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Justice Research and Statistics Association 720 7th Street, NW, Third Floor Washington, DC 20001 www.jrsa.org
August 15, 2013
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IMPLEMENTING EVIDENCE-BASED PRACTICES IN COMMUNITY CORRECTIONS Stephen M. Haas, Ph.D., Director Office of Research and Strategic Planning
JRSA Training and Technical Assistance Webinar August 15, 2013
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Welcome
Presentations: Applying RNR in Effective Community Supervision: Strategic
Training Initiative in Community Supervision (STICS) Quantifying and Executing the Risk Principle in Real World
Settings
Key points: Building staff (PO) capacity to build collaborative working
relationships and apply cognitive-behavioral techniques (James Bonta)
Achieving adherence to the risk principle in practice, and importance of defining and measuring dosage (Kimberly Sperber)
Follows recent special issue of Justice Research and Policy, EBP in Community Corrections
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JRP Special Issue
Series of articles relate to what is needed to better ensure fidelity to evidence-based practices in community supervision and treatment
Contemporary topics: STICS, Motivational Interviewing, Development, Implementation, and Systemic Impact of Risk Assessment, and Adherence to Risk Principle and Dosage
Justice Research and Policy
Toward Evidence-Based Decision Making in Community Corrections:
Research and Strategies for Successful Implementation
Special Issue now available at http://jrsa.metapress.com!
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Webinar
Presenters: James Bonta, Director of Corrections Research, Public
Safety Canada Kimberly Sperber, Chief Research Officer, Talbert House - Cincinnati, Ohio
Moderator: Stephen M. Haas, Director of the Office of Research and
Strategic Planning, West Virginia Division of Justice and Community Services
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The Importance of Program Fidelity
“If a program has been unable to adhere to the salient principles [of effective correctional
intervention] in a substantive meaningful way, the expectation of observing a significant
decrease in re-offending is predictably diminished.”
- Rhine, Mawhorr, and Parks (2006), Criminology and Public Policy
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Current Practice and Challenges
The scientific evidence for what makes for effective community supervision and treatment is abundant and continues to grow
Long-term prospects of the current EBP movement hinge, in a large part, on the capacity of the field to address known barriers to successful implementation
That is, improve adherence to principles and practices that are known to work. This is the issue of fidelity (or “how well” EBP is done) Requires systematic measurement (treatment integrity, dosage,
etc.), performance monitoring/QA, and feedback
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Current Practice and Challenges
Much is known about what impacts the successful implementation of EBP in corrections: Organizational culture/leadership Poor staff attitudes and orientation toward service delivery Poor staff selection, training, and competence Poor monitoring/feedback to staff Lack of evaluator involvement Absence of clinical supervision of staff
To overcome barriers, many believe this requires: 1. Greater use of the knowledge and lessons learned in the
emerging “implementation science” (i.e., drivers); 2. Navigating from thinking about evidence-based programs
as an intervention to “evidence-based decision making;” 3. Recognizing the unique role and necessity for
researcher/evaluator involvement
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1. Science of Implementation
Fixsen et al., 2005
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2. Toward Evidence-Based Decision Making
EB decision-making in large-scale, real world correctional environments
Has its own set of demands: Develop organizational leadership and policy/procedural
development; Moving supervision officers to “change agents” Staff capacity to weight scientific evidence against
individual needs/circumstances and available resources Training on key skills (e.g., core correctional practice,
cognitive-behavioral techniques, MI, offender assessment, and case planning)
Monitoring supervision integrity and performance
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3. Importance of Evaluator Involvement
Presence of program planners and evaluators in implementation and ongoing monitoring = larger effect sizes
Recognize the inherent complexity in transferring EBP to the field, use multiple measures/sources for process implementation
Quality assurance mechanisms/performance measures for monitoring adherence and program planning Defining and quantifying “what is meant by supervision/treatment;” Refining measures of “quality” versus “quantity”…focusing on treatment
integrity Ascertain how RNR principles are “operationalized” in the field
Through measurement we can fill gaps in our understanding of what
leads to good implementation, and what does/does not work and under what condition!
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Contact Information
[email protected] 558-8814 ext. 53338
Stephen M. Haas
Important links: http://www.djcs.wv.gov/SAC/
http://www.facebook.com/wvorsp http://www.twitter.com/wvorsp
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STICS: Strategic Training Initiative in Community Supervision
Strategic Training Initiative in Community Supervision (STICS)
Applying the RNR Principles in Effective Community Supervision
James Bonta Public Safety Canada
Webinar Presentation, Justice Research and Statistics Association, August 15, 2013
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STICS: Strategic Training Initiative in Community Supervision 14
RNR Principles
Risk Principle match level of service to offender risk
Need Principle target criminogenic needs
Responsivity Principle cognitive-behavioral interventions work best
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STICS: Strategic Training Initiative in Community Supervision
Adherence to Principles in Community Settings
Decrease
Increase
Rec
idiv
ism
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STICS: Strategic Training Initiative in Community Supervision
Outcome k N Φ
General recidivism 26 53,930 .02
Violent recidivism 8 28,523 .00
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Effectiveness of Community Supervision
k = number of effect sizes Bonta et al. (2008)
Community supervision appears to have a minimal impact on recidivism
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STICS: Strategic Training Initiative in Community Supervision 17
Manitoba Case Management Study Do Probation Officers follow RNR?
a) Is level of intervention proportional to risk?
Modest adherence
b) Does supervision target criminogenic needs?
Not in the majority of cases
c) Are POs using cognitive-behavioral the techniques?
Inconsistently (Bonta et al., 2004, 2008)
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STICS: Strategic Training Initiative in Community Supervision
The STICS Model Following the RNR Principles
Training: Target criminogenic needs, especially
procriminal attitudes Use cognitive-behavioral techniques Structure sessions – be strategic Continued Skill Development: Monthly Meetings Formal Clinical Feedback Refresher Courses
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STICS: Strategic Training Initiative in Community Supervision
STICS Evaluation:
Randomized Control Trial
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STICS: Strategic Training Initiative in Community Supervision
Variable STICS (N = 100)
Control (N = 43)
Attitudes 45.2% 17.9%
When discussed, proportion of session on:
Criminogenic needs 61.8% 45.1%
Non-criminogenic needs 39.0% 51.6%
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Content of Discussions
STICS POs more focused on relevant issues
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STICS: Strategic Training Initiative in Community Supervision 21
Officer Skills
STICS improves RNR skills
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STICS: Strategic Training Initiative in Community Supervision 22
Reconviction (2.3 years)
0
5
10
15
20
25
30
35
40
45
ControlSTICS
STICS: r = .146 “Real world”: r = .15 (k = 10)
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STICS: Strategic Training Initiative in Community Supervision
Summary
Officer Behavior ~ RNR
Reduced Client Recidivism
British Columbia Estimated Cost Saving = $5.7 million
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STICS: Strategic Training Initiative in Community Supervision
STICS in BC Community Corrections
1. Goal to train @ 370 probation officers across 50 offices
2. Build Capacity 3. Implementation Integrity
4. Monitor and Evaluate
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STICS: Strategic Training Initiative in Community Supervision
1. Training in STICS
Started in September 2011 - December, 2012: 13 offices and 163 officers trained Monthly meetings (13 per month) Refreshers (@ 20)
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STICS: Strategic Training Initiative in Community Supervision
2. Build Capacity
Coaches (office level, 25-30 hours per month) Roles: - schedule monthly meetings and assist at refresher courses - listen to recordings and provide oral feedback (1/2 day/week)
STICS Coordinators (4 Coordinators, all full time) Roles: - lead monthly meetings, deliver refresher courses, give written feedback - supervise the coaches Training of Coaches and Coordinators: - from STICS research team (special training sessions)
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STICS: Strategic Training Initiative in Community Supervision
3. Implementation Integrity
1. POs are expected to: a) attend a refresher course b) participate in at least eight monthly meetings c) receive feedback on two recorded sessions 2. Monitor and evaluate
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STICS: Strategic Training Initiative in Community Supervision
4. Monitor and Evaluate
Plan
Pre-Post design: 4 clients/PO baseline and 6 post-training clients
The “Pause” (January 2013)
Why? Audio recordings baseline < 70% Audio recordings post-training = 64%
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STICS: Strategic Training Initiative in Community Supervision
The Pause
Questions: 1. Why the lower # of projected recordings? 2. Are we on the right track? 3. What is the level of commitment to STICS? Method: Interviews and questionnaires Random sample of 92 post-training recordings
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STICS: Strategic Training Initiative in Community Supervision
Recordings
@ 19% of offices insufficient flow through
The plague of technology
Working out the bugs in recruitment protocol • post-training tapes from 65% to 85% • baseline tapes from 70%< to 90%
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STICS: Strategic Training Initiative in Community Supervision
On the Right Track? Mean Scores and Percent Use of STICS Skills
Skill
2007 STICS Baseline + Control
(N = 105)
2012-13 BC Post-Training
(N = 92)
Significance
Structuring 8.65 14.30 p = .000
Relationship 11.65 12.87 p = .009
Behavioural Techniques 9.31 9.60 p = .64
Cognitive Techniques 0.019 0.90 p = .000
Total Skills 29.63 37.67 p = .000
Any Cognitive Technique 1/105 = 0.9% 31/92 = 33.7% p = .000
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STICS: Strategic Training Initiative in Community Supervision
On the Right Track? Session Characteristics
More “Therapeutic”
Less “Therapeutic”
STICS: More “therapeutic” oriented
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STICS: Strategic Training Initiative in Community Supervision
Usefulness of STICS Skills Mean Role clarification 4.57
Goal setting 4.54
Active listening 4.52
Prosocial modelling 4.35
STICS Behavior Model 4.18
Session structure 4.18
Effective reinforcement/disapproval 4.03/3.72
Cognitive restructuring 4.00
Problem-solving 3.78
Homework 3.68
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STICS: Strategic Training Initiative in Community Supervision
Moving Forward
Importance of the Pause
• Understanding the up-take
• Taking steps to enhance engagement STICS training and clinical support Managerial leadership and support Communicating roles and a vision
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Quantifying and Executing the Risk Principle in Real World
Settings
Webinar Presentation Justice Research and Statistics Association
August 15, 2013
Kimberly Sperber, PhD
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Support for the Risk Principle
• Hundreds of primary studies • 7 meta-analyses • Men, women, juveniles, violent offenders, sex
offenders
• Programs that target higher risk offenders are more effective
• Reductions in recidivism are greatest for higher risk offenders
• Intensive interventions can harm low risk offenders
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2002 UC Ohio Study of HH’s and CBCF’s
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2002 UC Ohio Study of HH’s and CBCF’s Treatment Effects For High Risk Offenders
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-18-15 -14
-6 -5-2 -2
2 3 3 35 6 7 8 8 9 10 10
12 12 12 13 13 1315
21 2224 25
2730
3234
River City
Fresh Start
Alternative Agency
Talbert House Cornerstone
Community Assessment Program (Men’s)
Monday
WORTH
Cincinnati VOA McMahon Hall
Talbert House Spring Grove
NEOCAP
Oriana House RIP
Alvis House Dunning Hall
Lorain/Medina
All CBCF Facilities
Canton Community Treatment Center
Lucas County
SRCCC
All Facilities
Licking/Muskingum
Summit County
ButlerSEPTA
Community Transitions
Franklin County
Small Programs
Oriana House TMRC
Cincinnati VOA Chemical Dependency Program
Alvis House Alum Creek
Talbert House Beekman
Comp Drug
Harbor Light Salvation Army
Community Corrections Association
Toledo VOA
Mahoning County
EOCC
0
10
20
30
40
-10
-20
-30
-40
Prob
abili
ty o
f Rei
ncar
cera
tion
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Challenges for Practitioners
• We understand more services/supervision for high risk and less services/supervision for low risk
• Conceptual understanding of the risk principle
versus operationalization of the risk principle in real world community settings to achieve maximum outcome
• “Can we quantify how much more service to
provide high risk offenders?”
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Limited Guidance
• Prior Literature: – Lipsey (1999)
• Meta-analysis of 200 studies • Serious juvenile offenders
– Bourgon and Armstrong (2005) • Prison study on adult males
• More Recent Literature: – Sperber, Makarios, and Latessa (2013)
• Community-based setting
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Identifying Effective Dosage Levels in
a Community-Based Setting
• Sperber, Latessa, & Makarios (2013): – 100-bed CBCF for adult male felons – Sample size = 689 clients – Clients successfully discharged between 8/30/06 and
8/30/09 – Excluded sex offenders – Dosage defined as number of group hours per client – Recidivism defined as new sentence to prison – All offenders out of program minimum of 12 months
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Unanswered Questions
1. Defining dosage 2. What counts as dosage? 3. Prioritization of criminogenic needs 4. Counting dosage outside of
treatment environments
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Unanswered Questions
5. Sequence of dosage 6. Cumulative impact of dosage 7. Impact of program setting 8. Low risk but high risk for specific
criminogenic need
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Unanswered Questions
9. Nature of dosage for special populations
10.Impact of skill acquisition 11.Identifying moderators of risk-
dosage relationship 12.Conditions under which dosage
produces minimal or no impact
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Forthcoming Studies
• Under Review: – Treatment Dosage and the Risk Principle: An
Extension and Refinement • Makarios, Sperber, and Latessa
• In Progress: – Examining the Risk-Dosage Relationship in
Female Offenders • Spiegel and Sperber
– Treatment Dosage and Personality: Examining the Impact of the Risk-Dosage Relationship on Neurotic Offenders
• Sperber, Makarios, and Latessa
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Forthcoming Studies
• Under Construction: –Examining the Risk-Dosage
Relationship in Sex Offenders –The Relative Impact of Role-Play
versus Treatment Hours: Is There a Trade-Off?
–The Impact of Client Strengths on the Risk-Dosage Relationship
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But What Do We Know?
• Research clearly demonstrates need to vary services and supervision by risk
• Currently have general evidence-based guidelines that suggest at least 100 hours for moderate risk and at least 200 hours for high risk
• Should not misinterpret to imply that 200 hours is required to have any impact on high risk offenders
• Not likely that there is a one-size-fits-all protocol for administering dosage
• Practitioners have a responsibility to tailor interventions to individual’s risk/need profile based on best available evidence
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Practitioner Responsibilities for Effective Execution of the Risk Principle • Process for assessing risk for all clients • Modified policies and curricula that allow for variation
in dosage by risk – Assess infrastructure and resources
• Definitions of what counts as dosage and mechanism to measure and track dosage – Unit of measurement – Quality versus quantity
• Formal CQI mechanism to: – Monitor whether clients get appropriate dosage by risk – Monitor quality of dosage – Monitor outcomes of clients receiving dosage outside of
evidence-based guidelines
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Conclusions
• Corrections has benefitted from a number of well-established Evidence-Based Guidelines and Evidence-Based Practices
• Next evolution will focus on bringing a more nuanced understanding and application of these EBG’s and EBP’s to the individual client level
• Practitioner-driven CQI/data needs to intersect with research to drive this process so that we continually move the field forward to maximize public safety outcomes