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Friday, November 26, 2010

Learning Curve

COPYRIGHT 2002 All rights reserved. Reproduced by permission of The Condé Nast Publications Inc.

The learning curve: like everyone else, surgeons need practice. That's where you come in.
Publication: The New Yorker
Publication Date: 01/28/2002
Author: Gawande, Atul

The patient needed a central line. "Here's your chance," S., the chief resident, said. I had never done one before. "Get set up and then page me when you're ready to start."

It was my fourth week in surgical training. The pockets of my short white coat bulged with patient printouts, laminated cards with instructions for doing CPR and reading EKGs and using the dictation system, two surgical handbooks, a stethoscope, wound-dressing supplies, meal tickets, a penlight, scissors, and about a dollar in loose change. As I headed up the stairs to the patient's floor, I rattled.

This will be good, I tried to tell myself: my first real procedure. The patient -- fiftyish, stout, taciturn -- was recovering from abdominal surgery he'd had about a week earlier. His bowel function hadn't yet returned, and he was unable to eat. I explained to him that he needed intravenous nutrition and that this required a "special line" that would go into his chest. I said that I would put the line in him while he was in his bed, and that it would involve my numbing a spot on his chest with a local anesthetic, and then threading the line in. I did not say that the line was eight inches long and would go into his vena cava, the main blood vessel to his heart. Nor did I say how tricky the procedure could be. There were "slight risks" involved, I said, such as bleeding and lung collapse; in experienced hands, complications of this sort occur in fewer than one case in a hundred.

But, of course, mine were not experienced hands. And the disasters I knew about weighed on my mind: the woman who had died within minutes from massive bleeding when a resident lacerated her vena cava; the man whose chest had to be opened because a resident lost hold of a wire inside the line, which then floated down to the patient's heart; the man who had a cardiac arrest when the procedure put him into ventricular fibrillation. I said nothing of such things, naturally, when I asked the patient's permission to do his line. He said, "O.K."

I had seen S. do two central lines; one was the day before, and I'd attended to every step. I watched how she set out her instruments and laid her patient down and put a rolled towel between his shoulder blades to make his chest arch out. I watched how she swabbed his chest with antiseptic, injected lidocaine, which is a local anesthetic, and then, in full sterile garb, punctured his chest near his clavicle with a fat three-inch needle on a syringe. The patient hadn't even flinched. She told me how to avoid hitting the lung ("Go in at a steep angle," she'd said. "Stay right under the clavicle"), and how to find the subclavian vein, a branch to the vena cava lying atop the lung near its apex ("Go in at a steep angle. Stay right under the clavicle"). She pushed the needle in almost all the way. She drew back on the syringe. And she was in. You knew because the syringe filled with maroon blood. ("If it's bright red, you've hit an artery," she said. "That's not good.") Once you have the tip of this needle poking in the vein, you somehow have to widen the hole in the vein wall, fit the catheter in, and snake it in the right direction -- down to the heart, rather than up to the brain -- all without tearing through vessels, lung, or anything else.

To do this, S. explained, you start by getting a guide wire in place. She pulled the syringe off, leaving the needle in. Blood flowed out. She picked up a two-foot-long twenty-gauge wire that looked like the steel D string of an electric guitar, and passed nearly its full length through the needle's bore, into the vein, and onward toward the vena cava. "Never force it in," she warned, "and never, ever let go of it." A string of rapid heartbeats fired off on the cardiac monitor, and she quickly pulled the wire back an inch. It had poked into the heart, causing momentary fibrillation. "Guess we're in the right place," she said to me quietly. Then to the patient: "You're doing great. Only a few minutes now." She pulled the needle out over the wire and replaced it with a bullet of thick, stiff plastic, which she pushed in tight to widen the vein opening. She then removed this dilator and threaded the central line -- a spaghetti-thick, flexible yellow plastic tube -- over the wire until it was all the way in. Now she could remove the wire. She flushed the line with a heparin solution and sutured it to the patient's chest. And that was it.

Today, it was my turn to try. First, I had to gather supplies -- a central-line kit, gloves, gown, cap, mask, lidocaine -- which took me forever. When I finally had the stuff together, I stopped for a minute outside the patient's door, trying to recall the steps. They remained frustratingly hazy. But I couldn't put it off any longer. I had a page-long list of other things to get done: Mrs. A needed to be discharged; Mr. B needed an abdominal ultrasound arranged; Mrs. C needed her skin staples removed. And every fifteen minutes or so I was getting paged with more tasks: Mr. X was nauseated and needed to be seen; Miss Y's family was here and needed "someone" to talk to them; Mr. Z needed a laxative. I took a deep breath, put on my best don't-worry-I-know-what-I'm-doing look, and went in.

I placed the supplies on a bedside table, untied the patient's gown, and laid him down flat on the mattress, with his chest bare and his arms at his sides. I flipped on a fluorescent overhead light and raised his bed to my height. I paged S. I put on my gown and gloves and, on a sterile tray, laid out the central line, the guide wire, and other materials from the kit. I drew up five cc's of lidocaine in a syringe, soaked two sponge sticks in the yellow-brown Betadine, and opened up the suture packaging.

S. arrived. "What's his platelet count?"

My stomach knotted. I hadn't checked. That was bad: too low and he could have a serious bleed from the procedure. She went to check a computer. The count was acceptable.

Chastened, I started swabbing his chest with the sponge sticks. "Got the shoulder roll underneath him?" S. asked. Well, no, I had forgotten that, too. The patient gave me a look. S., saying nothing, got a towel, rolled it up, and slipped it under his back for me. I finished applying the antiseptic and then draped him so that only his right upper chest was exposed. He squirmed a bit beneath the drapes. S. now inspected my tray. I girded myself.

"Where's the extra syringe for flushing the line when it's in?" Damn. She went out and got it.

I felt for my landmarks. Here? I asked with my eyes, not wanting to undermine the patient's confidence any further. She nodded. I numbed the spot with lidocaine. ("You'll feel a stick and a burn now, sir.") Next, I took the three-inch needle in hand and poked it through the skin. I advanced it slowly and uncertainly, a few millimetres at a time. This is a big goddam needle, I kept thinking. I couldn't believe I was sticking it into someone's chest. I concentrated on maintaining a steep angle of entry, but kept spearing his clavicle instead of slipping beneath it.

"Ow!" he shouted.

"Sorry," I said. S. signalled with a kind of surfing hand gesture to go underneath the clavicle. This time, it went in. I drew back on the syringe. Nothing. She pointed deeper. I went in deeper. Nothing. I withdrew the needle, flushed out some bits of tissue clogging it, and tried again.

"Ow!"

Too steep again. I found my way underneath the clavicle once more. I drew the syringe back. Still nothing. He's too obese, I thought. S. slipped on gloves and a gown. "How about I have a look?" she said. I handed her the needle and stepped aside. She plunged the needle in, drew back on the syringe, and, just like that, she was in. "We'll be done shortly," she told the patient.

She let me continue with the next steps, which I bumbled through. I didn't realize how long and floppy the guide wire was until I pulled the coil out of its plastic sleeve, and, putting one end of it into the patient, I very nearly contaminated the other. I forgot about the dilating step until she reminded me. Then, when I put in the dilator, I didn't push quite hard enough, and it was really S. who pushed it all the way in. Finally, we got the line in, flushed it, and sutured it in place.

Outside the room, S. said that I could be less tentative the next time, but that I shouldn't worry too much about how things had gone. "You'll get it," she said. "It just takes practice." I wasn't so sure. The procedure remained wholly mysterious to me. And I could not get over the idea of jabbing a needle into someone's chest so deeply and so blindly. I awaited the X-ray afterward with trepidation. But it came back fine: I had not injured the lung and the line was in the right place.

Not everyone appreciates the attractions of surgery. When you are a medical student in the operating room for the first time, and you see the surgeon press the scalpel to someone's body and open it like a piece of fruit, you either shudder in horror or gape in awe. I gaped. It was not just the blood and guts that enthralled me. It was also the idea that a person, a mere mortal, would have the confidence to wield that scalpel in the first place.

There is a saying about surgeons: "Sometimes wrong; never in doubt." This is meant as a reproof, but to me it seemed their strength. Every day, surgeons are faced with uncertainties. Information is inadequate; the science is ambiguous; one's knowledge and abilities are never perfect. Even with the simplest operation, it cannot be taken for granted that a patient will come through better off -- or even alive. Standing at the operating table, I wondered how the surgeon knew that all the steps would go as planned, that bleeding would be controlled and infection would not set in and organs would not be injured. He didn't, of course. But he cut anyway.

Later, while still a student, I was allowed to make an incision myself. The surgeon drew a six-inch dotted line with a marking pen across an anesthetized patient's abdomen and then, to my surprise, had the nurse hand me the knife. It was still warm from the autoclave. The surgeon had me stretch the skin taut with the thumb and forefinger of my free hand. He told me to make one smooth slice down to the fat. I put the belly of the blade to the skin and cut. The experience was odd and addictive, mixing exhilaration from the calculated violence of the act, anxiety about getting it right, and a righteous faith that it was somehow for the person's good. There was also the slightly nauseating feeling of finding that it took more force than I'd realized. (Skin is thick and springy, and on my first pass I did not go nearly deep enough; I had to cut twice to get through.) The moment made me want to be a surgeon -- not an amateur handed the knife for a brief moment but someone with the confidence and ability to proceed as if it were routine.

A resident begins, however, with none of this air of mastery -- only an overpowering instinct against doing anything like pressing a knife against flesh or jabbing a needle into someone's chest. On my first day as a surgical resident, I was assigned to the emergency room. Among my first patients was a skinny, dark-haired woman in her late twenties who hobbled in, teeth gritted, with a two-foot-long wooden chair leg somehow nailed to the bottom of her foot. She explained that a kitchen chair had collapsed under her and, as she leaped up to keep from falling, her bare foot had stomped down on a three-inch screw sticking out of one of the chair legs. I tried very hard to look like someone who had not got his medical diploma just the week before. Instead, I was determined to be nonchalant, the kind of guy who had seen this sort of thing a hundred times before. I inspected her foot, and could see that the screw was embedded in the bone at the base of her big toe. There was no bleeding and, as far as I could feel, no fracture.

"Wow, that must hurt," I blurted out, idiotically.

The obvious thing to do was give her a tetanus shot and pull out the screw. I ordered the tetanus shot, but I began to have doubts about pulling out the screw. Suppose she bled? Or suppose I fractured her foot? Or something worse? I excused myself and tracked down Dr. W., the senior surgeon on duty. I found him tending to a car-crash victim. The patient was a mess, and the floor was covered with blood. People were shouting. It was not a good time to ask questions.

I ordered an X-ray. I figured it would buy time and let me check my amateur impression that she didn't have a fracture. Sure enough, getting the X-ray took about an hour, and it showed no fracture -- just a common screw embedded, the radiologist said, "in the head of the first metatarsal." I showed the patient the X-ray. "You see, the screw's embedded in the head of the first metatarsal," I said. And the plan? she wanted to know. Ah, yes, the plan.

I went to find Dr. W. He was still busy with the crash victim, but I was able to interrupt to show him the X-ray. He chuckled at the sight of it and asked me what I wanted to do. "Pull the screw out?" I ventured. "Yes," he said, by which he meant "Duh." He made sure I'd given the patient a tetanus shot and then shooed me away.

Back in the examining room, I told her that I would pull the screw out, prepared for her to say something like "You?" Instead she said, "O.K., Doctor." At first, I had her sitting on the exam table, dangling her leg off the side. But that didn't look as if it would work. Eventually, I had her lie with her foot jutting off the table end, the board poking out into the air. With every move, her pain increased. I injected a local anesthetic where the screw had gone in and that helped a little. Now I grabbed her foot in one hand, the board in the other, and for a moment I froze. Could I really do this? Who was I to presume?

Finally, I gave her a one-two-three and pulled, gingerly at first and then hard. She groaned. The screw wasn't budging. I twisted, and abruptly it came free. There was no bleeding. I washed the wound out, and she found she could walk. I warned her of the risks of infection and the signs to look for. Her gratitude was immense and flattering, like the lion's for the mouse -- and that night I went home elated.

In surgery, as in anything else, skill, judgment, and confidence are learned through experience, haltingly and humiliatingly. Like the tennis player and the oboist and the guy who fixes hard drives, we need practice to get good at what we do. There is one difference in medicine, though: we practice on people.

My second try at placing a central line went no better than the first. The patient was in intensive care, mortally ill, on a ventilator, and needed the line so that powerful cardiac drugs could be delivered directly to her heart. She was also heavily sedated, and for this I was grateful. She'd be oblivious of my fumbling.

My preparation was better this time. I got the towel roll in place and the syringes of heparin on the tray. I checked her lab results, which were fine. I also made a point of draping more widely, so that if I flopped the guide wire around by mistake again, it wouldn't hit anything unsterile.

For all that, the procedure was a bust. I stabbed the needle in too shallow and then too deep. Frustration overcame tentativeness and I tried one angle after another. Nothing worked. Then, for one brief moment, I got a flash of blood in the syringe, indicating that I was in the vein. I anchored the needle with one hand and went to pull the syringe off with the other. But the syringe was jammed on too tightly, so that when I pulled it free I dislodged the needle from the vein. The patient began bleeding into her chest wall. I held pressure the best I could for a solid five minutes, but still her chest turned black and blue around the site. The hematoma made it impossible to put a line through there anymore. I wanted to give up. But she needed a line and the resident supervising me -- a second-year this time -- was determined that I succeed. After an X-ray showed that I had not injured her lung, he had me try on the other side, with a whole new kit. I missed again, and he took over. It took him several minutes and two or three sticks to find the vein himself and that made me feel better. Maybe she was an unusually tough case.

When I failed with a third patient a few days later, though, the doubts really set in. Again, it was stick, stick, stick, and nothing. I stepped aside. The resident watching me got it on the next try.

Surgeons, as a group, adhere to a curious egalitarianism. They believe in practice, not talent. People often assume that you have to have great hands to become a surgeon, but it's not true. When I interviewed to get into surgery programs, no one made me sew or take a dexterity test or checked to see if my hands were steady. You do not even need all ten fingers to be accepted. To be sure, talent helps. Professors say that every two or three years they'll see someone truly gifted come through a program -- someone who picks up complex manual skills unusually quickly, sees tissue planes before others do, anticipates trouble before it happens. Nonetheless, attending surgeons say that what's most important to them is finding people who are conscientious, industrious, and boneheaded enough to keep at practicing this one difficult thing day and night for years on end. As a former residency director put it to me, given a choice between a Ph.D. who had cloned a gene and a sculptor, he'd pick the Ph.D. every time. Sure, he said, he'd bet on the sculptor's being more physically talented; but he'd bet on the Ph.D.'s being less "flaky." And in the end that matters more. Skill, surgeons believe, can be taught; tenacity cannot. It's an odd approach to recruitment, but it continues all the way up the ranks, even in top surgery departments. They start with minions with no experience in surgery, spend years training them, and then take most of their faculty from these same homegrown ranks.

And it works. There have now been many studies of elite performers -- concert violinists, chess grand masters, professional ice-skaters, mathematicians, and so forth -- and the biggest difference researchers find between them and lesser performers is the amount of deliberate practice they've accumulated. Indeed, the most important talent may be the talent for practice itself. K. Anders Ericsson, a cognitive psychologist and an expert on performance, notes that the most important role that innate factors play may be in a person's willingness to engage in sustained training. He has found, for example, that top performers dislike practicing just as much as others do. (That's why, for example, athletes and musicians usually quit practicing when they retire.) But, more than others, they have the will to keep at it anyway.

I wasn't sure I did. What good was it, I wondered, to keep doing central lines when I wasn't coming close to hitting them? If I had a clear idea of what I was doing wrong, then maybe I'd have something to focus on. But I didn't. Everyone, of course, had suggestions. Go in with the bevel of the needle up. No, go in with the bevel down. Put a bend in the middle of the needle. No, curve the needle. For a while, I tried to avoid doing another line. Soon enough, however, a new case arose.

The circumstances were miserable. It was late in the day, and I'd had to work through the previous night. The patient weighed more than three hundred pounds. He couldn't tolerate lying flat because the weight of his chest and abdomen made it hard for him to breathe. Yet he had a badly infected wound, needed intravenous antibiotics, and no one could find veins in his arms for a peripheral I.V. I had little hope of succeeding. But a resident does what he is told, and I was told to try the line.

I went to his room. He looked scared and said he didn't think he'd last more than a minute on his back. But he said he understood the situation and was willing to make his best effort. He and I decided that he'd be left sitting propped up in bed until the last possible minute. We'd see how far we got after that.

I went through my preparations: checking his blood counts from the lab, putting out the kit, placing the towel roll, and so on. I swabbed and draped his chest while he was still sitting up. S., the chief resident, was watching me this time, and when everything was ready I had her tip him back, an oxygen mask on his face. His flesh rolled up his chest like a wave. I couldn't find his clavicle with my fingertips to line up the right point of entry. And already he was looking short of breath, his face red. I gave S. a "Do you want to take over?" look. Keep going, she signalled. I made a rough guess about where the right spot was, numbed it with lidocaine, and pushed the big needle in. For a second, I thought it wouldn't be long enough to reach through, but then I felt the tip slip underneath his clavicle. I pushed a little deeper and drew back on the syringe. Unbelievably, it filled with blood. I was in. I concentrated on anchoring the needle firmly in place, not moving it a millimetre as I pulled the syringe off and threaded the guide wire in. The wire fed in smoothly. The patient was struggling hard for air now. We sat him up and let him catch his breath. And then, laying him down one more time, I got the entry dilated and slid the central line in. "Nice job" was all S. said, and then she left.

I still have no idea what I did differently that day. But from then on my lines went in. That's the funny thing about practice. For days and days, you make out only the fragments of what to do. And then one day you've got the thing whole. Conscious learning becomes unconscious knowledge, and you cannot say precisely how.

I have now put in more than a hundred central lines. I am by no means infallible. Certainly, I have had my fair share of complications. I punctured a patient's lung, for example -- the right lung of a chief of surgery from another hospital, no less -- and, given the odds, I'm sure such things will happen again. I still have the occasional case that should go easily but doesn't, no matter what I do. (We have a term for this. "How'd it go?" a colleague asks. "It was a total flog," I reply. I don't have to say anything more.)

But other times everything unfolds effortlessly. You take the needle. You stick the chest. You feel the needle travel -- a distinct glide through the fat, a slight catch in the dense muscle, then the subtle pop through the vein wall -- and you're in. At such moments, it is more than easy; it is beautiful.

Surgical training is the recapitulation of this process -- floundering followed by fragments followed by knowledge and, occasionally, a moment of elegance -- over and over again, for ever harder tasks with ever greater risks. At first, you work on the basics: how to glove and gown, how to drape patients, how to hold the knife, how to tie a square knot in a length of silk suture (not to mention how to dictate, work the computers, order drugs). But then the tasks become more daunting: how to cut through skin, handle the electrocautery, open the breast, tie off a bleeder, excise a tumor, close up a wound. At the end of six months, I had done lines, lumpectomies, appendectomies, skin grafts, hernia repairs, and mastectomies. At the end of a year, I was doing limb amputations, hemorrhoidectomies, and laparoscopic gallbladder operations. At the end of two years, I was beginning to do tracheotomies, small-bowel operations, and leg-artery bypasses.

I am in my seventh year of training, of which three years have been spent doing research. Only now has a simple slice through skin begun to seem like the mere start of a case. These days, I'm trying to learn how to fix an abdominal aortic aneurysm, remove a pancreatic cancer, open blocked carotid arteries. I am, I have found, neither gifted nor maladroit. With practice and more practice, I get the hang of it.

Doctors find it hard to talk about this with patients. The moral burden of practicing on people is always with us, but for the most part it is unspoken. Before each operation, I go over to the holding area in my scrubs and introduce myself to the patient. I do it the same way every time. "Hello, I'm Dr. Gawande. I'm one of the surgical residents, and I'll be assisting your surgeon." That is pretty much all I say on the subject. I extend my hand and smile. I ask the patient if everything is going O.K. so far. We chat. I answer questions. Very occasionally, patients are taken aback. "No resident is doing my surgery," they say. I try to be reassuring. "Not to worry -- I just assist," I say. "The attending surgeon is always in charge."

None of this is exactly a lie. The attending is in charge, and a resident knows better than to forget that. Consider the operation I did recently to remove a seventy-five-year-old woman's colon cancer. The attending stood across from me from the start. And it was he, not I, who decided where to cut, how to position the opened abdomen, how to isolate the cancer, and how much colon to take.

Yet I'm the one who held the knife. I'm the one who stood on the operator's side of the table, and it was raised to my six-foot-plus height. I was there to help, yes, but I was there to practice, too. This was clear when it came time to reconnect the colon. There are two ways of putting the ends together -- handsewing and stapling. Stapling is swifter and easier, but the attending suggested I handsew the ends -- not because it was better for the patient but because I had had much less experience doing it. When it's performed correctly, the results are similar, but he needed to watch me like a hawk. My stitching was slow and imprecise. At one point, he caught me putting the stitches too far apart and made me go back and put extras in between so the connection would not leak. At another point, he found I wasn't taking deep enough bites of tissue with the needle to insure a strong closure. "Turn your wrist more," he told me. "Like this?" I asked. "Uh, sort of," he said.

In medicine, there has long been a conflict between the imperative to give patients the best possible care and the need to provide novices with experience. Residencies attempt to mitigate potential harm through supervision and graduated responsibility. And there is reason to think that patients actually benefit from teaching. Studies commonly find that teaching hospitals have better outcomes than non-teaching hospitals. Residents may be amateurs, but having them around checking on patients, asking questions, and keeping faculty on their toes seems to help. But there is still no avoiding those first few unsteady times a young physician tries to put in a central line, remove a breast cancer, or sew together two segments of colon. No matter how many protections are in place, on average these cases go less well with the novice than with someone experienced.

Doctors have no illusions about this. When an attending physician brings a sick family member in for surgery, people at the hospital think twice about letting trainees participate. Even when the attending insists that they participate as usual, the residents scrubbing in know that it will be far from a teaching case. And if a central line must be put in, a first-timer is certainly not going to do it. Conversely, the ward services and clinics where residents have the most responsibility are populated by the poor, the uninsured, the drunk, and the demented. Residents have few opportunities nowadays to operate independently, without the attending docs scrubbed in, but when we do -- as we must before graduating and going out to operate on our own -- it is generally with these, the humblest of patients.

And this is the uncomfortable truth about teaching. By traditional ethics and public insistence (not to mention court rulings), a patient's right to the best care possible must trump the objective of training novices. We want perfection without practice. Yet everyone is harmed if no one is trained for the future. So learning is hidden, behind drapes and anesthesia and the elisions of language. And the dilemma doesn't apply just to residents, physicians in training. The process of learning goes on longer than most people know.

I grew up in the small Appalachian town of Athens, Ohio, where my parents are both doctors. My mother is a pediatrician and my father is a urologist. Long ago, my mother chose to practice part time, which she could afford to do because my father's practice became so busy and successful. He has now been at it for more than twenty-five years, and his office is cluttered with the evidence of this. There is an overflowing wall of medical files, gifts from patients displayed everywhere (books, paintings, ceramics with Biblical sayings, hand-painted paperweights, blown glass, carved boxes, a figurine of a boy who, when you pull down his pants, pees on you), and, in an acrylic case behind his oak desk, a few dozen of the thousands of kidney stones he has removed.

Only now, as I get glimpses of the end of my training, have I begun to think hard about my father's success. For most of my residency, I thought of surgery as a more or less fixed body of knowledge and skill which is acquired in training and perfected in practice. There was, I thought, a smooth, upward-sloping arc of proficiency at some rarefied set of tasks (for me, taking out gallbladders, colon cancers, bullets, and appendixes; for him, taking out kidney stones, testicular cancers, and swollen prostates). The arc would peak at, say, ten or fifteen years, plateau for a long time, and perhaps tail off a little in the final five years before retirement. The reality, however, turns out to be far messier. You do get good at certain things, my father tells me, but no sooner do you master something than you find that what you know is outmoded. New technologies and operations emerge to supplant the old, and the learning curve starts all over again. "Three-quarters of what I do today I never learned in residency," he says. On his own, fifty miles from his nearest colleague -- let alone a doctor who could tell him anything like "You need to turn your wrist more" -- he has had to learn to put in penile prostheses, to perform microsurgery, to reverse vasectomies, to do nerve-sparing prostatectomies, to implant artificial urinary sphincters. He's had to learn to use shock-wave lithotripters, electrohydraulic lithotripters, and laser lithotripters (all instruments for breaking up kidney stones); to deploy Double J ureteral stents and Silicone Figure Four Coil stents and Retro-Inject Multi-Length stents (don't even ask); and to maneuver fibre-optic ureteroscopes. All these technologies and techniques were introduced after he finished training. Some of the procedures built on skills he already had. Many did not.

This is the experience that all surgeons have. The pace of medical innovation has been unceasing, and surgeons have no choice but to give the new thing a try. To fail to adopt new techniques would mean denying patients meaningful medical advances. Yet the perils of the learning curve are inescapable -- no less in practice than in residency.

For the established surgeon, inevita- bly, the opportunities for learning are far less structured than for a resident. When an important new device or procedure comes along, as happens every year, surgeons start by taking a course about it -- typically a day or two of lectures by some surgical grandees with a few film clips and step-by-step handouts. You take home a video to watch. Perhaps you pay a visit to observe a colleague perform the operation -- my father often goes up to the Cleveland Clinic for this. But there's not much by way of hands-on training. Unlike a resident, a visitor cannot scrub in on cases, and opportunities to practice on animals or cadavers are few and far between. (Britain, being Britain, actually bans surgeons from practicing on animals.) When the pulse-dye laser came out, the manufacturer set up a lab in Columbus where urologists from the area could gain experience. But when my father went there the main experience provided was destroying kidney stones in test tubes filled with a urinelike liquid and trying to penetrate the shell of an egg without hitting the membrane underneath. My surgery department recently bought a robotic surgery device -- a staggeringly sophisticated nine-hundred-and-eighty-thousand-dollar robot, with three arms, two wrists, and a camera, all millimetres in diameter, which, controlled from a console, allows a surgeon to do almost any operation with no hand tremor and with only tiny incisions. A team of two surgeons and two nurses flew out to the manufacturer's headquarters, in Mountain View, California, for a full day of training on the machine. And they did get to practice on a pig and on a human cadaver. (The company apparently buys the cadavers from the city of San Francisco.) But even this was hardly thorough training. They learned enough to grasp the principles of using the robot, to start getting a feel for using it, and to understand how to plan an operation. That was about it. Sooner or later, you just have to go home and give the thing a try on someone.

Patients do eventually benefit -- often enormously -- but the first few patients may not, and may even be harmed. Consider the experience reported by the pediatric cardiac-surgery unit of the renowned Great Ormond Street Hospital, in London, as detailed in the British Medical Journal last April. The doctors described their results from three hundred and twenty-five consecutive operations between 1978 and 1998 on babies with a severe heart defect known as transposition of the great arteries. Such children are born with their heart's outflow vessels transposed: the aorta emerges from the right side of the heart instead of the left and the artery to the lungs emerges from the left instead of the right. As a result, blood coming in is pumped right back out to the body instead of first to the lungs, where it can be oxygenated. The babies died blue, fatigued, never knowing what it was to get enough breath. For years, it wasn't technically feasible to switch the vessels to their proper positions. Instead, surgeons did something known as the Senning procedure: they created a passage inside the heart to let blood from the lungs cross backward to the right heart. The Senning procedure allowed children to live into adulthood. The weaker right heart, however, cannot sustain the body's entire blood flow as long as the left. Eventually, these patients' hearts failed, and although most survived to adulthood, few lived to old age.

By the nineteen-eighties, a series of technological advances made it possible to do a switch operation safely, and this became the favored procedure. In 1986, the Great Ormond Street surgeons made the changeover themselves, and their report shows that it was unquestionably an improvement. The annual death rate after a successful switch procedure was less than a quarter that of the Senning, resulting in a life expectancy of sixty-three years instead of forty-seven. But the price of learning to do it was appalling. In their first seventy switch operations, the doctors had a twenty-five-per-cent surgical death rate, compared with just six per cent with the Senning procedure. Eighteen babies died, more than twice the number during the entire Senning era. Only with time did they master it: in their next hundred switch operations, five babies died.

As patients, we want both expertise and progress; we don't want to acknowledge that these are contradictory desires. In the words of one British public report, "There should be no learning curve as far as patient safety is concerned." But this is entirely wishful thinking.

Recently, a group of Harvard Business School researchers who have made a specialty of studying learning curves in industry decided to examine learning curves among surgeons instead of in semiconductor manufacture or airplane construction, or any of the usual fields their colleagues examine. They followed eighteen cardiac surgeons and their teams as they took on the new technique of minimally invasive cardiac surgery. This study, I was surprised to discover, is the first of its kind. Learning is ubiquitous in medicine, and yet no one had ever compared how well different teams actually do it.

The new heart operation -- in which new technologies allow a surgeon to operate through a small incision between ribs instead of splitting the chest open down the middle -- proved substantially more difficult than the conventional one. Because the incision is too small to admit the usual tubes and clamps for rerouting blood to the heart-bypass machine, surgeons had to learn a trickier method, which involved balloons and catheters placed through groin vessels. And the nurses, anesthesiologists, and perfusionists all had new roles to master. As you'd expect, everyone experienced a substantial learning curve. Whereas a fully proficient team takes three to six hours for such an operation, these teams took on average three times as long for their early cases. The researchers could not track complication rates in detail, but it would be foolish to imagine that they were not affected.

What's more, the researchers found striking disparities in the speed with which different teams learned. All teams came from highly respected institutions with experience in adopting innovations and received the same three-day training session. Yet, in the course of fifty cases, some teams managed to halve their operating time while others improved hardly at all. Practice, it turned out, did not necessarily make perfect. The crucial variable was how the surgeons and their teams practiced.

Richard Bohmer, the only physician among the Harvard researchers, made several visits to observe one of the quickest-learning teams and one of the slowest, and he was startled by the contrast. The surgeon on the fast-learning team was actually quite inexperienced compared with the one on the slow-learning team. But he made sure to pick team members with whom he had worked well before and to keep them together through the first fifteen cases before allowing any new members. He had the team go through a dry run before the first case, then deliberately scheduled six operations in the first week, so little would be forgotten in between. He convened the team before each case to discuss it in detail and afterward to debrief. He made sure results were tracked carefully. And Bohmer noticed that the surgeon was not the stereotypical Napoleon with a knife. Unbidden, he told Bohmer, "The surgeon needs to be willing to allow himself to become a partner [with the rest of the team] so he can accept input." At the other hospital, by contrast, the surgeon chose his operating team almost randomly and did not keep it together. In the first seven cases, the team had different members every time, which is to say that it was no team at all. And the surgeon had no pre-briefings, no debriefings, no tracking of ongoing results.

The Harvard Business School study offered some hopeful news. We can do things that have a dramatic effect on our rate of improvement -- like being more deliberate about how we train, and about tracking progress, whether with students and residents or with senior surgeons and nurses. But the study's other implications are less reassuring. No matter how accomplished, surgeons trying something new got worse before they got better, and the learning curve proved longer, and was affected by a far more complicated range of factors, than anyone had realized.

This, I suspect, is the reason for the physician's dodge: the "I just assist" rap; the "We have a new procedure for this that you are perfect for" speech; the "You need a central line" without the "I am still learning how to do this." Sometimes we do feel obliged to admit when we're doing something for the first time, but even then we tend to quote the published complication rates of experienced surgeons. Do we ever tell patients that, because we are still new at something, their risks will inevitably be higher, and that they'd likely do better with doctors who are more experienced? Do we ever say that we need them to agree to it anyway? I've never seen it. Given the stakes, who in his right mind would agree to be practiced upon?

Many dispute this presumption. "Look, most people understand what it is to be a doctor," a health policy expert insisted, when I visited him in his office not long ago. "We have to stop lying to our patients. Can people take on choices for societal benefit?" He paused and then answered his question. "Yes," he said firmly.

It would certainly be a graceful and happy solution. We'd ask patients -- honestly, openly -- and they'd say yes. Hard to imagine, though. I noticed on the expert's desk a picture of his child, born just a few months before, and a completely unfair question popped into my mind. "So did you let the resident deliver?" I asked.

There was silence for a moment. "No," he admitted. "We didn't even allow residents in the room."

One reason I doubt whether we could sustain a system of medical training that depended on people saying "Yes, you can practice on me" is that I myself have said no. When my eldest child, Walker, was eleven days old, he suddenly went into congestive heart failure from what proved to be a severe cardiac defect. His aorta was not transposed, but a long segment of it had failed to grow at all. My wife and I were beside ourselves with fear -- his kidneys and liver began failing, too -- but he made it to surgery, the repair was a success, and although his recovery was erratic, after two and a half weeks he was ready to come home.

We were by no means in the clear, however. He was born a healthy six pounds plus but now, a month old, he weighed only five, and would need strict monitoring to insure that he gained weight. He was on two cardiac medications from which he would have to be weaned. And in the longer term, the doctors warned us, his repair would prove inadequate. As Walker grew, his aorta would require either dilation with a balloon or replacement by surgery. They could not say precisely when and how many such procedures would be necessary over the years. A pediatric cardiologist would have to follow him closely and decide.

Walker was about to be discharged, and we had not indicated who that cardiologist would be. In the hospital, he had been cared for by a full team of cardiologists, ranging from fellows in specialty training to attendings who had practiced for decades. The day before we took Walker home, one of the young fellows approached me, offering his card and suggesting a time to bring Walker to see him. Of those on the team, he had put in the most time caring for Walker. He saw Walker when we brought him in inexplicably short of breath, made the diagnosis, got Walker the drugs that stabilized him, coordinated with the surgeons, and came to see us twice a day to answer our questions. Moreover, I knew, this was how fellows always got their patients. Most families don't know the subtle gradations among players, and after a team has saved their child's life they take whatever appointment they're handed.

But I knew the differences. "I'm afraid we're thinking of seeing Dr. Newburger," I said. She was the hospital's associate cardiologist-in-chief, and a published expert on conditions like Walker's. The young physician looked crestfallen. It was nothing against him, I said. She just had more experience, that was all.

"You know, there is always an attending backing me up," he said. I shook my head.

I know this was not fair. My son had an unusual problem. The fellow needed the experience. As a resident, I of all people should have understood this. But I was not torn about the decision. This was my child. Given a choice, I will always choose the best care I can for him. How can anybody be expected to do otherwise? Certainly, the future of medicine should not rely on it.

In a sense, then, the physician's dodge is inevitable. Learning must be stolen, taken as a kind of bodily eminent domain. And it was, during Walker's stay -- on many occasions, now that I think back on it. A resident intubated him. A surgical trainee scrubbed in for his operation. The cardiology fellow put in one of his central lines. If I had the option to have someone more experienced, I would have taken it. But this was simply how the system worked -- no such choices were offered -- and so I went along.

The advantage of this coldhearted machinery is not merely that it gets the learning done. If learning is necessary but causes harm, then above all it ought to apply to everyone alike. Given a choice, people wriggle out, and such choices are not offered equally. They belong to the connected and the knowledgeable, to insiders over outsiders, to the doctor's child but not the truck driver's. If everyone cannot have a choice, maybe it is better if no one can.

It is 2 P.M. I am in the intensive-care unit. A nurse tells me Mr. G.'s central line has clotted off. Mr. G. has been in the hospital for more than a month now. He is in his late sixties, from South Boston, emaciated, exhausted, holding on by a thread -- or a line, to be precise. He has several holes in his small bowel, and the bilious contents leak out onto his skin through two small reddened openings in the concavity of his abdomen. His only chance is to be fed by vein and wait for these fistulae to heal. He needs a new central line.

I could do it, I suppose. I am the experienced one now. But experience brings a new role: I am expected to teach the procedure instead. "See one, do one, teach one," the saying goes, and it is only half in jest.

There is a junior resident on the service. She has done only one or two lines before. I tell her about Mr. G. I ask her if she is free to do a new line. She misinterprets this as a question. She says she still has patients to see and a case coming up later. Could I do the line? I tell her no. She is unable to hide a grimace. She is burdened, as I was burdened, and perhaps frightened, as I was frightened.

She begins to focus when I make her talk through the steps -- a kind of dry run, I figure. She hits nearly all the steps, but forgets about checking the labs and about Mr. G.'s nasty allergy to heparin, which is in the flush for the line. I make sure she registers this, then tell her to get set up and page me.

I am still adjusting to this role. It is painful enough taking responsibility for one's own failures. Being handmaiden to another's is something else entirely. It occurs to me that I could have broken open a kit and had her do an actual dry run. Then again maybe I can't. The kits must cost a couple of hundred dollars each. I'll have to find out for next time.

Half an hour later, I get the page. The patient is draped. The resident is in her gown and gloves. She tells me that she has saline to flush the line with and that his labs are fine.

"Have you got the towel roll?" I ask.

She forgot the towel roll. I roll up a towel and slip it beneath Mr. G.'s back. I ask him if he's all right. He nods. After all he's been through, there is only resignation in his eyes.

The junior resident picks out a spot for the stick. The patient is hauntingly thin. I see every rib and fear that the resident will puncture his lung. She injects the numbing medication. Then she puts the big needle in, and the angle looks all wrong. I motion for her to reposition. This only makes her more uncertain. She pushes in deeper and I know she does not have it. She draws back on the syringe: no blood. She takes out the needle and tries again. And again the angle looks wrong. This time, Mr. G. feels the jab and jerks up in pain. I hold his arm. She gives him more numbing medication. It is all I can do not to take over. But she cannot learn without doing, I tell myself. I decide to let her have one more try.
COPYRIGHT 2002 All rights reserved. Reproduced by permission of The Condé Nast Publications Inc.

Wednesday, November 17, 2010

Prison W.O Walls

September 2010

Prison Without Walls

INCARCERATION IN AMERICA IS A FAILURE BY ALMOST ANY MEASURE. BUT WHAT IF THE PRISONS COULD BE TURNED INSIDE OUT, WITH CONVICTS RELEASED INTO SOCIETY UNDER CONSTANT ELECTRONIC SURVEILLANCE? RADICAL THOUGH IT MAY SEEM, EARLY EXPERIMENTS SUGGEST THAT SUCH A SCIENCE-FICTION SCENARIO MIGHT CUT CRIME, REDUCE COSTS, AND EVEN PROVE MORE JUST.
By Graeme Wood and Graeme Wood

IMAGE CREDIT: FREDRIK BRODEN
ONE SNOWY NIGHT last winter, I walked into a pizzeria in Morrisville, Pennsylvania, with my right pant leg hiked up my shin. A pager-size black box was strapped to my sockless ankle, and another, somewhat larger unit dangled in a holster on my belt. Together, the two items make up a tracking device called the BI ExacuTrack AT: the former is designed to be tamper-resistant, and the latter broadcasts the wearer’s location to a monitoring company via GPS. The device is commonly associated with paroled sex offenders, who wear it so authorities can keep an eye on their movements. Thus my experiment: an online guide had specified that the restaurant I was visiting was a “family” joint. Would the moms and dads, confronted with my anklet, identify me as a possible predator and hustle their kids back out into the cold?
Well, no, not in this case. Not a soul took any notice of the gizmos I wore. The whole rig is surprisingly small and unobtrusive, and it allowed me to eat my slice in peace. Indeed, over the few days that I posed as a monitored man, the closest I came to feeling a real stigma was an encounter I had at a Holiday Inn ice machine, where a bearded trucker type gave me a wider berth than I might otherwise have expected. All in all, it didn’t seem like such a terrible fate.
Unlike most of ExacuTrack’s clientele, of course, I wore my device by choice and only briefly, to find out how it felt and how people reacted to it. By contrast, a real sex offender—or any of a variety of other lawbreakers, including killers, check bouncers, thieves, and drug users—might wear the unit or one like it for years, or even decades. He (and the offender is generally a “he”) would wear it all day and all night, into the shower and under the sheets—perhaps with an AC adapter cord snaking out into a wall socket for charging. The device would enable the monitoring company to follow his every move, from home to work to the store, and, in consultation with a parole or probation officer, to keep him away from kindergartens, playgrounds, Jonas Brothers concerts, and other places where kids congregate. Should he decide to snip off the anklet (the band is rubber, and would succumb easily to pruning shears), a severed cable would alert the company that he had tampered with the unit, and absent a very good excuse he would likely be sent back to prison. Little wonder that the law-enforcement officer who installed my ExacuTrack noted that he was doing me a favor by unboxing a fresh unit: over their lifetimes, many of the trackers become encrusted with the filth and dead skin of previous bearers, some of whom are infected with prison plagues such as herpes or hepatitis. Officers clean the units and replace the straps between users, but I strongly preferred not to have anything rubbing against my ankle that had spent years rubbing against someone else’s.
Increasingly, GPS devices such as the one I wore are looking like an appealing alternative to conventional incarceration, as it becomes ever clearer that, in the United States at least, traditional prison has become more or less synonymous with failed prison. By almost any metric, our practice of locking large numbers of people behind bars has proved at best ineffective and at worst a national disgrace. According to a recent Pew report, 2.3 million Americans are currently incarcerated—enough people to fill the city of Houston. Since 1983, the number of inmates has more than tripled and the total cost of corrections has jumped sixfold, from $10.4 billion to $68.7 billion. In California, the cost per inmate has kept pace with the cost of an Ivy League education, at just shy of $50,000 a year.
This might make some sense if crime rates had also tripled. But they haven’t: rather, even as crime has fallen, the sentences served by criminals have grown, thanks in large part to mandatory minimums and draconian three-strikes rules—politically popular measures that have shown little deterrent effect but have left the prison system overflowing with inmates. The vogue for incarceration might also make sense if the prisons repaid society’s investment by releasing reformed inmates who behaved better than before they were locked up. But that isn’t the case either: half of those released are back in prison within three years. Indeed, research by the economists Jesse Shapiro of the University of Chicago and M. Keith Chen of Yale indicates that the stated purpose of incarceration, which is to place prisoners under harsh conditions on the assumption that they will be “scared straight,” is actively counterproductive. Such conditions—and U.S. prisons are astonishingly harsh, with as many as 20 percent of male inmates facing sexual assault—typically harden criminals, making them more violent and predatory. Essentially, when we lock someone up today, we are agreeing to pay a large (and growing) sum of money merely to put off dealing with him until he is released in a few years, often as a greater menace to society than when he went in.
Devices such as the ExacuTrack, along with other advances in both the ways we monitor criminals and the ways we punish them for their transgressions, suggest a revolutionary possibility: that we might turn the conventional prison system inside out for a substantial number of inmates, doing away with the current, expensive array of guards and cells and fences, in favor of a regimen of close, constant surveillance on the outside and swift, certain punishment for any deviations from an established, legally unobjectionable routine. The potential upside is enormous. Not only might such a system save billions of dollars annually, it could theoretically produce far better outcomes, training convicts to become law-abiders rather than more-ruthless lawbreakers. The ultimate result could be lower crime rates, at a reduced cost, and with considerably less inhumanity in the bargain.
Moreover, such a change would in fact be less radical than it might at first appear. An underappreciated fact of our penitentiary system is that of all Americans “serving time” at any given moment, only a third are actually behind bars. The rest—some 5 million of them—are circulating among the free on conditional supervised release either as parolees, who are freed from prison before their sentences conclude, or as probationers, who walk free in lieu of jail time. These prisoners-on-the-outside have in fact outnumbered the incarcerated for decades. And recent innovations, both technological and procedural, could enable such programs to advance to a stage where they put the traditional model of incarceration to shame.
In a number of experimental cases, they already have. Devices such as the one I wore on my leg already allow tens of thousands of convicts to walk the streets relatively freely, impeded only by the knowledge that if they loiter by a schoolyard, say, or near the house of the ex-girlfriend they threatened, or on a street corner known for its crack trade, the law will come to find them. Compared with incarceration, the cost of such surveillance is minuscule—mere dollars per day—and monitoring has few of the hardening effects of time behind bars. Nor do all the innovations being developed depend on technology. Similar efforts to control criminals in the wild are under way in pilot programs that demand adherence to onerous parole guidelines, such as frequent, random drug testing, and that provide for immediate punishment if the parolees fail. The result is the same: convicts who might once have been in prison now walk among us unrecognized—like pod people, or Canadians.
There are, of course, many thousands of dangerous felons who can’t be trusted on the loose. But if we extended this form of enhanced, supervised release even to just the nonviolent offenders currently behind bars, we would empty half our prison beds in one swoop. Inevitably, some of those released would take the pruning-shears route. And some would offend again. But then, so too do those convicts released at the end of their brutal, hardening sentences under our current system. And even accepting a certain failure rate, by nearly any measure such “prisons without bars” would represent a giant step forward for justice, criminal rehabilitation, and society.
IN THE 18TH CENTURY, the English philosopher and social theorist Jeremy Bentham designed the Panopticon, a hypothetical prison. Inside the Panopticon (the name is derived from the Greek word for “all-seeing”), the prisoners are arranged in a ring of cells surrounding their guard, who is concealed in a tower in the center. The idea is that the guard controls the prisoners through his presumed observation: they constantly imagine his eyes on them, even when he’s looking elsewhere. Bentham promoted the concept of the Panopticon for much the same reasons that spur criminal-justice innovation today—a ballooning prison population and the need for a cheap solution with light manpower demands. Whereas the guard in Bentham’s day had only two eyes, however, today’s watcher can be virtually all-seeing, thanks to GPS monitoring technology. The modern prisoner, in other words, need not wonder whether he is being observed; he can be sure that he is, and at all times.
The hub of the American penal system’s largest open-air Panopticon is in the Indianapolis suburb of Anderson, population 57,496, at the call center of a company called BI Incorporated. The firm manufactures and services the ankle device I test-drove, as well as a suite of other law-enforcement gadgets designed to track offenders. Though BI has a handful of rivals in the monitoring business, it is the most prominent and best-known, with 55,000 offenders wearing BI anklets at any given moment. (The company monitors another 10,000 using lower-tech means: for instance, by having them call from particular landlines at designated times.)
I drove to Anderson from Indianapolis, past clapboard houses and cornfields, to visit BI’s offices, located on a few discreet and highly secure floors above the local branch of KeyBank. I was buzzed up to meet Jennifer White, the BI vice president in charge of monitoring. From her office window, we looked out not on the backs of the 30,000 offenders this branch monitors, but on the sedate midwestern bedroom community that is, by her description, “a little bit less happening than Muncie,” 20 miles away. Even the sleepy streets of Anderson have their secrets, though. White told me that below us were about 120 criminals with BI anklets—roughly one for every 500 residents in the town.
White, an Indiana native, has been at BI since 1988. Over a turkey salad from Bob Evans, she explained that the company’s first “clients” (as the monitored are always called) were not human beings but Holsteins. In 1978, BI began selling systems that allowed dairy farmers to dispense feed to their cows automatically. The company fitted a radio-frequency tag on each cow’s ear so that when the cow approached the feed dispenser, a sensor in the latter caused it to drop a ration of fodder. If the same cow returned, the sensor recognized the unique signal of the tag and prevented the cow from getting a second helping until after enough time had passed for her to digest the first. (The worlds of bovine and criminal management have in fact been oddly intertwined for many years. Just as modern abattoirs have studied the colors that can distract and agitate cows during their final moments—thus ruining their meat with adrenaline—prisons have painted their walls in soothing shades to minimize anxiety and aggression in their inmates.)
In the 1980s, BI expanded into “tethering people.” As an early mover in the outpatient prison industry, BI grew fast, and the Anderson office contains a one-room museum of the bulky devices from its early days, some the size of a ham-radio set. The company now counts tracking people as its core business, and as a sideline it facilitates their reentry into society, through treatment programs and counseling. BI monitors criminals in all 50 states, “everyone from people who owe child support to ax murderers,” White told me. Most use the lowest-tech tracking equipment, a radio-frequency-based technology that monitors house arrest. The system works simply: you keep a radio beacon in your home and a transmitter around your ankle. If you wander too far from your beacon, an alert goes out to the BI call center in Anderson, which then notifies your probation officer that you have left your designated zone—as Martha Stewart allegedly did during her BI-monitored house arrest in 2005, earning a three-week extension of her five-month sentence.
The truly revolutionary BI devices, though, are the new generation of GPS trackers, which monitor criminals’ real-time locations down to a few meters, enabling BI to control their movements almost as if they were marionettes. If you were a paroled drunk driver, for instance, your parole officer could mandate that you stay home every day from dusk until dawn, be at your workplace from nine to five, and go to and from work following a specific route—and BI would monitor your movements to ensure compliance. If your parole terms included not entering a bar or liquor shop, the device could be programmed to start an alert process if you lingered near such a location for more than 60 seconds. That alert could take the form of an immediate notice to the monitors—“He’s at Drinkie’s again”—or even a spoken warning emanating from the device itself, instructing you to leave the area or face the consequences. Another BI system, recently deployed with promising results, features an electrostatic pad that presses against the offender’s upper arm at all times, chemically “tasting” sweat for signs of alcohol. (In May, starlet Lindsay Lohan was ordered to wear a similar device, manufactured by a BI competitor, after violating her probation stemming from DUI charges.)
To see the BI systems at work is to realize that Jeremy Bentham was thinking small. The call center consists of just a few rows of desks, with a dozen or so men and women wearing headsets and speaking in Spanish and English to their “customers” (the law-enforcement agents, as distinguished from the tracked “clients”). Each sits in front of a computer monitor, and at the click of a mouse can summon up a screen detailing the movements of a client as far away as Guam, ensuring not only that he avoids “exclusion zones”—schoolyards or bars or former associates’ homes, depending on the circumstances—but also that he makes his way to designated “inclusion zones” at appointed times.
As a fail-safe against any technological glitch, whether accidental or malicious, BI is immensely proud of its backup systems, which boast an ultrasecure data room and extreme redundancy: if, say, a toxic-gas cloud were to wipe out the town of Anderson, the last act of the staff there would be to flip the switches diverting all call traffic to BI’s corporate office in Boulder, Colorado, where a team capable of taking over instantly in case of disaster is always on duty.
I asked Jamie Roberts, a call-center employee who had previously been a BI customer as a corrections officer in Terre Haute, Indiana, to show me a parolee on the move, and in seconds he pulled up the profile of a criminal in Newport News, Virginia. The young man’s parole officer had used a Microsoft Bing online map to build a large irregular polygon around his high school—an inclusion zone that would guarantee an alert if he failed to show up for class on time, every day. Roberts showed me one offender after another: names and maps, lives scheduled down to the minute. There was a gambler whose anklet was set to notify Roberts if the client approached the waterfront, because he might try his luck on the gaming boats; an addict who couldn’t return to the street corners where he used to score crack; and an alcohol abuser who had to squeeze himself into an inclusion zone around a church basement for an Alcoholics Anonymous meeting from 9 to 10 p.m., three times a week.
A strict parole officer could plausibly sketch out a complete weekly routine for his parolee, with specific times when he would have to leave home and specific stations he would have to tag throughout the week. He might allow, or even require, the parolee to go to the grocery store on a Sunday afternoon, and go for a jog along an authorized route every morning. Roberts pulled up another Bing map for me, and set in motion a faster-than-real-time playback of one client’s day. As his dot carefully skirted the exclusion zones around a school and a park, staying away from kids because of the absolute certainty that BI would report him if he did not, his life on the outside looked fully set out in advance, as if he moved not on his own feet but on rails laid by his parole officer. For BI clients, technology has made detection of any deviation a near certainty—and with detection a swift response, one that often leads straight back to the Big House.
CRIMINALS TYPICALLY DIFFER from the broader population in a number of ways, including poor impulse control, addictive personality, and orientation toward short-term gratification rather than long-run consequences. More than a fifth of all incarcerated criminals are in for drug offenses, and a large portion of the others abuse legal and illegal substances. If one were to design a criminal-justice system from scratch with these characteristics in mind, it would be difficult to come up with something less effective than what we have today.
Take the world of supervised release, for example. With some exceptions (BI clients prominent among them), parolees and probationers know that if they violate the terms of their release, they are unlikely to be caught—and even less likely to be punished. So, impulsive as many of them are, they will transgress, perhaps modestly at first, but over time with growing recklessness, until many have resumed the criminal habits—drug use, theft, or worse—that got them arrested in the first place.
This prevailing condition is something Mark A. R. Kleiman, a professor of public policy at the University of California at Los Angeles and a leading advocate of non-prison alternatives, calls “randomized severity”: some transgressors will be punished for violations, sometimes quite harshly, but others will not be punished at all, whether because their delinquencies go undetected or because judges, police, and parole officers decline to pursue the severe penalties that could apply. In his 2009 book, When Brute Force Fails, Kleiman argues that such capricious enforcement undermines efforts to reduce crime, and moreover that tough penalties—such as the long sentences that have contributed to clogged prisons—don’t do much to help, despite their high cost. The alternative, Kleiman suggests, is a paradigm called “swift and certain” justice, first proposed by Cesare Beccaria in the 18th century: immediate, automatic penalties—though not necessarily severe ones—doled out by credible, identifiable figures.
One way to achieve this result is through monitoring devices like those supplied by BI. But a pioneering judge in Hawaii has demonstrated that it can also be accomplished without the technological assist. In the early 2000s, Steven Alm, a circuit judge in Honolulu, grew increasingly frustrated with what he viewed as a farcical probation system. The majority of the cases he saw were drug-related offenses, including property crimes such as burglaries and thefts from tourists’ rental cars. Many of the defendants in his court received probation, but once they were back on the street, they might as well never have been convicted. Drug tests, for instance, were scheduled a full month in advance, even though the test could detect meth use only within the previous three days. Despite this, probationers still tested positive about half of the time, indicating that they couldn’t stay clean for even that short interval.
One reason for the backsliding, presumably, was that violators knew that in practice they had little to fear. Probation officers had limited time and resources, and to ask for a convict’s probation to be revoked would require a great deal of work. Moreover, officers weren’t always eager to send someone to prison for five years just for getting high. Since the probationers viewed the enforcers of their probation as lenient, overworked, and somewhat unpredictable, they correctly assumed there was a good chance they could get away with toking up at will.
Then, in 2004, Judge Alm decided to test the “swift and certain” paradigm. “It’s something we always talk about in the sociology classes,” he told me. “It just never happens in the criminal-justice system.” Alm, a former U.S. attorney who was born in Hawaii, instituted what academics such as Kleiman describe as one of the most innovative and successful alternatives to incarceration in recent years. The basic tenet will be familiar to anyone who has ever trained a puppy: punishment must be consistent and immediate, in order to maintain a clear linkage between transgression and consequences. Alm began by assembling 34 probationers chosen because their profiles suggested they were especially incorrigible. He told them: “Everybody in this courtroom wants you to succeed on probation. But for you not to be in prison means you are making a deal with me to follow the rules. If you don’t want to follow the rules, tell me now, and I will send you to prison.”
The rules were simple: each probationer had to call in to the courthouse every weekday to find out whether he was required to come in for an observed urine test. These tests occurred frequently, and if a probationer ever failed a test or failed to report for a test or a meeting with his probation officer, he was locked away for two days and hauled before the judge for immediate continued sentencing. The justice system under Alm was a consistent and unforgiving machine, dispensing instant punishment for every transgression. The effect was to make life on the outside a little more like life on the inside, with strict, regular monitoring of everyone in the system. If you used illegal drugs, you would be caught.
Alm worked with Kevin Takata, a supervisor in the prosecutor’s office, to come up with a form that reduced the paperwork time for demanding a probation modification from hours or days to minutes. And rather than require a complete overhaul of the terms of a violator’s probation, the judge simply handed down jail time. In practice, the sentences were not especially long—days or weeks, in most cases—but, as Kleiman argues, it was not the duration of punishment but the certainty that was crucial.
The results of Alm’s program, called Hawaii’s Opportunity Probation with Enforcement, or HOPE, astonished everyone. The probationers shaped up quickly, and over time they showed remarkably little inclination to go astray. The urine tests came back dirty a tenth as often as before. “We discovered that most of these guys can stop using on their own,” Alm explained, given the discipline imposed by HOPE. For most probationers, the strict observation was as good as, or better than, any drug-treatment program. It generally took no more than one stint in jail before an offender realized that the consequences of a relapse were real; second violations were unusual. And according to a study co-authored by Kleiman, recidivism—that is, arrests for the commission of new crimes, rather than just violations of probation—dropped by half.
Alm was inherently skeptical that prison is the appropriate remedy for many types of offenses. “You don’t want to send a 20-year-old who’s driving a stolen car and has a little dope on him when he’s caught to prison,” he said. “He’s not going to come out better. I belong to the school of judge-thought that says we should be sending to prison the people we are afraid of, or who won’t stop stealing.”
Probation officers started volunteering their problem cases to Alm’s court, and now all of his cases—more than 1,300—are HOPE probationers. Still more remarkable, the demands of the program—constant testing, appearances before the judge—have not overwhelmed the court system. Violators come in to see the judge, and attorneys complain about having to show up for hearings over even the smallest violations of probation. But overall, the court’s volume of work per offender has declined, as has the cost to the state. “You can get someone out working, versus having the state lock them up at a cost of $35,000 per year,” explained Myles Breiner, the president of Hawaii’s association of criminal defense lawyers. “Who wants to spend more money on the Corrections Corporation of America?”
Outside Hawaii, prison analysts are cautiously optimistic. “Certainly it should be tried in other jurisdictions,” said Gerald Gaes, a social scientist and former director of research at the Bureau of Prisons in Washington, D.C., though he was quick to caution that certain aspects of Hawaii may make the state unique in the U.S. criminal-justice system, and therefore its experience may not be generalizable to the country at large. To date, no other state has attempted a program as streamlined as HOPE, or as capable of meting out swift and certain punishment. But Alm is evangelizing aggressively. This year, he met with Attorney General Eric Holder and testified before a House subcommittee on crime about the possibility of expanding HOPE nationwide. “Down the road, I’m convinced: probation, pre-trial, parole,” he said. “We try to use best practices. Well, this truly is the best practice.”
ALM’S PROGRAM CERTAINLY seems effective—much like BI’s technological solution to a similar set of problems. But as I stood in the security line at the courthouse where HOPE probationers report to urinate each morning, I couldn’t help but wonder how much the constant monitoring takes over their lives, and whether this carefully demarcated kind of freedom is more wearying than it appears. Some of the probationers had come in from an hour away to take their test, and they all had to monitor, on pain of incarceration, whether there was ever a whiff of spliff in the air at their friends’ places.
Back on the mainland, I asked law-enforcement officers and BI personnel, who have installed hundreds of monitoring anklets, how their clients first reacted when they felt the cinch of the band around their ankle and knew that, from that moment, they would be under constant surveillance. In most cases, Jennifer White told me, “they are just relieved to be at home and with their families and working.” Some were even grateful, because the device gave them an excuse to avoid criminal friends: after all, no one wants to commit a crime with an accomplice who’s being monitored. But not all were so upbeat. Some cursed. Others wept.
If the future of prisons is to be turned inside out, with criminals in the wild and their guards in a suburban midwestern office, how will the experience of being a convict change? The psychology of incarceration is well known not only to researchers, but to readers of Dostoyevsky and viewers of Oz. But to have your every step monitored as you make your way through life, ostensibly free—well, that is, so to speak, a brave new world.
In Anthony Burgess’s novel A Clockwork Orange, a dystopian British prison-state famously brainwashes a sociopathic youth into feeling physically ill at the very thought of inflicting pain. But he ultimately crumbles at the violence around him, and the state is forced to un-brainwash him. BI is of course installing its devices on the ankle, not in the mind. But the real purpose of any form of Panopticon justice—that is, the certainty of discovery and punishment—is to force the criminal to monitor himself. The Panopticon effectively outsources the role of prison guard to the prisoners themselves. And to be constantly on watch may wear at the psyche in ways difficult to predict. In a boast that could also serve as a warning, Bentham himself described his Panopticon as offering “a new mode of obtaining power of mind over mind, in a quantity hitherto without example.”
In February, I visited Trenton, New Jersey, to observe a BI client in his native environment and to find out how life is for a man in a prison without bars. The New Jersey State Parole Board monitors about 250 sex offenders via GPS, and has had great success, in terms of cost and results, as a BI customer. The board’s public-information officer, Neal Buccino, offered to introduce me to a local child-molester, who allowed me to attend his regular parole meeting on the condition that I not use his real name. I will call him Mick.
Mick was 57, with a bad back, rotten teeth, and hepatitis. He’d worn a BI tracker for two years. When he walked in from the icy streets of Trenton, my eyes darted to the electronic components hanging off his leg and clothing, and I sympathized with him immediately. Mick had tried to kill himself a few months earlier in a bout of depression, possibly brought on by poverty and estrangement from his son and daughter, both of whom he had been convicted of molesting. He was tall and lanky, with glasses and a moustache, and, in the way of some depressives, was disarmingly funny. If I’d met Mick in the hallway of my apartment building, I would have thought he was there to fix the heater.
His parole officer, an intelligent young guy named John Goldin, meets Mick weekly to confirm where he has been, and why. He started by checking off the signs that Mick had kept away from kids and continued living his desperate and carefully observed life. “Any contact with police?” Goldin asked. “Drugs? Alcohol? Minors?”
Mick gave four quick, weary Nos.
Did Mick still plan to go fishing to supplement the $480 he had left over from his monthly disability payment after he paid child support? Were bedbugs still feasting on him and the other residents of his rooming house? Why had he gone to Broad Street on Wednesday?
Mick answered the questions with the resignation of someone who had become used to explaining every minute of his life to a man barely half his age. Yes, he was going to start fishing again. The bedbugs were gone for now. He’d gone to Broad Street to visit the TD Bank and count the loose change he’d found on the street.
As for the anklet itself, he told me his diabetes made him worry about where the band rubbed his skin. “I can’t afford no infections,” he said. In the summer, when the weather was hot and he didn’t wear long pants to conceal his tracker, he said the stares were constant: “I get tired of people asking me every day, ‘That a phone?’ I mean, shut the fuck up.”
Mick said he had trouble visiting his mother in her retirement home, because she worried about explaining why her son always wore a device on his leg. “She gets upset, and I can’t say that I blame her,” he said dejectedly. “It feels like it has grown into my skin sometimes.” It seemed also to have grown into his brain.
WHATEVER ITS MERITS, the idea of increasing the number of free-range felons such as Mick is unlikely to make for good politics. Willie Horton still haunts the dreams of every aspiring politician. Even Steven Alm says it was largely his reputation as a former prosecutor and “hanging judge” that enabled him to institute HOPE, since no one could plausibly accuse him of being soft on crime. “I’m convinced this is one of those Nixon-in-China things,” he explained. “If I hadn’t been a career prosecutor, there’s no way the law-enforcement people would have gotten on board.”
Nevertheless, there are moves under way to experiment with HOPE-like programs outside Hawaii. In addition to the conversations Alm has held with Attorney General Holder, legislation introduced by Representatives Adam B. Schiff (a California Democrat) and Ted Poe (a Texas Republican) would establish a competitive grant program to provide seed money for HOPE-style probation systems. Small programs are in place in Nevada and Oregon, and Alaska launched its own effort this summer. And the market for monitoring devices seems destined to expand, as the technology involved becomes more widespread and hardware costs continue to fall. Already, I have an application on my iPhone that broadcasts my exact location to selected friends at all times. If I were ever convicted of a crime and forced to submit to GPS tracking, I would, in theory, need only to add my probation officer to my Google Friends list and keep my phone handy. (When I showed the app to BI’s Jennifer White, she had trouble fathoming that anyone would use such a thing without a court order. “Do you keep that on all the time?” she asked suspiciously.) And with prison costs rising, and the pernicious effects of incarceration becoming clearer all the time, the problem of selling prisons without walls will presumably grow easier over time.
There are also, of course, worries about the creeping power of government, and the routinization of surveillance. Right now, BI monitors mostly offenders who have done something seriously wrong, and although its anklets enable parole and probation officers to lay down very specific location itineraries, in practice most just mark off home and work spaces. But there is no reason, as the technology gets cheaper and the monitoring ever more fine-grained, why electronic monitoring could not be used to impose an ever wider range of requirements on an ever wider range of “criminals.” A serious felon might have every second of his day tracked, whereas a lighter offender like myself—recently caught lead-footed by a traffic camera—might be required to carry a tracker that issues an alert any time I move faster than 65 miles per hour. (If such an intervention sounds far-fetched, recall that many jurisdictions in the United States already require convicted drunk drivers to pass an ignition-mounted Breathalyzer test before they can start their cars.)
The technology is already largely in place for such forms of Big Brother surveillance. In theory, they’d require little more than a creative judge to impose them, and someone behind a monitor in an office somewhere to enforce them. And that’s before you even begin spinning out the science-fiction scenarios, which themselves might not be so very far off. Right now the electrostatic patches made by BI and others monitor the sweat of parolees only for alcohol. But why stop there? Despite some practical hurdles, they could perhaps be upgraded to taste other substances, such as amphetamines or other drugs. And if patches can ensure that certain foreign substances remain out of the bloodstream, why not ensure that others are added to it—pharmaceuticals, say, to inhibit libido or muzzle aggression or keep psychosis at bay. They could even, again in theory, police the natural substances in our sweat, our hormones and neurotransmitters, the juices that determine our moods and desires. No machine currently exists that could sniff out criminal intent, or schizophrenia, or sexual arousal, from the armpits of a parolee or probationer, but the forward march of technology suggests that such a device is far from impossible, and that perhaps someday routine monitoring by authorities could be used to map convicts not just geographically but emotionally as well. If, for instance, the parole officer for a convicted rapist saw that his charge was in a state of highly elevated aggression, fear, and arousal, he might ask the police to pay an immediate visit to deter a possible crime—or, perhaps, interrupt a consensual encounter.
Future generations of devices could also be programmed to interact more directly with a client’s immediate surroundings. They might, for instance, react to the radio-frequency chips embedded in commercial products for the next generation of retail checkout scanners, and sound a warning if a parolee approached cigarettes like those he once shoplifted, or the liquor he liked to abuse. Or anklets could be set up to react with one another, preventing ex-cons from getting together without sounding an alert. Monitors could even be sold to store owners or other private citizens to let them know when particular categories of criminals set foot on their property.
These are the kinds of possibilities that give privacy advocates nightmares. Erik Luna, a law professor at Washington and Lee University, is a critic of mandatory sentencing and other measures that have packed U.S. jails, but he urges caution when viewing electronic monitoring as an alternative. “There should be a general concern about the extent of the power of the state to follow and track individuals and gather information about their lives,” Luna says. “What is the minimum ambit of privacy, to maintain the level of human dignity that a liberal form of government should provide?”
At the same time, if the people being monitored are those who would otherwise be in prison, then the infringement on their privacy is substantially less intrusive than that entailed in being required to sit in a cell all day. BI’s White made exactly this point when I raised the question with her. “They are doing their time in lieu of incarceration,” she said, with some exasperation. When I asked whether the privacy concerns of inmates should be considered at all, her answer, in essence, was no: “A person’s rights, when they are incarcerated, or a ward of the state, are different from yours and mine.”
And what of our rights, those of us outside the realm of the criminal-justice system? If the past several years in the shadow of a war against terrorism have taught us anything, it is that, once available, surveillance technologies rarely go unused, or un-abused. Could yesterday’s warrantless wiretapping become tomorrow’s clandestine cell-phone tracking? The technology already exists: even a cell phone that lacks a GPS can be traced to within a few city blocks. Once the legal and technical infrastructures were in place to allow the monitoring of criminals, it would be a relatively simple step to extend that monitoring to any person the government considered, for whatever reason, to be “of interest.”
For now, of course, none of these scenarios is close to taking place. Even HOPE, a narrow, low-tech program, is limited to Hawaii, and the number of convicts wearing BI’s anklets still make up a tiny fraction of those serving time, even outside prison walls. When close monitoring of probationers and parolees emerges as an ever more obvious alternative to expensive incarcerations, we would be wise to remain vigilant against Orwellian abuses. But potential drawbacks and pitfalls notwithstanding, it seems likely that the invasive surveillance model, combining tracking technology and the Kleiman/Alm paradigm of “swift and certain” justice, could offer an alternative to much of the waste—in human as well as economic terms—of our current, dysfunctional system.
In a way, the goal of Panopticon justice is as old as morality itself. It aims to install a tiny voice in each offender’s head, a warning that someone is watching and that wrongdoing will be punished. Most of us call that tiny voice a conscience. But for some that voice is overwhelmed by other, louder voices expressing need or impulse or desire, voices less bound by reason or consequence. If a device strapped to an ankle can help restore the balance, can amplify the voice of conscience relative to the others, is that such a bad thing? For optimists of human nature, it is a melancholy realization that the highest function of humanity can be, to some extent, outsourced to a plastic box. But the American criminal-justice system has become in many ways a graveyard of optimism. And surely it is better to outsource the fragile voice of conscience to a plastic box than to do what our brick-and-bar prisons so often do, which is to extinguish that voice altogether.
This article available online at:
http://www.theatlantic.com/magazine/archive/2010/09/prison-without-walls/8195/