2Psychology Graduate and Alumni of the University of Salford, Salford, England
Keywords: Fetal Alcohol Syndrome; Criminal justice system; FASD; FAS; Judges; Prosecutors; Court; Sentencing
It has been estimated that individuals affected by FASD are between 19 and 40 times more likely to become involved in the Criminal Justice System [4]. This can create a number of unique challenges and difficulties, for criminal justice professionals, given the nature of the disorder [5]. Lack of adequate executive functioning e.g. understanding the consequences of inappropriate behaviors, and poor impulse control are often the primary reasons that bring individuals with FASD in contact with the Criminal Justice System [6,7]. Such behavioral problems can present as unintentional rule breaking, confabulation and inappropriate sexual behavior. The latter becomes particularly evident during adolescence as the gap between cognitive and chronological age in these subjects increases [2]. Furthermore, lack of understanding and appreciation of legal rights poses additional challenges to individuals with FASD. Fetal alcohol spectrum disorders are shown to cause poor linguistic and communication abilities, both from the expressive standpoint and the receptive one. In other words, individuals affected by FASD experience difficulties understanding and forming coherent communication patterns [8]. Consequently, such individuals may be more easily coerced into improper interrogation procedures which can ultimately result in improperly obtained confessions, on the part of the police, due to the suggestibility of FASD affected individuals [9]. FASD also affects an area of experiential learning defined as adaptive functioning. This concept refers to the ability to learn to adapt behavior based on previous experiences. Impaired adaptive functioning also causes these individuals to experience difficulties with self-regulation and impulse control in an unstructured environment e.g. their wider social environment. It is, in fact, very common for an individual with FASD to re-offend and be arrested on multiple occasions due to the inability to make proper associations between actions and their resulting outcomes [10,11]. Another important aspect of FASD, of relevance to the Criminal Justice System, is the subject of confabulation. As defined in [2], confabulation is the act of honestly lying or providing information based on inaccurate memories. Confabulation in individuals affected by FASD often results in incorrect testimonies and wrongful conviction and incarceration [2]. Thus, the Criminal Justice System must play a very important role; deficits associated with FASD, that are often the cause of criminal conduct, must be considered to ensure appropriate sentencing on the part of Criminal Justice professionals [11]. However, findings by [12] highlight the lack of knowledge and awareness on the part of professionals, working within the Criminal Justice System, about FASD and the behaviors associated to it. As a consequence, individuals with FASD tend to be over represented in the criminal population [13].
Although mental ill health is widely acknowledged to be a problem in modern society, research findings in this area indicate that the Criminal Justice System is presented with a number of challenges with regard to the identification of mental health disorders. Offenders, in fact, have been shown to have higher rates of mental health disorders than the general community and that such disorders are often not properly identified during the criminal justice processes [14]. Furthermore, findings have highlighted that prevalence of mental ill health is even higher in offenders remanded prior to trial [14-16]. Research has also been commissioned in order to assess the level of screening and the instruments used across jurisdictions by criminal justice agencies. The results suggest that, although assessments occur in all jurisdictions and sectors, there is very little consistency with regard to the manner in which offenders are assessed [14]. Studies over the last two decades have shown that individuals with FASD have Neuro developmental impairments that increase the risk of criminal and antisocial behaviors. As a consequence, it is generally accepted that these individuals are likely to represent an increasingly sizable minority within the criminal Justice System [16]. In many cases, identification of FASD can present a number of challenges due to the lack of the characteristic facial features e.g. small eye openings, a thin upper lip and flat philtrum (the area between the upper lip and the nose). Such features, in fact, are normally only associated with the most severe form of Prenatal Alcohol Exposure (PAE) known as Fetal Alcohol Syndrome or FAS [2]. In addition, it is not uncommon for these features to lose their distinctiveness and attenuate, even in cases of full FAS, as the individual grows older [2]. Research shows that Alcohol-Related Neuro Developmental Disorder (ARND), a subset of FASD, is the most common outcome of prenatal exposure to alcohol [16]. In this population, secondary disabilities, that is to say behavioral manifestations of the Neuro developmental disorder, are often mistaken for intentional criminal and antisocial conduct. These individuals may present as showing no remorse and are unengaged with regard to interrogations and criminal justice proceedings [16]. Individuals with ARND, in fact, do not show any of the physical characteristics that could allow an easier recognition of a disorder associated with prenatal alcohol exposure [5]. Further diagnostic and identification difficulties are associated to the challenges relative to obtaining an accurate history. Current diagnostic criteria preclude the possibility of a diagnosis of ARND if evidence of maternal alcohol abuse during pregnancy is not provided [11].
If FASD is not identified, behaviors such as showing no interest in severity of charges and showing incongruence between affect and gravity of the situation will cause a defendant to present poorly to the judge, prosecutor or probation officer. This, in turn, may result in the defendant presenting as having no mitigating circumstances during sentencing [17]. Despite the fact that a diagnosis of FASD and the resulting cognitive deficits are likely to have been directly relevant to offence conduct and to post-arrest competency, screening for Prenatal Alcohol Exposure (PAE) by criminal justice agencies remains relatively rare [17]. Adult diagnostic and assessment services for FASD remain relatively few worldwide despite four decades of relevant work in this area. There seems to be a general lack of common assessment frameworks specific to adults, which are culturally appropriate and applicable to a more widely diverse population in a range of different settings [18].
Within correctional settings, screening in order to detect FASD is frequently lacking [6,19,20]. Studies indicate that many professionals working in the criminal justice system do not have sufficient understanding and training relating to FASD [15,21- 23]. Epidemiological studies estimate the prevalence of FASD in the United States to be between 1% and 5% of the population [24]. Overall, it has been highlighted that there is currently an 'invisible problem plaguing the criminal justice system' [2]. Despite an increasing recognition of FASD within the criminal justice system, it is still concerning that in a review of cases on the Legal Issues Resource Center website (http://depts.washington. edu/fadu/legalissues)maintained by the Fetal Alcohol and Drug Unit at the University of Washington only just over 100 cases in the United States over the past two decades have raised FASD as a defense issue indicating that many individuals go undetected in the criminal justice process [3]. This systematic PRISMA review will explore studies which have investigated FASDs in the criminal justice system. To the authors knowledge, this is the first systematic review to investigate specifically studies which have adopted an experimental design (for instance, used an incarcerated sample to investigate the prevalence of FASD) to investigating FASD in relation to some aspect of the criminal justice system.
The search included all publications published between 1997 and 2015. Duplicates were excluded prior to the retrieval of references. Searches on all five databases were originally conducted on the 22nd September 2015. The following search criteria were entered into the five databases:
Title (TI) "Fetal Alcohol Spectrum Disorder*" OR FASD OR FAS OR "Fetal Alcohol Syndrome*" OR FAE OR "Fetal Alcohol Effect*" OR "Alcohol-Related Neuro Developmental Disorder" OR ARND OR "Alcohol-Related Birth Defects" OR ARBD OR "Fetal Alcohol Spectrum Disorder*" OR "Fetal Alcohol Syndrome*" OR "Fetal Alcohol Effect*" AND Title (TI) "criminal justice system" OR offend* OR crim* OR prison*. The search returned: 21. After duplicates were removed there were 14 Fetal is used here as it is the American spelling of the word fetal.
In addition to these database searches, numerous permutations of FASD and other search terms relating to offender populations and the criminal justice system were entered into Google Scholar and thoroughly searched for articles which were not identified through the database searches, for instance, "fetal alcohol syndrome" AND "criminal justice system"; "fetal alcohol syndrome" AND offending, FAS AND "offending", FAS AND "criminal justice system", etc. The reference section was carefully examined for potential relevant studies in each relevant systematic review, literature review or commentary paper. A number of references contained in the papers identified as relevant from the database searches were also examined for possible inclusion in this review. Both authors (CSA and PG) screened the papers for possible inclusion in the review. Given the relatively little research in this area it was decided that this review would be more inclusion than exclusion.
1. Human study population
2. Investigated FASDs in the criminal justice system
3.2 Exclusion criteria
1. Paper not published in English
2. Dissertations
3. Book reviews
4. Review papers (however, as mentioned above, review papers were screened, including reference section, for articles which meet the inclusion criteria for this review).
• Did not include an investigation of FASD (FAS, ARND, etc) in offender populations or relation to some aspect of the criminal justice system (e.g., judges understanding of FASD in the court process).
• Were book reviews, books, dissertations, commentary papers or review papers.
• For the next stage papers were going to be rejected which:
• Were commentary papers or reviews (not clear from reading the abstract alone).
Lastly, review papers and book chapters which were clearly reviews were excluded and if they were relevant they are covered in the introduction and discussion section. In particular, those reviews or commentary papers which outlined some clinical recommendations are covered in the discussion section under the section clinical recommendations. They were not experimental studies specifically investigating FASD in relation to the criminal justice system so were not included in the result sections of this review which is focused on studies which have been conducted within the field of FASD in the criminal justice system. Full documents were obtained for the remaining records.
Three programs conducted in the United States which screen for FASD in juvenile offenders and then diagnosed and implemented appropriate interventions are discussed by Bisgard, et al. [27]. The three programs administered an adaptation of the screening tool which was developed by an Expert Panel on FASD Screening in Juvenile Courts. The first program to be covered here is the one carried out by The Juvenile Delinquency Court of the Seventeenth Judicial District of Colorado which screened 718 delinquent youth for FASD in August 2010. Positive screening results for prenatal alcohol exposure was found in 183 (25%) of the total screened. Seventy-nine (43%) completed the full FASD diagnostic evaluation. Forty of these (50%) received a diagnosis of FASD and they received services and planning following the recommendations from the diagnostic evaluation for FASD. Importantly, none of the clients refused interventions following a diagnosis. In the second program, conducted at the juvenile justice systems in Hennepin County, Minnesota, screening for prenatal alcohol exposure in the Juvenile Justice system from August 2008 through September 2010, 148 adjudicated youths were screened for Fetal Alcohol Spectrum Disorder (FASD). Out of the 148, 60 (41%) were screened positive for prenatal alcohol exposure. Full FASD diagnostic evaluations were completed on 48 (80%) youths. Forty-six (96%) received a diagnosis of FASD. Thirty-five (76%) of the youths received services and planning following recommendations from the FASD diagnostic evaluation. A total of 11 clients (24%) refused interventions following their diagnosis. The third program involved three organizations in Lucas County, Ohio. Initial screening indicated that the estimated generalized total incidence of FASD was 51 (66%) out of 77 youth placed at a Youth Training Center (YTC) in the 24 month period and for 42 of those youth who remained residents at the YTC 71% received positive screening results for FASD [21]. Overall, these findings highlight that the raising of awareness and the identification of youths with FASD who become involved in the juvenile courts is crucial [27].
Burd and colleagues, [12] conducted a study which involved each province's or territory's corrections system in Canada to complete a questionnaire on the demographics of the population and services in relation to FAS. Eleven of the thirteen provinces or territories invited to participate took part which resulted in a total population of offenders of 148,797. Based on the total population, a reported diagnosis of FAS was identified in only 13 inmates who indicate a prevalence rate of 0.087 per 1,000 populations. The correction system in the Yukon Territory estimated that 2.6% of offenders had FAS [13]. In their comprehensive study in the United States, Burd and colleagues, [28] had each state and four major cities' corrections systems complete a questionnaire which explored a variety of areas including: the prevalence of FAS and ARND in the offender population, availability of screening and diagnostic services to detect offenders with FAS and staff training needs in relation to FAS. In the 54 entities, the total population comprised of 3, 080, 904 inmates. Burd and colleagues, [28] estimate the potential prevalence of cases of undiagnosed FAS and partial FAS (pFAS) in the United States corrections system population may range from somewhere between 1,540 and 28,036 [28]. These low estimates of the prevalence of undiagnosed FAS and pFAS compared to the much higher rate identified through deliberate screening of inmates emphasis the invisible 'hidden nature' of the FASD. Burd and colleagues, [28] survey of services for FAS and ARND in the corrections system indicates that identification of expected cases of FAS or ARND is lower than 1%. The reported staff training needs were substantial. This survey draws attention to the "high unmet needs to screen, identify, and treat offenders with FAS and ARND" in correction systems. Burd and colleagues, [28] further stress the invisibility of this disorder but highlight that the facial features which are characteristic of FAS are frequently not exhibited in many individuals with a diagnosis of FASD [28].
Lastly, Rojas and Gretton, [29] investigated the background, offence characteristics, and criminal outcomes of Aboriginal (n = 102) and non-Aboriginal (n = 257) youths (aged between 12 and 18 years) who engaged in sexual offending behavior and were ordered to attend the Youth Sexual Offence Treatment Programme (YSOTP) located either in Burnaby or Prince George, in British Columbia between 1985 and 2004. Aboriginal youths were nearly seven times more likely than non-Aboriginal youths to exhibit evidence of FASD (27% versus 4%, respectively) [29].
Streissguth and colleagues, [35] examined a group of 415 individuals (median age 14 years, range 6–51; median IQ 86, range 29–126) with FAS and FAE. Using the Life History Interview with knowledgeable informants, Streissguth and colleagues, [35] investigated five adverse outcomes and 18 related risk/ protective factors. Trouble with the law was found in 67% of the adolescents and 87% of the adults. Additionally, 35% of the adolescents and adults had been in prison. They also found that, compared to an individual with full FAS, brain function may actually be more impaired in an individual with an FASD who fails to meet the diagnostic criteria for the more recognizable full FAS. Findings revealed that 80% of the 415 individuals were brought up by someone other than their biological mothers. The life span prevalence for both adolescents and adults for 'Disrupted School Experiences' was 61%, 60% for 'Trouble with the Law, 50% for 'Confinement' (in detention, jail, prison, or a psychiatric or alcohol/drug inpatient setting), 49% for multiple instances of 'Inappropriate Sexual Behaviors' and 35% for 'Alcohol/Drug Problems'. The clinical importance of identifying FAS or FAE as early as possible is emphasised by the findings that receiving the diagnosis of FAS or FAE at an earlier age and by being raised within a supportive and stable environment increases the odds of avoiding these adverse life outcomes by 2-4 fold [35].
Lastly, Corrado and McCuish, [37] investigated the developmental and offending outcome differences between incarcerated Canadian FASD (n = 58) and non-FASD (n = 456) youth. They found that the incarcerated youth with FASD were more likely to have numerous experiences which are considered to be risk factors for offending. Such criminogenic factors included: placement in foster care, presence of a co morbid behavioral disorder, low levels of self-control, a negative self-identity, and an earlier onset of alcohol use. Interestingly, when other criminogenic factors were accounted for (such as placement in foster care), FASD was not found to be associated with early onset and frequent offending. The key findings was that FASD youth were only at risk of early and frequent offending if they first had experienced other negative outcomes. The researchers emphasize that this is positive in that it highlights that intervention programmers focused on targeting the criminogenic risks factors is the key to prevention of offending in youth with FASD [37].
Another study involved a small pilot study conducted in the United States which investigated the role of suggestibility as a psychological vulnerability in defendants with FASD who were involved in a pre-trial or post-conviction adjudication process. Brown, et al. [39] pilot study consisted of seven adults who were referred for multidisciplinary assessment by experts on FASD by counsel. All seven participants were male and ages ranged from 17 to 53 years of age, average age 29 years (African American, n = 4 and Caucasian, n = 3). Following the multidisciplinary assessment, only one of the seven participants received a diagnosis of full FAS. The remaining six participants received a diagnosis of Partial FAS. Wide variation in intellectual functioning (measured using full scale IQS) was found in the group (ranging from 61 to 112, mean = 83, SD = 17). The Gudjonsson Suggestibility Scale 2, GSS2 was used, rather than the GSS1, as it is commonly used with individuals with intellectual impairments. Findings indicate that in interrogative situations/ contexts, individuals with FASD may be highly suggestible [39]. While an important contribution to the relatively small field, it is necessary when interpreting the findings from this study that the significant methodological limitations of the study (e.g., small sample size and the lack of comparison group) is taken into consideration.
Studies identified in this review indicate that FASD is not being identified in individuals involved in the criminal justice system. The findings of only one offender reported as having a diagnosis of FAS from a total surveyed 3.08 million offenders in the United States really highlights this [28]. A number of areas were found to be lacking, including: infrastructure capacity, staff awareness and access to screening and diagnostic services. Systematic screening for FASDs is required in correction systems [13,28]. Additionally, the survey conducted by Cox and colleagues, [44], which aimed at determining Judge's and Prosecutor's knowledge, attitudes behaviors and training needs relative to cases of FASDs informed a number of recommendations including the need for the development of a coordinated approach to FASD in the Criminal Justice System and the development of clear practice guidelines. They also recommend improving the 'professional preparedness' to care for individuals with FASD, the training of Judges and Prosecutors about FASD, when and where to refer for diagnosis and the long-term secondary disabilities associated with FASD and the development of a Wellness or Mental Health Court to work with individuals with FASD in Criminal Justice System [44]. Furthermore, McLachlan and colleagues, [8] findings support the view that the psycho-legal abilities in individuals with FASD needs to be evaluated using an individualized and comprehensive forensic assessment.
The development of a comprehensive medical-legal report can aid the judge and other criminal justice professions involved with an individual with FASD. Fast and Conry, [46] argue that for individuals with FASD, going to court can actually be counterproductive in that the duration between the time the offence was committed and sentencing is so extracted that individuals with FASD may be unable to fully grasp that the two are connected and therefore fail to recognize the consequences of their offence. This is also the case for offences committed prior to the trial or sentencing Fast and Conry, [46]. Mela and Luther, [47] propose that, in order to improve on current practice, a diminished responsibility defense and verdict which takes into consideration the 'grey zone' between 'knowing' and 'not knowing' based on Neuro cognitive disparities in FASD is crucial [47]. Lastly, the study identified in this review by Cox and colleagues, [44] emphasizes that Judges and Prosecutors require more education and training in order to assist them in their work with individuals with FASD who become involved in the criminal justice system. Another area which was considered to be beneficial by Judges and Prosecutors was access to accurate and timely assessment and diagnoses of FASD [44].
FASD Experts recommend the use of an informal checklist which includes empirically validated factors found to be associated with FASD Brown, et al. [3]. The FASD experts screening questionnaire covers five areas including: Offence Conduct (e.g., Impulsive and illogical actions with high risk of detection and Poor exit strategy); Arrest Conduct (e.g., immediately or easily waives rights and over-confesses (suggestible)); Interview with Client (e.g., socially inept, immature, and naïve and Doesn't seem to remember what you tell him/her from appointment to appointment); Prior Legal History (e.g., easily led by more sophisticated peers and illogical offences (e.g., stealing something with little value)); and lastly, Life History (e.g., involvement with child welfare, Adoption/foster or relative placement/juvenile commitment [3].
Moreover, Burd and colleagues, [21] outline important issues to consider when formulating and implementing treatment programs for individuals with FASD in the corrections system (See Table 1.). When working with an individual with a FASD, Brown and colleagues, [17] outline in their paper some communication suggestions which may assist correctional officers. For instance, it is strongly advised to avoid the use of questions requiring a strict "yes" or "no" when attempting to determine comprehension as such questions can hide an individual's capacity to understand what is being asked of them. In an effort to please others, individuals with an FASD will often respond with what they think others want to hear even at their own expense. Therefore it is recommended that correction officers utilize questions which are open ended and also encourage inmates to repeat what they have heard [17].
Issues in formulating and implementing treatment programs for people with FASD
|
|
Duration |
Treatment or intervention duration needs to be longer |
Make it concrete |
The use of picture guides can assist the teaching of key concepts |
Small groups |
It is important to allow more attention to topical material |
Anxiety increases impairment |
Anxiety is important to recognise particularly in the treatment of substance abuse, sexual abuse or PTSD |
One problem at a time |
Provide the individual time to learn and apply a solution before proceeding to the next topic |
Appreciate impairments |
The need to recognise that some issues cannot be addressed with treatment and that there is a need for clinicians/criminal justice professionals to help the individual to learn how to adapt to them in order to try and reduce their effects |
Aftercare is essential |
Aftercare improves the generalisation of learned behaviours |
Short directions |
Short directions are considered an essential key for effective interventions |
Mental health concerns |
Requirement for appropriate treatment |
This review covers a relatively modest number of studies which highlight that FASD and offending behavior needs more attention. It also highlights the need for the development of early intervention for youths with FASD in order to mitigate against the risk of offending behavior. Some work on developing programs for youths with FASD is underway. For instance, Soh and colleagues, [52] recently conducted a study which examined the structural brain changes associated with the Alert Program for Self-Regulation in children with FASD. Soh and colleagues, [52] study suggested that Alert is effective in increasing cortical gray matter in children with FASD, most notably in those brain regions underlying response inhibition, outcome monitoring and emotion regulation. This is the first study to identify neuroanatomical changes after treatment for the core deficit in executive functioning in children with FASD which indicates that functional outcome in children with FASD can be impacted on positively by early intervention [52]. Studies such as this highlight the need for further research to inform the most effective interventions for at-risk youths with FASD.
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