1. 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

2. Correctional Paradigms
Rehabilitation
Punishment

3. 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)

4. CRIMINOLOGICAL COMPONENT
Theoretical Framework

5. 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.

6. CORRECTIONAL COMPONENT
The Contributions of Meta-Analysis and the Principles of Effective Intervention

7. 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

8. 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.

9. 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…

10. The Need Principle
Criminal History Antisocial Attitudes/Cognitive-Emotional States Antisocial Peers Temperamental and Personality Factors ______________________________________________________ Family and Marital Factors Education and Employment Substance Abuse Leisure and Recreation

11. 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.

12. Taking Stock of the Principles 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.

13. 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

14. Relationship Skills in Mandated Treatment
Skeem et al. (2007)
CARING AND FAIRNESS
TRUST
AUTHORITATIVE (VERSUS AUTHORITARIAN)

15. 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).

16. Core Correctional Practices
Staff members should view themselves as agents of change and support the goals of offender rehabilitation.

17. TECHNOLOGICAL COMPONENT
Technology Transfer and the Diffusion of Innovation

18. 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)

19. 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.

20. 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.

21. Adult Residential Programs: Treatment
Criminogenic needs are targeted.
Cognitive-behavioral approaches are used.
Facilitators use structured skill building exercises with clients.
Modeling and role playing skills
Graduated rehearsal
Offenders are supervised in treatment and the community.
Intensity and duration of services are varied by risk and need.

22. Adult Residential Programs: Evaluation
The program collects recidivism data on participants.
The program has conducted an outcome evaluation.
External quality assurance protocols have been established.
File reviews are regularly conducted.
Offenders complete pre/post tests to document change.

23. 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.

24. 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.

25. 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

26. 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)

27. 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.

28. Program Implementation
Evidence-Based Practice Cognitive-Behavioral Treatment “They know the words but not the music.” Edward Latessa (2010)

29. Program Implementation
“What Works”
“How to Make It Work”

30. 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.

31. 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

32. Overview of Implementation Projects
Curriculum Development/Program Design
Phase I:
Training
Phase II:
Implementation/Coaching
Phase III:
Quality Improvement
Phase IV:

33. 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

34. 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.

35. 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.

36. 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.

37. 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.

38. 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

39. Contact Information
Paula Smith, Ph.D. Director, Corrections Institute Center for Criminal Justice Research University of Cincinnati (513)