TAKING IT TO THE NEXT LEVEL:Core Correctional Practices

Paula Smith, Ph.D.

School of Criminal Justice

College of Education, Criminal Justice and Human Services

University of Cincinnati

Presented at the

Annual Meeting of the IACCAC

Indianapolis, IN

November 2012

Correctional Paradigms

Rehabilitation

Punishment

Rehabilitation Paradigm

Rehabilitation should be undertaken as part of a coherent paradigm and consists of three components:

Theoretical Framework (Criminological)

Empirical Support (Correctional)

Tools for Practitioners (Technological)

CRIMINOLOGICAL COMPONENT

Theoretical Framework

Psychology of Criminal Conduct

• The psychology of criminal conduct is based on principles of human behavior that are rooted in behavioral, cognitive and social learning theories.

• This approach seeks to provide an theoretical, empirical and practical understanding of criminal behavior.

CORRECTIONAL COMPONENT

The Contributions of Meta-Analysis and the

Principles of Effective Intervention

Principles of Effective Intervention:The RNR Framework

RISK

WHO

Deliver more intense

intervention to higher risk offenders

NEED

WHAT

Target criminogenic needs

to reduce risk for recidivism

RESPONSIVITY

HOW

Use CBT approaches

Match mode/style of service to

offender

The Risk Principle

If you intend to reduce recidivism, then it is critical to focus on the offenders who are most likely to re-offend!

Assess and identify higher risk offenders.

Deliver greater dosage of treatment to higher risk offenders.

The Risk Principle

Avoid including lower risk offenders in more intense (or restrictive) services as it is likely to increase recidivism rates.

WHY?

We disrupt protective factors.

We expose them to higher risk peers.

We also force them to interact with us…

The Need Principle

Criminal HistoryAntisocial Attitudes/Cognitive-Emotional States

Antisocial PeersTemperamental and Personality Factors

______________________________________________________

Family and Marital FactorsEducation and Employment

Substance AbuseLeisure and Recreation

The Responsivity Principle

Use cognitive-behavioral strategies to decrease antisocial behaviors and increase prosocial behaviors.

Match the style and mode of service to key offender characteristics and learning styles.

Taking Stock of thePrinciples of Effective Intervention

Smith, Gendreau and Swartz (2009)

• There are more than 40 published meta-analyses of the correctional treatment literature.

• Results have been replicated with remarkable consistency; there is considerable support for the RNR framework across quantitative reviews of the literature.

Core Correctional Practices

Gendreau, Andrews and Theriault (2010)

Effective Reinforcement

Effective Disapproval

Effective Use of Authority

Cognitive Restructuring

Anti-Criminal Modeling/Structured Skill Building

Problem Solving

Relationship Skills/Motivational Interviewing

Relationship Skills in Mandated Treatment

Skeem et al. (2007)

CARING AND FAIRNESS

TRUST

AUTHORITATIVE (VERSUS AUTHORITARIAN)

Relationship Skills in Correctional Settings

Spiegler and Guevremont (2010)

…the therapist-client relationship is a necessary but not a sufficient condition of treatment (p. 9).

Core Correctional Practices

Staff members should view themselves as

agents of change and support the goals

of offender rehabilitation.

TECHNOLOGICAL COMPONENT

Technology Transfer and the

Diffusion of Innovation

Demonstration Projects vs. Routine Programs

• Previous research has found a difference in the average effect size for demonstration projects vs. routine programs in corrections.– Egg et al. (2000)– Lab and Whitehead (1990)– Lipsey (1999)– Lowenkamp et al. (2006)– Ortmann (2000)

Demonstration Projects vs. Routine Programs

• The UC database now contains more than 680 evaluations of individual programs/correctional agencies.

• Unfortunately, the vast majority (64%) do not receive a passing grade.

UC Program Evaluation Research:Adult Residential Programs

• We examined the program level characteristics correlated with outcome in three major studies involving several hundred programs and more than 40,000 offenders.

Adult Residential Programs:Treatment

1. Criminogenic needs are targeted.

2. Cognitive-behavioral approaches are used.

3. Facilitators use structured skill building exercises with clients.- Modeling and role playing skills- Graduated rehearsal

4. Offenders are supervised in treatment and the community.

5. Intensity and duration of services are varied by risk and need.

Adult Residential Programs:Evaluation

1. The program collects recidivism data on participants.

2. The program has conducted an outcome evaluation.

3. External quality assurance protocols have been established.

4. File reviews are regularly conducted.

5. Offenders complete pre/post tests to document change.

Adult Residential Programs:Overall Results

• Results indicated that there was a strong correlation between program level characteristics and reductions in recidivism (r = .60).

• All the areas matter, but assessment, treatment and implementation were particularly important.

UC Program Evaluation Research:Adult Community-Based Programs

• We examined the program level characteristics correlated with outcome in more than two hundred adult community-based programs and 13,000 offenders.

• Sample included both misdemeanants and felons under community supervision.

• Specific programs included day reporting centers, work release, ISP, and EM.

Adult Community-Based Programs:Program Level Characteristics

Director caseload Director experience Staff value/skill

Staff input Staff experience Staff meetings

Training Budget Community support

Caseload size Pre/post test Outcome eval

Funding QA Tx model

Process eval # of groups available Exclusionary criteria

Exclusions followed Length of program Separate groups by risk

Hours of tx per week Manual followed Offender input

Manual RP-treatment Quality aftercare

RP-supervision 75% of referrals for tx Success rate

Higher risk sample

Adult Community-Based Programs:Four Factors

• Proportion of higher risk offenders in program (at least 75% of offenders in programs were moderate or high risk)

• Level of supervision for higher risk offenders (averaged longer periods of supervision than lower risk)

• More treatment for higher risk offenders (at least 50% more time spent in treatment)

• More referrals for services for higher risk offenders (at least 3 referrals for every 1 received by lower risk)

PROGRAM INTEGRITY – In all three studies…

• IT MATTERED.

• It can be changed.

• Good programs (based on sound theory) can substantially reduce recidivism. However, the same program poorly implemented can actually increase recidivism.

Program Implementation

Evidence-Based Practice

Cognitive-Behavioral Treatment

“They know the words but not the music.”

Edward Latessa (2010)

Program Implementation

“What Works” “How to Make It Work”

Specific Gaps in Program Implementation

ALL corrections professional should view themselves

as agents of change.

It is critical to understand that short-term compliance

does not necessarily translate into long-term behavioral change.

It is critical to take advantage of teachable moments

in order to encourage offenders to generalize skills

beyond the treatment setting.

Specific Gaps in Program Implementation

• Administering a risk assessment ≠ Using the results

• Identifying a domain ≠ Generating an individualized treatment plan

• Implementing a structured treatment manual ≠ CBT program

• Training staff ≠ Proficiency in skills related to service delivery

Overview of Implementation Projects

Phase I:Curriculum Development/Program Design

Phase II:Training

Phase III:Implementation/Coaching

Phase IV:Quality Improvement

Phase I:Curriculum Development/Program Design

• A Multidisciplinary Implementation Team (MIT) is established at each site to plan and monitor the implementation of new program elements.

• The MIT should incorporate at least one member from each discipline/job title that has regular contact with program participants.– Administration– Supervisors– Clinicians and group facilitators– Case managers– Security staff– Training and/or quality assurance coordinators

Phase I:Curriculum Development/Program Design

• Sub-committees are developed to focus on four key implementation areas:– Assessment and case management– Structured treatment curricula and program schedule– Behavior modification system– Training and quality assurance

• The UCCI plays an active role in this process to ensure that planned changes are consistent with evidence-based practices and the program model.

Phase II:Training

• Training hours and topics vary based on program needs.

• The UCCI provides the majority of the training, but the MIT assists with instruction on specific program elements.

Phase III:Implementation and Coaching

• During this phase, modified program components are piloted with staggered implementation.

• On-site and videoconference coaching are provided on a regular basis (weekly to monthly, depending on phase and need), and includes observation of service delivery with feedback.

• Implementation teams meet regularly to monitor progress and provide feedback.

Phase IV:Quality Improvement

• MIT continues to meet in order to review progress and sort out logistics and make further modifications if needed.

• On-site and videoconference coaching sessions continue to be provided at this stage.

• The UCCI focuses on individuals responsible for supervision and oversight of the program in order to ensure fidelity over time.

Phase IV:Quality Improvement

• Several feedback mechanisms are also established:– Surveys of participant and staff satisfaction– Exit evaluations– Standardized assessments to measure client progress in treatment– Structured staff evaluations of skills associated with service delivery

Contact Information

Paula Smith, Ph.D.

Director, Corrections Institute

Center for Criminal Justice Research

University of Cincinnati

(513) 556-5836

paula.smith@uc.edu