sca_planning_and_implementation_guide-1 by CSG Justice Center

Second Chance Act Planning and Implementation Guide The Council of State Governments Justice Center has prepared this Planning and Implementation Guide in partnership with the Bureau of Justice Assistance (BJA), U.S. Department of Justice.1 The guide is intended for the state, local, or tribal government agencies that have received Second Chance Act (SCA) demonstration grants to plan reentry initiatives serving adult populations (“adult demonstration planning grantees”). For these grantees, completion of the guide is required under the grant conditions. The guide will help adult demonstration planning grantees plan a multidisciplinary, jurisdiction-wide reentry strategy to improve outcomes for individuals leaving prison or jail. It describes key practices for promoting safe and effective reentry, and then prompts you to identify the degree to which these practices are in place in your jurisdiction. You and your Justice Center staff contact will use your responses to the self-assessment to collaboratively develop a technical assistance plan. ABOUT THE GUIDE The guide provides a starting point for planning an effective reentry strategy. It is not intended to be a detailed step-by-step blueprint. As a planning tool, the guide is meant to help you think about a comprehensive strategy for reducing recidivism and promoting safe and effective reentry—not just for a small subset (or target population) of individuals, but for the broader population leaving correctional facilities in your county or state. As a tool meant to facilitate a jurisdiction-wide reentry strategy, the guide is not meant to help plan a “program” (an effort to increase reentry success for a small target population over a limited period of time). Rather, it helps you think about how to design a collaborative jurisdiction-wide recidivism-reduction strategy that is neither time-limited nor funding-dependent. The guide is divided into two sections, each including both background discussion assessment questions. You will be prompted to write short responses, attach existing documents, or complete a checklist. 

Section One: Establishing Collaborative Decision Making helps readers determine if they have the right people at the table to plan and oversee their reentry initiative. It underscores the importance of including representatives (including leaders) of the various systems, agencies, and parts of the community impacted by reentry in the planning process; establishing defined roles for each party and clarifying roles with interagency agreements; measuring outcomes; and documenting the initiative’s purpose, vision, mission, and goals. This portion of the guide should be reviewed, completed, and returned to your TA lead by February 28, 2013. Section Two: Assessing Current Practices helps readers gauge the efficacy of their jurisdiction’s existing policies and practices that relate to reentry. It first discusses the keys to recidivism reduction known as the Risk-Needs-Responsivity principles. It then identifies key practices at seven decision points in the reentry process—from intake to discharge from supervision—that research shows promote safe and effective reentry. Grantees are prompted to identify to what extent their jurisdiction is already implementing these key practices, or whether they should be prioritized for implementation. This portion of the guide should be reviewed, completed, and returned to your TA lead by April 30, 2013.

The CSG Justice Center would like to thank the Northpointe Institute for Public Management, Center for Justice Innovation and Leadership for its contributions to early drafts of this guide.

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To develop the guide, Justice Center staff drew on lessons learned from more than 100 site visits to SCA grantees—both jurisdictions with established reentry strategies as well as those in the planning stages— and consulted extensively with national reentry experts. Throughout this process, staff worked with policymakers, corrections and social service administrators, and practitioners in various disciplines to ensure the guide’s value in guiding a collaborative reentry planning process. INSTRUCTIONS You should complete the guide at the beginning of the planning process to assess existing policies and practices and to prioritize future efforts. Once completed, share your responses to questions in the guide with your Justice Center technical assistance contact. (Sharing your completed guide responses with Justice Center staff helps us ensure that you have met your BJA grant requirements and that your needs are addressed.) Using your completed guide, Justice Center staff will partner with you to jointly determine an appropriate technical assistance plan tailored for your jurisdiction. The guide will also help you periodically track and review your progress over the course of the project. 1- Establish a reentry task force2 using the information provided in Section 1 of the guide. Questions 18 in Section 1 should be answered by the project lead and indicate how the task force members were identified and brought together. This group will be responsible for completing the remainder of the guide. 2- Share and review the guide with all of the members of the reentry task force. Your responses to the remainder of the questions and checklists in the guide should reflect thoughtful discussions among task force members about how you are designing your initiative and how your current reentry practices support your recidivism-reduction goals. 3- Answer each question in Section 1 of the guide as accurately as possible. The members of the task force should agree upon the vision, mission, and goals of the task force as these will serve as the foundation of your strategic planning process. 4- Send Section 1 answers to the Justice Center staff person assigned to your project by February 28, 2013, who will set up a conference call with you and your team to discuss your responses. It is important that you establish a truly collaborative decision-making body and all members of the task force agree upon their mission before you complete Section II and begin a comprehensive strategic planning process. Attach other documents if you think they are relevant, such as rosters of task force members or agendas or minutes from past task force meetings. 5- Complete Section 2 of the guide. Your reentry task force should discuss the best approach for completing the guide; you may want to do it as a group or delegate specific sections to various subgroups. Be sure to gather input from staff at all levels involved in your reentry effort—from the front 2

A “reentry task force” or “task force” is a term used throughout this guide to refer to the group of individuals responsible for planning and implementing your SCA project. To learn more about who should participate in this group, see the discussion on pp. 4–6 of this guide.

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line to the executive office. It is important to note that no grantee is expected to have fully implemented every one of the elements or principles recommended in the guide, especially at the moment when you’re first completing it. This process is meant to be iterative; your responses will change over time as your jurisdiction’s needs and resources change. Identifying the areas where the self-assessment indicates improvement may be necessary will help you prioritize your efforts and understand the scope of work to be tackled. You can direct any questions you have about the checklists to the Justice Center staff member assigned to your project. 6- Discuss your responses with the other members of your reentry task force. (You may want to complete the checklists as a group.) Your team should discuss what you learned from completing the checklists and flag any questions to discuss further with your Justice Center technical assistance contact. 7- Send Section 2 to the Justice Center staff person assigned to your project by April 30, 2013, who will set up a series of conference calls and/or on-site visits with you and your team to discuss your responses and how they can be used to guide your strategic planning process and complete a written strategic plan. 8- Bring a draft of your guide responses – however far along you are – to the SCA Grantee Conference scheduled for May 2013. (You will receive more information about the SCA Grantee Conference in coming weeks.) HOW JUSTICE CENTER STAFF WILL USE THIS GUIDE Although the guide was developed principally as a tool for adult demonstration planning grantees, it also helps Justice Center staff understand the status and progress of your project, the types of challenges you are encountering, and the ways we might assist you in making your project a success. This is why it is critical that your responses to the guide accurately reflect the protocols you currently have in place, as well as which measures you do not have in place yet. Justice Center staff will use your answers and discussions with your team to design a technical assistance plan.

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SECTION ONE: Establishing Collaborative Decision Making For a reentry initiative to be successful, representatives of all relevant agencies and organizations— including institutional and community corrections, law enforcement, housing, behavioral health, employment, and faith-based groups—must participate in a collaborative planning process, and highlevel executives of those agencies should be committed to the process. BJA’s Mandatory Requirements The discussion in this section describes Section 101 of the Second Chance Act identifies various aspects of collaborative decision ten “mandatory requirements that must be making to lead your reentry initiative. It helps included in an application . . . to secure funding you decide who should be at the table; how to for a comprehensive reentry program.” The define and document a mission, vision, and recommendations in this section are drawn from goals; the importance of measuring these mandatory requirements (MRs), and, outcomes; and how to establish an effective where appropriate, excerpts of the MRs are leadership and organizational structure. provided. For more information (and to read the mandatory requirements in their entirety), see You will be prompted to provide a description http://www.ojp.usdoj.gov/BJA/grant/11SCAdult of your efforts in each of the following topic ReentrySol.pdf (pp. 5–6). areas. You can attach your responses in a separate document to be submitted to your Justice Center contact, along with your completed checklists from Section Two. Ensuring Comprehensive Membership Your reentry task force should include representatives of all branches of government and should reflect the broad range of systems with which people returning from prison and jail interact. Building a successful reentry task force requires that correctional agencies partner with other justice agencies as well as employment, education, housing, health, Relevant Mandatory Requirements mental health, and other relevant social service agencies. Efforts should also integrate perspectives BJA’s MRs 4 and 5 call for a task force led by from various community members, elected officials, representatives of all parties affected by reentry. leaders of faith communities, victims, and others MR 4 says, “Participants in the creation of the impacted by the reentry efforts. Community reentry strategy should include representatives leaders, formerly incarcerated individuals, and their from the fields of public safety, corrections, family members should be involved as well. These housing, health, education, substance abuse, parties must collaborate effectively not only to plan children and families, victims’ services, the initiative, but also to address problems as they employment, and business.” MR5 says that your arise. Your task force should be able to offer broad, application should include “[e]xtensive evidence jurisdiction-wide responses to the challenges of collaboration with state and local government associated with reentry. agencies overseeing health, mental health, housing, child welfare, education, substance The task force is a dynamic body. You should make abuse, victims services, and employment every effort to continuously recruit and incorporate services, and with local law enforcement newly identified stakeholders within your agencies.” community. If your task force operates at the state level, you should ensure that you incorporate the

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perspectives of local government officials. Conversely, if your task force operates at the local level, you should ensure that you understand and address the perspectives of state government officials. The task force will be more effective if its membership is broad and it engages multiple constituencies. Relevant Mandatory Requirements The task force should include high-level BJA’s MR 7 instructs that your application representatives of your jurisdiction’s chief executive— should include “[d]ocumentation that for example, senior staff from the office of the mayor, reflects explicit support of the chief county executive, or governor. It is critical that the executive officer of the applicant state, initiative has support from the highest levels of unit of local government, territory, or government in order to implement jurisdiction-wide Indian tribe and how this office will remain policy changes. Furthermore, task force members informed and connected to the activities representing key agencies and systems should have of the project.” the authority to make decisions on behalf of their agencies. An effective task force goes beyond recommending new strategies and solutions and sees them through to implementation. Decisionmakers participating in the multidisciplinary reentry task force can share insights about what is realistically possible, make commitments on behalf of their agencies, and work to implement necessary changes within their agencies and organizations. 1. Who is involved in your reentry task force? List their names, titles, and organizations or agencies. (Task force members who do not represent a particular organization—for example, family members, victims, and formerly incarcerated individuals—can be identified by the perspective they offer.) 2. Does your task force include a representative of your jurisdiction’s chief executive? 3. Do task force members have decision-making authority on behalf of their agencies? 4. How will system leaders, champions and community stakeholders be kept informed about your progress? Documenting Your Task Force’s Structure and Leadership Implementing a comprehensive reentry Relevant Mandatory Requirements strategy is not a short-term project. Although some of the policies and practices BJA’s MRs 4 instructs applicants to provide to reduce recidivism can potentially be “certification of the involvement of [all] agencies implemented quickly and with little effort, and organizations” involved in the reentry strategy. others may take considerably longer and MR 6 states that your application should include an require complex coordination. In some “extensive discussion of the role of state corrections cases, it will take months, if not years, of departments, community corrections agencies, and concentrated effort towards planning, local jail corrections systems in ensuring successful developing, championing, obtaining buy-in, reentry of offenders into their communities.” and aligning the appropriate partners before a particular recidivism-reduction strategy can be fully implemented and see measurable results.

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Your reentry task force will be effective only if its members work together productively. For this reason, it is important that your task force is structured and organized in a way In the Transition from Jail to the Community (TJC) that ensures its long-term sustainability. A Initiative (http://www.urban.org/projects/tjc/), the task force must have a clear leadership National Institute of Corrections and Urban Institute structure; established sub-committees to provide detailed information on how to structure a accomplish its work; and a well-articulated task force for a reentry initiative working specifically vision, mission, and goals. (See Appendix A with people returning from local jails: for a sample reentry task force structure) http://www.urban.org/projects/tjc/toolkit/module3 These elements can be brought together in a /Module3.pdf. written charter that documents members' agreements regarding the initiative's scope, organization, purpose, and function. Partners should also consider developing formal memoranda of understanding (MOUs) or letters of agreement (LOAs) that define the boundaries and precise expectations of the collaborative partnership. Formal agreements like MOUs and LOAs also serve as an effective mechanism for reminding partners of their respective responsibilities within a collaborative effort, particularly as staff turnover and changes in leadership occur. National Institute of Corrections on How to Structure a Jail Reentry Task Force

Your group should agree upon, and document in writing, the leadership roles, how leaders are selected, the leadership term, succession and replacement plans for key individuals, and basic responsibilities. An organizational chart that specifies various workgroups or sub-committees necessary to support the planning and implementation of your task force's recommendations will also be helpful. You should define the role and domain of responsibility for each workgroup, identify its leader, and describe how and when the workgroup will report to the broader task force. You should also identify the criteria used for determining membership in the task force or planning group (e.g., individuals who have decisionmaking authority within their respective organizations or individuals who represent particular perspectives). 5. Who leads the reentry task force? Does the task force include sub-committees (and if so, what is the purpose of each of these groups)? Attach an organizational chart for your task force. 6. How does the task force incorporate state/local perspectives? 7. Have you developed MOUs or LOAs? If so, please attach them. 8. How often does the task force meet? Who coordinates the task forceâ&#x20AC;&#x2122;s meeting schedule, agenda and logistics?

Identifying Your Vision, Mission, and Goals It is important that partners working together on a reentry initiative share a common understanding of the need for the effort and what it is designed to achieve. Vision and mission statements, as well as

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specific and actionable goals, are important tools for ensuring that partners are working in harmony towards a focused purpose. Documenting the effort’s vision, mission, and goals will help partners on the reentry task force concisely communicate the effort’s purpose to both internal and external constituencies and create a way of ensuring accountability. Vision Statement A vision statement describes what a reentry initiative would ideally accomplish in your jurisdiction. It should succinctly communicate what the reentry effort will achieve that is not being realized now. It provides reentry task force members, as well as leaders of the represented agencies and the broader community, with a clear sense of the initiative’s purpose. The following example includes the key elements of a reentry vision statement—whom the initiative will serve (“every inmate”), what it will do for them (“provide access to services, supports, and resources”), and why this is necessary (“reducing recidivism and increasing public safety”). After discussions with your task force, you can use this vision statement or adapt it to meet the needs and purposes of your jurisdiction. The vision of the [insert the name of your reentry task force] is that every inmate released from prison/jail within or to [insert your jurisdiction] will have access to the services, supports, and resources he or she needs to succeed in the community, thereby reducing recidivism and increasing public safety. All the principals serving on your reentry task force, as well as the executives at the agencies they work for, should be able to communicate your collective vision for reentry. Mission Statement A mission statement describes how the agencies collaborating to promote effective reentry in your jurisdiction will achieve the stated vision. The mission statement should reflect the key principles that are a foundation for the specific strategies you will use to accomplish the vision. The following example includes the key elements of a reentry mission statement by identifying how the initiative will accomplish its vision. After discussion, you can use this mission statement or adapt it to meet the needs and purposes of your jurisdiction. The mission of the [insert the name of your reentry task force] is to reduce recidivism and promote public safety by implementing a seamless plan of coordinated services and supervision developed for each individual based on his or her risks and needs. Agencies from the criminal justice and social service systems, as well as a broad range of individuals involved with reentry or impacted by it, collaborate to design the reentry planning process, which focuses on an individualized plan from the time of the individual’s intake at a correctional facility, through the period of incarceration, to the period of transition, reintegration, and aftercare in the community. All the principals serving on your reentry task force, as well as the executives at the agencies they work for, should be able to describe how you will achieve better outcomes for people returning from incarceration.

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Goals

Relevant Mandatory Requirements

Goals are the specific BJA’s MR 1 instructs applicants to develop a “reentry benchmarks that your task force strategic plan that describes the jurisdiction’s long-term agrees to accomplish. They reentry strategy, including measurable annual and 5should be clearly defined and year performance outcomes, relating to the long-term realistically attainable. goals of increasing public safety and reducing recidivism. Articulated goals should provide One goal of the plan shall be a 50 percent reduction in the task force with consistent the rate of recidivism over a 5-year period.” expectations and a way of measuring progress and accountability. By setting goals, the task force imposes standards by which to measure its progress towards realizing its vision and mission. The task force should establish both short- and long-term goals, and put mechanisms in place to periodically assess how well What Do We Mean by Recidivism they have been attained. and Recidivism Rate? A fundamental goal of reentry is to reduce recidivism. Therefore, the task force should establish the extent to which it expects to reduce the recidivism rate within a specific time frame—for example, one, three, and five years from release. To do this, your task force must first agree upon how it will define and measure recidivism, and over what period of time it will track exoffenders. For example, a common recidivism measure is reincarceration for a minimum of one year, either for a new crime or for violating the terms of supervision, within three years of release.

Recidivism occurs when a person with a criminal record fails to comply with the rules or laws of the justice system. The recidivism rate is the proportion of people released from incarceration who are rearrested, reconvicted, returned to custody, or otherwise sanctioned for a technical violation of supervision (such as failing a drug test) within a specific time period. Definitions adapted from the Pew Center on the States, State of Recidivism: The Revolving Door of America’s Prisons (Washington, DC: The Pew Charitable Trusts, April 2011), available at http://www.pewcenteronthestates.org/uploadedFile s/Pew_State_of_Recidivism.pdf.

Your task force may also consider setting intermediate goals regarding released individuals’ use of services. The task force should first assess the service and treatment assets that are available in the community. Once it has done this, it can then set realistic goals for increasing the numbers of referrals and service connections.

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9. What is your jurisdiction’s reentry vision statement? 10. What is your jurisdiction’s reentry mission statement?

11. How does your jurisdiction define recidivism? 12. What are your initiative’s short-term (e.g., one-year) recidivism-reduction goals? 13. What are your initiative’s long-term (e.g., three-year and five-year) recidivism-reduction goals? 14. What are your other intermediate goals? 15. What was the process for developing the Task Force’s mission, vision and goals? Has consensus been reached by all members of the task force?

Measuring and Reporting Outcomes The collaborative decision-making structure that you’ve established to support the planning of your comprehensive reentry effort is also responsible for ensuring the plan results in measurable reductions in recidivism. Ensuring that the decisions your task force has made are moving your jurisdiction in the right direction is crucial. The only way to be sure you are making progress towards your goals is to collect data from the outset of the initiative and at regular intervals along the way.

Relevant Mandatory Requirements BJA’s MR 1 requires that you describe “the evidence-based methodology and outcome measures that will be used to evaluate the program and a discussion of how such measurements will provide a valid assessment of the impact of the program.”

Your task force should determine how to collect data that helps you assess whether you are accomplishing your goals. First, determine what data the various agencies involved in the initiative currently collect and how the data are stored. Understanding how data are stored will help you understand the level of difficulty in acquiring them for reporting purposes. If the data are stored electronically, ask if they are kept in a separate database/ spreadsheet or if they are available to other network users. If the data are stored only in paper form, staff will have to manually pull the relevant files in order to acquire the data for reports. Once you determine what data you already collect and how they are stored, then your task force can determine how to improve data collection procedures in order to capture the additional data you need to inform your reentry effort. When designing a data collection and reporting system, you should keep expectations realistic and achievable. Collect, analyze, and report on only the most essential information. More information is not always better, especially if it takes staff away from other duties.

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The next step is to determine how the data will be analyzed. Analyzing data in a way that ensures accurate results and provides a basis for making informed decisions is a specialized skill. Your team should identify someone—either from an evaluation department of a participating agency, or a research group from a nearby university—who has the skills and capacity to analyze the data you generate. The task force should next determine how to organize and share the data with important stakeholders. These data can be a powerful part of your public education and outreach efforts. To use these data to “tell the story” of your initiative’s progress, your task force should develop talking points and key messages, which will be useful for anyone who “champions” your initiative. Be sure to carefully plan how and when to share outcome data from your initiative and to tailor them to the audience you hope to reach (e.g., the media, elected officials, potential new stakeholders). For example, a thorough progress report can be useful for updating task force members, but may not be the most effective strategy for reaching elected officials; PowerPoint presentations or one-on-one conversations may be more effective for this group. Press releases or press kits highlighting the most impressive outcomes of your work are often an effective approach for reaching members of the media. 16. In addition to recidivism, what outcomes are the members of your task force interested in tracking? 17. Do you currently collect the data you need to track the outcomes of interest to your taskforce, stakeholders and any relevant grant requirements? If not, how can you improve your data collection effort to get you the data you need? 18. What agency or agencies are responsible for collecting the data you need? 19. How are data stored? (Are they stored electronically, in paper files, or in networked databases?) 20. Who has the knowledge, skills, and abilities to synthesize the data? If you do not have a person or a team who can analyze your data, how will you acquire this capacity? 21. Have you identified benchmarks (such as current recidivism rate, service referral or utilization rates) against which you will compare your outcome data? 22. How often and to whom will your task force report on recidivism and other outcomes? 23. How will data be reported (e.g., through formal reports, press releases, newsletters, or something else)? 24. How will you describe the data to elected officials? The public? Critics? Champions? 25. How is this data being used, if at all, to frame policies and practices at the legislative and administrative levels?

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SECTION TWO: Assessing Current Policies and Practices This section provides background on risk reduction, and then a series of checklists that will allow you to assess your current reentry policies and practices to ensure they will impact recidivism and achieve other common reentry goals. What Do We Mean by Risk of Recidivism or Criminogenic Risk? The likelihood that an individual (either formerly incarcerated and/or under supervision of a justice agency) will commit a crime or violate the conditions of his/her supervision. In this context, risk does not refer to the seriousness of crime that a person has committed in the past or will commit in the future. People who have committed a violent or assaultive offense may still be considered at low risk of committing a future crime, for example. Standard assessment tools do not predict an individualâ&#x20AC;&#x2122;s likelihood of committing violent crimes; they only provide information on the likelihood that a person will reoffend in the future. Principles of Recidivism Reduction In recent years, criminal justice and social science researchers have identified specific principles that are proven effective in reducing recidivism. When implemented correctly and consistently, the principles of Risk, Need, and Responsivity will help to decrease the likelihood that an individual will reoffend.3 These principles, based on decades of study, help policymakers and practitioners make informed decisions on how to use their resources to improve outcomes for a population that is often served by the criminal justice, behavioral health, and other social service systems. Effectively implementing the risk-reduction principles may require fundamental shifts in how correctional authorities and communities interact with individuals returning to the community. A detailed understanding of these principles should inform your work with individuals at all stages, or decision points, throughout the reentry process. When implemented correctly and consistently, the Risk-Need-Responsivity principles will help administrators and practitioners focus their resources where they will have the greatest impact on reducing recidivism and meeting the needs of individuals released from correctional control. These principles are stated below. What Do We Mean by Risk Assessment? A comprehensive examination and evaluation of both dynamic (changeable) and static (historical and/or demographic) factors that predicts risk of recidivism and provides guidance on services, placements and supervision, and, in some cases, sentencing.

Risk Principle: Focus supervision and services on the people most likely to commit crimes. Research shows that prioritizing resources for individuals at moderate or high risk for reoffending can lead to a significant reduction in recidivism. Conversely, intensive interventions for low-risk

James Bonta and Don A. Andrews, Risk-Need-Responsivity Model for Offender Assessment and Rehabilitation (Ottawa, Ontario: Public Safety Canada, 2007).

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individuals are not an effective use of resources and may even be harmful by exposing them to high-risk individuals. To comply with the risk principle, you need to ensure your assessment tools accurately predict risk of recidivism and that the information from the tool is used to determine the appropriate services, supervision, and supports for each individual. Traditionally, service providers have prioritized services and treatment for people who volunteer to participate or demonstrate a willingness to participate in services. However, programs that target high-risk individuals have a larger impact on recidivism rates than those programs that target low-risk individuals. An evaluation of Ohio’s residential treatment programs confirmed these results.4 Need Principle: Address an individual’s greatest criminogenic needs. Research shows that a person’s likelihood to commit a crime or violate What Do We Mean by Criminogenic Needs? the rules and conditions of their supervision can change when you The characteristics or circumstances (such as attend to their criminogenic needs. This antisocial attitudes, beliefs, thinking research indicates that there are eight patterns, and friends) that research has criminogenic needs which contribute to shown are associated with criminal an individual’s risk of recidivating: (1) behavior, but which a person can change. antisocial attitudes, (2) antisocial These needs are used to predict risk of beliefs, (3) antisocial friends and peers, criminal behavior. Because criminogenic (4) antisocial personality patterns, (5) needs are dynamic, risk of recidivism can be high-conflict family and intimate lowered when these needs are adequately relationships, (6) substance abuse, (7) addressed. While a person may have many low levels of achievement in school needs, not all of their needs are directly and/or work, and (8) unstructured and associated with their likelihood of antisocial leisure time. Risk assessments committing a crime. help identify a person’s greatest criminogenic needs so that that the appropriate services can be provided to that individual. An effective reentry strategy does not ignore other general reentry needs (such as getting a participant clothing, a driver’s license, and a place to live). But it may use referrals and focus fewer resources to meet those needs. It structures services and supports so that these services attend first to participants’ key criminogenic needs. Responsivity Principle: Adapt interactions and services so that they enhance an individual’s ability to learn and acquire new attitudes and skills. The responsivity principle requires that all of an individual’s barriers to learning are considered when assigning or delivering services. People require interventions that are tailored to their distinct personality traits, service needs, and characteristics. Barriers to learning can include a 4

Edward Latessa, Lori Brusman Lovins, and Paula Smith, Follow-up Evaluation of Ohio’s Community Based Correctional Facility and Halfway House Programs—Outcome Study (Cincinnati: University of Cincinnati Center for Criminal Justice Research, February 2010).

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mental illness, low motivation, and unpreparedness for change. Adherence to responsivity principles can help service providers to address noncriminogenic needs that interfere with interventions or learning and to motivate individuals who are unprepared for change. One of the most important responsivity issues that your initiative should address is an individual’s motivation to change. Research has helped define techniques that are effective in motivating change. Corrections staff and service providers should incorporate these techniques in order to (1) effectively engage higher risk participants, (2) build and strengthen intrinsic motivation, and (3) reduce the risk of recidivism. Examples of these techniques include      

providing more compliments than critiques (researchers have demonstrated that a ratio of four-to-one is most effective); using motivational interviewing tactics; issuing swift, certain, and proportionate incentives and sanctions for behavior; expressing empathy without conveying approval for negative behavior; avoiding engaging in a power struggle when an individual resists change; and reinforcing a person’s belief in his or her ability to change.

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Reducing Recidivism: Implementing Effective Policies and Practices Even if your reentry initiative is still in the planning process, stakeholder agencies almost certainly already work with people returning from prison or jail. The following checklists allow you to assess current practices that affect people returning from Seven “Decision Points” in the Reentry Process incarceration and help you determine which practices or These seven decision points were first articulated in the policies may need to be changed Transition from Prison to the Community Initiative (TPCI), (or added) to your recidivisma model designed by the National Institute of Corrections reduction efforts. You will be and Abt Associates to help states restructure their prompted to identify the degree transition practices to increase reentry success rates. The to which your jurisdiction has TPCI model is a framework to encourage systemic reentry implemented a given policy or reform—planned and implemented by a collaborative practice, with 1 signifying that the policy team drawn from law enforcement, institutional policy/practice is “not and community supervision agencies, paroling authorities, implemented,” 3 that it is public human services agencies, community service “partially implemented,” and 5 providers, and others. To learn more about TPCI, see that it is “fully implemented.” http://nicic.gov/Library/020285. The checklists are organized around seven “decision points” or events in the reentry process that present opportunities for criminal justice and social service system officials and community-based partners to collaborate and improve the likelihood of safe and successful reentry. Phase Institutional

Transition

Community

Decision Point 1. Assessment and Classification 2. Behavior and Programming 3. Release Preparation 4. Release Decision Making 5. Supervision and Services 6. Revocation Decision Making 7. Discharge and Aftercare

Description Measure the offender’s risks, needs, and strengths. Assign interventions to reduce risk, address need, and build on strengths. Develop strong, public safety-conscious release plans. Improve release guidelines. Provide flexible and firm supervision and services. Using graduated sanctions to respond to behavior. Determine community responsibility for the case.

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DECISION POINT #1: ASSESSMENT AND CLASSIFICATION GOAL: To establish a comprehensive, standardized, objective, and validated intake tool and procedure that can be used to assess an individual’s strengths, risks, and needs upon his or her admission to the correctional facility.5 What Do We Mean By Validated? Assessment instruments that have been “validated” are those that have been statistically determined to accurately predict outcomes for the population served in the issue areas being assessed. Validity applies to both face value (whether the instrument or process used makes sense to those who use it) and predictive validity (whether the instrument or process can predict and measure risks such as recidivism with statistical accuracy). Validation processes have found that tools validated previously may not be valid for all populations: what works for probationers may not work for prisoners. SOURCE: CSG Justice Center, The National Summit on Justice Reinvestment and Public Safety, available at http://justicereinvestment.org/files/JR_Summit_Report_Final.pdf

KEY: 1 = not implemented / 3 = partially implemented / 5 = fully implemented 1

1 2 3 4 5 6 7 8 9 10

Policy and Performance Expectations A validated risk/needs assessment instrument is used for all individuals at intake. The assessment instrument measures risk of recidivism. Staff is trained to administer and interpret the assessment instrument. Assessment results are stored in an electronic database so that aggregate reports can be compiled. Quality assurance audits are conducted on the assessment process to ensure accurate and consistent assessments are completed. The risk assessment information is also used as one of the factors when classifying the individual and determining his or her placement. A standardized screening or clinical assessment instrument is used to identify individuals who may have substance abuse and/or mental health disorders. Those who need further assessment receive it. Family life, history of domestic violence, and the impact of incarceration on relationships (especially with children) are assessed. The vocational aptitudes, education levels, and employment histories of all individuals are assessed. All individuals’ current benefits/entitlements eligibility is assessed in order to determine steps needed to activate benefits/entitlements

For more information, see the Council of State Governments, Re-Entry Policy Council, Report of the Re-Entry Policy Council: Charting the Safe and Successful Return of Prisoners to the Community (New York: Council of State Governments, 2005), pp. 110–140.

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upon release. Financial assets and debts are assessed in order to work with individuals to prevent child support arrears mounting to an unmanageable level. Interpersonal skills, attitudes, and beliefs are assessed. Basic literacy is assessed. Staff engages community-based service providers to inform assessments with additional information. When outside information is shared with corrections staff, protocols are established to ensure the accuracy and availability of assessment information while attending to confidentiality regulations. Staff cultural competencies are improved through training, which includes not only internal but also partner agency staff. Staff explains the purpose and function of the assessment process and the extent to which the information will be shared with each individual. A tracking system records when individuals are assessed.

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If a risk/needs assessment instrument is used: 1) What instrument is used?

When does the risk/needs assessment occur?

Who conducts the risk/needs assessment?

Are individuals reassessed for risk prior to release?

Has the risk/needs assessment instrument been validated for your population?

If a screening or clinical assessment is used to identify people who may have substance abuse and/or mental health disorders: 1) What instrument(s) are used? 2) When does the screening occur? 3) Who conducts the screening? 4) Are individuals reassessed? If so, how often? Other comments:

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DECISION POINT #2: BEHAVIOR AND PROGRAMMING GOAL: To develop an individualized plan that draws on assessment findings to determine programming during incarceration that can increase an individual’s chances of returning to the community safely and successfully.6 KEY: 1 = not implemented / 3 = partially implemented / 5 = fully implemented 1

Policy and Performance Expectations

Information obtained through assessments is used to develop an individualized programming plan that coordinates the delivery of targeted services for each person. Policies designed to get an individual to comply with his or her programming plan incorporate strategies that reinforce positive behavior and respond to negative behavior. The programming plan is achievable and accounts for the individual’s term of confinement and other issues that might hinder his or her ability to participate in programming. The programming plan includes provisions for periodically reassessing the individual during his or her incarceration and for changing the plan accordingly. A centralized record-keeping system is in place to record an individual’s progress towards fulfilling his or her individualized programming plan.

Prison or jail-based staff and service providers regularly communicate about an individual’s programming plan.

Programming plans provide more intensive interventions for higher risk offenders and carefully consider the risk principle before assigning lower risk offenders to interventions. Every program is assessed for the degree to which it adheres to the principles of risk, need, and responsivity.

Other comments:

For more information, see the Report of the Re-Entry Policy Council, pp. 141–153.

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DECISION POINT #3: RELEASE PREPARATION GOAL: To develop an individualized plan, based on assessment findings, that details what programming should be provided after the period of incarceration to facilitate the inmate’s safe and successful return to the community.7 KEY: 1 = not implemented / 3 = partially implemented / 5 = fully implemented 1

1 2 3 4 5 6 7

Policy and Performance Expectations Individuals are enrolled with appropriate community-based human service agencies as part of the reentry planning process. The programming plan includes a schedule of times for the individual’s initial meetings at the agencies immediately upon release. All reentry planning incorporates the principles of cultural and gender competency. Community-based service providers are engaged in the development of the reentry plan. Supervision officers are engaged in the development of the reentry plan prior to the individual’s release. Once a release date is established, the individual is transferred to a facility closer to home, when feasible. The individual’s family members, other members of his or her support network, and positive role models are contacted and engaged in the reentry plan development.

The conditions of release incorporate plans for how various payments (e.g., court-ordered restitution, child support, fines) will be addressed upon release.

Prior to release, individuals receive assistance to determine whether they are eligible for any federal or state benefits post release (i.e. Medicaid/Medicare, SSI/SSDI, food stamps, etc.) that will support their reentry.

Other comments:

For more information, see Report of the Re-Entry Policy Council, pp. 141–153.

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DECISION POINT #4: RELEASE DECISION MAKING GOAL: To inform the releasing authority about the extent to which the individual is prepared to return to the community and the extent to which the community is prepared to receive him or her.8 KEY: 1 = not implemented / 3 = partially implemented / 5 = fully implemented

Policy and Performance Expectations A validated risk assessment instrument is used to predict the risk of reoffending that an individual presents to the community upon release. When risk assessment, criminal history information, and other factors reflect a higher likelihood of reoffending, the individual is assigned to a period of community supervision upon release. The results generated by a validated risk assessment instrument, in addition to other information, are used to inform the intensity level and duration of supervision. For those jurisdictions that have maintained some discretion in the release process, risk assessment information is used to inform when release is most appropriate. Whenever the release decision is discretionary, the reasons for the decision are articulated in writing by the releasing authority. A transition planning team reviews the individualâ&#x20AC;&#x2122;s progress towards completing the programming plan and collects other information to advise the releasing authority and initiate the transition planning process. The jurisdiction has a process for notifying a victim when the releasing authority has decided to release an individual.

Conditions of release recognize the particular strengths and needs of each individual and the resources of the community.

4 5

9 10

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Release conditions are realistic and achievable. Release decision-making authorities have established procedures that allow supervising officers to modify the conditions of release according to the individualâ&#x20AC;&#x2122;s behavior, including possibly reducing the term of supervision because of good behavior. Conditions of release are developed with input from community partners. This can promote greater community buy-in and support for the individual upon release. Releasing authorities are trained and supervised to use and analyze the information provided to them objectively and effectively.

Other comments:

See Report of the Re-Entry Policy Council, pp. 230â&#x20AC;&#x201C;253.

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DECISION POINT #5: SUPERVISION AND SERVICES GOAL: To review and prioritize the terms and conditions of release established by the releasing authority, and to develop a community supervision and treatment strategy that corresponds to the resources available to the supervising agency, reflects the likelihood of recidivism, and employs incentives to encourage compliance with the conditions of release.9 KEY: 1 = not implemented / 3 = partially implemented / 5 = fully implemented 1

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Policy and Performance Expectations A transition team—which includes representatives from institutional and community corrections, law enforcement, and communitybased agencies—is charged with developing a comprehensive supervision and services strategy. Local law enforcement, supervision, community-based treatment, and service agencies coordinate their activities involving the supervised individual with one another, and the process of collaborative case management is defined in policy and procedure. A supervision officer is assigned to each individual well before the date of his or her release and participates in planning for the individual’s transition. A written copy of the terms and conditions of release and transition plan are provided to each individual and explained clearly, ensuring that he or she understands them prior to release. The frequency and type of contact between the supervision officer and individual under supervision corresponds to the level of risk he or she presents. Supervision and service resources are reserved for higher risk offenders. Individuals are supervised in the community where they live. Each individual’s progress towards completing his or her transition plan is assessed periodically, and the plan is modified accordingly. Supervision and treatment resources are concentrated on the period directly following an individual’s release. Supportive family members and other networks of support are engaged in the process of planning for the individual’s supervision and service connections. Supervision strategies are based on the information obtained through risk and needs assessment instruments. Information about an individual is shared with law enforcement agencies in the jurisdiction to which he or she will return prior to release. Community-based reentry task forces are organized to allow each community to identify existing assets, barriers, and gaps in current treatment resources and services that can meet the needs of

See Report of the Re-Entry Policy Council, pp. 343–355.

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individuals returning to their community. Community-based services assigned for each individual target his or her dynamic risk factors, and take into account conditions that may interfere with learning or receiving these services.10 For individuals who are released without supervision and for whom there is no authority to mandate involvement, effort is made to strengthen the transition plan and connect the person to services and resources upon release.

Other comments:

Sometimes referred to as â&#x20AC;&#x153;criminogenic needs,â&#x20AC;? dynamic risk factors are factors that can be changed with intervention and treatment, such as unemployment or drug use.

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DECISION POINT #6: REVOCATION DECISION MAKING GOAL: To ensure that community corrections officers have a range of options available to them to reinforce positive behavior (incentives) and to address failures to comply with conditions of release (sanctions) swiftly and certainly.11 KEY: 1 = not implemented / 3 = partially implemented / 5 = fully implemented 1

1 2 3 4 5 6 7 8 9 10 11 12

Policy and Performance Expectations An operating procedure or policy statement guides how sanctions and incentives are imposed. Incentives and sanctions are discussed with the individual before any violation has occurred. Incentives are delivered immediately upon the completion of the specified goal, and sanctions are delivered immediately after misbehavior or violation. Responses to violations are proportionate to the behavior and consider the individualâ&#x20AC;&#x2122;s level of risk. Community-based partners are engaged in designing responses to violations. Policies governing how information is shared among criminal justice and social service agencies consider privacy and confidentiality issues. Supervision officers have the flexibility to impose graduated incentives and sanctions based on offender behavior. Meaningful positive reinforcements exist to encourage the individual to comply with the terms and conditions of release. Victims are given an opportunity to inform how incentives and sanctions are applied. Judges who play a role in the supervision process receive adequate information and training on how to use sanctions to reinforce behavior change. Revocation and reincarceration are considered the most serious of many different options available for addressing violations. Community-based partners are notified when a revocation has occurred.

Other comments:

See Report of the Re-Entry Policy Council, pp. 390â&#x20AC;&#x201C;405.

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DECISION POINT #7: DISCHARGE AND AFTERCARE GOAL: To ensure that when the term of supervision is concluded—particularly through an early discharge—that community-based social service agencies continue to manage the individual’s care even though he or she is no longer under community supervision. KEY: 1 = not implemented / 3 = partially implemented / 5 = fully implemented

Policy and Performance Expectations Policies and procedures are in place allowing the agency to discharge a person before the completion of his or her period of supervision.

Early discharge is considered when the individual has consistently complied with the terms of supervision.

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Policies and procedures describe the roles and responsibilities of each agency contributing to the aftercare plan. The aftercare plan is the document that identifies the tasks and activities an individual will complete following discharge from correctional control. The discharge and aftercare plan is driven by a final assessment of the individual’s level of risk as well as his or her needs and strengths. The collaborative case management team meets to discuss the individual’s conclusion of supervision and to plan for the post-discharge period. Community-based social service agencies are fully engaged in discharge and aftercare planning. An individual’s success under supervision is recognized and celebrated.

Other comments:

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Appendix A: Sample Reentry Task Force Structure

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