 and useful performance measures across
the com


Develop guidelines and best practices 2 for inmate classification to help with
housing and other service decisions for
LGBTI inmates (with an emphasis on
PREA compliance).
Explore peer-facilitated suicide watch 2 models where inmates supervise each
o


ased 2 training to reduce training costs and
allow training at facilities rather than requiring staff to be pulled from their
roles.
Develop low-cost alternatives to being 2 at a gun range to train on firearms and nonlethal weapons, such as appropria


inmate keyword analysis and other pattern recognition. telephone calls, enabling rapid (and accurate)
the labor intensity of monitoring telephone conversations due to a small percentage of inmate Inability to listen to more than
monitoring: Fixed Sur


 within in medical cases, complaints, or inmate grievances)
Organizational Internal data performance management collection:
Information
collection
communications
Information and
staff to keep notes) that enables positive behavioral management at lowe


mate access to technology, for communication within the content, gaming of systems creating internal security (e.g., access to unauthorized facility)
environment
control
Internal
Facility operations and
population services
               Associated N


on training for large numbers of staff
mediated training Technology- tools
behavioral knowledge
Doctrine, tactics,
management, and
development and
training
120 Fostering Innovation in Community and Institutional Corrections: Identifying High-Priority


gement, and
development and
training
High-pressure work environment, leading to staff mental health resources to address inmate issues, including suicide Lack of training and staff mental health issues
Associated Need
Problem or Opportunity
Subcatego


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American Civil Liberties Union, At America’s Expense: The Mass Incarceration of the Elderly, New York, 2012. America


r, and C. Krebs, Sexual Victimization in Prisons and Jails Reported by Inmates, 2011–12, Washington, D.C.: Bureau of Justice Statistics, NCJ 241399, May 2013.
Bowers, J., and P. H. Robinson, “Perceptions of Fairness and Justice: The Shared Aims and O


isoning Communities: How Mass Incarceration Makes Disadvantaged Neighborhoods Worse, Oxford, UK: Oxford University Press, 2007.
Clear, T. R., G. F. Cole, M. D. Reisig, and C. Petrosino, American Corrections in Brief, Belmont, Calif.: Wadsworth, 2012.


gainst Traditional Drug Screening
Instruments,” Federal Probation, Vol. 75, No. 3, 2011.
Federal Bureau of Investigation, “Exhibit 300: Capital Asset Summary, FBI Law Enforcement National Data Exchange Program (NDEx),” July 2013. As of August 28, 201


March 2009.
Goldstein, M., “Health Information Privacy in the Correctional Environment,” George Washington University, April 2012.
Harries, K., “Using Geographic Analysis in Probation and Parole,” NIJ Journal, No. 249, 2003, pp. 32–33. Hayes, L., “Ch


g, Aurora, Colo., March 2012, pp. 14–16.
James, D. J., and L. E. Glaze, Mental Health Problems of Prison and Jail Inmates, Washington, D.C.: Bureau of Justice Statistics, NCJ 213600, September 2006.
Jannetta, J., “COMPSTAT for Corrections,” UC Irvine


e United States: State and Federal Perceptions of Benefits and Barriers,” Telemedicine Journal and e-Health, Vol. 10, Supp. 2, 2004.
Latessa, E. J., R. W. Oldendick, L. F. Travis, S. Noonan, and B. E. McDermott, Impact of Technology on Adult Correcti


uary 2012. Massachusetts Governor’s Commission on Criminal Justice Innovation, Final Report, 2004.
Matthies, C., Advancing the Quality of Cost-Benefit Analysis for Justice Programs, Washington, D.C.: Vera Institute of Justice, 2014.
Mauer, M., “Addre


 Rise in Life Sentences in America, Washington, D.C.: The Sentencing Project, 2013. As of October 22, 2014: http://sentencingproject.org/doc/publications/inc_Life%20Goes%20On%202013.pdf
Newcome, A., and A. Mullen, “Drone Carrying Drugs and Phones Cra


ust 18, 2013. As of October 24, 2014:
http://w w w.usatoday.com/stor y/news/nation/2013/08/17/tabletsforinmates/2651727/
RAND Corporation, “Delphi Method,” undated. As of July 17, 2014: http://www.rand.org/topics/delphi-method.html
Reimer, G., “The G


S. Department of Transportation, National Highway Traffic Safety Administration, November 2009.
St. John, P., “GPS Monitoring Alerts Overwhelm Probation Officers,” Los Angeles Times, February 15, 2014. Stephan, J. J., Census of State and Federal Corr


l Sheriffs’ Association, 2010. As of October 22, 2014: http://www.treatmentadvocacycenter.org/storage/documents/final_jails_v_hospitals_study.pdf
Torrey, E. F., M. T. Zdanowicz, A. D. Kennard, H. R. Lamb, D. F. Eslinger, M. C. Biasotti, and D. A. Ful


minal Justice and Behavior, Vol. 38, No. 4, April 2011, pp. 386–405.
Worley, R. M., and V. B. Worley, “Guards Gone Wild: A Self-Report Study of Correctional Officer Misconduct and the Effect of Institutional Deviance on ‘Care’ Within the Texas Prison


 CORPORATION
Costs of Selected Policies to Address Air Pollution in China
 Keith Crane, Zhimin Mao
For more information on this publication, visit www.rand.org/t/rr861
 Published by the RAND Corporation, Santa Monica, Calif. © Copyright 2015 RAND Cor


 provided by the RAND Center for Asia Pacific Policy and the RAND Justice, Infrastructure, and Environment Advisory Board.
The mission of the Center for Asia Pacific Policy is to improve policy by providing decisionmakers and the public with rigorous


rage Mean Concentrations of Sulfur Dioxide in China’s Largest Cities ............... 6 Figure 2.2: Average Mean Concentrations of Nitrogen Oxides in China’s Largest Cities ............ 6 Figure 2.3: China’s Emissions of TSP and Sulfur Dioxide (1991–2


where pollutant concentrations do not exceed levels that harm human health, more aggressive implementation of such policies will be necessary. However, these policies have costs. The purpose of this report is to assess the potential costs of adoptin


 generating electricity. China has plans to expand hydroelectric power capacity from 249 gigawatts (GW) to 325 GW, which could generate 0.264 trillion KWh, equivalent to 5.3 percentage points of coal-fired power in 2012. Wind could generate
0.996 tri


costs that air pollution imposes on the country.
As shown in Table S.1, these measures would not be costless. We estimate that, if implemented, recurring annual costs of these policies could run from $32 billion to $52 billion for replacing coal with


ns of 2012 $)
32 52
24 78 82 184
215 235
75
140 160
          Average price of LNG in East Asia in 2012 Peak price of LNG in East Asia 2012 Replacing coal-fired electricity with other fuels Hydro
Wind
Nuclear
Total
Gross total
Low end (assumes lower


governments—federal, provincial, and municipal—have made considerable efforts in this field, and air quality has improved by some measures, it remains a serious problem: Concentrations of pollutants exceed standards recommended by the World Health O


ollution of air, water, and land. The costs of this pollution are large, approaching 10 percent of gross domestic product (GDP) per year over the past decade. This ratio is several times higher than in developed Asian market economies such Korea and


 in the Value of Life, 1940–1980,” Journal of Risk and Uncertainty, Vol. 29, No. 2, 2004, pp. 159–180.
5 For a discussion of the implications of urbanization on the costs of pollution, see Ying Zhou, Jonathan I. Levy, John S. Evans, and James K. Hamm


trends in air quality as measured by concentrations of sulfur dioxide and Figure 2.2 shows trends in air nitrogen oxides in China’s four largest cities: Beijing, Chongqing, Guangzhou, and Shanghai. Average annual concentrations of sulfur dioxide and


esponsible for these emissions is coal, which accounts not only for most of China’s emissions of sulfur dioxide but also TSP. Between 1990 and 2010, China’s consumption of coal tripled.10 Despite this substantial increase, emissions of
8 Y. Chen, G.


e, emitting substantial quantities of TSP.
 11 Bag houses are fabric filters that retain particles from waste gas when they pass through the fabric. The filter operates cyclically between filtering and cleaning. During the cleaning stage, the accumul


ry of Environmental Protection of the People’s Republic of China, China Vehicle Emission Control Annual Report, National Environmental Management of New Production Vehicles, 2014, Part III.
 9
Figure 2.5: Sources of Motor Vehicle Emissions According


rating pollution-control equipment so that emissions can be reduced to levels consistent with WHO air
18 Calculated from information from Chen, Ebenstein, Greenstone, and Li, 2013.
19 Environmental Protection Agency, “The Hidden Hazards of Backyard B


s, not propane, but in East Asia the cost per BTU of the two fuels is similar.) To calculate these figures, we assumed that the energy content of a standard metric ton of coal is 27.8 million British thermal units (BTUs) and the energy
20 EIA, China,


ts have installed pollution-control equipment to reduce emissions of sulfur dioxide.25 This equipment has contributed to China’s reported declines in these emissions (Figure 2.3). Because of the greater efficiency of its new supercritical and ultra-s


, 2014.
 14
consumption in the power sector from 1,824 million metric tons annually to 929 million tons, or 49 percent. If the worst-performing coal-fired power plants were retired first, such a policy could reduce China’s total emissions of particul


rently generated by coal. If hydro power were to provide an additional 0.264 trillion KWh and wind an additional 0.894 trillion KWh, that would mean that additional nuclear power plants would have to supply 0.658 trillion KWh, or 15.2 percent of Chin


mers Bought Over 20 Million Vehicles in 2013 as Foreign Automakers Jockey for Market Share,” International Business Times, January 7, 2014.
0.264 0.894 0.758 1.918
31 890 769
     16
control technologies used by international manufacturers and there


in China’s air quality; measures to halt the burning of coal and refuse by residential and commercial users in urban areas would be especially helpful.
Adopting these measures would make a substantial dent in the volume of coal consumed in China. Rep


                                                   Replacing Coal with Renewable and Nuclear Fuels to Generate Electricity
Drivers of the cost of electricity differ greatly depending on the source. For example, the cost of wind power is driven by the


ellow-tagged” vehicles by these prices yields a total cost to China from $21 billion to
$42 billion for scrapping these vehicles immediately, if the national government were to adopt Dongguan’s program for the entire country (Table 4.2). Note that in


winter months.
The cost of this policy would primarily fall on urban residents, and, to a lesser extent, retail and other commercial establishments. However, these are precisely the individuals who suffer most from this air pollution. As in other cou


uyu, Avraham Ebenstein, Michael Greenstone, and Hongbin Li, Evidence on the Impact of Sustained Exposure to Air Pollution on Life Expectancy from China’s Huai River Policy, Proceedings of the National Academy of Science, May 28, 2013. As of November


onmental Protection of the People’s Republic of China, China Emission Control Annual Report, Part III, National Environmental Management of New Production Vehicles, 2013.
Ministry of Environmental Protection, China Vehicle Emission Control Annual Rep


e Council, the People’s Republic of China, China 2030: Building a Modern, Harmonious, and Creative High-Income Society, Washington, D.C.: World Bank, 2012
World Health Organization, WHO Air Quality Guidelines For Particulate Matter, Ozone, Nitrogen D


 The Adoption of New Smart-Grid Technologies
Incentives, Outcomes, and Opportunities Christopher Guo, Craig A. Bond, Anu Narayanan
 CORPORATION
For more information on this publication, visit www.rand.org/t/rr717
  Published by the RAND Corporation,


ng as it relates to small businesses and entrepreneurship in a wide range of settings, including health care and civil justice.
The intended audience for this report includes electricity industry professionals, consum- ers of electricity, researchers


.....
CHAPTER FOUR
The Smart Grid in Practice: Some Empirical Evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Response of Consumers to Alternative Pricing Structures . . . . . . . . . . . . . .


TER SIX
Using Public Policy to Encourage Smart-Grid Technology Adoption. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Policy Levers to Incentivize Smart-Grid Investment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


 . . . . . . . . . . . . . . . . . . . . 53
Contents vii
Figures
 1.1. Subgrids of the North American Electric System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.2. The Electric Power Delivery Syst


anding the habits and needs of the electricity consumer. If concerns about privacy can be assuaged and utilities can overcome the technical hurdles associated with the organization of vast amounts of data, then utilities may be able not only to optim


grid modernization. We identify the key sources of theoretical potential benefits and analyze the potential benefits and costs of entrepreneurial opportunities related to the smart grid, with a focus on data analytics and the commodification of infor


e adoption of smart-grid tech- nologies based on the principle of maximizing net benefits to the system (versus just cost minimization of the investment).
• Regulators should develop efficient pricing regimes for distributed generation, reflecting th


tandard
RTO regional transmission organization
RTP real-time pricing
SGIG Smart Grid Investment Grant TOU time of use
CHAPTER ONE
Introduction
The legacy power grid of the United States was developed in order to provide almost-universal electric serv


s, Outcomes, and Opportunities
Figure 1.1
Subgrids of the North American Electric System
Western Interconnection
Eastern Interconnection
      Texas Interconnection
SOURCE: U.S. Department of Energy (DOE), undated.
RAND RR717-1.1
The Supply of Electr


ring trains and electric vehicles. Figure 1.3 provides a representative snapshot of electricity use within a home.
Consumers of electricity do not demand a constant, predictable level of electricity. Driv- ing factors of electricity demand include we


sumers, consumers ultimately bear all of the costs of investment, but they benefit through the savings in operational costs that are generated
(assuming that these savings are passed through as well). This type of regulatory structure in the electric


nd is variable and unpredictable, utilities face demand risk. Demand risk is uncertainty about whether the electricity for which contracts exist will be sufficient to meet load demands. Supply in the system is determined through a dispatching system


that the consumer faces, which consists of generation, trans- mission, and distribution components. Prices also vary according to the type of consumer and the nature of business operations. They are highest for residential and commercial consumers b


ers at a local level.
Using Technology to Overcome Problems: The Smart Grid
Developments in monitoring, communication, and other technologies (such as smart meters and supporting infrastructure) provide the means for suppliers to learn about the over


e information in item 4.
These categories of systems are not necessarily independent of one another, but rather
require interdependence. Figure 1.4 provides an illustrative example of how the smart grid works and how various components interact with


ch report addresses the following research questions:
• What potential benefits could the smart grid have for utilities and consumers of electricity?
• What entrepreneurial opportunities are likely to present themselves in the context of the
smart-gr


to shape the direction of smart-grid growth.
CHAPTER TWO
A Review of the Potential Benefits of the Smart Grid
According to GAO, full deployment of the smart grid would have some potential benefits (GAO, 2011). These are generally independent dimensio


ewable-energy port- folios, these technologies will enable the larger grid to more cost-effectively integrate renewable sources. However, the introduction of new IRES producers with low marginal costs of gen- eration can also negatively affect incumb


the grid; and rapidly fix them, thus reducing outage times and search costs. EPRI (2011) states that, with smart-grid technologies, “utilities can provide more reliable energy, particularly during challenging emer- gency conditions, while managing th


process is straightforward; various technologies serve to decrease operating costs or increase power quality. For example, the increased potential for monitoring and controlling system health that the smart grid affords can automate the process of id


hese appli-
Figure 2.1
Sample Dispatch Curve for Electricity Supply
       300
       250
       200
       150
       100
50
0
0 20 40 60 80 100 120 140
System capacity available to meet demand (GW)
SOURCE: EIA, 2012b.
NOTE: GW = gigawatt. “The vari


 Morgan, 2012).
Total Potential Benefits of the Smart Grid
In economic terms, EPRI estimated that the potential benefits of a fully deployed smart grid are in the range of $1.3 trillion to $2 trillion, compared with total costs between $338 bil- lion


t is neither to verify the estimates of the benefits and costs nor to argue in favor of acceleration or deceleration of adoption of those technologies. Rather, we seek to understand the underlying environment that might contrib- ute to perverse adopt


work specification. ZigBee utilizes low-powered, low-cost radio chips to transmit small amounts of encrypted data short distances. In a ZigBee network, each smart
1 This is due to environmental factors, such as geographic terrain, potential for radio


al appliances are then connected using a communication protocol to create a home-area sensing network. Although this is the most straightforward and potentially the most accurate method, hardware solutions suffer from some glaring flaws that may ulti


tes of usage and usage directions.
The number of appliances that can be identified determines the level of disaggregation detail. The level of detail depends on the type of sensing hardware installed, the pattern- matching algorithms employed, the co


saggregation over the observation period. Then the algorithms are given raw aggregate data for a different time period but for the same house. Currently, software prediction for this type of problem is accurate approximately 90 percent of the time (“


s take to conserve electricity. The procedure for traditional energy audits, meant to inform consumers of their specific usage and find conser- vation measures, is very manual. A professional technician will visit the home, examine the insulation, in


 the possibility of establishing causality. Before, results from programs that target
22 The Adoption of New Smart-Grid Technologies: Incentives, Outcomes, and Opportunities
specific appliance usages (e.g., heating, cooling, and lights) would be lost


ld- ings. The data might uncover that consumers might use appliances and buildings differently from the intended design. For example, for health and comfort reasons, building occupants often leave windows open to get fresh air even while the heat is


rs via text alerts when nonoptimal behavior is detected or when the energy supply is constrained. It would rely on observing household behavior—i.e., intelligently learning the patterns of the household. It would then offer personalized recommendatio


t as a single male between 25 and 30 years old. Such data would be especially useful for marketing companies and advertisers and could provide an additional source of revenue for the utility.
Household activity data inferred from disaggregated electr


vely small down payment on the hundreds of bil- lions of dollars the electric power industry will need to fully modernize the electric grid over the next several decades” (DOE, 2013, p. iv).
The necessity of SGIG in spurring significant smart-grid de


nsumer to track the current status of hourly, daily, or monthly consump- tion and anticipate additional electricity demands before the end of the billing cycle.
Nevertheless, in order for benefits of dynamic pricing to materialize in practice, con- s


variation in consumer attributes. A point of difference from simulation analysis results is a common pilot-study finding that higher peak prices reduce peak demand with no offsetting shift in consumption to off-peak times. Joskow (2012) notes that th


customers in northern California to show that some customers with consumption patterns weighted unfavorably toward peak times actually may see higher bills with real-time rather than time-invariant rates. However, results from large industrial cus-


ional rates, which had also coincided with unseasonably hot temperatures (Smith, 2010). This episode revealed a lack of customer awareness of basic rate structures and price changes and a need for better customer education about smart-meter technolog


ercentage reductions of near 30 percent (EnerNOC, 2013). Information about electricity consumption was available to the consumer only on a 15-minute delay and in a form that was not particularly desirable, which apparently led to some disappointment


cost- effectiveness analysis of modernization plans.
On December 23, 2013, DPU presented a “straw proposal” based largely on the final report (DPU, 2013). In that proposal, DPU proposed to require a ten-year grid-modernization plan from each utility,


tilities may not prioritize the same technologies as regulators do, and some smart-grid investments have been characterized by cost overruns and a lack of recoverability by utilities. In the next chapter, we turn to a more theoretical discussion of t


ologies will deliver. Customers face similar decisions when making purchases of “smart”
1 As opposed to technology adoption that is either paid for (or at least subsidized) by such programs as SGIG.
2 Total quantities of retail sales (in megawatt-hou


traditional cost-plus regulation, the pass-through of operating-cost savings and investment expenditures is complete (assuming no disallowances by the regulator), while timings of rate cases (and perhaps allowable rates of return on capital) differ a


he tendency to adopt the least-cost technology (as opposed to technologies that maximize net benefits) provides a disincentive to invest in smart-grid technologies.5
The timing of rate cases can also affect the incentives for smart-grid investments.


a profit margin means that the utility itself cannot earn additional long-run profits. This pricing scheme thus protects electricity consumers from monopoly pricing but also creates disincen- tives for smart-grid investment on both the producer and


ure (Berg and Tschirhart, 1988; Malkin and Centolella, undated).
We now turn to several specific barriers associated with smart-grid technologies and dynamic pricing.
6 In the recent Northeast Utilities/DPU case, the utility stated in a letter to the


fear of stranded assets if and when standards are finalized.11 Needing to retrofit assets because of changed standards and requirements can result in prohibitively high costs that are typically not factored into analysis of the benefits and costs of


f-Use Pricing and Transaction Costs
The introduction of time-varying prices has the potential to increase the overall efficiency of the electricity market. From the consumer standpoint, however, overall system efficiency is not necessarily the goal.


, 2011), but the lumpy nature and prices of these long-lived capital goods suggest that responses may be relatively slow, thus decreasing the elasticity of demand in the shorter run.
The movement toward RTP could also increase electric-bill volatilit


ally useful information comes risks that (1) activities within the home may be predicted from the data and (2) unauthorized private or public users of the data may gain access through either legal (market) or illegal means (NIST, 2010; Murrill, Liu,


to effectively disaggregate data from a house without an appliance inventory, machine-learning techniques should be applied to probabilistic classification of devices. Such a classification would rely on the context and timing of device usage to prov


costs of system upgrades under current regulatory policy, which creates political economy disincentives to smart-grid development through likely higher electric bills in the short run. An additional dynamic related to distrib- uted generation can exa


ze investment and help overcome the barriers discussed in Chapter Five. After all, innovation cannot happen with- out adoption (Garber et al., 2011). We also discuss several broad principles, which could be adopted to avoid mistakes in smart-grid dev


ceive them as profitable, it may be necessary to increase the allowable rate of return on capital to incentivize smart-grid investments. Risks of doing so are the increasing probability that excessive rents could be generated for the utility, with hi


end up reducing the overall costs of supply (Lowry, Makos, and Johnson, 2011). Rather than being
Using Public Policy to Encourage Smart-Grid Technology Adoption 45
based on actual cost savings, these must be calculated on the basis of a counterfactua


, investments related to the smart grid, as currently envisioned, are not designed to replace depreciated legacy capital but rather to create a joint electricity and communication system that provides for (and, in some cases, is necessary for) future


shwashers, hot tubs, and clothes dryers. This would serve to encourage energy conservation in a targeted manner, focusing on nonessential appliance usage. In addition, certain programs, such as the California Alternative Rates for Energy program, off


ntly limit investment and risk-taking—both necessary ingredients of innovation. As the vision for the smart grid continues to be refined through a deepened understanding of the available technologies and collected data, so too should the framework of


licy changes are associated with trade-offs.
Require Transparency in Data Collection and Usage
Numerous technological and logistical barriers exist in dealing with data issues that arise from the information layer of the smart grid, but perhaps the m


entifies the potential barriers of smart-grid technology adoption, as well as identifying policy levers, recommenda- tions, and entrepreneurial opportunities related to grid modernization. Potential benefits of a fully functional smart grid come from


y not be compatible with other system components or will be made obsolete in the future. Adopting a technology that proves incom-
 49
50 The Adoption of New Smart-Grid Technologies: Incentives, Outcomes, and Opportunities
patible or of little use or


l approach may not be appropriate across all distribution systems.
• The development and adoption of technological standards at the federal level can help reduce investment uncertainty and facilitate the development of technologies in auxiliary marke


repreneurial activity. Evalu- ation of the distributional effects of smart-grid incentive structures should be a key feature of future research. This deals with how the benefits and costs from smart-grid rollout should be allocated among incumbent fi


rnal, Vol. 28, No. 2, 2007a, pp. 111–130.
———, “Wealth Transfers Among Large Customers from Implementing Real-Time Retail Electricity Pricing,” Energy Journal, Vol. 28, No. 2, 2007b, pp. 131–149.
———, “To What Electricity Price Do Consumers Respond?


. 34, No. 1, 2013, pp. 1–31.
Crew, Michael A., and Paul R. Kleindorfer, “Regulatory Economics: Twenty Years of Progress?” Journal of Regulatory Economics, Vol. 21, No. 1, January 2002, pp. 5–22.
Daintree Networks, “Applying Mesh Networking to Wireles


nomic Review, Vol. 100, No. 3, June 2010, pp. 837–869.
Froehlich, Jon, Eric Larson, Sidhant Gupta, Gabe Cohn, Matthew Reynolds, and Shwetak Patel, “Disaggregated End-Use Energy Sensing for the Smart Grid,” IEEE Pervasive Computing, Vol. 10, No. 1, Ja


13. As of February 26, 2014:
http://finance-commerce.com/2013/04/the-lessons-of-smart-grid-test-in-boulder
Henn, Steve, “If There’s Privacy in the Digital Age, It Has a New Definition,” All Tech Considered, March 3, 2014. As of October 29, 2014:
http


 1: Economic Principles, New York: Wiley, 1970.
———, The Economics of Regulation: Principles and Institutions, Cambridge, Mass.: MIT Press, 1988. ———, “Telecommunications, Competitiveness, and Economic Development: What Makes Us
Competitive?” Public


bersecurity, Washington, D.C.: Congressional Research Service, R42338, February 3, 2012. As of February 25, 2014:
http://www.fas.org/sgp/crs/misc/R42338.pdf
Narayanan, Anu, and M. Granger Morgan, “Sustaining Critical Social Services During Extended R


.html
Reiss, Peter C., and Matthew W. White, “Household Electricity Demand, Revisited,” Review of Economic Studies, Vol. 72, No. 3, 2005, pp. 853–883.
———, “What Changes Energy Consumption? Prices and Public Pressures,” RAND Journal of Economics, Vol


t Reduction, Competition, and Industry Performance,” Econometrica, Vol. 52, No. 1, January 1984, pp. 101–121.
Steiner, Peter O., “Peak Loads and Efficient Pricing,” Quarterly Journal of Economics, Vol. 71, No. 4, November 1957, pp. 585–610.
Texas Off


teristics and Costs in the Buildings Sector,” August 7, 2013a. As of February 28, 2014:
http://www.eia.gov/analysis/studies/distribgen/system/
———, Electric Power Annual 2012, December 2013b. As of February 26, 2014: http://www.eia.gov/electricity/an


M., and K. Roth, “Non-Intrusive Appliance Load Monitoring (NIALM): Review and Outlook,” IEEE Transactions on Consumer Electronics, Vol. 57, No. 1, February 2011, pp. 76–84.


     High-Priority Information Technology Needs for Law Enforcement
John S. Hollywood, John E. Boon, Jr., Richard Silberglitt, Brian G. Chow, Brian A. Jackson
A project of the RAND Corporation, the Police Executive Research Forum, RTI International,


se technology portfolios.
To help NIJ accomplish its mission, the RAND Corporation Information and Geospa- tial Technologies Center, which is part of NIJ’s National Law Enforcement and Corrections Technology Center system, has been conducting strateg


mation Technology Science and Technology Efforts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
APPendIx
Information Technology Capability deman


tivities and studies:
• developing a formal characterization (technically, a taxonomy) of criminal justice technologies
• in conjunction with its expert Law Enforcement Advisory Panel (LEAP), developing a set of objectives for law enforcement that te


s report include both general ones cov- ering common themes and prioritized lists of specific needs. In line with the dedicated technology areas of the center, this report focuses on IT-related needs for law enforce- ment. These needs and themes are


o will do what, for whom, and when, along with dissemination metrics, to assist practitioners in learning about and using key technologies and associated methods. Key parts of the strategy will include the development and maintenance of the “reposito


efforts involved in information-sharing, with limited coordination between them.
• Finally, it is particularly difficult for new agencies seeking interoperability and developers seeking to provide it to learn about using all the available tools and r


nt roles. The different roles—and corresponding types of displays—would include agency command (discussions have taken place on replacements or major improvements to COMPSTAT, for example), field-level operations, and departmental planners and schedu


with whom the center staff have worked over the course the center’s activities. These include agency representatives we interviewed directly, developers of NIJ-funded prod- ucts who let us know about their work, subject matter experts and practitione


me section, to conduct programs that “improve the safety and effectiveness of law enforcement technology and improve access to such tech- nology by Federal, State, and local law enforcement agencies.” To carry out this mission, NIJ is assigned duties


y needs of law enforcement practitioners, the current and projected future state of the art of relevant technolo- gies, current efforts within the community and by vendors and other agencies, and consistent and proven strategic planning approaches an


elevant. These studies are listed below. Although the center
Introduction to the NLECTC Information and Geospatial Technology Center’s Strategic Planning activities 3
did not copy needs from these prior studies into its technology database, these are


ng IT Needs for Law Enforcement
Our framework includes two core elements: a taxonomy for categorizing what the need is and a set of objectives for categorizing what the need would do to further law enforcement. The use of these two elements allows us


two steps. The first was a review of prior research on law enforcement objectives, captured and summarized by Davis (2012) and focus- ing on Moore and Braga’s (2003) measurement system for police performance. The center then worked with its Law Enfo


 to Assist Live Training
Management/Knowledge Development and Training
Societal/Legal Knowledge
Development and Training
Development and Training
Development and Training
Development and Training
Technology-Mediated Teaching
Management/Leadership Kno


egic Planning Activities for NIJ
Figure 1.2 presents the studies and activities involved in the center’s strategic planning sup- port to NIJ. These are described in more detail in the following chapter. The general approach is to analyze technology “


iews with 25 agencies on IT needs
• Potential payoffs of LE investments in IT
• LPRs (Gierlack et al., 2014)
• Predictive policing
• Identify desired capabilities
• Review of 600+ fielded tools
• Review of 60+ NIJ grants
• Identify gaps in supply


s on the interview notes, identifying needs and themes that occurred frequently across the interviewees. Specific needs emerging from this study are documented in the next chapter. All needs identified were named in some form by at least 40 percent o


, including acquisition, consulting, and training,
operating, and maintenance costs; this was used as an indicator of how widespread the successful solution for this need will be implemented by law enforcement agencies of all sizes; a lower cost woul


 understand the process and thus where the needs and priorities came from6
• comparatively easy to execute during a multiday workshop.
The implementation of the methodology during the LEAP is described below.
The LEAP had two phases. The first phase


roup 2, crime analysis and investigation. This group covered functions, including COMPSTAT, situational awareness maps and displays (crime maps and other geospatial information), predictive policing, link analysis, field investigative activities, for


 in crimes
 12. Reductions in disorder
 13. Reductions in fear of crime
 14. Improved emergency outcomes
 2. Hold offenders accountable
  21. Increases in clearance rates
 22. Increases in conviction rates
 23. Reductions in recidivism
 3. Ensure hea


ent competencies” (i.e., support improved effectiveness in general) and “reduce costs.”
Other changes were largely administrative, responding to panelists’ suggestions for clearer language to describe the objectives.
The online LEAP included a modifi


crime and disorder
Solve more cases
Improve the health of law enforcement personnel
Reduce casualties in the line of duty
Improve the public's trust of law enforcement
Reduce costs
Improve law enforcement competencies
Respond to incidents and events


 systems. Minimum scores (1) implied very high technical risk, typically needing entirely new technologies that might not be available or even physically possible.
8 Although we did not insist on strict adherence to it, the advice to panelists on how


l- ist got immediate feedback in that they saw their ratings compared with the average ratings to date, along with a popup box that showed the comments for that need to date. The panelists could then rerate the needs if they wished.11
Prioritizing ne


iddle rank (50 percent of scores are higher, 50 percent of scores are lower) in the data. Medians were chosen because they are robust—they provide reasonable estimates of the center of the data even given outliers or atypical distributions of the dat


tiple sources (e.g., rank-order votes from different people, different search engines’ scores). Borda count methods have been around for centuries, first being popularized by the French scientist Jean-Charles de Borda in 1770. For a general treatment


ents advice to those considering developing, acquiring, or using a predictive analytics system.
Technology needs emerging from the study include providing tools that are affordable and easy to use; creating tools that provide additional situational a


sessing federal- and association-sponsored efforts to improve both systems interoper-
ability and affordability, both to date and planned for the future
• identifying remaining barriers to interoperability and affordability as discussed in confer-
en


 crime reduction and crime-solving methods are being used by law enforcement agencies, and when new investments in both new systems and new practices are being made.
Examining the Market and Market Gaps for Technology: Supply and Demand Analysis
The


 key sessions related to – the impact of postrecession budget cuts
– growing challenges to sensor/surveillance technologies and methods (notably auto-
mated LPR systems) over civil and privacy rights issues
– growing challenges to mass stop-and-frisk


nd analysis (see the appendix)
IaCP/LEIM IT Summit— 2013
Law enforcement conference themes
Predictive policing study (Perry et al., 2013a)
LPR study (Gierlack et al., 2014)
Geospatial software tool study (Wong, Sorensen, and Hollywood, 2014)
IT inves


tegic Planning activities 23
ies had small numbers of participants (at most two dozen), for individual needs we focus on which tier a need is in and, secondarily, in which ranking bin. The findings of this report focus on themes drawn from fairly lar


ty that a need assigned to bin 1 has a greater real-world priority than a need assigned to bin 9—or a difference of eight bins—is 1.2 percent.
• The probability that a need ranked seven bins lower than another need has a greater real-world priority i


entation
• Weapons and Force.
Within technology-area tables, needs are sorted first by technology class (again, coming from the technology taxonomy) and then by priority, with higher-ranked needs presented first. That said, we emphasize that there is


ife for the practitioner, difficult personnel decisions for the managers, and customer service for citizens
Technology Taxonomy Division
Facility Operations Technologies
Information analysis
Technology Taxonomy Category
Organizational Logistics
Compu


in an agency
Need a better way to screen prospective recruits and eliminate those who are unlikely to make it through the police academy
Technology Taxonomy Division
Information analysis
Information analysis
Information analysis
Information analysis


ion (Including Surveillance)
Information Collection (Including Surveillance)
Information Collection (Including Surveillance)
Information Collection (Including Surveillance)
Information Collection (Including Surveillance)
Technology Taxonomy Category


ance)
Technology Taxonomy Category
Internal Data Collection
Internal Data Collection
Surveillance
Surveillance
Surveillance
Surveillance
Surveillance
Surveillance
Surveillance
Source
LEaP Tactical
LEaP Operational
Conference Themes
LEaP Operational
L


 Study
LEaP Tactical
Geospatial TWG
Technology Summit
Geospatial TWG
LEaP Tactical
Information-Led Policing TWG
Priority
   5
5
5
4
4
3
3
 9
 8
   Table 2.1—Continued
Need
Public information channels to warn the public away from areas
Victim notifica


Priority
Information Technology Needs for Law Enforcement 31
    8
4
4
4
 3
 2
 1
 9
 32 High-Priority Information Technology Needs for Law Enforcement
Table 2.1—Continued
Need
Geospatial capability survey
Greater R&D investment in common operational


Geographic alert tool
Social media for criminal justice
Improved bandwidth
Information overload study
Rapid data offloads from car/officer cameras
Need Description
Need a notification system
to keep officers apprised
of the activities of current pris


S/CaD
and other key criminal justice data standards
Greater R&D investment in IT standards
Standardized definitions (for criminal justice performance measures and information exchange)
Need Description
Need to improve mobility and convergence
Need an


state and local criminal jus- tice communities are using and assess the operational effectiveness of those systems
Need to improve the inter- operability of NIJ-funded software tools, possibly by creating a common database to store data to be used by


g to technology in general
Need Description
Need to align strategic requirements with available technical capabilities
Need to address critical budget cuts driven by the recession; technology seen as both a potential help and a cost to be cut
Need gr


pertise; examples might include biographies in an OJP-sponsored database or a site analogous to LinkedIn to provide peer-reviewed capabilities
Need guide on what pre- dictive policing is, what works, and what does not in predictive policing, to inclu


ioners on change management
Need R&E on practices to reduce crime from repeat offenders, especially methods that do not require continual rearrest and incarceration
Need to effectively and efficiently retain the corpo- rate knowledge of long-time emp


ts and complaints; training could involve hands- on simulations of ambiguous situations or other web-based training tools
Need to develop model policies and laws to preempt online “gang-banging” activity, including recruitment and violent threats (e.


management of technology resources
Need R&E on practices to reduce crimes that occur frequently, such as domestic violence, false alarms, cell phone theft, and metal theft
Need training on social media, including what can be gathered (with/without a


em- ination of NIJ-funded software tools, to include specifying tool repositories and requiring creation and execution of dissemination plans
Need to improve NIJ
policy and involvement in software tool development, to include requiring delivery of a


encies
Need improvements to unified command training, to include awareness and use of NIMS; these should consider new technologies (exercises, simulators,
and gaining), as well as support agency-specific customization
Need a simulation-based manageme


verage of Technology Areas
Figure 2.1 shows the number of needs by taxonomy division (top level). Not surprisingly, a majority of needs fall under the technical “information” divisions. However, a large proportion of needs actually fall under the non


rating for each need as well as the specific bin rating for that objective. As shown, all spe- cific bin ratings had top values (9) except for Solve More Cases.
Figure 2.2
Number of Needs, by Technology Category
Information Technology Needs for Law E


ot currently being used as crime indicators or for analysis (need a survey on the use of these data).
Tool to overcome issues with current quality of life for the practitioner, difficult personnel decisions for the managers, and customer service for


ic evidence collection
Dispatchable/ deployable CCTV systems
Light wearable cameras
Deployable, wearable tracking systems (GPS)
Models, resources, and examples for health programs
Light wearable cameras
Deployable, wearable tracking systems (GPS)
Pub


 Law Enforcement Competencies
Respond to Incidents and Events More Effectively
Overall Rating
Objective Rating
 Title
Make social media easy for police departments to use
Standard policies, procedures, and assessments for video surveillance
Repositor


nforcement personnel
Reduce casualties in the line of duty
Improve the public's trust of law enforcement
Reduce costs
Improve law enforcement competencies
Respond to incidents and events more effectively
RAND RR737-2.3
Information Technology Needs fo


 needs would have left an underrepresentation of needs from these groups. We have included these near–Tier 1 needs in the crosscutting theme analysis, as well.
  51
52 High-Priority Information Technology Needs for Law Enforcement
Table 3.1
Summary o


NLECTC’s portal), NIJ’s web site (NIJ.gov), and the National Criminal Justice Reference Service portal (NCJRS.gov). However, this theme—along with other needs that call
for technologies or information that already exists—reflects needs that have been


nd complex operations in general.
recommendations. We see much of this as being a coordination effort building on resources already in existence or in process. We envision a major part of the dissemination strategy being identifying, refining, and di


ckle cross-agency radio communication interoperability.
– Extend systems that support database queries and reporting in the field.
– Develop systems that notify officers when inmates have been released (or other major
event involving persons under su


tion-sharing. These need to deal with numerous legal complexities, depending on the agencies (and levels of agen- cies involved)—for example, specific requirements to retrieve different types of data from the FBI, other federal agencies, or state gov


(EMS) RMS
EMS Mobile
Fire RMS
Emergency Operations Center (EOC)
Fire Mobile
Fusion Center
GIS/Automatic Vehicle Locator (AVL)
Law Enforcement RMS
Law Enforcement Mobile
License Plate Readers (LPR)
Next-Generation 911
RAND RR737-3.1
       Authorized


s:
– Develop standard common operational picture systems.
– Make more R&D investment in common operational picture systems. – Assess how to use new IT/maps/displays in COMPSTAT.
– Use IT for personnel deployment tracking and management.
– Provide in-


 communications with the public.
This theme includes police use of social media communications, as well as looking more broadly at how police might improve their communications with the public. The center is seeing increasing agency interest in, and


r cybersecurity.
Law enforcement’s use of technology has been challenged by civil and privacy rights con- cerns and objections and directly attacked by cybersecurity threats. There is an overarching need for greater development of standard policies a


mber of smaller agencies. There has also been an emergence of comparatively affordable RMS/CAD packages for smaller and disadvantaged agencies, with examples includ- ing systems both coded by agencies (or agency contractors) themselves and developed


 to intensive supervision. Less attention has been given to what, specifically, should be done with those resources.
Theme 10: Improved Major Event Response Technology
Contributing needs:
– Use deployable, wearable tracking systems (GPS) specifically


ects the conclusion of the NLECTC Information and Geospatial Technology Center’s needs assessment and strategic planning activities for NIJ. Criminal justice technol- ogy needs assessment for NIJ is being carried forward by a dedicated technology nee


entified above and actively maintain needs assessment. The road map has four main parts, corresponding to the three major thematic areas identified above and a list of next steps in technology needs assessment.
Part 1 concerns the dissemination of te


rns technology areas warranting additional RDT&E, as identified across the themes above. These include
• commonoperationalpictures/dashboards
• monitoring and supporting health, including both physical health and mental health
• practices and tools t


cture. This capability refers to underlying systems that are necessary for the overall functioning of criminal justice organizations. Infrastructure includes hardware, soft- ware, and networking systems that gather, store, share, and disseminate info


oviding a common operational picture to supervising and monitoring officials that presents context-appropriate information on crime events (and other incidents) and agency status to support command decisionmaking
• supporting agency operations person


heir ways of operating altogether.
Supply and Demand Analysis
Once this set of capabilities was developed, the center performed a series of searches to identify both current systems and recent NIJ awards supporting the capabilities and subcapabilitie


y are merely intended to reflect a reasonable reflection of what systems appear to be readily available (as of 2011, when the system review was performed) and what research topics NIJ has tended to fund.
We then performed a simple numerical compariso


ses to examine data from a single source
Tools and processes to examine data from multiple sources
IT for officer safety and health
Systems and processes to monitor officer health Systems and processes to monitor officer safety Tools for training
Vir


matic Review and Meta-Analysis,” Justice Quarterly, 2012, pp. 1–31.
Brown, Bernice B., Delphi Process: A Methodology Used for the Elicitation of Opinions of Experts, Santa Monica, Calif.: RAND Corporation, P-3925, 1968. As of November 13, 2014: http:


orts/RR467.html
Gonzales, Daniel R., Eric Landree, John S. Hollywood, Steve Berner, and Carolyn Wong, Navy/OSD Collaborative Review of Acquisition Policy for DoD C3I and Weapon Programs, Santa Monica, Calif.: RAND Corporation, DB-528-NAVY/OSD, 2007.


echnology Needs, Alexandria, Va., 2005.
International Association of Crime Analysts Standards, Methods, and Technology Committee, RMS Technical Requirements for Crime Analysis, Overland Park, Kan., SMT-2013-01, 2013.
Jackson, Brian, Victoria A. Green


ori, and John Boon, Jr., Exploring Information Superiority: A Methodology for Measuring the Quality of Information and Its Impact on Shared Awareness, Santa Monica, Calif.: RAND Corporation, MR-1467-OSD, 2004. As of November 13, 2014: http://www.rand


ohn S. Hollywood, Evaluation of National Institute of Justice–Funded Geospatial Software Tools: Technical and Utility Assessments to Improve Tool Development, Dissemination, and Usage, Santa Monica, Calif.: RAND Corporation, RR-418-NIJ, 2014. As of N


 Recommendations
for Improving the Recruiting and Hiring of Los Angeles Firefighters
Chaitra M. Hardison, Nelson Lim, Kirsten M. Keller, Jefferson P. Marquis, Leslie Adrienne Payne, Robert Bozick, Louis T. Mariano, Jacqueline A. Mauro, Lisa Miyashiro


tiveness and fairness. This report presents the results of that three- month effort. It reviews the city’s current hiring practices, outlines a new firefighter hiring process, and makes recommendations that are intended to increase efficiency of the


the Demographic Diversity of New Firefighter Hires. . . . . . . . . . . . . 4 Minimize Costs for the City of Los Angeles and Its Applicants . . . . . . . . . . . 5 StudyApproach.................................................................... 6 Dr


erarching Recommendations Targeting the Four Objectives . . . . . . . . . . . Start a New Citywide Outreach and Recruiting Campaign for
theLAFD.................................................................. Validate Selection Criteria by Establish


, In Which 3 Percent of
Each Sub-Population Is Selected. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
Summary
 In 2013, after a five-year hiring freeze, the City of Los Angeles resumed hiring new firefighters for the Los Angele


gned to
• Better understand firefighter recruiting and outreach efforts. We reviewed existing documentation on the city’s efforts and con- ducted interviews with members of the LAFD’s Recruit Services Section and other key stakeholders.
• Document an


 the city in 2013. These are provided in Chapter Three.
Statistical Analysis of the Selection Process
Using data from the 2013 cohort of applicants, we identified steps in the process (1) that eliminated a large proportion of the applicants and (2) t


be done by expand- ing the capabilities of the firefighter recruiting website (http://www. joinlafd.org/). For example, the website could be used to monitor trends in individuals who are interested in applying for firefighter posi-
Summary xv
xvi Imp


epartment cannot allow everyone to move through the selection process. Instead, the department uses a multiple- hurdle system in which only those who pass a given hurdle are allowed to continue on to the next step in the screening process. In 2013, t


This approach would help preserve the diversity of the initial applicant pool, and it could be used in combination with a careful, rigorous, and valid applicant screening process to ensure that only highly qualified candidates receive offers, con- s


identify viable and competitive applicants early in the process so as to improve efficiency and save resources for both the city and its applicants. The suggestions can also provide additional theoretical and empirical support for the reliability and


Vehicles
EMT emergency medical technician
IRB institutional review board
KSAO knowledge, skills, abilities, and other characteristics LAFD Los Angeles Fire Department
MMPI Minnesota Multiphasic Personality Inventory O*NET Occupational Information Net


 selection process. As a result, the work reflected in this report to support those recommendations had to be scoped to fit that time constraint.
RAND limited its approach to reviewing existing documentation on the current selection process and meeti


h objectives commonly espoused by many organizations and objectives commonly discussed at length in the research literature on personnel selection.
Introduction 3
4 Improving the Recruiting and Hiring of Los Angeles Firefighters
Identify Applicants M


diversity of our workforce?”
Minimize Costs for the City of Los Angeles3 and Its Applicants
Los Angeles, like virtually all other municipalities in the country, is looking for ways to minimize costs and streamline operations. But that objective can s


That is, changes to selection processes should not be implemented until they have been validated. Validation includes research showing that the selection prac- tices are effective at predicting important outcomes. Validation may also include systemat


ed to measure constructs related to work behavior with a focus on the accuracy of the inferences that underlie employment decisions” (p. 1).
5 For examples of the past work of some of our authors see: Lim et al., 2009; Lim, Haddad, and Daugherty, 201


better understand stakeholders’ views on the key goals for the fire- fighter selection process, we conducted exploratory interviews with key stakeholders listed in Table 1.1.6 These interviews were largely unstruc- tured and intended to confirm the


nationwide and the Occupational Information Net- work (O*NET), an online resource provided by the U.S. Department of Labor Employment and Training Administration.7 Second, we reviewed an unpublished 1994 job analysis study conducted by the Los Angel


demographic diversity of the candidate pool entering into the selection process. In this chapter, we present a model for applying these issues to the recruit- ing context. We then summarize the firefighter recruiting process as it existed at the star


ass and staffed by three individuals: a captain first class, a captain second class, and a civilian clerk. Their outreach and recruitment responsibilities entail attending job fairs, conducting school visitations, and attending com- munity events. Re


argue that people who volunteer for or apply to these programs are already sold on the merits of a career in the LAFD. Thus a starker challenge is finding ways to use the programs to reach highly qualified minority groups that will actu- ally apply t


l is possible with a long- term outreach and recruitment campaign.
The Emphasis Should Be on Finding Highly Qualified Candidates, Not Merely on Increasing the Quantity of Candidates
One goal of outreach and recruiting efforts is to increase the numbe


population. For these reasons, a better comparison group might be one that included other populations from nearby counties and that was restricted to only those meeting at least the minimum entry qualifications.
 !
20 Improving the Recruiting and Hir


2 if they were still interested, and about 12,000 did so.
Step 1: Preliminary Background Application
In the first step, starting in January 2013 for the most recent cycle, applicants completed the preliminary background application. This was an onlin


 score the test, among other expenses.
2 This is accomplished by examining disparate impact ratios for each minority group and picking a minimum test score that tends to improve those ratios. Disparate impact ratios are explained in Chapter Four. Pro


ouse physical abil- ity test, but the LAFD argued that it was not sufficiently rigorous or closely related to firefighting. That test was developed by research psy- chologists and consisted of exercises such as side steps, step tests, and leg lifts.


un by a fire captain and an interview specialist. The interview specialists—typically retired city workers with experi- ence in human resources—were hired temporarily by the Personnel Department to conduct the firefighter hiring interviews. The fire


ghout the civil service examination system and is defined in the City of Los Ange- les Charter and Civil Service Rules (see Appendix A). If too few can- didates score 95 or above, the Personnel Department can add lower-
8 Scores can go as high as 105


orm and then sat with an investigator for 40 minutes to go over their answers. Any illegal or otherwise concerning activities had to be explained in detail, but there were no disqualifying answers.
The investigator then made a recommendation in the c


tisfactory” for each candidate. For each of the six background standards listed above, the rating sheet provided examples of behavior (anchors) to help reviewers judge a candidate’s suitability and asked reviewers to provide brief but specific commen


g procedures to address this (e.g., by adding a third rater in cases where there are dis- crepancies, if this process is continued.
 plexity of the investigation. Background investigators summarized the information they found and made recommendations


t could correct a health problem (e.g., have surgery to address a vision impairment, lose weight). In addition, the process could also take a long time as some candidates were required to collect various medical charts or complete a variety of psycho


ever, for the results presented in this chapter, we are concerned only with those steps that involve an explicit decision point (i.e., continue on in the process or reject). As such, in this chapter, some intermediary steps are combined and reported


t data on 2013 LAFD firefighter applications.
NOTES: Percentage is calculated as the number of people who passed the hurdle divided by the number who passed the prior
      (75%)
(62%)
(66%)
19 6 (58%)
19
      (46%)
566 (59%) (17%)
(69%)
(73%)
(95%)


ratios of each pro- tected group to the selection ratio of the other groups. In Table 4.2, this is calculated as:
(p) MINORITYk / (p) MAJORITYk
where (p) MINORITYk is the proportion (p) of the minority group
(MINORITY) passing step k (where k = 1...n


cant pools. If the applicant pools for each race and gender in the 2013 data are, for some reason, not representative of applicant pools that would occur in the future, Type I errors—or incorrectly concluding that there would be disparate impact in t


ited to take the written test failed to do so. There were some differ- ences across race groups in rates of who showed up (e.g., black appli- cants showed up at lower rates than other groups), but the differences did not violate the 80% rule. Instead


nuary 1, 2013–April 21, 2013
Impact Ratio
SOURCE: California Fire Fighter Joint Apprentice Committee.
* Indicates that the proportion passing is statistically different from the comparison group at p < 0.05.
  Hispanic v. white
 0.98
Black v. white
0


in the Prin- ciples (2003) and the Standards (2014) but also by the vast literature of applied and scientific research on the validity of tests in employment contexts, successful approaches to increasing diversity, recruiting best- practices, and fi


well- established requirement for supporting legal defensibility of a selection practice (e.g., see the Equal Employment Opportunity Commission’s Uniform Guidelines, 1978) and considered a best-practice in personnel selection (see the Standards and t


rinciples.
Recommendations 47
 48 Improving the Recruiting and Hiring of Los Angeles Firefighters
be used as the basis for defining the different elements of the selection system to ensure that the most important KSAOs needed to succeed as a firefigh


on- nel Department needs to process and the efficiency of the process itself. Therefore, the city can minimize costs by identifying viable applicants early in the process and reducing duplicative steps in the selection pro- cess. In our review of the


expenditure of even more resources.
It could be useful to expand recruiting efforts to Los Angeles County and beyond,
engaging in targeted recruiting is generally considered a good approach for organizations that want to boost minority representation


than simply direct interested people to the city’s website or pass out fliers. This training could include providing clear guidelines on how firefighters should describe the minimum qualifications and what advice the firefighters could give to help p


above, clear descriptions of selection criteria will effectively manage applicants’ expectations, provide transparency in how the selection process operates, and promote public trust in the fairness12 and effec- tiveness of the process (see Truxillo


or.
13 Providing accurate information summarizing the qualifications of people selected for training and those who graduate, and explaining how these qualifications relate to firefighter job performance could help provide applicants the chance to bet


uring good prediction of perfor- mance on the job or in training may be very important. Similarly, practices that do not show disparate impact should still be validated,
15 For example, rater training and highly structured scoring rubrics are recomme


manageable size. In doing so, the city should pay particular attention to disparate impact (i.e., whether these processes affect the diversity of the applicant pool) and the validity of the tool and the minimums used in that winnowing.
In the 2013 hi


. As a result, aptitude testing is a commonly used element in many large-scale selection efforts, including in firefighting contexts (see Appendix C for discussion of aptitude tests used by other fire departments).
However, employers and researchers


ch as success in job-related training). In other words, the Per- sonnel Department could—if it had such evidence in support of the written test—select people in order of their scores to reduce the appli- cant pool to a manageable level. This is known


aversion might be relevant in firefighter contexts, but validation evidence would be needed to support that hypothesis.
22 Aptitude tests have been repeatedly shown to have disparate impact in many other employment settings (see, for example, Roth et


did not inquire as to whether this included stratified random sampling or merely simple random sampling.
27 It is worth noting that these anecdotes were from decades ago when the political and legal terrain was materially distinct. It is possible tha


ratified sampling approach may lead some applicants to believe that they can game the system by falsely reporting they are a member of a particular racial group.
 Take Care in Determining the Size of the Pool That Continues
Because the overall select


reated unfairly during the selection process or believe they were not selected because of some bias in the system will help build trust in the firefighter hiring process and minimize chances for costly litiga- tions. This is particularly relevant in


the Standards, pp. 56–57).
Increase Electronic Documentation and Use of Online Technology During the Selection Process
Improvements in recordkeeping technology could offer several ben- efits. Electronic documentation would allow for quick submission


p with the information obtained during the background investigation steps.
At present, it appears that there is significant overlap in several steps of the process. Interview specialists interview candidates about the information in their PIQ and PHF


d methods used are well supported in the exist- ing literature on best practices for personnel selection (including the use of an aptitude test, a structured interview, and background checks). However, reliance on research conducted in other contexts


nvestigative Questionnaire
Step 7: Initial Panel Review
Step 8: Field Investigation
Step 9: Final Panel Review
Step 10: Medical and Psychological Exams Certification
Suggested Alternative
Step 1: Expanded Online Application
Step 2: Physical Prescreen


ess and used to prescreen personnel for later steps. Doing so would require automation of the process, however, as reviewing these docu- ments manually is labor-intensive.
Inform Applicants Who Do Not Qualify
The online application system should be p


the Personnel Department should consider the following elements:
• Test content: the extent to which the test measures content rel- evant to the knowledge, skills, and abilities needed to be a fire- fighter
Recommendations 71
72
Improving the Recruit


ly applicants who pass the written test would move on to take the full CPAT.
The pretest could require applicants to complete Event 7 of CPAT, the rescue/dummy drag, which requires candidates wearing a 50-pound vest to drag a 165-pound dummy for 70 f


 Three Steps
To streamline the process, we recommend that the oral interview and the background interview and field investigations be conducted at the same time, and that a team of two city representatives as evaluators be assigned to each candidate


acy of scoring.
As another example of how the interview process could be further standardized, the Personnel Department can implement a procedure that requires each interviewer to independently rate the applicant, and to save and record those scores.


during these pro- cesses were developed by the Personnel Department in 2012. They are listed in Table 5.2.
The interview factors were developed to align with the areas defined in the most recent job analysis. These should be compared to those used in


s as one of the most important characteristics of a good firefighter. This is not currently measured in the selection process, but it could be explicitly addressed in the interview.
Suggested Changes to Step 7: Initial Panel Review and Step 9: Final


mportant job out- come) from the ones less likely to be successful. The more valid a tool, the fewer mistakes it makes when making that distinction. The more valid a tool, the better it is at identifying who would succeed on the job.
1 Any point in a


t to the job, such as training success, job performance, or injuries) and content (how well independent expert judges agree about the tool’s content alignment with the factors identified in the job analysis). Examination of predic- tive validation ev


are shaped, in part, by their views on how well the personnel appear to represent the members and interests of the people within that community. When an organization appears less diverse than the community it serves (or the number of visible person-


he Initial Panel Review, the Final Panel Review, and oral interviews—these are additional responsibilities for firefighters who are often already working overtime. The Person- nel Department, likewise, must dedicate its own staff outside normal hours


l evi- dence, one of which is known as the 4/5ths rule (or the 80% rule).5
3 Examining the effects of those courses on applicant interview scores would be one way to determine if the courses offer an unfair advantage. If the courses falsely inflate s


 not be legally defensible.
Logistics and Timing
Efficient timing of selection procedures and their appropriate phasing in the process are additional factors to consider. For example, inter- views, field investigations, medical examinations, and psyc


ough candidates with the top three whole scores, the city can certify candidates further down the list until there are five more certified candidates than there are open- ings. All of the other selection steps except the interviews are treated as pas


challenged in court, because such information can enable an employer to demonstrate that a particular test or assessment method does not unlawfully discriminate on the basis of race, color, religion, sex, and national origin. For example, if a test o


of the selection system. We accomplished this by (1) reviewing a broad range of literature on firefighter job requirements, including online firefighter job descrip- tions from a variety of fire departments nationwide and the Occu- pational Informati


nd Carries the Following Equipment WITHOUT Assistance
• All three focus groups suggested adding the “jaws of life.”
• One focus group mentioned adding the equipment for vertical ventilation, which includes simultaneously carrying chains and a sprinkl


ief. Firefighters must have a good understanding of the vocabulary of roof ventilation operations (what is a “pull back” or a “strip”) to cut a hole to clear the smoke and heated gases. They must also be prepared to listen to the radio, take in the c


o low of a weight limit for objects firefighters are expected to carry without assistance during salvage, overhaul, and cleanup operations, suggesting that 150 lbs. is closer to reality. The other focus group felt that once extinguished, the weight o


 considering the other critical and demanding job expectations.
• All three focus groups felt it was important to remind firefighters that as public servants, community relations are an ongoing responsibility that occurs both on and off the job.
Part


ontent, particularly, the extent to which the test was based on information from a job analysis
• Validity and reliability: the extent to which there is research evi- dence for the validity and reliability of the tests (i.e., the relation- ship betwe


 a human relations video test.
• Ergometrics also provides dimensional scores on the following candidate tendencies: abrasiveness, causes tension, authoritar- ian, inconsiderate, low tolerance, passive, self-focused, work avoidance, supervisor relati


level.
Outsourcing the Written Test for Entry-Level Firefighters 103
Table C.2
CWH Management Solutions
Additional Information: The test is called the Next Generation Written Test.
      Test • development
• 84 job experts from 30 different departmen


no mechanical aptitude testing).
• The exam was based on extensive job analyses conducted on entry-level positions throughout the nation; additionally, I/O Solutions reviewed past job analyses from fire departments in 13 different states.
• The job a


icants. The size of the sample would be determined to coincide with a reasonable number that the system can accommodate. The diversity of the sample would reflect the diversity of the pool of applicants. That is, the expected proportion of such a sam


dom Sampling 107
Figure D.1
Probability Intervals for the Percentage of Whites in a Random Sample from an Applicant Pool That Is 50.34 Percent White
       Percentage of non-Hispanic white sampled
50
45
RAND RR687-D.1
50% probability interval 80% pro


ppendix, we describe the statistical approach known as strat- ified random sampling and the mathematics associated with it. For illustration purposes, we offer an example using a population similar to that involved in the firefighter context. However


mple would also be 50 percent white.3
Stratified Sampling Formulas Illustrated with an Example
Suppose the sampling frame (or the group from which people will be sampled) consists of 10,000 members, each of which belongs to one of three strata, such


Improving the Recruiting and Hiring of Los Angeles Firefighters
sampling frame. Since the strata are mutually exclusive, the individual strata sizes sum to N, i.e., ∑G Ng = N , and each stratum represents
Ng g=1
N of the total sampling frame. Further


termined by dividing the remain- ing fraction after rounding by the number left to allocate.5 Such an allocation procedure would preserve the characteristic that everyone in the sampling frame has an equal probability of selection (feature 3 above).


goal of ensuring that distribution of race/ethnicity in the sample does not deviate from the distribution in the sampling frame because of chance alone, as would be the case for simple random sampling explained in Appendix D) would not be fully achie


rsonnel Management, Vol. 42, No. 2, 2013, pp. 151–190.
Brannick, Michael T., Edward L. Levine, and Frederick P. Morgeson, Job and Work Analysis: Methods, Research, and Applications for Human Resource Management, Thousand Oaks, Calif.: Sage Publicatio


 Hoboken, N.J.: John Wiley & Sons, 2004.
Haddad, Abigail, Kate Giglio, Kirsten Keller, and Nelson Lim, Increasing Organizational Diversity in 21st-Century Policing: Lessons from the U. S. Military, Santa Monica, Calif.: RAND Corporation, OP-385 (from


rsity and Inclusion Strategic Plan: A Framework for Change Through Accountability, Santa Monica, Calif.: RAND Corporation, RR-333-OSD, 2013. As of November 17, 2014: http://www.rand.org/pubs/research_reports/RR333.html
Lim, Nelson, Carl F. Matthies,


mayor-eric-garcetti-stops-los-angeles-fire-department-recruiting-hiring
Peresie, Jennifer L. “Toward a Coherent Test for Disparate Impact Discrimination,” Indiana Law Journal, Vol. 84, No. 3, 2009, p. 1.
Ployhart, Robert E., and Brian C. Holtz. “The


 Corporation, RR-471-AF, 2014. As of December 2014: http://www.rand.org/pubs/research_reports/RR471.html
Smither, James W., Richard R. Reilly, Roger E. Millsap, Kenneth Pearlman, and Ronald W. Stoffey, “Applicant Reactions to Selection Procedures,” P


  CORPORATION
Home Health Care
for California’s Injured
Workers
Options for Implementing a Fee Schedule Barbara O. Wynn, Anne Boustead
Supported by the California Department of Industrial Relations/Division of Workers’ Compensation
For more informati


 in the report are those of the authors and do not necessarily reflect those of the sponsor.
RAND Center for Health and Safety in the Workplace
The RAND Center for Health and Safety in the Workplace is dedicated to reducing workplace injuries and ill


e schedule for home health services covers only home health services provided when a homebound individual needs intermittent or part-time skilled care. To date, DWC has not implemented a Medicare-based fee schedule for home health services. Section 7


ividual who would otherwise require residential care to remain at home.
DWC asked RAND for technical assistance in developing the OMFS for home health care services. We first consulted with stakeholders in the California WC system to outline key conc


commodating an injured worker’s preference for caregivers, and obtaining reasonable compensation for family caregivers.
Findings from Review of Other Fee Schedules
We found that neither the Medicare fee schedule nor the IHSS fee schedule would be suf


. In each of these areas, we reviewed the suitability of the IHSS policies and investigated the policies under other programs
xiii
that cover long-term supportive services: Medi-Cal, Veterans Affairs, the Office of Workers’ Compensation Program (OWCP


e amount of services that can be provided to an individual: 195 hours per month for non–severely impaired and 283 hours for severely impaired cases. These limits are budget driven and would result in unmet need for some injured workers. Other public


rather uses 15-minute time increments to pay for skilled services. When converted to an estimated per visit rate, the amounts are higher than what would be paid based on 120 percent of the Medicare fee schedule for skilled home health care. In contr


 and oversight.
Recommendations
The task that DWC faces in establishing a fee schedule for home health services that meets the requirements imposed by the Labor Code is difficult. Weaving multiple fee schedules into a single integrated fee schedule i


eeded services.
e. Assume that the IHSS restriction on services provided by spouses or other family members would be a simple but effective way to address the requirement that family members do not receive payment for services customarily performed p


Medicare payment system for the same class of services. Arguably, the DWC might conclude that this provides sufficient authority to adopt the OWCP fee schedule with appropriate modifications to keep within the 120 percent limitation on aggregate fee


tion coverage by purchasing WC insurance from commercial insurance companies or from the California State Compensation Fund (a public nonprofit carrier) or by setting up a self-insured employer fund. In 2012, an estimated 14 million workers in Califo


on the regulations adopted pursuant to Article 7 (commencing with Section 12300) of Chapter 3 of Part 3 of Division 9 of the Welfare and Institutions Code.”2 These regulations pertain to assistance with in-home supportive services (IHSS) provided to


ds assessment and no standard assessment form.
Most programs covering home health services provide coverage for skilled services, such as skilled nursing care and therapy services. Skilled nursing care includes activities that require trained judgmen


features of existing fee schedules for home care services, including Medicare, other WC, and CAL. WIC. CODE § 12300 might serve as a model for the OMFS, keeping in mind the statutory directives to base the schedules on Medicare and IHSS, respectively


er, these sources of information clarify the issues facing DWC, develop a range of possible alternatives that DWC could use to address these issues, and provide insight into the strengths and weaknesses of each alternative.
We found that we were unab


) and One Call Care Management Company to obtain an understanding of the relative importance of the different types of services provided by home health providers (Table 2.1). Starting in mid- 2012, the WCIRB has collected encounter-level medical data


ted before the passage of SB 863. They were asked to identify what problems they had seen regarding both the payment for these services and current policies that regulate the provision of home health care, what they perceive as the potential intended


scribed protective supervision as the level of care that would be required for a nine-year-old child. While the individual under protective supervision would generally be able to care for him- or herself, the presence of a responsible adult would be


ing care to injured workers are usually not seeking to make a profit, and the worker is generally reimbursed between $10–25 per hour for this care.
One applicants’ attorney we interviewed was adamant that family members should be paid based on the ty


hat they are qualified to provide that level of care.
Relatedly, some payers are concerned that family members may not be capable of providing the level of care they are often asked to provide. Several discussed the strain on both injured workers and


successfully implement an OMFS for home health care, DWC will have to find satisfactory answers to these four questions.
Table 2.2 contains a list of the considerations that DWC may wish to address during the rulemaking process, as identified both by


ed by Medicare fee schedules. Thus, it is important to understand both the nature of home health care services covered by the Medicare program and how its fee schedule rates are established.
Medicare is a federally funded health insurance program ava


pathology services, certified occupational therapy, and medical social services.5 When a Medicare beneficiary qualifies for home health care coverage by needing skilled care on an intermittent, part-time basis, Medicare will also cover limited person


es and California Medicaid-licensed home health agencies are required to meet the Medicare conditions of participation. One requirement is that they perform a comprehensive assessment of all patients at the start of care, other than patients who need


nctional severity, and therapy service needs defined by 153 home health resource groups (HRRGs) based on the information reported through OASIS and for wage variation across geographic areas. The case-mix adjustment is determined through a comprehens


tate the resources required for postsurgical rehabilitation care relative to those required for WC patients with serious disabilities. Because the 60-day episodes are based only on Medicare patients who need part-time or intermittent skilled care, th


ranges from 19 percent for skilled nursing visits to 33 percent for physical therapy. This suggests that even with a 1.2 multiplier to the Medicare per visit rates, the allowances would not be sufficient to cover the estimated cost of an average vis


ractors (MACs) who specialize in home health services. As with other services, the MACs monitor utilization patterns to identify providers with aberrant patterns for possible fraud and abuse. Medicare also contracts with Zone Program Integrity Contra


red. Given the gap between the estimated average cost per visit and the payment rate for the visits, however, allowances set at 1.2 times the Medicare per visit rates are unlikely to be sufficient to cover the cost of care. Most importantly, however,


 hospice setting, each 15 minutes.
G0155 Services of clinical social worker under home health plan of care, each 15 minutes. G0156 Services of home health aide under home health plan of care, each 15 minutes.
23
   Medical social services Home health