CEPP SVORI - Final

Increasing Public Safety
Through Successful
Offender Reentry:
Evidence-Based and
Emerging Practices
in Corrections
A companion document to:

THE NATIONAL INSTITUTE OF CORRECTIONS
TPC REENTRY HANDBOOK
and
THE NATIONAL INSTITUTE OF CORRECTIONS
TPC CASE MANAGEMENT HANDBOOK
This project was supported by Grant No. 2004-RE-CX-K007, awarded by the Bureau of Justice Assistance, U.S. Department
of Justice. Points of view in this document are those of the author and do not necessarily represent the official positions or
policies of the U.S. Department of Justice.
Center for Effective Public Policy © 2007

Table of Contents
Preface ii
Acknowledgments iv
Introduction 2
Purpose of This Handbook 2
Intended Audience 3
Handbook Structure 3
Additional Resources 4
Section One: Offender Reentry from a National Perspective 5
Introduction 5
Chapter 1: Scope of the Problem 6
Chapter 2: A National Shift Toward Reentry 8
Section Two: A Framework for Offender Reentry 16
Section Three: Leadership and Organizational Change 22
Introduction 22
Chapter 1: Demonstrating Leadership 23
Chapter 2: Preparing for Organizational Change 29
Chapter 3: Preparing Staff for Organizational Change 36
Section Four: A Rational Planning Process for a Learning Organization 46
Introduction 46
Chapter 1: Conducting a Rational Planning Process 47
Chapter 2: Data Collection and Monitoring: The Foundation of Rational Planning 60
Section Five: The Essential Role of Collaboration 70
Introduction 70
Chapter 1: Collaboration: What Is It and Why Is It So Important? 71
Chapter 2: Collaboration Between Institutional Corrections and Community Supervision Agencies 73
Chapter 3: Multidisciplinary Collaboration 77
Chapter 4: How to Collaborate 86
Section Six: Key Strategies in Effective Offender Management 94
Introduction 94
Chapter 1: An Evidence-Based Approach to Reentry 96
Chapter 2: Assessment 101
Chapter 3: Programs and Services 106
Chapter 4: Success-Driven Supervision 118
Chapter 5: Staff-Offender Interactions 131
Chapter 6: Effective Case Management 141
Section Seven: Women Offenders 158
Introduction 158
Chapter 1: Women Offenders 159
Chapter 2: Gender Responsiveness 162
Chapter 3: Key Management Issues for Women Offenders 165
Section Eight: Conclusion 189
Appendix 190
Offender Reentry Policy and Practice Inventory 190
Increasing Public Safety Through Successful Offender Reentry: Evidence-Based and Emerging Practices in Corrections i
Preface
In the United States, approximately 650,000 In 2004, the Center for Effective Public Policy
adults and nearly 100,000 juveniles are released (the Center) received funds under SVORI to
from incarceration each year (Harrison & Beck, develop materials for institutional corrections
2006; Glaze & Bonczar, 2006; Glaze & Palla, and community supervision staff that would
2005; Snyder & Sickmund, 2006). They return to define clearly and specifically their changing role
communities with critical needs around housing, in promoting successful offender reentry. The
employment, mental health, substance abuse Center developed and piloted two training
issues, et cetera. Often these offenders return to curricula for institutional corrections and
communities that are unprepared to address community supervision personnel, including
these issues. Outcome measures indicate that policymakers, mid-level supervisors, and line
most offenders released from correctional officers. These curricula, developed from the
institutions do not reintegrate back into the trainings conducted in five States, provide
community successfully and instead return to the policymakers and practitioners with the
criminal justice system because of new crimes or information and tools they need to serve as
parole violations. agents of change by reorienting their respective
institutional offender management and
In response to the rising costs of incarceration supervision functions toward the enhancement
and public safety concerns, the U.S. Department of public safety through successful offender
of Justice, Office of Justice Programs, Bureau of reentry. The Community Safety Through
Justice Assistance (BJA) and its federal partners Successful Offender Reentry curricula include:
funded the Serious and Violent Offender Reentry
Initiative (SVORI) as a comprehensive federal • A Training Curriculum for Corrections
effort designed to facilitate improved outcomes Policymakers, which provides institutional
for adult and juvenile offenders as they reenter corrections and community supervision agency
the community from incarceration. This initiative leadership staff with the basic information and
provided guidance and support on a national resources they need to begin changing their
level to many public and private agencies in the agency’s vision, mission, policies, and practices
pursuit of reduced offender recidivism and to align with effective offender reentry strategies.
enhanced public safety. Although institutional
corrections and community supervision agencies • An Agencywide Training Curriculum for
certainly are not alone in their efforts to reduce Corrections, which provides institutional
offender recidivism, their critical role and unique corrections and community supervision
position in managing offenders on a day-to-day agency policymakers and practitioners with
basis and during their transition from prison to training materials for staff at all levels on
the community require them to serve as the critical issues related to offender reentry.
initiating forces in broad-based efforts toward These materials are designed to enhance
increased offender success and public safety. knowledge among training participants and
engage staff in the culture change necessary
to establish successful offender reentry as a
fundamental organizational philosophy.
ii Increasing Public Safety Through Successful Offender Reentry: Evidence-Based and Emerging Practices in Corrections
In addition to these training curricula, the Center References
developed this handbook, which builds upon the Glaze, L. E. & Bonczar, T. P. (2006). Probation
experience of delivering training and technical and parole in the United States, 2005.
assistance to States that participated in this Washington, DC: U.S. Department of Justice,
project. The handbook serves as a supplement to Office of Justice Programs, Bureau of Justice
the curricula or as a stand-alone reference for Statistics.
institutional corrections and community
supervision agency staff interested in achieving Glaze, L. E. & Palla, S. (2005). Probation and
successful offender reentry as a means to public parole in the United States, 2004. Washington,
safety. Collectively, these products provide DC: U.S. Department of Justice, Office of Justice
institutional corrections and community Programs, Bureau of Justice Statistics.
supervision agencies with materials to better
inform the development of effective policy and Harrison, P. M., & Beck, A. J. (2006). Prison and
build the capacity of staff to achieve more jail inmates at midyear 2005. Washington, DC:
successful outcomes with offenders. U.S. Department of Justice, Office of Justice
Programs, Bureau of Justice Statistics.
Langan, P. A., & Levin, D. (2002). Recidivism of

prisoners released in 1994. Washington, DC: U.S.
Department of Justice, Office of Justice
Snyder, H., & Sickmund, M. (2006). Juvenile

offenders and victims: 2006 National Report.
Washington, DC: U.S. Department of Justice,
Office of Justice Programs, Office of Juvenile
Justice and Delinquency Prevention.
Increasing Public Safety Through Successful Offender Reentry: Evidence-Based and Emerging Practices in Corrections iii
Acknowledgements
The following individuals from the Center for • William Woodward, Director of Training and
Effective Public Policy were the primary authors Technical Assistance, Center for the Study and
of this handbook: Prevention of Violence, Institute of Behavioral
Science, University of Colorado at Boulder
• Dr. Kurt Bumby, Senior Manager
• Madeline Carter, Principal Finally, the Center’s staff extends its warmest
• Susan Gibel, Administrative Manager thanks to the following Bureau of Justice
• Rachelle Giguere, Program Assistant Assistance Community Safety Through Successful
• Leilah Gilligan, Senior Manager Offender Reentry grant recipients, who helped to
• Richard Stroker, Senior Manager shape our thinking and provided much of the
insight and learning contained in this handbook.
The Center would like to acknowledge the They include the leadership and staff from the
following individuals for their review and following agencies:
substantive contributions to this document:
• Kansas Department of Corrections
• Mark Carey, President, The Carey Group, • Massachusetts Executive Office of Public
White Bear Lake, Minnesota Safety, Massachusetts Department of
• Bryan Collier, Deputy Executive Director, Texas Correction, and Massachusetts Parole Board
Department of Criminal Justice • Oklahoma Department of Corrections
• Marilyn Van Dieten, Vice President, Orbis • Oregon Department of Corrections and
Partners, Inc. partner community corrections agencies
• Maureen Walsh, Chairman, Massachusetts • West Virginia Department of Corrections
Parole Board • Wisconsin Department of Corrections
Special thanks are extended to the following

individuals for their significant contributions to
the document’s development:
• Julie Boehm, Reentry Manager, Division of

Offender Rehabilitative Services, Missouri
Department of Corrections
• Peggy Burke, Principal, Center for Effective
Public Policy
• Paul Herman, Senior Manager, Center for
Effective Public Policy
• Gary Kempker, Senior Manager, Center for
Effective Public Policy
• Becki Ney, Principal, Center for Effective Public
Policy
iv Increasing Public Safety Through Successful Offender Reentry: Evidence-Based and Emerging Practices in Corrections
Increasing Public Safety
Through Successful
Offender Reentry:
Evidence-Based and
Emerging Practices
in Corrections
__________________________
Edited by:
Madeline M. Carter
Susan Gibel
Rachelle Giguere
Richard Stroker
Center for Effective Public Policy

Silver Spring, Maryland
2007
Increasing Public Safety Through Successful Offender Reentry: Evidence-Based and Emerging Practices in Corrections
Introduction
PURPOSE OF THIS HANDBOOK

This handbook is intended to inform, illustrate, Within this framework, this handbook will outline
and provide guidance to readers regarding a new how institutional corrections and community
vision for corrections that has, as its hallmark, supervision agency leadership can realign their
promoting offender success as a key element for vision and mission to produce more successful
increasing public safety. Not only does this outcomes with offenders while changing the
handbook explore the reasons why institutional organizational culture, increasing agency
corrections and community supervision agencies effectiveness through enhanced partnerships
should realign their policies and practices to with others, and engaging staff in effective
support this vision, but it also provides a offender management practices that will help
framework for how to engage in this work. This them to be more successful in their work with
framework, upon which the organization of this offenders.
document is based, includes four components to
consider when implementing an effective This handbook provides these agencies with
offender reentry strategy: information, tools, and resources as they work to
increase the likelihood that offenders will be
• Leadership and Organizational Change released from their care prepared to assume
• Rational Planning Process their active, vital, and law-abiding roles in the
• Collaboration community.
• Effective Offender Management Practices
2 Increasing Public Safety Through Successful Offender Reentry: Evidence-Based and Emerging Practices in Corrections
INTENDED AUDIENCE
Enhancing public safety through successful and ensure that appropriate policy and practice
offender reentry requires those responsible for changes are made that can positively impact
preparing the offender to reenter the community public safety. For this reason, this handbook is
and those responsible for supervising the offender directed to institutional corrections and
in the community to work together to provide the community supervision agency policymakers, top
offender with access to the services and managers, and mid-level managers who have the
resources necessary to succeed. Therefore, this authority to create the necessary organizational
handbook is intended to engage institutional changes that can ultimately enhance public
corrections and community supervision agencies safety.
at the state and local levels in embracing both
the vision of offender success as a means to This handbook was developed based on the
public safety and the necessary activities to be Center’s experiences working with agencies
undertaken to achieve this goal. For simplicity, primarily concerned with the majority of offenders
throughout this handbook the language under their supervision: adult, male offenders
“institutional corrections and community transitioning from prison to the community.
supervision agencies” is used to encompass Therefore, its language and content are consistent
prisons, jails, and community-based supervision with this population. However, much of the
entities at all levels whose staff may benefit from material (e.g., on leadership and organizational
the broad-based material presented. change, collaboration, and rational planning) is
broadly applicable to the challenges faced as a
As institutional corrections and community whole, and may indeed be useful to practitioners
supervision agencies broaden their missions, working with juveniles, females, or other special
agency leaders must clearly articulate this new offender populations. Although it is beyond the
direction in policy and strategy to their staff and scope of this document to attend fully to the
engage their employees in the process of change. reentry issues facing these populations,
To do this, they must also share the reasons for information that is particularly germane for
this change in direction. Only with the support of juvenile offenders is referenced throughout the
and enthusiasm from staff at all levels can handbook, and a separate section (Section 7) is
agencies respond successfully to the complex devoted to female offenders.
needs of incarcerated and released offenders,
HANDBOOK STRUCTURE
The handbook is constructed of several sections, offender reentry is introduced along with some
each providing important information regarding guiding principles for this work.
a specific topic. Section One, Offender Reentry
from a National Perspective, reviews the scope of The remaining sections of the handbook delve
the problems facing institutional corrections and into each component of the model in more
community supervision agencies and describes detail. Section Three discusses the importance of
the response at the national level to address the leadership and organizational change to offender
complex issues around offender reentry. reentry efforts. Section Four outlines a rational
planning process, and Section Five demonstrates
In Section Two, A Framework for Offender the importance of internal and external
Reentry, a common language and model for collaboration to undertaking this work. Effective
Increasing Public Safety Through Successful Offender Reentry: Evidence-Based and Emerging Practices in Corrections 3
offender management strategies, including the to begin to assess their current policies and
most up-to-date research on evidence-based practices as they relate to each component
practices, are presented in Section Six. described is also included. The questions for all
components are presented in full in the Offender
Key steps are summarized at the conclusion of Reentry Policy and Practice Inventory within the
each section. An inventory of questions for users Appendix.
ADDITIONAL RESOURCES
This handbook is intended to provide a how multiagency operations are reshaped by
framework for institutional corrections and partnerships.
community supervision agency leaders who are
interested in implementing more effective • The Transition from Prison to Community
offender reentry strategies. While collaboration (TPC) Case Management Handbook will
with state, local, and private agencies is crucial to address case management in great detail (this
implementing such strategies, this document is, topic will be discussed in general in this
for the most part, more narrowly focused on the handbook as well as in the TPC Reentry
critical role institutional corrections and Handbook). Its purpose will be to assist
community supervision agencies play in offender managers, first line supervisors, and line staff
reentry. However, because multidisciplinary in bringing about changes in policy, practice,
collaboration is essential to their success, the functional definitions, and skill sets. The
role and structure of these external partnerships changes will result in a new approach to
are addressed briefly in Section Five, The dealing with individual offenders utilizing
Essential Role of Collaboration. interactions with offenders as interventions in
themselves, engaging offenders in the process
Two companion documents to this handbook are of change, and redefining success as the
currently under development and are funded desired outcome of case management. The
under the Transition from Prison to Community handbook will speak to the notion of
(TPC) initiative.1 One of these documents will interdisciplinary case management, as well as
address broader, multiagency issues much more case management mechanisms that can
specifically. The other handbook will focus on a bridge the gap between institutions and
very critical but specific issue: offender case community supervision agencies. While the
management. Together, these three documents previously described handbooks will likely
will serve as a series on offender reentry. touch on many of the same topics, the TPC
Case Management Handbook will explore the
• The Transition from Prison to Community cross-system change process in greater depth,
(TPC) Reentry Handbook will describe the TPC and will include tools, examples, and
model and provide hands-on guidance on how strategies for use by leadership, mid-level
to form multidisciplinary teams to address the management, and line staff.
broad, policy-level changes across systems to
support offender success. Although the TPC
Reentry Handbook will focus on the changes
supervision agencies are undertaking, it will
primarily speak to those changes necessary at
a policy level, with particular attention paid to
Section One:
Offender Reentry from a

National Perspective Madeline M. Carter
INTRODUCTION
Institutional corrections and community In response to these high rates of recidivism and
supervision agencies have historically defined the growing impact of revocations on prison
their primary missions as providing custody and beds, many states are examining and redefining
control of incarcerated offenders, assuring the mission and function of their institutional
compliance with the conditions of release, and corrections and community supervision
returning post-release condition violators to the agencies. They are exploring how their
appropriate authority for revocation. In recent institutional, releasing, and community
years, however, momentum nationally has shifted supervision policies, practices, and resources can
away from a heavy reliance on incarceration as be integrated into a more coherent and
the solution to crime to a new focus on purposeful effort that produces the outcomes
successful offender reentry as a means to they seek: reductions in criminal behavior and
enhance public safety. enhanced public safety.
The nation’s traditional reliance on incarceration In this section, Chapter 1 will outline the scope of
has resulted not only in a record number of the problems facing the nation, including the
incarcerated Americans, but has also had the number of individuals incarcerated and under
concomitant result of a significant increase in the community supervision, the high costs of
sheer number of offenders returning to corrections and crime to the nation, and the
communities. Outcome measures indicate that multiple and complex barriers facing offenders as
most offenders released from prison do not they transition to the community. Chapter 2 will
successfully reintegrate back into the community. outline the national response to these issues and
Most end up back in jail or prison, either as a describe the shift in approach to the way
result of technical violations or because of the institutional corrections and community
commission of new crimes. supervision agencies are working with offenders.
CHAPTER 1: SCOPE OF THE PROBLEM
Incarceration Rates in America Bonczar, 2006).
The United States leads the world in incarceration
rates, with more than two million adults confined In combination, these numbers represent a
in prisons and jails. This translates to one in tripling of the correctional population in twenty-
every 136 individuals in the U.S. confined in the five years. In 1980, one in every ninety adults was
nation’s correctional institutions (Harrison & under some form of correctional supervision
Beck, 2006). In addition, over 96,000 youth (ages (incarcerated in jail or prison, or in the
ten through eighteen years of age) were in some community under parole or probation
form of public or private residential custody in supervision). By 2005, this number grew to one
2003 (Snyder & Sickmund, 2006). in every thirty-two adults (Glaze & Bonczar,
2006). Further, in 2001, it was estimated that 4.3
These figures represent a 700 percent increase in million adults had previously served time in state
incarcerated persons in the past three and a half or federal prison (Bonczar, 2003), with
decades2 (Public Safety Performance Project, substantially more who at one time had been
2007). The increase is generally attributed to under some form of community supervision.
public policy changes such as “get tough”
sentencing and correctional reforms including The Increasing Numbers of
“three-strikes” laws, “truth-in-sentencing” laws, Offenders Returning to
drug laws, the decline of discretionary release Communities
options, the emergence of surveillance and This reliance on incarceration has resulted not
control activities and programs, and rising only in a record number of incarcerated Americans
revocation rates. Collectively, these policies but also in an increased number of offenders
increase the number of individuals coming into returning to communities. It is estimated that of
the corrections system while simultaneously the 2.1 million Americans in prison or jail in 2005
increasing their length of stay. (Harrison & Beck, 2006), ninety-five percent of
these prisoners will eventually be released into the
community (Hughes & Wilson, 2005). In fact, of
While prison is still a relatively rare the approximately 650,000 people released from
experience for many Americans, it is prison each year, approximately 500,000 are
becoming a more common event, released under parole supervision (see Harrison &
especially for certain segments of our Beck, 2006; Glaze & Bonczar, 2006; Glaze & Palla
society—in particular, young black and 2005).
Hispanic males.
Rates of Victimization
- Austin & Fabelo, 2004 Examination of this problem through arguably
the most important lens, the rate of victimization
in the United States, underscores the importance
The Significant Number of of taking steps necessary to reduce the likelihood
Individuals under Probation and that offenders will commit additional crimes. It is
Parole Supervision in the estimated that, in the year 2005, one in every 574
Community individuals was the victim of a reported property
The magnitude of the correctional problem or personal crime (excluding murder) (Catalano,
increases substantially when considering the 2006), with youths aged twelve to seventeen
number of adults under some form of much more likely to become a victim of violent
correctional supervision in the community, nearly crime than adults (Snyder & Sickmund, 2006).
5 million persons in calendar year 2005 (Glaze & These numbers presumably represent only a
portion of true victimizations, given the operational costs in the foreseeable future (Public
prevalence of underreported crimes, particularly Safety Performance Project, 2007).
in some crime categories.
This increased spending for corrections comes at
Beyond the psychological and emotional costs of a price of reduced spending for other needed
victimization is the cost impact of crime on public services. For example, between 1977 and
victims. In 2002, economic costs alone were 2001, total state and local expenditures for
estimated at $15.6 billion for property theft or corrections increased 1,001 percent, compared to
damage, stolen cash, medical expenses, and lost 448 percent for education, 482 percent for
wages due to injury (Austin & Fabelo, 2004). hospitals and healthcare, and 617 percent for
public welfare (Lotke, Stromberg, & Schiraldi,
2004).
Keeping dangerous people away from

their potential victims remains an The key is for policymakers to base their
effective, yet limited, means for public decisions on a clear understanding of the
safety. As a society though, we are not in a costs and benefits of incarceration—and
position to keep every offender locked up of data-driven, evidence-based alternatives
indefinitely. Not only is it not cost- that can preserve public safety while
effective, it’s not viable. We cannot build saving much needed tax dollars.
enough prisons to permanently hold every
person incarcerated today. Nor would the - Public Safety Performance Project, 2007
public allow that.
- Roger Werholtz, Secretary, Kansas The Social Costs on Future

Department of Corrections, Generations
KDOC July 2006 Newsletter It is important to recognize the impact of crime
and increasing offender populations, not only on
public budgets and the safety of communities
Resource Investment and Fiscal but also on the next generation. Fifty-five percent
Consequences of all inmates have children under the age of
Costs to victims are not the only economic costs eighteen (Travis, Cincotta, & Solomon, 2003).
resulting from high crime, incarceration, and This is enormously important given that the
community supervision rates. The enormous research indicates that having an incarcerated
growth in the number of offenders under parent is a significant risk factor for delinquency
correctional control has fiscal consequence. (Waul, Travis, & Solomon, 2002).
Despite the fact that States have been facing
fiscal constraints in recent years (in 2004, States Failure Abounds
faced a total of $78 billion in deficit [Austin & More than half of released offenders fail in the
Fabelo, 2004]), corrections spending has community and ultimately are returned to prison
increased. In 1980, the United States spent $9 for either a technical violation of the conditions of
billion on corrections; today correctional spending their supervision or commission of a new crime
surpasses $60 billion (Public Safety Performance (Langan & Levin, 2002; Brown, Maxwell, DeJesus,
Project, 2007; BJS, 2007). The average annual & Schiraldi, 2002). Thirty percent of adult offenders
cost to incarcerate an adult offender is $23,876 released from state prisons are rearrested within
(Public Safety Performance Project, 2007) and a the first six months following their release. Within
juvenile offender is $43,000 (CASA, 2004). three years of release, this number increases to
Aggregate costs are projected to rise to $2.5–$5 two-thirds rearrested (Langan & Levin, 2002).
billion per year due to prison expansion and Failed offenders make up a substantial proportion
of state prison admissions each year. Over the last percent have co-occurring substance abuse
decade, for example, approximately one-third of issues (The National GAINS Center, 2001;
state prison admissions included offenders who 2002).
violated their parole conditions (Harrison & Beck,
2006). In contrast, in 1980, revocations accounted • Lack of Education and Vocational Skills. Forty
for only seventeen percent of prison admissions percent of adults released from correctional
(Travis & Lawrence, 2002). institutions do not have a high school diploma
or GED. Only one-third of inmates receive
The situation is no better for juvenile offenders. vocational training while incarcerated (Harlow,
Between fifty and seventy percent of young 2003). Roughly thirty to fifty percent of detained
offenders released from institutional custody are youth have special education needs; when
rearrested within two years (Austin, Dedel disorders that interfere with educational
Johnson, & Weitzer, 2005). A majority of youth performance and achievement are taken into
(sixty-two percent) in custody in 2003 had been account, the percentage increases to
in custody before, most on at least two prior approximately seventy-five to eighty percent
occasions (Snyder & Sickmund, 2006). (Rutherford, Bullis, Anderson & Griller-Clark,
2002). However, many youth placed in these
Failure is Predictable facilities are not adequately screened and
The reasons that cause offenders to fail are not assessed for academic or other special needs,
surprising. Most offenders enter the criminal and large numbers of these youth are released
justice system with myriad problems, and many without having received appropriate or
leave with these same issues. sufficient educational or vocational skills to
ensure their success (Altschuler & Brash, 2004;
• Mental Health Disorders. Up to one-third of all Rutherford et al., 2002).
incarcerated adults have a diagnosable mental
disorder, yet appropriate in-prison services are • Employment Barriers. Most adult and juvenile
lacking. Forty to sixty percent of prison and jail offenders leave prison facing significant
inmates with mental illness do not receive barriers to employment, including low
treatment (Ditton, 1999; Harlow, 1998). educational attainment, literacy problems, and
Similarly, approximately sixty to eighty percent a lack of employment history. The effect of
of youth in the juvenile justice system have these barriers is compounded by laws limiting
mental health difficulties, yet each day only access to some career positions, social
one-third of all youth in need of mental health stigma, and lingering substance abuse
services actually receive the necessary problems (Altschuler & Brash, 2004; Mears &
interventions (NMHA, 2004). Travis, 2004; Rubinstein, 2001).
• Substance Abuse Problems. Roughly three- Through a national lens, the enormity of this
fourths of adult inmates, and an estimated problem is clear. The majority of offenders
forty to seventy percent of detained youth (NIJ, released from correctional institutions will return
2002), have substance abuse problems. Yet unsuccessfully to the community, with the public
only about ten percent of adults receive formal safety and fiscal impact this implies. But the future
treatment while incarcerated (Hammett, 2000; holds the promise of change, as institutional
Mumola, 1999) and only sixteen percent of corrections and community supervision agencies
youth in juvenile correctional facilities receive continue to advance new approaches and
substance abuse treatment (CASA, 2004). practices that are proving to be effective in
promoting successful offender outcomes that will
• Co-Occurring Disorders. Of the incarcerated ultimately enhance public safety.
adults and juveniles with mental health
difficulties, between sixty and seventy-five
CHAPTER 2: A NATIONAL SHIFT
TOWARD REENTRY
The Emergence of a New sharply distinct, more squarely directed at the
Philosophy of Offender achievement of public safety through successful
Management offender outcomes.
Given the increasing rate of incarceration, the
sheer fiscal impact of correctional allocations on A focus on successful offender outcomes brings
state budgets, and offender reentry failure rates with it new responsibilities to understand the
exceeding 50 percent, it is not surprising that a factors that contribute to risk (or, in the
call for a greater emphasis on strategies that will converse, the factors that can mitigate or reduce
result in more successful outcomes with risk) and to realign correctional policy and
offenders can be heard from all corridors. practice with the specific purpose of supporting
successful outcomes.
This year, some 600,000 inmates will be The emergence of this new approach has
released from prison back into society. We resulted from a confluence of factors, including a
know from long experience that if they growing body of knowledge about effective
can’t find work, or a home, or help, they interventions, a shift in public sentiment towards
are much more likely to commit more crime and offenders, and a number of national
crimes and return to prison. So tonight, I initiatives on offender reentry.
propose a four-year, 300 million dollar
Prisoner Reentry Initiative to expand job Effective Correctional Interventions
training and placement services, to provide Over the past two decades, a considerable body
transitional housing, and to help newly of knowledge, first termed the “what works”
released prisoners get mentoring, movement and more recently “evidence-based
including from faith-based groups. policy and practice,” has emerged to guide
America is the land of the second chance— correctional practice. Today’s correctional
and when the gates of the prison open, the practitioner has the benefit of scientific
path ahead should lead to a better life. knowledge to guide and direct recidivism
reduction efforts with both adult and juvenile
- President George W. Bush, 2004 State of offenders. This body of work has had
the Union Address tremendous impact on the corrections field,
arguably providing, for the first time, explicit
guidance around outcome-driven work with
Correctional agencies have released offenders to offenders. Not only has the emergence of
the community since the first penitentiary in the evidence-based policy and practice provided
U.S. was opened in 1790 and have provided enhanced knowledge and tools for day-to-day
preparatory service and reintegration support for offender management work, it has also captured
decades. While performance of correctional the interest and support of policymakers and
agencies was once assessed on the basis of funders interested in investing in change efforts
provision of service and accomplishment of that will produce the desired results.
activities (e.g., number of offenders confined
without incident, number of offenders
successfully meeting restitution requirements),
today’s focus on effective offender reentry is
Changing Public Sentiment • Believe a lack of life skills (66 percent), the
Recent understanding of the attitudes of experience of being in prison (58 percent), and
Americans towards crime and offenders is also barriers to reentry (57 percent) are major
fueling the engines of change. The perception that factors in the rearrest of prisoners after release.
the public’s interest is to get tough on crime has • Believe a lack of job training is a significant
been refuted by public opinion research. Recent barrier to releasing prisoners.
surveys suggest that the public sentiment is “get • Consider medical care (86 percent), the
smarter, not tougher.” A recent survey (Krisberg & availability of public housing (84 percent), and
Marchionna, 2006) found that U.S. voters: student loans (83 percent) to be important
tools for offender reintegration.
• Support (by an almost 8:1 margin) • Support offering services such as job training,
rehabilitative services for prisoners, as drug treatment, mental health services, family
opposed to a punishment-only system, support, mentoring, and housing assistance
favoring services both during incarceration to prisoners.
and after release from prison.
Second Chance Act of 2007:

Community Safety Through Recidivism Prevention
To reauthorize the grant program for reentry of offenders into the community in the Omnibus
Crime Control and Safe Streets Act of 1968, to improve reentry planning and implementation,
and for other purposes including:
• Providing offenders in prisons, jails, or juvenile facilities with educational, literacy,

vocational, and job placement services to facilitate reentry into the community;
• Providing substance abuse treatment and services (including providing a full continuum of
substance abuse treatment services that encompasses outpatient and comprehensive
residential services and recovery);
• Providing coordinated supervision and comprehensive services for offenders upon release
from prison, jail, or a juvenile facility, including housing and mental and physical health
care to facilitate reentry into the community, and which, to the extent applicable, are
provided by community-based entities (including coordinated reentry veteran-specific
services for eligible veterans);
• Providing programs that encourage offenders to develop safe, healthy, and responsible
family relationships and parent-child relationships; and involve the entire family unit in
comprehensive reentry services (as appropriate to the safety, security, and well-being of the
family and child);
• Encouraging the involvement of prison, jail, or juvenile facility mentors in the reentry
process and enabling those mentors to remain in contact with offenders while in custody
and after reentry into the community;
• Providing victim-appropriate services, encouraging the timely and complete payment of
restitution and fines by offenders to victims, and providing services such as security and
counseling to victims upon release of offenders; and
• Protecting communities against dangerous offenders by using validated assessment tools to
assess the risk factors of returning inmates and developing or adopting procedures to ensure
that dangerous felons are not released from prison prematurely.
- 110th Congress, 1st Session, H.R. 1593, November 14, 2007
• Believe that planning for reentry should begin Bureau of Justice Assistance and the U.S.
at sentencing (44 percent). Another 27 percent Department of Labor.
believe that it should begin twelve months
prior to release. The National Governors Association Prisoner
• Support or strongly support (78 percent) Reentry Policy Academy
pending legislation to allocate federal dollars The National Governors Association (NGA)
to prisoner reentry (The Second Chance Act). Prisoner Reentry Policy Academy assembled
interdisciplinary policy teams, led by each State
National Initiatives governor’s office, to include state agency
Given the importance and complexity of reentry, representatives from housing, public safety and
and in light of recent data and information corrections, health and human services, labor,
regarding the high rate of offender failures after and welfare, as well as others in a number of
release from incarceration, the need for a new states. These state policy teams collected and
strategy is evident. It is not surprising, then, that analyzed data regarding their offender
a number of national initiatives have been populations and assessed service gaps and
undertaken by a variety of entities in recent years barriers to reentry. The initiative is credited in
to support advancement of this new approach to many states with drawing the attention of key
offender management.3 non-public safety stakeholders to the issue of
offender reentry.
The Serious and Violent Offender
Reentry Initiative The Transition from Prison to Community
In an effort to support focused work on the topic Initiative
of offender reentry at the State level, and Likewise, the Transition from Prison to
encourage State agencies to engage in Community Initiative (TPC), sponsored by the
multidisciplinary, collaborative policy work, the National Institute of Corrections, advocates a
U.S. Department of Justice and its federal comprehensive, system-wide approach to
partners (the U.S. Department of Health and offender reentry. The TPC model is a framework
Human Services, U.S. Department of Labor, U.S. that guides jurisdictions to:
Department of Housing and Urban
Development, U.S. Department of Education, • Mobilize interdisciplinary, collaborative
U.S. Department of Veteran Affairs, and U.S. leadership teams (often convened by
Social Security Administration) sponsored the corrections agencies) to guide reentry efforts
Serious and Violent Offender Reentry Initiative at the state and local levels.
(SVORI). This multi-year initiative provided seed • Deliberately involve non-correctional
money for programming, as well as training and stakeholders (public, private, and community
technical assistance on a variety of topics related agencies) who can provide services and
to reentry, to all States and U.S. territories. There support as reentry initiatives are planned and
is no doubt that, in addition to the many implemented.
successes at the operational level in terms of • Engage in a multidisciplinary rational planning
spawning new initiatives, programs, and process that includes a careful definition of
partnerships, the SVORI project contributed to a goals as well as the development of a clear
national dialogue on the topic of reentry and understanding of the reentering population
brought to the conversation stakeholders from and rates of recidivism, and a thoughtful
non-criminal justice agencies. review of existing policies, procedures, and
resources for reentry.
This initiative continues today under the name • Implement validated offender assessments at
President’s Prisoner Reentry Initiative (PRI) with various stages of an offender’s movement
support from the Office of Justice Program’s through the system.
• Target effective interventions as demonstrated • Develop the capacity to measure progress
by good research to offenders on the basis of toward specific outcomes, and to track
risk and criminogenic needs identified by progress continually, using such information
assessments. for further improvement.
• Expand the traditional roles of correctional
staff beyond custody, security, accountability, The TPC model encourages these strategic
and monitoring to include an integrated system changes in order to reduce recidivism
approach to offender management that among transitioning offenders, reduce future
engages offenders in a process of change. victimization, enhance public safety, and improve
• Integrate the typically isolated stages of an both the quality of life in communities and the
offender’s involvement in the criminal justice lives of victims and offenders.
system (beginning at admission to incarceration
(or earlier), and continuing through assessment, The Council of State Governments
programming during incarceration, preparation Equally influential is the Report of the Re-Entry
for release, release, and supervision in the Policy Council: Charting the Safe and Successful
community), into a carefully managed process Return of Prisoners to the Community (2005;
with close communication and collaboration www.reentrypolicy.org), an initiative and
among prisons, releasing authorities, and post- document that has synthesized knowledge,
prison supervision staff. documented change efforts, and provided
• Assure that all transitioning offenders are specific guidance to States in their efforts to
equipped with basic survival resources such enhance prisoner reentry efforts.
as identification, housing, appropriate
medications, and linkages to community Each of these initiatives underscores the
services and informal networks of support inextricable link between offender success and
before, during, and after they are released and public safety, and supports, in varying ways, the
move into the community. work of corrections professionals to realign their
agencies in service of this goal.
President’s Prisoner Reentry Initiative

The President's Prisoner Reentry Initiative (PRI) is designed to provide funding to state units
of government to develop and implement institutional and community corrections-based
offender reentry programs. PRI strengthens urban communities characterized by large
numbers of returning, nonviolent prisoners. PRI is designed to reduce recidivism by helping
returning inmates find work and assess other critical services in their communities. PRI
supports strategies to deliver prerelease assessments and services and to develop transition
plans in collaboration with other justice- and community-based agencies and providers for
supervised and nonsupervised, nonviolent offenders.
PRI envisions the development of model reentry programs that begin in correctional institutions
and continue throughout an offender's transition to and stabilization in the community. The
Office of Justice Programs' (OJP) Bureau of Justice Assistance (BJA) has partnered with the U.S.
Department of Labor (DOL) to administer PRI grants. These programs provide for individual
reentry plans that address issues confronting offenders as they return to the community.
- U.S. Department of Justice, Office of Justice Programs, http://www.reentry.gov.learn.html,

last accessed December 11, 2007
Moving Forward with a Focus on References
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Background paper: The effect of incarceration and
reentry on children, families, and communities.
Section Two:
A Framework for Offender

Reentry Madeline M. Carter
Never before have the conditions for change in What is the Principal Objective of
correctional practice been as promising as they Offender Reentry?
are today. Correctional agencies across the The principal objective of offender reentry is to
country are embracing a new approach to their promote successful offender outcomes.
work, fueled by a number of factors. On one Offenders are successful when they lead law-
hand these factors include increasing abiding lives, support their dependents, pay their
incarceration rates, the rate of offender failure, taxes, engage in pro-social activities, and are
escalating costs for prison construction and positive and contributing members of their
operations, and the diminishing public dollar. On communities.
the other they include a virtual explosion of
knowledge about what works (and, perhaps more Why Should Institutional
importantly, what does not work) with adult and Corrections and Community
juvenile offenders, public sentiment supporting Supervision Agencies Invest in
reentry initiatives, and substantive and fiscal Promoting Successful Offender
support from a variety of sources. Outcomes?
First, promoting successful offender outcomes
However, understanding the need for and being enhances public safety. Offenders who engage in
committed to a new strategy for offender reentry lawful conduct are improving the safety of their
is only the initial step. Given the complex factors communities. Criminal acts avoided represent a
that must be considered when undertaking the positive outcome for all persons in that
work of realigning correctional policy and community, especially those who may have been
practice, agencies will need the appropriate tools, victimized by these crimes.
information, and guidance to develop an
effective strategy for offender reentry. Second, promoting successful offender outcomes
allows for a better allocation of (often limited)
This section will outline some guiding principles resources. There are a variety of fiscal costs
and propose a framework for approaching this associated with any crime. When crimes do not
work. occur, these monetary consequences are
avoided. Further, many offenders are returned to
Philosophy and Guiding prison for violations that do not include the
Principles of this Handbook commission of new crimes. Occupying a prison
Over the past several years, the Bureau of Justice bed has significant cost implications and other
Assistance has worked with numerous repercussions for any jurisdiction. Offenders who
jurisdictions on the topic of offender reentry. That abide by conditions, engage in appropriate
experience has underscored the importance of behaviors, and attend to their responsibilities are
having clarity of focus and a common language unlikely to be returned to prison. Avoiding
regarding critical concepts. The philosophy and reincarceration allows funds to be invested
general principles that guided the development of elsewhere.
the framework are presented here.
Third, promoting successful offender outcomes particular significance to jurisdictions working to
provides a focus for positive action that is accomplish more successful outcomes with
consistent with both public expectations and the offenders:
central responsibilities of institutional
corrections and community supervision • Understanding the principles that underlie
agencies. It is a primary responsibility of offender reentry efforts and the direction of
institutional corrections and community this work from a national perspective.
supervision agencies to correct the attitudes, • Establishing a clear vision for the work and
behaviors, and actions of offenders and address promoting the acceptance of this vision within
other critical factors that are related directly to an institutional corrections and community
offender’s criminal propensities. Research over supervision agencies.
the past twenty years has demonstrated that • Appreciating the leadership that will be
specific types of interventions can impact the required to move institutional corrections and
future conduct of adult and juvenile offenders by community supervision agencies in new
reducing their risk to reoffend. The public expects directions.
corrections agencies to encourage appropriate • Developing collaborative approaches within
behavior during incarceration and to utilize these institutional corrections and community
interventions to impact an offender’s ability to supervision agencies and with other agencies
engage in appropriate conduct in the community and individuals around offender reentry
after release from prison. efforts.
• Taking a rational approach to planning.
• Employing evidence-based practices to achieve
Promoting successful offender these successful outcomes.
outcomes is an appropriate and perhaps
fundamental corrections goal because it The Framework for an Effective
enhances public safety, encourages the Offender Reentry Strategy
best use of limited resources, and creates The vision of successful offender outcomes
a focus for positive action that is represents a shift for both institutional
consistent with public expectations and corrections and community supervision agencies
the responsibilities of institutional from the sole focus on punishment,
corrections and community supervision incapacitation, monitoring, and accountability
agencies. toward a more balanced approach of also
focusing on offender success as a means to
enhance public safety. To realize this vision, an
How Should Agencies Approach alignment of mission, a rethinking of the
the Planning and Implementation systems, actions, and methods currently in use,
of Offender Reentry Efforts in must also occur.
Order to Best Accomplish These
Outcomes? The framework for an effective offender reentry
The remaining sections of this handbook provide strategy described in this handbook provides
a framework for action, general information institutional corrections and community
about pertinent topics and research, specific supervision agency leaders and their staffs with a
examples from particular jurisdictions, and way to organize their thinking and activities as
practical tips to help institutional corrections and they work to build more effective offender
community supervision agencies identify the management practices. This framework includes
policies and practices that can be modified to four key components:
improve their approach to offender reentry. The
following activities have been found to have
• Leadership and Organizational Change understanding of its role in achieving the agency’s
• Rational Planning Process vision, is central to achieving successful
• Collaboration outcomes with offenders. In other words, this
• Effective Offender Management Practices part of the framework addresses why the agency
adopts a particular focus and accompanying
change strategies. Section Three of this handbook
will address this issue.
Rational Planning Process

As leaders consider the best methods to advance
their agencies by embracing a new vision and
undertaking a change in organizational culture,
they should also put into place a system or
method that will assist them to rationally
consider where the agency is in relation to its
vision and how best to get it to where it wants to
be. The objective identification of issues, gaps,
problems, and opportunities will give the agency
the ability to move deliberately in the desired
direction. Once the agency’s needs for moving
forward are identified and prioritized, leaders can
develop the specific strategies that will be most
powerful and have the greatest impact on
achieving the results they seek. This part of the
Leadership and Organizational Change framework, then, addresses how to undertake the
Adopting a new vision for institutional corrections change process. Section Four of this handbook
and community supervision agencies requires will describe the rational planning process in
committed leaders at the highest levels of the greater detail.
organization. Leaders must agree that successful
offender reentry is a primary goal of the agency, Collaboration
not just a program or service. Committed leaders Since the barriers to successful reentry are multi-
understand the power and importance of this faceted, building collaborative partnerships is
new vision for institutional corrections and essential at both the policy and case
community supervision agencies, as well as the management levels. Institutional corrections and
enormity of the work that must take place for this community supervision agency leaders must
vision to be realized. While some make the false identify and collaborate with their external
assumption that effective offender reentry, partners. Similarly, internal collaboration among
transition, and evidence-based practices translate staff members working within institutions,
into the adoption of a few new tools and between institutional and community supervision
approaches or the modification of work activities staff and between those working in the
of a select number of staff members, committed community is equally important. This part of the
and visionary leaders understand that the work is framework addresses with whom institutional
much more fundamental than this. A thorough corrections and community supervision agencies
examination of, and modification to, the should be working and how these partners
organization’s culture, addressing such issues as should work together. Section Five of this
the manner in which the agency is organized; handbook will identify the various forms of
how staff is hired, trained, and promoted; the collaboration at the State, regional, and local
ways in which functions are integrated; and staff’s levels, and at the policy and case management
levels. It will describe the ways in which these Effective Offender Management
collaboratives are structured, the benefits of Practices
collaboration, and the research that defines Enhancing outcomes with adult and juvenile
highly functioning teams. offenders requires the adoption of specific
principles and practices empirically
demonstrated to be effective in reducing
recidivism. These principles and practices
translate into very specific activities and are a
cornerstone of effective correctional practice. In
isolation of the other elements of the framework,
these evidence-based practices will likely
Kansas Risk Reduction Initiative:

A Multilayered, Multiagency Statewide Change Initiative
The Kansas Department of Corrections (DOC) has demonstrated a long-standing commitment to
enhancing public safety through the establishment of successful offender reentry initiatives.
These initiatives have focused on building bridges to agencies external to corrections, and within
corrections, building the capacity of staff, changing the culture of the Department of Corrections,
and realigning responsibilities and resources to achieve the State’s risk reduction goals.
The DOC developed a long-range, wide-reaching strategic plan detailing the establishment of
external partnerships and the restructuring of its internal organization. A Statewide,
multidisciplinary Reentry Policy Council has been established and a steering committee
formed to execute the strategies laid out in the plan.
Statewide data has been collected to identify barriers to offender success and has been used to
support key legislative changes. Among other things, the data resulted in the passage of Senate
Bill 14, which appropriates funds to support the enhancement of risk reduction efforts at the
community corrections level.
Within the State’s correctional institutions, a strategic effort to align programs to deliver
services based upon assessed criminogenic needs was undertaken. Staff from all parts of the
correctional institution have been involved in training and change management initiatives.
The parole division has undertaken a deliberate review of policies and practices to identify ways
to reduce the number of revocations as a result of conditions violations, and to determine the
extent to which policy and practice support risk reduction and reentry. The number of failing
parolees dropped twenty-six percent from 2004 to 2006 as a result (KDOC, 2006). Efforts
continue to reduce the failure rate further.
At the local level, in 2003, the Shawnee County Reentry Program was started; later the program
was expanded to Sedgwick County. Both serve as models for the implementation of evidence-
based practices.
Beginning in the fall of 2007, all thirty-three community corrections districts in the state will
begin a partnership program with the DOC to align community corrections with DOC reentry
initiatives and evidence-based policy and practice.
demonstrate limited utility. By adopting and In addition, each section concludes with a set of
implementing them effectively in the context of questions designed to assist the agency in
clear vision, leadership, and a realigned conducting a self-assessment to determine the
organizational culture, supported by a strategic extent to which the effective offender reentry
planning and implementation process and framework is being implemented. (The complete
enhanced through collaborative partnerships, inventory is included in the Appendix.) Agency
agencies can realize the maximum potential of leaders are encouraged to bring together a group
these evidence-based practices. This aspect of of staff members to consider and discuss the
the framework therefore addresses in what questions in the inventory. This process will
offender management activities agencies should unveil successful activities already underway
engage. Section Six of this handbook details within the agency, knowledge gaps and
these principles and practices. perception differences among staff, and most
importantly, specific opportunities for
Assessing Offender Reentry advancement towards successful offender reentry.
Efforts
An Offender Reentry Policy and Practice Inventory References
is included in this handbook to assist Kansas Department of Corrections (KDOC)
institutional corrections and community (2006). Weighing the positive impact of federal
supervision agencies to examine their activities assistance. KDOC Newsletter, October 2006.
along each of these four dimensions. Each of the http://www.dc.state.ks.us/newsroom/newsletters
subsequent chapters in this handbook provides a /October_2006.pdf, last accessed December 11,
set of key steps for readers to consider with 2007.
regard to their own agency’s efforts.
Public safety through effective offender management in institutions and in the community has
always been the cornerstone of our mission at the Department. However, the concept of public
safety through successful prisoner reentry requires us to reexamine what we do in our agency.
We should be evaluating, from the moment an offender enters our probation or prison system,
what will help that offender succeed upon return to the community. This shift in philosophy
touches virtually every aspect of offender management, from the way supervision levels are
determined to the type of programming that is provided both in prison and in the community.
Our focus on prisoner reentry means that we not only examine how we manage offenders, but
also how we engage and motivate offenders. Offenders in our custody are personally
accountable for making their own choices about the life they will lead when they are released
from prison. Taking personal responsibility for one’s actions is the foundation of our criminal
justice system. Prisoner reentry is about encouraging, motivating and challenging offenders to
take responsibility for their lives from the day they enter prison.
- Matt Frank, Former Secretary, Wisconsin Department of Corrections
21
Section Three:
Leadership and Organizational

Change Richard Stroker
INTRODUCTION
corrections and community supervision agency
Life is change, growth is optional. Choose leaders in many jurisdictions have become
wisely. interested in taking actions that will improve their
overall offender management strategies and
- Clark & Anderson, 1995 offender reentry practices in particular.
The types of changes that must be made to

Change is a common occurrence in both improve offender reentry practices touch on
institutional corrections and community nearly every aspect of institutional corrections
supervision agencies. Sometimes changes are and community supervision agencies’ work, and
created or developed from within an agency in clearly involve the work of other agencies as well.
response to problems, opportunities, or new To successfully orchestrate and implement new
information, and at other times they may be approaches to offender reentry, individuals within
imposed by individuals outside an agency. The these agencies must be willing to demonstrate
issue is not so much whether an agency should specific leadership qualities, understand the
or will change its direction, focus, policies, or underlying forces that form the basis of the
methods but how it will change them, who will agency’s culture, and appreciate the implications
be directing these changes, and how changes that new work requirements or expectations have
can best be implemented. on employees. Chapter 1 will focus on these
important considerations. Chapter 2 will provide
Substantial research findings, conclusions about guidance on understanding current agency
the effectiveness of various approaches to culture and creating a vision statement for
offender management, reflections on individual offender reentry in order to prepare for
and collective values, budget considerations, and organizational change. Finally, Chapter 3 will
many other factors have caused leaders in discuss how to prepare staff for this change.
jurisdictions across the country to question some
of the basic approaches that have been taken to
the preparation of offenders for release. Most of
these adult and juvenile offenders are returning to
institutions within three years after their release,
bringing with them the enormous costs (fiscal
and social) associated with failure. A growing
body of literature has helped to focus attention on
some of the critical steps that could be taken to
decrease the likelihood of these failures occurring.
In light of these developments, institutional
CHAPTER 1: DEMONSTRATING
LEADERSHIP
Leadership Defined appreciation and application of pertinent facts
Numerous authors have provided a multitude of and information.
words to convey what they believe the word
leadership truly means. Many of these definitions By contrast, managers are responsible in their
focus on particular actions, methods, and day-to-day work for ensuring that specific tasks
attitudes that can be displayed by individuals. For are discharged properly and effectively. Their
instance, Kouzes and Posner (2002) in their daily focus is on the execution of work
work have indicated that: responsibilities and making certain that the best
methods are used to move in the direction that
Leadership is not a place, it’s not a has been indicated. Warren Bennis (1997)
position, and it’s not a secret code that indicates some of the fundamental distinctions
can’t be deciphered by ordinary people. between the focus or actions of leaders and
Leadership is an observable set of skills managers. He notes that:
and abilities.
• Leaders ask what and why. Managers ask how
Utilizing this definition, the particular traits, and when.
characteristics, skills, and methods used by • Leaders focus on the horizon. Managers focus
individuals who demonstrate the essential on the bottom line.
qualities of leadership can be examined. • Leaders are willing to challenge the status
quo. Managers accept the status quo.
Leadership Distinguished from
Management The degree to which top and mid-level managers
The terms leadership and management are of an agency are able to work in harmony can
sometimes used interchangeably; however, have enormous implications for the overall
several authors on the topic of leadership point effectiveness of the agency in reaching particular
out the important differences between these two goals. In the offender reentry arena, leadership
notions. For example, Peter Drucker (1999) and and management can be viewed in the following
Warren Bennis (1989) have indicated that way: leadership is choosing to pursue a course of
leadership is doing the right things, while action to develop new strategies and
management is doing things right. partnerships in order to reduce the likelihood of
released offenders returning to institutions, while
Authors Stephen Covey, Roger Merrill, and good management is finding and employing on
Rebecca Merrill (1996) express it in the following a daily basis the best methods and practices that
way: leadership is making sure that the agency’s will enable the agency to reduce the likelihood of
“ladder is against the right wall” and that you an offender’s return to prison.
“do the right thing for the right reason in the
right way.” In other words, leaders must make Leadership Can Occur at Any
certain that agencies are focused on the right Level of an Agency
things and are moving in the proper direction or One of the most misunderstood notions of
towards the correct overall goals. Determining leadership is that it can only be exercised by the
the right direction is an exercise that involves an top management of an agency. However, just
individual’s principles and values and an because a certain individual holds positional
leadership does not necessarily mean that a noted above, leaders are willing to question the
person exhibits leadership qualities. Since status quo. Leaders might ask, “Why are we
leadership is about a way of behaving and not doing the things that we do?” or “What are our
about holding any particular position, leadership overall objectives?” These questions go to the
qualities can be demonstrated by anyone at any heart of an agency’s purpose and direction. It is
time. R.J. House (2004) writes that: “Leadership interesting to ask people who are engaged in a
is the ability of an individual to influence, variety of correctional tasks why they are doing
motivate, and enable others to contribute toward what they do. Answers are sometimes provided
the effectiveness of an agency.” along the lines of “This is how we always do it”
or “This is what I was told to do.” Leaders are
Within any agency, office, or unit, there are unwilling to stop their inquiries based on these
individuals at various levels considered to be answers.
leaders by their coworkers. This might be based
on their experience and credibility, their ability to
see the broader landscape and not be unduly Leadership is a means. Leadership to
influenced by some particular event, or their what end is the crucial question.
willingness to be innovative and to try new
methods or approaches. Some individuals are so - Drucker, 1999
adept at demonstrating leadership qualities that
their leadership is almost invisible until you step When a person thinks about what an agency
back and see the influence that they have on the could be accomplishing, the direction that it
actions of others. could be following, or the outcomes that it could
be striving to achieve, then that person is
If anyone can demonstrate leadership qualities, thinking like a leader. A focus on a preferred
then institutional corrections and community future often helps to identify the types of
supervision agencies are likely filled with changes that an agency must make in order to
individuals who act like leaders. The potentially be successful at moving in a new direction.
significant impact that these individuals can have
on an agency, or on the goals or objectives of the Being Proactive and Having a
top managers of an agency, will be discussed Passionate Purpose
more fully in the chapter on organizational Author Eudora Welty (1995) once stated that all
change. For the purposes of this section, significant change starts from within. Before
however, it is assumed that leadership is largely leaders in institutional corrections and
about demonstrating certain skills and abilities, community supervision agencies can effectively
and that anyone at any level in an agency can initiate change, they must first be convinced of
demonstrate these traits. the value of pursuing a new course. The growing
body of literature demonstrating the positive
Key Leadership Characteristics impacts of offender reentry as a corrections
If leadership is a way of behaving and not the philosophy stands as one powerful argument for
holding of a particular position, then it is helpful the benefits of undertaking particular actions or
to outline some of the key elements of good engaging in necessary modifications in order to
leadership in a way that is clear to anyone who improve offender outcomes. Once convinced,
might be interested in becoming a leader. effective leaders embrace the need for change
and become advocates for modifying an agency’s
Maintaining a Focus on the Future direction or methods.
Leaders are willing to imagine things as they
could be and are willing to make the necessary Initiating necessary change, rather than waiting
changes to help an agency modify its course. As for circumstances to require action, is an
example of proactive behavior. Stephen Covey Putting Egos Aside and Developing
(1989) writes that being proactive is “…more Partnerships
than being aggressive or assertive. It is both While some leaders prefer a high profile
taking initiative and responding to outside existence, many of the best agency leaders
stimuli based on one’s principles.” operate in a low-key manner. This may reflect a
personal choice or the realization that what truly
When individuals are convinced of the need to matters is not their personal recognition but the
pursue or implement change, they can act with a advancement of their agency towards particular
passionate purpose. In the absence of a belief in goals. Effective work in the offender reentry area
particular goals, it is easy to be distracted or requires the development of key partnerships
deterred from objectives. Changing the goals, between institutional corrections and community
direction, or activities of an institutional supervision agencies as well as numerous other
corrections or community supervision agency entities. The ability to develop a close working
regarding offender reentry will require a long- relationship with the leaders of these agencies is
term approach. Leaders who are persuasive that likely to be essential to the long-term success of
achieving certain offender reentry goals is both offender reentry efforts. Partnerships, both inside
consistent with the agency’s values and beliefs and outside of an agency, require consideration
and in the best interests of the agency and the and respect. It is easier to formulate partnerships
public will be more successful at helping their when individual egos are not placed front and
agency engage in long-term change. center.
Demonstrating a Willingness to Listen Leaders know when to step up and be heard,

and Learn when to be held accountable, and when to step
Good leaders demonstrate the ability to listen to back and let others receive attention or acclaim.
and appreciate the perspectives of others, Individuals who are prepared to accept the
whether these include formulating ideas about blame for mistakes made by others in their
the best direction or goals for the agency, or agency and to deflect credit to those who are
trying to understand and identify the best ways of more deserving of recognition are demonstrating
solving existing problems or meeting the needs key leadership attributes. As Lao-Tsu once
of the agency. explained, “To lead people, walk beside them. As
for the best leaders, the people do not notice
Leaders understand that, in order to bring about their existence.”
positive change, they must understand where
their agency currently is, as well as where they Providing Clear and Consistent
would like it to be. Albert Einstein once remarked Statements about the Intended
that “the significant problems we face cannot be Destination
solved at the same level of thinking we were at In order for the staff of an agency to be able to
when we created them.” Leaders are willing to follow the direction or goals of a leader or for
apply new information, ideas, or methods to others to understand what is intended in the
overcome present challenges. Leaders are also future, it is imperative that these goals be
willing to spend the time necessary to expressed in a clear and consistent way.
understand the fundamental nature of important Management expert W. Edwards Deming (1993)
issues. The causes of problems are oftentimes expressed this notion in the following way: “The
complex, and the ability to listen and learn will aim of the system must be clear to everyone in
help leaders determine the true root of an issue. the system. The aim must involve the plans for
the future.”
There are many ways that individuals can the most appropriate or effective means for
announce, reinforce, or promote their vision reaching particular goals. General George S.
regarding offender reentry. Presentations to Patton put it this way: “Don’t tell people how to
groups, speeches to staff, training events, and do things. Tell them what to do, and let them
articles in publications or newsletters can help surprise you with the results.”
deliver messages about new goals or methods.
Every interaction between a supervisor and a Some people are excellent at indicating what
subordinate is also a training opportunity. What cannot be done. They can identify a significant
individuals say to one another on a personal number of obstacles that would prevent the
level can be more powerful than a presentation agency from achieving a particular outcome. The
made to an audience. In order to impact the negative prophecy (e.g., “This can’t be done; I
perspective of others, individuals must can’t do it”) is encouraged when leaders try to
consistently indicate the value to the agency of tell employees exactly how to do something.
moving in a particular direction. Effective leaders appreciate the value of
expressing what must be done, consistently and
continually reinforce the intended goal, and then
The Reentry Director has convened a invite discussion from various individuals about
[committee of ] Cross Divisional Reentry the best way to achieve it.
Executive Team Leaders to identify more
clearly staff roles and responsibilities as Displaying a Positive Attitude
they relate to reentry. It is the job of the Leaders must decide for themselves the attitudes
Executive Team Leaders to promote that they will display. Leaders are best positioned
Department culture change by to influence, motivate, and enable others when
introducing new and substantially they supply an uplifting message and convey a
different ways of doing business that positive outlook. Napoleon Bonaparte once
demonstrate the outcomes as benefits, indicated that “a leader is a dealer in hope.”
i.e., greater community safety, fewer
victims, and a more effective and efficient Most individuals who work in institutional
way of doing business. corrections and community supervision agencies
want to be successful at what they do, and they
- Matthew Frank, Former Secretary, want to make a difference in their communities
Wisconsin Department of Corrections or their work place. Leaders understand that,
while the work is often difficult, employees can
be inspired by ideas and the belief that their
efforts are contributing towards a greater good.
Remaining Flexible in Their Methods of This message is most effectively communicated
Achieving Objectives when the speaker is able to articulate an
While it is important to remain steadfast optimistic view about the future of the agency
regarding the overall objective, leaders know that and to demonstrate a positive personal attitude
they must be flexible in creating the best regarding the intended direction, policies, or
methods to get there. Line staff, front line methods of that agency.
supervisors, responsible managers, and others
often have excellent ideas on how best to modify Doing Things in Ways that Build Trust
current methods or implement new changes in Every partnership, collaboration, or work
work requirements. Leaders must promote the enterprise depends upon individuals
overall objectives so that the direction of the demonstrating a certain level of trust in each
agency can be fully understood and appreciated, other. In many situations, actions could be taken
yet they must also involve others in determining that would be harmful to coworkers or partners
and could destroy or erode trust. Working in the decisions. Institutional corrections and
public sector, it is often easy to blame others, community supervision agencies move forward
point fingers, or take other actions that attempt or backward or stand still based on the decisions
to shield an individual or an agency from blame that are made every day by agency staff.
because of the interconnected nature of many Commitment to a new course of action will
activities. Leaders recognize the importance of require that difficult decisions be made about the
resolving issues without attempting to establish utilization of personnel, the allocation of
fault. Some agencies have a long history of resources, and many other issues. Progress will
blaming others or operating in a distrustful or depend on the willingness of leaders to make
fearful environment. In such situations, it is these often-difficult decisions. British Prime
difficult to listen to new messages, modify work Minister David Lloyd George once expressed the
methods, or embrace change. need to take certain risks in this way: “Don’t be
afraid to take a big step when one is indicated.
Empowering others to act and delegating You can’t cross a chasm in two small steps.”
authority appropriately can also be meaningful
ways to build trust. Theodore Roosevelt Taking Steps to Cultivate Team Spirit
remarked: “The best executive is the one who When employees embrace ideas and work
has sense enough to pick good people to do together to realize particular outcomes, the
what must be done and self-restraint to keep greatest possible gains can be realized. Many of
from meddling with them while they do it.” Trust the leadership skills mentioned above are critical
is something that is built over time and can be to the development of team spirit, but a few
significantly damaged by a single incident. additional ones can be mentioned here.
Individuals who are skilled leaders are vigilant in
their efforts to demonstrate their trust in others. First, it can be important for others to see a
leader who is willing to do some of the hard
Being Willing to Take Some Calculated work that must be done and not always leaving it
Risks for others to complete. Second, decisions
Every action or decision in the corrections regarding recognition and rewards, or
environment carries with it some risk. While punishment, must be objective and appropriate.
institutional corrections and community Finally, prioritizing critical work activities and
supervision agencies seek to minimize the eliminating less productive tasks can boost
personal risks involved for everyone, policies morale and demonstrate a commitment to
must still be created. Decisions and actions particular objectives. Some of these elements will
based on those policies occur every day. A receive additional attention in the next chapter.
question to consider is whether the policies
effectively assist the agency in realizing its most
important or significant goals. Conclusion
As the above information demonstrates,
Decisions must be made in light of the leadership is about identifying the proper course
information that is available. In the corrections or direction for an agency and demonstrating
world, a significant amount of information is particular characteristics that can help influence,
generated. Ruth Stanat (1990), the president of motivate, and enable others to help the agency
an international research agency, once remarked move in the intended direction. In order to
that many managers are “drowning in data, but further explore some of the dynamics associated
starved for information.” When the true goals or with change, attention will now be given to the
objectives of an agency are clear, it is easier to impact that an agency’s culture can have on the
determine the kind of information that would be ability of a leader to move an agency in a
helpful for managers to know in order to make particular direction.
KEY STEPS
• Envision a preferred future; express

this vision clearly and consistently to
staff and partners.
• Embrace and advocate for change.
• Recognize leaders at every level of
the agency and their important role
in carrying out change.
• Consider the perspectives, findings,
and opinions of staff at all levels.
• Be flexible in the methods employed
to reach your vision.
• Develop and maintain partnerships
with others inside and outside of the
agency.
• Motivate others by communicating in
a positive manner.
• Demonstrate trust in staff by provid-
ing them with leadership opportuni-
ties.
• Judiciously use information to take
calculated risks towards accomplish-
ing your goals.
CHAPTER 2: PREPARING FOR
ORGANIZATIONAL CHANGE
Understanding An Agency’s their behaviors in accordance with these
Existing Culture Relative to accepted norms. The culture of a workplace can
Offender Reentry shape the initial reaction of employees to
When new employees join an agency, they complex matters. If the majority of employees in
almost immediately see and hear things that an office have concluded that most new policies
convey information about how work is done in make their work more difficult, then all new
that office or institution. Do people seem to policies may be initially treated with suspicion. If
enjoy working together or do they ignore each a supervisor is thought to be capable and
other? What do employees say to each other in interested in the welfare of subordinates, then
casual conversation about coworkers, instructions by this person will be carried out
supervisors, or offenders? Is chaos and panic without much discussion or delay. These types of
fairly evident, or is work done in a calm, rational reactions are reflections of the norms of a
way? The initial impressions gathered by a new workplace.
employee may largely be observations about the
culture in a work location. Some writers have noted that the best way to
understand the culture of a workplace is to try to
In either an institutional corrections or change something that impacts the day-to-day
community supervision environment, two factors work of its employees. Some offices or areas
are ever-present: (1) rules exist, and (2) staff respond with enthusiasm for particular changes.
must interpret and carry out rules in order to These may be changes that reinforce the values
meet job responsibilities. Yet the nature and of that workplace or are consistent with the
spirit with which certain tasks are carried out are behavior patterns of the employees. Staff
driven largely by the attitudes of the employees members who volunteer to participate in
of an institution or office. Attempting to particular efforts may be demonstrating that
understand the nature of the beliefs that shape harmony exists between the culture of that office
employee behavior can have tremendous value and the new work being contemplated. Most
for leaders who are attempting to introduce managers have probably experienced situations
significant changes in work requirements or where proposed changes were resisted by some
outlining a new vision for the agency. employees at every turn, perhaps because the
changes envisioned would create friction or were
Recognizing Organizational Culture inconsistent with the accepted norms or
Organizational culture refers to the accepted practices of that office.
norms, practices, values, customs, traditions, or
behavior patterns of employees. Organizational The largest single resource that institutional
management author Edgar H. Schein (1992) has corrections and community supervision agencies
written that an organization or office culture is can utilize to solve any issue is their own
developed over time in response to work personnel. Understanding the norms and values
situations, external pressures or forces, and the of staff can help institutional corrections and
need to solve particular problems. community supervision agency administrators
and top managers understand the expectations,
Once certain attitudes, behaviors, or methods needs, and requirements of their employees,
are embraced by a majority of the employees in including those that must be reconciled or
an area, then they can be passed along to new addressed in order to realize the intended
employees, who in turn are expected to pattern benefits of proposed changes.
Examining Current Practices
Tasks can be accomplished in many different The notion, and related practices, that
ways, while still being in compliance with most supporting successful reentry is everyone’s
policies or rules. For instance, information at business takes a while to filter throughout
intake could be gathered in a sterile, formal way the agency as previously defined job
by asking offenders to respond to specific, descriptions may not have included an
predetermined questions with largely yes or no investment in offenders’ transition to the
answers. Alternatively, it can be assembled community. By prioritizing successful
through a more extensive dialogue with reentry as a part of the agency’s public
offenders, where open-ended questions are the safety mission, strategies that may have
norm. While both of these approaches indeed previously applied only to specific
accomplish the requirements of a policy, they segments of the agency’s workforce are
actually reflect very different ways of doing now a concern for everyone.
business. Managers who engage in a
comprehensive review of work activities may find - Maureen Walsh, Chairman,
a rich compilation of employee practices. For Massachusetts Parole Board
example, before making changes to the types of
questions posed to an offender at intake, a
manager first might determine which approach is Gaining a Clear Perspective
the norm in a particular institution, office, or It is certainly possible for different offices or
other setting. areas within an agency to display varying norms
and cultures. These different cultures may
Offender reentry touches on essentially every become more evident when a broad topic, such
aspect of offender management, from intake to as offender reentry, is discussed. To gain more
community supervision and beyond. Discussions insight into the culture of a particular office or
about reentry necessarily involve employees who area, it is helpful for a manager to create
perform nearly every type of job within an opportunities for staff to talk about their beliefs
institutional corrections or community and values. Individual interviews, focus groups,
supervision environment. A comprehensive or other forums allow for employees to
review of existing policies, training opportunities, demonstrate or indicate some of the accepted
skill levels, job descriptions, and the basis for elements of their office culture. Stephen Covey
hiring or promotion decisions may be an (1991) has noted in his work that, in general, it
appropriate way to begin the examination of might be helpful to leaders to spend less time
current practices. What do the types of rewards talking at, and more time listening to, their
or recognitions given to the agency’s employees employees. By listening to employees, leaders
indicate about the agency’s preferences, can gain new insights about the forces or beliefs
expectations, and direction regarding offender that drive employee performance.
reentry? What recognition is given to staff
members who do excellent work in helping the A careful review of certain types of data or
agency reach its offender reentry objectives? pertinent information may also yield some
Considered collectively, this information can interesting findings. For instance, if one
provide valuable insight into what these practices institution has the most (or the least)
indicate about the focus of the agency’s efforts. disciplinary infractions each month (compared to
institutions of similar security level and size), a
manager might want to understand better how
disciplinary matters are addressed at that facility.
Institutions with the most inmates at sick call,
supervision offices with the most absconders, or
offices with the lowest (or highest) percentage of
staff taking sick leave might be indications of
some larger truth. Identifying the types of When the formula “successful reentry =
information that is meaningful, and determining community safety” was presented to the
how best to examine or use this information, is agency, a place for everyone became
an important part of examining culture. apparent.
Examining critical policies and compliance levels - Maureen Walsh, Chairman,

is another way of examining the norms of a Massachusetts Parole Board
workplace. Given limited resources and a set
number of available hours and staff, which
policies are routinely followed and which are To embrace change, employees must understand
often ignored? By considering the language of why the change is necessary, how it will impact
these policies, the messages transmitted by them, and why it is beneficial for the agency and
leaders of the agency about particular work others. As noted in the section on leadership,
expectations, external pressures, or other factors, having a clear, consistent message that
a manager can develop an understanding of why articulates the personal and agency values
some policies appear to be more important than represented in the new way of doing business is
others to particular employees. critical. It is also imperative that employees be
involved in determining the best methods to be
Appreciating the Difficulties Associated used in accomplishing the desired goals. It
with Changing an Agency’s Culture might not be possible to force the employees of
Every practitioner has seen how the attention of an agency to accept a leader’s vision; however,
agency heads and top management can shift employees who can appreciate the importance of
from one concern to another depending upon the agency’s new direction and who are involved
events of the moment. Many practitioners have in formulating strategies and methods to realize
also seen positional leaders say different things new outcomes will be much more likely to
about the nature, purpose, or direction of work embrace change.
depending upon the identification of some new
objective, or the audience involved, or the Preparing Yourself for Change
presence of a troubling issue or circumstance. Creating the proper goals and objectives for an
When these individuals at the top of the agency agency requires leaders to have an appreciation
express ideas in inconsistent ways or announce for the empirical information relative to the topic
changes to long-standing practices or goals, it involved, as well as an understanding of their
can create confusion within the workplace. To own jurisdiction. In other words, a leader must
temper this confusion, employees fall back upon be adequately prepared to engage in the right
their own accepted norms, values, and beliefs, types of change.
i.e., their agency culture. Further, employees who
have seen many changes come and go over time Reviewing the Research and Information
develop a certain resistance to any change that is on Offender Reentry
not consistent with the values of their office; The past fifteen years have seen tremendous
employees with more experience may be the activity concerning offender-focused research.
most deeply rooted in the culture of their work The “what works” literature, evidence-based
environment. practices, and meta-analysis of programming
interventions have led practitioners to conclude
that specific types of activities and interventions
can have a significant impact on the likelihood of
an adult or juvenile offender returning to custody.
Individuals who are interested in exploring
changes in the offender reentry realm should helped to break down traditional agency barriers
become fully versed in this information and and create a sense of shared responsibility.
consider the implications of this research for Developing key partnerships is one of the
their agency and other potential partner agencies essential elements of a sound long-term offender
in this effort. For a review of these practices, see reentry strategy. As with internal staff, the sooner
Section Six of this handbook. that leaders from other agencies can see the data
and be involved in discussions regarding
Research within the jurisdiction may also highlight offender reentry, the earlier they can begin to
some particular ingredients or elements of a identify the potential for mutual undertakings.
potentially successful approach. For instance,
improvements in the use of risk assessment tools, Creating a Vision Statement
institutional programming efforts, prerelease for Successful Offender Reentry
activities, or partnerships with other agencies may Efforts
produce some interesting data or results. In one In order for an agency to move forward with
jurisdiction, it was found that during an offender’s modifying its goals, practices, methods, or
first two months after release, the likelihood of approaches to offender reentry, it must formulate
return to prison was reduced by one percent for a vision statement that reflects the intended
every day of employment (Meredith, 2003). This direction of the agency and the values of its
type of information provides a powerful impetus leaders and staff.
to change efforts.
Sharing Key Offender Reentry Concepts There is perhaps no tool more powerful
with Others than a clear vision. A clear vision, or
Within any institutional corrections or focus, harnesses our energy and directs it
community supervision agency, responsibilities with precision on our desired goals.
in key areas are often divided among numerous Consider this: The sun is a powerful
personnel. Creating opportunities for these source of energy with billions of kilowatts
personnel to learn about critical local or national of energy. But, with sunscreen and a hat a
research findings, examine relative data, and person can shield themselves from its
develop strategies can be critical to the ultimate effects. A laser is a relatively weak source
development of a particular vision for the agency. of energy by comparison. It represents
In the final analysis, securing internal consensus only a few watts of energy but, when
among top management will be essential to the focused in a coherent stream of light, it
creation and execution of new policies and can drill a hole in a diamond.
methods. Involving these individuals early in the
discussion affords them the opportunity to frame - Ries, 1997
issues, explore possibilities, and develop
ownership of future products.
Considering the Elements of a Vision
Other agencies may also be interested in Statement
partnering with an institutional corrections or A vision statement should indicate a preferred
community supervision agency once certain data future and the desired outcomes toward which
or information is shared. In some jurisdictions, an agency seeks to work. The ideas and choices
state entities responsible for mental health or identified in a written pronouncement of this
substance abuse services have been surprised to preferred future should reflect the values and
learn about the percentage of their community beliefs of its authors. In addition to indicating
clients who are under criminal justice where the agency is headed, the vision statement
supervision. In some states, this information has should be positive and uplifting, using words
Vision of the Georgia Reentry Impact Project
We will promote public safety through collaborative partnerships, which reflect a seamless
system that ensures all returning offenders are law abiding, productive citizens of their
communities.
Vision of the Michigan Prisoner ReEntry Initiative

The Vision of the Michigan Prisoner ReEntry Initiative is to reduce crime by implementing a
seamless plan of services and supervision developed with each offender, delivered through state
and local collaboration, from the time of their entry to prison through their transition,
reintegration, and aftercare in the community.
http://www.michpri.com/index.php?page=what-we-do, last accessed December 11, 2007.
Vision of the New York Reentry Task Force

The vision of the Reentry Task Force is to build a safer New York resulting from the successful
transition of offenders from prison to living law-abiding and productive lives in their
communities.
http://criminaljustice.state.ny.us/crimnet/ojsa/initaitives/tpci_crtf.htm, last accessed December 11, 2007.
A Vision for Effective Offender Reentry in Rhode Island

Our vision of offender reentry in Rhode Island is of an integrated statewide system that fosters
the preparation and gradual transition of incarcerated individuals to productive, healthy, and
crime-free lives.
that will help inspire others to embrace this new The great American forest, since our nation’s
direction fully. founding, has provided the resources to build
our homes, our schools, our churches—it
While an agency’s vision may be focused on lofty has provided the inspiration for our
ambitions, it should be written in language that philosophers, our poets, our artists. Working
can be easily understood by others. When people together we can continue to improve,
read or hear a vision statement, they should be enhance and protect this great natural
able to form a clear idea about what the agency resource to help insure that we have healthy
is striving to accomplish. In addition, the vision forests with clean water, clean air, abundant
statement should avoid exact details regarding wildlife, wilderness, and working forests in
how the agency will move forward in its efforts. harmony with the needs of all Americans and
The purpose of the vision statement is to for the generations yet to come.
indicate an agency’s intended direction and
perhaps why the agency is choosing to undertake This statement indicates a generally desired
that particular journey. What precisely the agency outcome (improving, enhancing, and protecting
will do or how it will advance in the direction of forests), reflects some of the values of its
its vision should be left for specific individuals or authors (forests are a tremendous natural
groups to determine. resource, people can work together, needs and
interests can work in harmony), explains why the
Consider, for example, the following vision work is important (so that current and future
statement that was drafted for consideration at generations can enjoy the benefits of this
the Seventh American Forests Congress (1996): resource), and is written in a positive, uplifting,
and easily understood way. This statement does
not indicate exactly how this vision will be Announcing and Promoting the Vision
realized, but it paints a vivid picture of a Statement
preferred future. Once the vision statement has been developed,
it must be shared with others in a manner that
Creating an Agency’s Vision Statement promotes maximum knowledge and
As noted earlier, it is important to have key understanding of what the vision statement
managers participate in the drafting and intends to convey about the agency’s
consideration of a vision statement concerning commitment to reentry.
offender reentry, as this area impacts so many
aspects of institutional corrections and Some agencies have formal methods for sharing
community supervision work. New directions important pronouncements with staff members
need a tremendous amount of internal support (e.g., issuing a copy to all staff with their
to survive. Failing to include all managers in the paychecks) while others rely on more informal
work of envisioning the agency’s approach to means (e.g., asking supervisors to brief their
offender reentry may lead to friction or concerns subordinates at regular meetings). Whatever
when the full consequences of offender reentry methods are employed, the critical question is
work are realized by all employees. whether employees understand what is being
said, why it matters, and what it will ultimately
Further, reentry work necessarily involves the mean for them and the agency.
collaboration of numerous partners. Establishing
a meaningful dialogue with potential partners Information about a vision statement can be
before the vision statement is created will allow placed in internal publications, listed on a Web
these agencies the opportunity to consider, site, or be discussed as a special item at
embrace, and create language that will form the regularly scheduled meetings. Most likely, many
basis of a comprehensive vision statement. Some methods will have to be employed over time, and
corrections agencies have developed their a consistent message will have to be provided
offender reentry efforts internally and then sought concerning the reason for and meaning of the
to bring other agencies into the discussion after vision statement in order to persuade staff of the
the fact. This leads other agencies to see offender agency’s commitment. Most managers have
reentry as a corrections issue entirely, with only a seen vision statements on a variety of topics
minor role or responsibility for external agencies. during their careers. While communicating the
Effective reentry work requires many agencies and vision statement is an important first step, staff
individuals to work together on a significant members may wait to see if the vision is
number of issues; involving these partners early incorporated into the routine business of the
in the process will aid in the development of joint agency, is reflected in the agency’s policies and
ownership and responsibility concerning the training events, is referenced by the agency’s
reentry effort. leaders during presentations or meetings, and is
highlighted in public statements. A consistent
The preceding page includes examples of vision reinforcement of the vision is important to
statements created by collaborative teams of promoting investment in the agency’s new
institutional corrections and community direction.
supervision agencies working with the National
Institute of Corrections on its Transition from Conclusion
Prison to the Community (TPC) initiative. They Leaders who seek to create a new vision of
exemplify how such efforts can clearly reenvision offender reentry for their agencies have the
the future toward which corrections agencies and opportunity to initiate and foster meaningful
their partners are working. modifications to the agency’s direction and
operation. In moving forward, leaders can
prepare themselves by becoming fully versed on
the growing body of information regarding KEY STEPS
offender reentry and by considering the cultures
of their own agencies and how the cultures will • Gain a fuller perspective of the
impact efforts toward change. Being informed on agency’s culture by listening to
these matters will help agency leaders move employees and collecting information
forward with the greatest possibility of success from different offices or areas within
for their intended changes. the agency.
• Review existing policies and practices
in the agency and determine what
messages regarding the importance
of offender reentry these policies and
practices convey to staff and offend-
ers.
• Examine, recognize, and understand
the accepted practices, behaviors,
norms, and attitudes present in all
levels of the agency.
• Review the research and literature on
offender reentry and share it with
others.
• Create a vision for offender reentry
with the help of a diverse group of
key staff.
• Promote the vision consistently
through publications, presentations,
and public statements.
CHAPTER 3: PREPARING STAFF FOR
ORGANIZATIONAL CHANGE
The Different Situations, is because there are so many old assignments
Circumstances, and Limitations still being performed that do not align with the
Faced by Staff current agency vision. Many agencies suffer from
In carrying out the responsibilities of institutional the weight of work activities that are performed
corrections and community supervision or carried out in some particular way for reasons
agencies, staff members are tasked with that no one can recall. One key to making
performing wide-ranging activities. What nearly changes in the workplace is to prioritize work
all of these activities have in common, whether it activities in ways that are consistent with the
is interacting with offenders, performing agency’s broader goals and eliminate work that
administrative tasks, dealing with external forces, holds a low priority.
or managing employees, is that there seems to
be more to do than can be done in the time When agencies take a look at how security staff
allotted. Expanding populations, increased or community supervision employees spend
paperwork, stagnant or shrinking budgets, or their time, they may be surprised to learn how
specific public expectations can create some long little time is actually spent performing the
and difficult days for employees. It is within this functions that constitute the reason for the
context that institutional corrections and creation of the position. When these employees
community supervision agencies attempt to indicate that they have “no time to spend with
engage in implementing new directions, goals, or offenders because they are busy doing other
work methods. things,” it means that other priorities have been
imposed on their schedule. If an agency wants
Recognizing the Importance of security staff to spend more time with offenders
Prioritization in a housing unit or supervision staff to spend
Work activities should reflect the most important more time with offenders during home visits,
priorities of an agency. As Stephen Covey (1991) then other duties will have to be eliminated,
notes: reassigned, or combined in ways that will allow
these employees the time that they need to do
Most people and organizations approach the work that matters most.
time management within the context of
prioritizing one’s schedules. It is much more Institutional corrections and community
effective to schedule one’s priorities that supervision agencies can benefit greatly by
have been identified in conjunction with key engaging in a thorough review of how employees
roles and goals and determined through spend their time, identifying tasks or activities
assessment of personal and organizational that reflect a low priority (or that no longer need
missions. to be done at all) and eliminating these tasks.
Eliminating certain tasks can concern some
In other words, once an agency is clear about employees because, even though they see that
what it wants to do, it should prioritize the time there is little value in doing that particular
employees spend performing different types of activity, they may be reluctant to give up doing
work so that the tasks performed more accurately work that they understand and perform well,
reflect overall priorities. Covey refers to this as particularly if they are concerned that the new
“putting first things first.” The reason that many tasks will be hard to understand.
people have no time to tackle new assignments
Helping Staff Overcome Barriers solutions to a variety of matters (i.e., if we do
Front line staff and first line supervisors have the this in a particular way, we can both gain
best understanding of the challenges that they something of value). Stephen Covey (1989) refers
face in meeting everyday job requirements or to this as the “win/win principle.” Once staff
expectations. In creating a new direction or focus members see that offender reentry work is a
concerning offender reentry, institutional vehicle for eliminating or overcoming various
corrections and community supervision agencies problems, acceptance of the direction and goals
also have the opportunity to consider and of the effort will be more easily obtained.
address a variety of traditional problems and
generate new solutions to help staff overcome
these issues. For instance, intra-agency One of our greatest challenges today is
communication is often an issue in large engaging staff at all levels of the
agencies. Offender reentry work, because it organization in that part of our agency
touches so many areas of the agency’s operation, mission that speaks to successful offender
can present a new opportunity to work on this reentry. Most corrections leaders now
problem. Similarly, long-standing issues with recognize the importance of a successful
other agencies (e.g., lack of responsiveness to transition from prison to community
particular matters) can receive new attention if living, both because the numbers of
an interagency offender reentry team is inmates leaving prison have been growing
established. and because failure during this high risk
time creates new crime victims. Our
Managers often see certain problems, whether public safety role demands that we do a
internally or externally driven, as intractable. good job with transition. While leadership
Rather than spending time solving such may be firmly committed to this goal, true
problems, managers or other staff may devise change depends on involving line staff
ways to get around the issue. While some and, probably most important, the mid-
positive results can come from such actions, it is level manager.
usually better to find productive ways of
identifying and resolving the underlying issues. - Max Williams, Director, Oregon
Arguably it is the fundamental responsibility of Department of Corrections
supervisors and managers to identify and resolve
problems for their employees, but, like front line
staff, supervisors and managers are often busy Training, Job Qualifications, and
with other work and satisfying other priorities. Hiring/Promotional Decisions
Allowing time for supervisors and managers to
learn about the actual factors causing these Seeking Employees with the Necessary
problems and encouraging them to work with Skills and Abilities for the Agency
interdivisional or interagency teams to resolve In order for employees to have the critical skills
difficulties is critical for a healthy agency. and abilities that will be required to perform
necessary tasks associated with effective offender
A focus on offender reentry activities provides reentry work, employees will either have to
the opportunity, and possibly a framework, for possess these skills already, or they will have to
the identification and elimination of various receive adequate training so that they can develop
problems. While most agencies approach the ability to successfully do the work. If offender
problems in a win/lose frame of mind (i.e., you reentry work is largely about preparing offenders
can win, or I can win, but we can’t both win), to be successful in communities after their
offender reentry activities offer various agencies release from confinement, then one responsibility
the opportunity to develop mutually beneficial of institutional corrections and community
supervision agencies is to prepare their staff training attention, whereas those areas of
members to be successful at performing the tasks greatest importance to the achievement of the
necessary to achieve this goal. agency’s vision should account for the greatest
proportion of training time.
It is possible to identify some of the skills and
abilities institutional corrections and community Training is an essential component in helping staff
supervision agencies want to keep in mind when to see the agency’s commitment to offender
making hiring or promotional decisions for reentry and to prepare them to carry out new or
positions that will have some specific modified job tasks. Providing employees with a
responsibility concerning future offender reentry clear understanding of how they will be trained
work. If agencies seek to promote effective and prepared to carry out different or new types of
offender reentry practices by front line staff, they job duties, or use new tools, will ease concerns
might be interested in individuals who can utilize about how the agency’s vision and goals regarding
motivational interviewing techniques, imagine or reentry will impact individual staff members.
create incentives for offenders, employ particular
communication skills, and build partnerships Staff Incentives
with other individuals. If the agency determines
that some of these skills or abilities are desirable, Considering the Value of Staff Incentives
interest in these skills can be included in job Research and practical experience indicate that
announcements, interview questions, or hiring or positive reinforcement and incentives are more
promotional decision making. Such efforts not effective at encouraging behavior modification
only help the agency identify those who are than negative reinforcement (Andrews & Bonta,
capable of meeting the demands of the position, 1994)4. This has had some impact on offender
they also contribute to efforts to communicate management, as institutional corrections and
the agency’s commitment to reentry and to community supervision agencies have begun to
impact the agency culture. reconsider the types or nature of incentives that
can be offered to offenders to encourage and
Committing to Staff Training sustain appropriate behaviors. Institutional
In order to prepare employees to be skillful at corrections and community supervision agencies
promoting offender success, various types of might also consider the power and value of using
training classes should be required. Agencies positive incentives with employees who are asked
should examine the types of training classes that to change their work activities or behaviors,
are currently being offered. Training represents a rather than primarily relying on negative
specific resource allocation, but (as mentioned consequences for noncompliance with
earlier in the discussion on agency culture) it requirements.
also reflects the general goals and objectives of
the agency. Since training opportunities and staff An examination of the types of things that
time are valuable resources, training classes employees are looking for in their work can
demonstrate the agency’s priorities and values. produce some interesting results. In a recent
What kinds of training activities are currently survey of over 4,000 job seekers from twenty-one
being offered to front line and supervisory countries, the Accenture Corporation (2006)
personnel? A commitment to developing asked the following question: “What are you
effective offender reentry practices will require a looking for in your work?” The top three answers
dedication of necessary training resources and included:
opportunities. As was discussed above
concerning work activities, training should reflect • Challenging and interesting work.
the overall goals and priorities of an agency: • Recognition and rewards.
areas with a low priority should receive less • Opportunities for career growth.
If this example is indicative of employees in employees are overlooked for promotion, when
institutional corrections and community issues with employees who are not doing good
supervision agencies, then perhaps positive work are ignored, when work requirements are
incentives can in fact be a powerful influence on continuously altered, and when priorities seem to
job satisfaction and employee behavior. be ill defined, it is easy for staff to become
discouraged. Eliminating disincentives may be
just as important to a productive agency as
Developing New Incentives developing appropriate incentives.
The above survey appears to indicate that many
employees want to do work that is worth doing; Mobilizing Staff to Undertake a
they want to be recognized when they do it well; Change Process
and they want the opportunity to build a career Beyond the specific elements discussed above,
in a place that offers them the first two things. preparing employees for change requires creating
This leads to a simple question: What types of a process that anticipates and is prepared to
rewards or recognitions do institutional respond to employees’ concerns. As noted
corrections and community supervision agencies above, many people are uncomfortable, at least
currently give their employees? What additional to some degree, with change. While some will
types of recognition could be given to staff respond to the implementation of new
members who do excellent work in helping the philosophies, policies, and procedures as an
agency to reach its offender reentry objectives? opportunity for positive change, others will need
to be drawn into the change process in ways that
In some agencies, examples of good offender can evoke their enthusiasm and commitment.
reentry work are regularly featured in internal
publications. Providing employees with this type In determining strategies for engaging staff in
of information has two potential benefits: it the change process, the following elements
conveys appreciation to the individual who should be taken into consideration:
deserves it, and it encourages other employees
to undertake similar types of work. Some • Communicate. Resistance to change is more
agencies offer employees who have done good likely to occur when information about the
work the opportunity to be featured in a local proposed change has not been adequately
newspaper; others will simply send a letter of communicated. Information should be
appreciation. Whatever vehicles are employed, provided in an accurate and timely manner to
personal recognition can provide a powerful employees, particularly those most directly
incentive for staff. affected by the changes (Carol Flaherty-Zonis
Associates, 2007).
Consider the impact that performance
evaluations or quality assurance measures can • Clarify the Impact of Change. When confronted
have on employees. Are the most appropriate by change, many people will respond more
responsibilities being adequately measured? Is positively when they understand how exactly
reasonable feedback provided to employees to the change will impact them in the
help them understand what they are doing well performance of their job. While it is important
and what they could improve upon? Do agencies to convey the agency’s vision for successful
seek opportunities to recognize good work as a offender reentry to staff, care must also be
way of promoting more good work? taken to clarify for each position within the
agency the impact of the proposed changes
Agencies should look beyond the incentives (Carol Flaherty-Zonis Associates, 2007).
being offered to consider whether certain
disincentives are at work as well. When deserving
• Encourage Feedback and Response. Resistance those in leadership positions. They will want
is often fueled by lack of ownership in the to see leadership walk the talk. Leaders should
changes occurring, and a mindset, accurate or create opportunities to demonstrate the
otherwise, that those making the decisions do agency’s new way of conducting business and
not comprehend fully the factors affected by role model accordingly (Carol Flaherty-Zonis
the change. While not all staff can be included Associates, 2007).
effectively in the change process, creating
systems that encourage feedback on proposed • Focus on the Middle. Not all employees can be
and implemented changes can encourage persuaded of the positive aspects of change;
participation and buy-in. Equally important, some employees will always embrace change
while not all suggestions must be with enthusiasm, while others will always be
incorporated into the agency’s plan for obstructionists. The agency’s plan for change
change, feedback must be considered and should recognize this and allocate resources
staff members’ concerns responded to in a (for example, training opportunities)
way that makes them feel heard (Carol accordingly, investing in those employees who
Flaherty-Zonis Associates, 2007). are in the middle and capable of persuasion,
rather than a small subset of intractable
• Understand Resistance. It is practical to expect individuals.
resistance whenever a change process is
implemented; however, planning to respond • Remember that Change is a Long-Term Process.
effectively to resistance can only occur when Finally, it is important to recognize that each
the reasons behind the resistance are fully individual’s timeline for accepting change is
understood. Resistance can be in response to different, and that the process of changing
feelings of loss of control, loss of power or minds is a long-term investment. The payoff is
influence, concerns regarding whether new not always readily apparent, and may take
skills will be necessary and whether those months or years to manifest itself fully (Carol
skills can be learned along with myriad other Flaherty-Zonis Associates, 2007).
factors. Care should be taken to understand
fully the reasons for resistance before deciding Conclusion
on a strategy to confront them (Carol Flaherty- Agency leaders planning to develop new
Zonis Associates, 2007). strategies or goals in the offender reentry area
must appreciate not only the importance of
• Make Use of Informal Leadership. As noted establishing and announcing a new vision, they
earlier, leaders are present at all levels within must also consider the context in which these
the agency. While the commitment and new goals will be received by staff. Many
enthusiasm of those with positional concrete steps can be taken to appreciate the
leadership in the agency is important, it is culture, requirements, needs, and circumstances
equally important to recognize the of agency staff who must find ways to implement
contribution toward the change process that the tasks associated with this vision. An interest
informal leaders within the agency can make. in encouraging employee success, as well as
Care should be taken to identify and engage promoting offender success, is an essential
these leaders; they will in turn serve to help ingredient to effectively implementing new
carry the message of reentry to those with offender reentry strategies.
whom they come into contact.
• Mentor/Model New Behaviors. Employees will

not be persuaded of the value of change
unless they see it modeled in the behaviors of
KEY STEPS
• Reinforce the agency’s vision by pro-

moting and hiring staff members
who possess the attitudes, skills, and
abilities to carry it out.
• Prioritize the work tasks of employ-
ees to support the agency’s vision,
and eliminate those activities that do
not help the agency achieve its
vision.
• Place training emphasis on those
aspects of the agency's work that are
most fundamental to achieving its
vision.
• Encourage supervisors and managers
to understand thoroughly and cre-
atively problem-solve barriers to
change.
• Consider staff concerns and encour-
age their feedback.
• Use incentives to underscore the
agency's values and reinforce staff
efforts to be supportive of the vision.
• Mobilize employees for the change
process by communicating regularly
and often with employees regarding
the changes to be made, clarifying
the impact of changes on them, and
encouraging feedback.
• Utilize informal leaders; mentor and
model the behaviors desired in the
staff.
• Focus your efforts on staff within the
"persuadable middle."
Assess Your Agency:
Leadership and Organizational Change
Yes No Not
Clear
1. Are the institutional and post-release supervision agencies

committed to promoting offender success?
2. Does agency policy clearly indicate that offenders’ successful

completion of supervision following release from confinement
is a primary goal?
3. Are agency managers routinely involved in discussions about

the purpose or focus of offender management activities (i.e., to
promote successful outcomes)?
4. Have special means or strategies been used (e.g., annual

meetings, publications, the distribution of a rewritten vision
statement) to communicate to staff the agency’s specific vision
and expectations regarding offender management and
supervision (i.e., to promote successful outcomes)?
5. Does the agency hire/promote individuals who support the

agency’s vision and who have the necessary qualities to assist
in carrying out the vision?
6. Is training provided to facilitate the development of the specific

types of skills necessary to intervene with offenders in ways that
will promote successful case outcomes?
7. Does the agency routinely involve staff at all levels in discussions

regarding the ways in which the agency can most effectively
carry out its mission?
8. Does the agency value and measure those activities that

promote offender success?
9. Does the agency prioritize work activities that promote

successful offender outcomes (in contrast to focusing exclusively
on custody and control, and surveillance and punishment-oriented
activities)?
10. Are incentives offered to reward and recognize staff members

who support the agency’s vision for offender reentry?
11. Do line staff members understand that they play a significant

role in providing offenders with opportunities to be successful?
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45
Section Four:
A Rational Planning Process

for a Learning Organization Susan Gibel and Leilah Gilligan
INTRODUCTION
For many institutional corrections and the department’s policies, procedures, and
community supervision agencies, creating public activities must be evaluated. The challenge for
safety through the successful reintegration of institutional corrections and community
adult and juvenile offenders is a significant shift supervision agencies seeking to implement
in organizational focus. Adopting successful successful offender reentry strategies is to ask of
offender reentry strategies as a method for every policy or procedure: How does this impact
achieving greater public safety represents a the opportunity for offenders to be successful in
revisioning of how these agencies approach their the community?
work with offenders and a better understanding
of how increasing opportunities for offenders to Rational planning offers a structured,
be successful in the community enhances public collaborative process through which institutional
safety. It is not necessarily second nature for corrections and community supervision agencies
institutional corrections and community can organize themselves to approach a change
supervision agencies to think primarily in terms process that will result in a successful offender
of offender success; the tradition as a profession reentry strategy. This section will highlight the
has been to concentrate on punishment, critical elements of a rational planning process
incapacitation, monitoring, and accountability. and provide references to resources for
While these remain important goals, a growing institutional corrections and community
body of research on effective offender practices supervision agencies seeking to engage in that
indicates that to impact public safety, process as part of a successful offender reentry
institutional corrections and community effort. In Chapter 1, an overview of the rational
supervision agencies will have to think differently planning process will be provided. Chapter 2 will
about many aspects of their work, about explore in more detail the process of data
offenders, and about the nature and impact of collection, essential to an effective planning
their work on offenders and communities. process.
Shifting the agency’s focus to successful offender

reentry may require a reevaluation of the
agency’s vision, mission, goals, and objectives.
As the preceding section on organizational
change indicates, the agency’s policies, practices,
and organizational culture may need to be
reexamined through a new lens of offender
reentry. As offender reentry becomes the
operating principle underlying all the agency’s
efforts, it becomes the perspective through which
CHAPTER 1: CONDUCTING A RATIONAL
PLANNING PROCESS
Why a Rational Planning Process? effective solutions to the problems identified. It
is an undertaking that involves, at various times,
He who fails to plan, plans to fail. numerous staff members from many
departments within the agency, and one that
- Anonymous Proverb requires careful coordination to ensure that key
stakeholders are involved and that duplicative
and inefficient efforts are avoided.
The “how” of a rational planning process could
fill a book (Carol Flaherty-Zonis Associates, 2007; A rational planning process helps to identify
CSOM, 2002, 2007; McGarry & Ney, 2006) and issues, gaps, problems, and opportunities for
will be covered only briefly in this section. change objectively, thus enhancing the agency’s
Because more information is currently available5 ability to move forward constructively. Without a
to assist institutional corrections and community rational planning process, there is a danger that
supervision agencies in conducting a rational decisions will be made and policies and
planning process, the remainder of this procedures instituted before problems are
handbook will focus instead on why a rational identified and analyzed properly. This can result
planning process is critical to the success of in a great deal of effort being put into developing
institutional corrections and community and implementing a strategic plan for offender
supervision agencies seeking to implement a reentry that ultimately fails to improve offender
plan for offender reentry. success, an essential measure of effective reentry
initiatives.
As institutional corrections and community
supervision agencies consider moving forward Unless institutional corrections and community
with the development and implementation of a supervision agencies invest in a rational planning
strategic plan for successful offender reentry, it is process, they run the risk of prematurely
important to have a system or method to assist adopting solutions in an attempt to achieve a
in the rational consideration of the factors specific goal or outcome. Even with the best
involved: What is the agency’s vision for reentry, intentions, wide-reaching changes in policies and
where does the agency currently stand in relation procedures may be implemented that ultimately
to that vision, what critical problems, needs, or have no effect (or worse, a negative effect) on the
gaps must be addressed to achieve the vision, very problems they were designed to address.
and what strategies will be most effective in There may be many reasons for this. For
addressing the identified problems, needs, or example, agencies may be under pressure to
gaps? The consideration and implementation of respond to a problematic event or subject to
a strategic plan for offender reentry is a external pressures to make changes quickly; they
tremendous undertaking, involving complex may be seeking to take advantage of new funding
activities such as data collection and analysis, streams or staff enthusiasm regarding new and
setting priorities for tasks, and developing an promising ideas. Regardless of the reason, these
understanding of system workings, gaps, and attempts to promote system change, although
challenges. Participants in the process must based on the best of intentions, may not produce
develop an understanding of evidence-based and the desired results.
emerging practices in order to prioritize the
issues to be addressed and to craft viable and
Rather, reasonable, effective, and lasting change • Team Learning. Understanding how others
is most likely to occur when those involved learn, and how to use those skills to engage in
understand and agree upon: group learning.
• Sharing a Vision. Sharing a common
• What is to be accomplished (a vision for understanding of the agency’s vision.
offender reentry). • Systems Thinking. Understanding the
• Where the agency is in relation to that vision. interrelatedness and interdependence of
• The critical problems, needs, or gaps to be systems, and the “ripple effect” of changes in
addressed between where the agency is now any one part of the system on others.
and what it wants to accomplish.
• The strategies that will be most effective in All of these disciplines are crucial to an effective
addressing these problems, needs, and gaps. rational planning process. Together, they
represent a set of skills and shared knowledge
Put another way, the agency will be most that is critical to the process of understanding
successful in reaching its vision for successful the current environment, determining what
offender reentry if it knows where it is, where it needs to be changed, identifying the barriers that
wants to go, the obstacles in its way, and the impede change, strategizing to overcome them,
best methods for overcoming those obstacles. and establishing desired outcomes. When
Conducting a deliberate, thorough, and critical selecting individuals to participate in the rational
self-assessment, and planning for change planning process, agencies should take care to
accordingly, greatly increases the agency’s include individuals that demonstrate competence
chances for successfully implementing change. in these various arenas.
What is a Learning Organization? Steps in a Rational Planning

The title of this section is “A Rational Planning Process
Process for a Learning Organization.” While the The goal of rational planning is to engage in a
meaning of the term “learning organization” may process through which reasonable, effective, and
seem very straightforward, it in fact refers to a lasting change can be achieved. That process
host of activities that together create the basis includes creating a vision, setting goals,
for a dynamic learning process. In a learning educating those involved on key topics related to
organization, “people continually expand their reentry, gathering and assessing information,
capacity to create the results they truly desire, setting priorities and developing a strategic plan,
...new and expansive patterns of thinking are and monitoring the strategic plan for its
nurtured, …collective aspiration is set free, effectiveness (McGarry & Carter, 1993; McGarry
and…people are continually learning to see the & Ney, 2006). The following is an overview of the
whole together” (Senge, 1990). steps involved in conducting a rational planning
process (adapted from McGarry & Carter, 1993,
In the National Institute of Corrections’ guide to and McGarry & Ney, 2006).
Building Culture Strategically: A Team Approach
for Corrections (2007), a learning organization is
described as one based on five disciplines: Step One: Articulate a Vision
• Personal Mastery. Achieving personal If you don’t know where you’re going,
excellence both within the context of the then any road will do.
agency and one’s individual goals.
• Mental Models. Understanding the differences - Lewis Carroll,
in personal perspectives and those of other Through the Looking Glass, 1871
staff and colleagues.
The first step in the rational planning process is The implementation of a successful offender
the articulation of a vision for offender reentry. reentry strategy is a long-term commitment that
The need to develop a vision (as well as the requires collaboration as a critical element. Over
important elements of an effective vision the course of both the rational planning process
statement) is covered in the previous section on and the development and implementation of the
organizational change. It bears repeating, strategic plan, many disciplines, many
however, that it is impossible to plan effectively substantive areas, and critical community and
without a clear statement of what the agency state agency partners may be involved in the
hopes to achieve, if for no other reason than effort. Yet, even within the nucleus of the rational
there would be no way to measure when success planning process, the steering committee itself,
has indeed occurred. Articulating a clear and effective collaboration is essential, and a lack of
uplifting vision is a function of strong leadership collaboration can undermine all of the agency’s
and effective collaboration. It is critical that efforts.
institutional and community corrections leaders
communicate clearly to those involved in the The steering committee is tasked with bringing
rational planning process where they want their together myriad executive and management level
agencies to go, and provide direction, focus, and leaders and possibly staff from other levels
purpose for offender reentry activities. within and outside of the agency, each of whom
will bring a unique perspective to the table. In
The agency’s vision statement should express a order for the work of the steering committee to
preferred future and the outcomes desired by the succeed, these team members must be able to
agency. This information will guide the rational set aside their individual agendas and engage
planning process as a strategic plan is developed each other collaboratively in order to seek out
and goals are set. The vision should reflect the solutions to the complex issues to be
values and beliefs of the agency’s leaders. These investigated and resolved. When appointing
will be important considerations for staff, who will members to the steering committees, care
want to understand the principles underlying the should be taken to ensure that the individuals
changes in policy and practice (especially if the selected possess the necessary collaborative
changes reflect a reconsideration of the function skills.6
of institutional corrections and community
supervision agencies away from the sole focus on The Benefits of a Committee
punishment, incapacitation, monitoring, and Engaging in a rational planning process is an
accountability toward a more balanced approach activity that requires an investment of time and
that includes a focus on offender success). The resources on the part of the many individuals
vision should be clear and easily understood. The involved in offender reentry, from leadership and
communication of the vision to employees and management, to employees working with
external partners is an important part of the offenders in the institutions and in the field, to
rational planning process, and one designed to administrative staff tasked with gathering and
garner support and enthusiasm for the agency’s synthesizing information. Moreover, it can be a
offender reentry effort. As such, the vision should lengthy process that requires oversight to ensure
be communicated regularly and consistently as that activities remain focused on the strategic
part of the rational planning process. plan. Such an enterprise is beyond the efforts of
any single individual. A steering committee, on
Step Two: Create a Steering Committee the other hand, has not only the ability to create
Before the particulars of creating a steering and carry out a rational planning process, but
committee and its subcommittees are discussed, also more resources, diverse perspectives, and
it is important to begin by emphasizing the role the enhanced capacity a broader group of
of collaboration in the rational planning process. individuals can bring to the table.
What is the Role of the Steering Committee attitudes, knowledge, and skills), the steering
and Subcommittees? committee will be unable to fulfill its purpose.
The role of the steering committee is to provide
executive level oversight to the rational planning While subcommittees may provide information
process and to serve as the decision making and make recommendations, it is the steering
body responsible for authorizing the committee’s responsibility to:
implementation of a strategic plan for offender
reentry. It is likely that the functions of the • Direct and oversee the data and information
steering committee will be supported by gathering and analysis process.
subcommittees (which may be larger or smaller • Review data and information, and seek
than the steering committee) charged with additional information as needed.
gathering, analyzing, and synthesizing data into • Prioritize gaps and challenges, targeting those
recommendations for action to be acted upon by issues most likely to have the greatest impact
the steering committee. Subcommittees if addressed.
generally are charged with providing support to • Identify detailed and specific strategies to
the steering committee in its efforts to develop a address the prioritized gaps.
detailed and thorough understanding of the: • Oversee the implementation of these
strategies.
• Research on evidence-based and emerging • Evaluate the impact of the change strategies.
practices.
• Process of an offender’s case through the What Should Be the Composition and Size of
system, beginning with intake at the the Steering Committee?
institution and proceeding through discharge The composition and size of the steering
from community supervision. committee will differ from agency to agency,
• Offender population being served, in terms of depending on agency size, current reentry
level of risk, sentence length and conditions, partners, and offender population served (e.g.,
criminogenic needs, and responsivity factors. adults, juveniles, or both). An effective committee
• Policies (formal and informal) that guide the size is generally no more than twenty individuals,
management of offenders and the agency’s exclusive of members of subcommittees or other
operations. groups tasked with performing assignments for
• Practices (formal and informal) that guide the the steering committee. The steering committee
management of offenders and the agency’s should include such key leaders as the director or
operations. secretary of the agency (or other equivalent
• Available resources and services to assist position) and deputy directors for facilities,
offenders to be successful (e.g., issues of programming, transition, community supervision,
treatment, housing, family, employment, and research. Representatives from staff that will
education, and health). be closer to the implementation process, such as
• Staff attitudes, knowledge, and skills regarding wardens, district managers for parole offices, and
offenders and offender reentry. other employees in charge of classification
policies and procedures and training, may also be
This information provides a foundation for the appropriate members of a steering committee.
rational planning process. Without a thorough Additional members may include employees
understanding of the characteristics of the directly involved in the management of offenders,
population it hopes to impact (offenders served), such as parole officers, corrections officers, case
the means through which such change can be managers, and treatment and programming staff
accomplished (evidence-based and emerging (although line staff may be best utilized as
practices), and the tools available for members of subcommittees). Each agency will
accomplishing change (resources, services, also need to balance the benefits of including
agency policies and procedures, and staff multiple perspectives against the need for a
manageable and effective committee size. Even Step Four: Collect Baseline Data and
when the number of employees involved in the Information
steering committee must be limited for this The collection and evaluation of information is
reason, the committee is encouraged to seek among the most critical of the steering
input from all levels of staff in some fashion committee’s responsibilities. The rational
(through focus groups, subcommittee work, staff planning process is a method of implementing
surveys, et cetera). change that relies on the objective collection and
evaluation of information in order to assess the
Step Three: Understand the Research on agency’s effectiveness in achieving its vision.
Evidence-Based Practices
The application of evidence-based principles and As with all steps in the rational planning process,
practices, the objective, balanced, and the collection of data should be carefully
responsible use of the current scientific evidence considered. What data will be collected, by
to guide and inform efficient and effective whom, and how, are only some of the questions
institutional corrections and community the steering committee will need to consider. The
supervision agency practices in a manner that committee should take into account the
will facilitate the most effective outcomes, is a questions it wants answered, and then task the
key element in the rational planning process. The appropriate departments and/or subcommittees
adoption of evidence-based principles and with the collection and analysis of that data. As
practices enables the agency to operate outside mentioned above, the committee should collect
the unpredictable framework of “good ideas” and data regarding the characteristics of the offender
with reliance on the empirical basis of the population, the system and community
strategies they craft. resources available to that population, the
agency’s current policies and practices (both
Once the steering committee has been formed, formal and informal), and staff attitudes,
there may be some temptation to move quickly knowledge, and skills regarding offender reentry.
to problem solving to take advantage of the The committee’s requests for information should
enthusiasm of the newly organized committee. be detailed and specific, so that the committee
However, in order for the principles of evidence- receives the kind of information it needs to set
based practice to best inform and guide the work priorities and determine strategies for
of the agency, it is necessary at this stage for the intervention.
steering committee to take the time to educate
themselves fully on the principles of evidence- The steering committee must also consider how
based practice and how these principles relate to the data it needs will be collected. Data may be
effective offender interventions. In order to do stored electronically in databases or it may need
so, steering committee members may be to be collected from paper files. Some
charged with reviewing published information on information may only be available through focus
these principles, they may engage in cross- groups or interviews (e.g., this kind of inquiry
training activities, or outside expertise may be may be the only method of determining informal
brought in to provide information to the agency practices, staff attitudes regarding
committee. A combination of these is likely to be offenders, and staff knowledge of evidence-based
the most effective approach to enhancing the practice). Data collection may require accessing
knowledge of steering committee members. case files and interviewing offenders and ex-
offenders regarding their experiences. Outside
agencies may be the repositories for some of the
data identified by the steering committee; this
may necessitate negotiations concerning access
and confidentiality issues.
The Principles of Evidence-Based Practices
Developing a thorough understanding of the principles of evidence-based practices is a central
element in the rational planning process. Understanding these principles will help the steering
committee determine the type of data to be collected and how that data should be interpreted,
and inform the development of the agency's strategic plan for offender reentry.
The eight principles of evidence-based practices are (NIC & CJI, 2004):
1. Assessment: Assess dynamic and static risks factors. Risks and needs must be assessed
regularly, using a validated risk assessment tool, in order to determine appropriate
interventions and services.
2. Enhance Intrinsic Motivation: Use Motivational Interviewing and other motivation

enhancement techniques to encourage changes in offender behavior.
3. Target Interventions:
a. Risk Principle: Prioritize supervision and treatment resources for higher risk offenders.
b. Need Principle: Target interventions to criminogenic needs.
c. Responsivity Principle: Be responsive to temperament, learning style, motivation,
culture, and gender.
d. Dosage: Structure 40-70 percent of high-risk offenders’ time for three to nine months.
e. Treatment: Integrate treatment into the full sentence/sanction requirements.
4. Skill Train with Directed Practice: Use cognitive-behavioral strategies in programming

delivered by well-trained staff.
5. Increase Positive Reinforcement: Research suggests a ratio of four positive reinforcements

to one negative reinforcement will encourage progress in learning new skills and
behaviors.
6. Engage in Ongoing Support in Natural Communities: Realign offenders with prosocial

support systems in their communities (e.g., spouses, friends, employers).
7. Measure Relevant Process and Practice: Maintain accurate and detailed documentation of
changes in offender cognitive and skill development, and evaluate offender recidivism to
determine effective practice.
8. Provide Measurement Feedback: Monitor delivery of services for quality assurance and
maintain and enhance program fidelity and integrity. Provide offenders with feedback to
build accountability and enhance motivation for change.
Six Dimensions of Baseline Data
To develop a complete understanding of the agency's current offender management practices,
the steering committee will want to collect information on each of the following six dimensions
(adapted from CSOM, 2002 & 2007):
• The System Dimension: Analysis of the processing of a case from intake through discharge
from community supervision.
• The Offender Population Dimension: Analysis of the offender population, particularly in
terms of sentence length, level of risk, criminogenic needs, and responsivity factors.
• The Policy Dimension: Analysis of the policies that guide the management of offenders in
the institution and community.
• The Practice Dimension: Analysis of the practices employed, not codified in written policy,
that guide the management of offenders.
• The Resource Dimension: Analysis of the resources available to manage and serve offenders
in the jurisdiction, both within institutions and in the community.
• The Staff Dimension: Analysis of staff attitudes, knowledge, and skills related to evidence-
based practices and offender reentry.
Finally, the committee must determine who will plan will set out a plan and benchmarks for
collect the data and who will analyze it, implementing the recommendations of the
recognizing that these two functions may require steering committee, such as modifying personnel
a different set of skills. promotion criteria, establishing new institutional
programming, or setting up parameters for
A timetable should be created to track the data evaluating community resources.
collection process. Given the complexity of the
task, the process of gathering data is one that Step Five: Determine the Strengths and
may involve numerous concurrent activities, Gaps in the Agency’s Reentry Efforts
different groups of people, and perhaps varying By this stage in the process, the agency has
data collection or analysis methodologies. It may articulated a vision for successful offender reentry,
span months or longer; as a result, it will be created a steering committee (and possibly
important for the steering committee to have a subcommittees), and charged the steering
tool that will help it oversee and manage this committee with developing a strategic plan. The
process. In developing a work plan and timeline, steering committee has educated itself about the
the committee should take into account the principles of evidence-based practices and
timing of its goals and objectives for considering collected information on a wide range of issues
the data and identifying change strategies. (such as the offender population, the resources
and services available to intervene effectively with
It is important to distinguish here between the this population, current policies and practice
steering committee’s work plan (the committee’s regarding the management of offenders, and staff
plan for accomplishing the work with which it attitudes, knowledge, and skills).
has been tasked) and the agency’s strategic plan
for reentry, which will be developed during the The next step in the rational planning process is
rational planning process. The steering to conduct a gap analysis to determine the
committee’s work plan will establish benchmarks strengths and weaknesses of the jurisdiction’s
for educating members about evidence-based current reentry efforts; this assessment will guide
practices, collecting and analyzing data, and the steering committee’s efforts through the
conducting a gap analysis. The agency’s strategic remainder of the rational planning process.
policies and procedures), and their impact on
Because we began our formal efforts to offender reentry.
improve transition many years ago, we
have made much progress on our original Step Six: Develop and Prioritize Goals
goals. It is now time to create a new Once the gaps in the agency’s current practice
roadmap for our future. It is time to are identified through the data collection and
review our current gaps and barriers. analysis process, the committee must proceed
After the analysis, the next steps in our with prioritizing the problems and areas of need
improvement process should become identified, and crafting a set of goals and
clear and a plan can be developed. accompanying objectives to address each issue.
The criteria for prioritization may vary from
- Max Williams, Director, Oregon agency to agency, and may include such
Department of Corrections considerations as the urgency of the identified
problems, the resources available to address the
issues, or the need for legislation.
The steering committee should focus as much
effort on identifying strengths of the current One of the overriding criteria for prioritization
reentry efforts as it does on identifying gaps. should be the potential for impact of any given
Knowing what is working allows the committee to change. Experience demonstrates that agencies
build upon those strengths in crafting a strategic are likely to identify many change opportunities
plan. It allows the committee to make use of during the rational planning process. The
existing resources and recognize the practices temptation will be great to craft solutions to
that are supportive of the vision. Good work and many or all of them at once. However, change is
effective policies need to be recognized, and the difficult, and agencies should be strategic about
reasons for their success understood. staging change in manageable phases, and
prioritizing change opportunities based on the
degree of impact the change will have on the
By three methods we may learn wisdom. outcomes they are striving to achieve.
First by reflection, which is noblest.
Second by imitation, which is easiest, and It is therefore important that careful thought be
third by experience, which is the bitterest. given to each of the presented opportunities for
change, and that they are prioritized for action
- Confucius based on a set of objective criteria. In this way,
the steering committee can be confident in their
decisions and will also have the ability to explain
It is equally important that the committee and justify those decisions to stakeholders
identify the current gaps in the system. A outside of the process. These decisions are made
systematic assessment of the information easier by the rational planning process, which
gathered by the committee ensures that has helped the committee gather data to support
problems and areas of need are identified the problem analysis, identify specific gaps, and
correctly so that the committee’s efforts are understand the impact of proposed change
focused effectively. Understanding the gaps in strategies on those issues.
the system will assist the committee in the next
step of the rational planning process: setting Step Seven: Create a Strategic Plan to
priorities for action. The committee must Implement Prioritized Goals
understand the gaps that exist, the underlying Once targets of change have been selected and
reason for these gaps (e.g., lack of resources, prioritized by the committee, the next step in the
staff attitudes, inconsistent or contradictory rational planning process is the creation of a
Uncovering Gaps in the System
The reentry policy team in Georgia determined that a significant number of offenders who
were eligible for release on parole were not being released because of the absence of an
appropriate housing plan. In some cases, offenders were not able to identify a suitable location
and efforts by staff had been unproductive. Select members of the policy team from several
individual agencies formed a special group—the Reentry Partnership Housing team—and
began to develop a variety of innovative solutions to these housing issues. First, data was
gathered to determine the extent of the problem. To date, over 500 cases of offenders who are
eligible for release but who have significant difficulties finding suitable housing have been
identified. Second, a grant funding source was identified that could be used to pay for short-
term housing in particular cases (Re-Entry Partnership Housing Program, 2006). Third,
suitable housing locations were identified, and compensation rates were determined. As a
result of these efforts, over 240 inmates have now been placed in housing under the Reentry
Partnership Housing effort, which has resulted in net cost savings to the state of over $3.8
million.
strategic plan. Creating a strategic plan involves Stating goals and objectives in measurable terms
crafting a set of goals and objectives that map is important to the committee’s ability to monitor
out the change process. success. Having made the effort to gather
information and determine objectively the next
Goals should be stated clearly and concisely, and steps necessary in the process for change, it is
should focus on measurable outcomes. Unlike important that the committee be able to measure
the agency’s vision (which is a statement of a its success in quantifiable terms. This not only
preferred future) and mission (which lays out the serves as a measure of whether the committee’s
work of the agency in service of that vision), goals actions have achieved their stated goals, but also
are concrete, measurable steps that the agency as a method of demonstrating the effectiveness of
can take to realize its mission. For example, if the the process to other stakeholders.
agency’s mission statement is to assure that
every offender is prepared for release and has a For greater ease in monitoring the results, the
reentry plan that includes suitable housing, strategic plan should include a timeline that
treatment, and employment placements, then details deadlines and outcome measures. Some
one of the goals of the agency’s strategic plan goals may be targeted for immediate action, while
may be to increase the availability of suitable the implementation of others may be dependent
housing resources for offenders by ten percent on the prior achievement of other goals. The final
within the next eighteen months. plan will likely be complex and involve individuals
throughout the agency and from other stakeholder
Objectives are a series of action steps in support agencies. The strategic plan should be a dynamic
of the desired goal. Like goals, objectives should document, regularly updated based upon routine
have time limits and measurable outcomes. In performance reviews.
the example above, if the goal is to increase the
availability of suitable housing resources for Step Eight: Monitor the Impact of the
offenders by ten percent within eighteen months, Strategic Plan
then one objective in service of that goal may be Once the strategic plan has been developed by
to meet with all the community agencies that the steering committee, it must be implemented
provide housing to provide education on and the impact of the plan monitored. Despite
offender reentry needs by a specific date. the time and careful effort that the committee
Illinois Evidence-Based Practices Coordinating Council
Goal 1: Apply actuarial and dynamic risk/need tools to determine the best method of offender
intervention.
Effectiveness in risk reduction requires the use of targeted interventions that are proven to be
effective by research. The first step toward this end is to fully understand the characteristics of
the individual offender that lead to criminal behavior and corresponding application of
techniques that lead to a reduction in criminal behavior. This goal is designed to ensure that
actuarial tools that effectively and efficiently allow agency staff to determine the best course of
action toward risk reduction are put in place.
What should be How will it be done? Who will take Date objective How will we know
done? (Strategies or the lead? will be done? it's done?
(Objectives) Activities) (Outcome Measures)
1. All caseworkers A. Determine what Assessment Done Percent of new
will use a generic, tool to use Committee intake medium/high
validated, actuarial statewide. risk offenders under
risk/need tool for B. Find funding to AOIC Done supervision with
all targeted adult train all PO's. LSR-R completed
offenders under C. Develop an LSI-R AOIC Done within 60 days of
supervision. rollout plan. intake.
D. Train all staff who Counties August 30
By Sept 30, 2005, 75
have supervision
percent of new
or intake role.
intakes will have
E. A screening tool Counties August 30
LSI-R completed.
of the Wisconsin
model or the brief Target: 95 percent
LSI will be
applied on select Percent of offenders
cases to with completed LSI-
determine further R or previous tool
assessment. reassessed with the
LSI-R no less than
every twelve months.
By Sept 30, 2006, 75
percent of previously
assessed offenders
will be reassessed
with the LSI-R.
Target: 95 percent
Adapted from the Illinois Action Plan for Implementing Evidence-Based Practices
has invested in the rational planning process, its process to ensure that difficulties or unintended
work is not over. As important as these earlier consequences are recognized as quickly as
steps are, all the work of the committee could be possible.
confounded if the impact of the strategic plan is
not monitored and needed mid-course The committee will be monitoring for two different
corrections in the plan are not made. Therefore, results: 1) is the strategic plan being implemented
performance measures must be included as an in a timely fashion and according to the
integral part of the strategic plan; ideally, data will committee’s direction and 2) are the results of the
be collected throughout the implementation actions taken consistent with the committee’s
Excerpt from the Ohio Department of Rehabilitation and Correction’s Strategic Plan
Offender Programming: Targeting Criminogenic Needs

Recommendation #10: New programs that are developed shall incorporate the principles that drive
effective correctional programming, provide staff training prior to their adoption, and be guided by a
training manual that directs all work relevant to the program. They shall be reviewed and approved
subject to their compliance with a standardized protocol to be established in Departmental policy.
Recommendation #11: Existing programs shall be reviewed and maintained or eliminated based on
the extent to which they address the dynamic domains used to assess offender needs as part of reentry
planning. Departmental resources will be allocated over time to support existing programs that
effectively address these areas, as well as to create treatment interventions in offender need areas where
additional programming is necessary.
In the past ten or fifteen years, a great deal of material regarding the characteristics of effective
correctional programs has appeared in the professional literature. This now well-established
literature speaks to “what works” in terms of rehabilitative programming. Even more
significantly, it has identified a number of principles that drive effective correctional
programming. These principles state that interventions should target the known predictors of
crime and recidivism for change; provide treatment services that are behavioral in nature; and
ensure that treatment interventions target the criminogenic needs of high-risk offenders for
change (that is, the dynamic risk factors or domains to be used in reentry planning). The
effectiveness of treatment is also enhanced to the extent that the interventions are reinforced
and continued in the community; using well-trained, adequately supervised staff; providing
structured “relapse prevention” aftercare services; and matching styles of treatment services to
the specific learning styles of offenders.
A crucial element of this literature is the importance it attaches to understanding

“criminogenic needs.” These are dynamic risk factors—characteristics of offenders that can
change (in contrast to static risk factors, which cannot change). These dynamic risk factors,
identified by an objective assessment instrument, help predict an offender’s likelihood or risk
of reoffending. Such factors include anti-social attitudes, values, and beliefs; anti-social peers
and associates; substance abuse; educational deficiencies; vocational deficiencies; mental
health; and anti-social personality factors (e.g., risk-taking, aggression, impulsivity, low self-
control). Programming that targets these dynamic risk factors may reduce the probability that
an offender will reoffend.
Adapted from the Ohio Plan for Productive Reentry and Recidivism Reduction, 2002,
http://wwwdrc.state.oh.us/web/ReentryFinalPlan.pdf, last accessed December 11, 2007.
expectations? The first is a matter of determining In many ways, the monitoring process will
if the steps laid out by the committee are being resemble the data collection process; the
implemented in the fashion and on the schedule collection of data during the monitoring process
determined by the committee. The second is more is intended both to determine success and to
complicated: Is the strategic plan successful? Are inform and drive future changes to the strategic
the actions being implemented resulting in the plan. The elements of effective performance
desired change? measurement are consistent, therefore, with the
Monitoring New Release Practices
In Missouri, the Department of Corrections (DOC) changed its release practices to require all
offenders to move to a Transitional Housing Unit (THU) within 180 days of their release to the
community. While in the THU, offenders receive intense release preparation and are
connected with services and resources from the community to ensure continuity of care upon
release.
Critical Outcome Information Identified

As part of the implementation of this new policy, the DOC conducted a study evaluating the
outcomes of offenders leaving transitional housing units prior to release after sixty days and
again at twelve months (Oldfield, 2007). The department found that offenders who stayed in a
THU for five months or more were more successful (with less recidivism and lower technical
violations) than offenders who either stayed in a THU for less than five months or were
released directly from an institution. This data reinforced the department’s commitment to its
plan to require that all offenders release from a THU to the community.
New Questions Raised

Other interesting findings have emerged from this study. The results indicated little difference
in the effect of THU participation on gaining employment after release. Why would this occur?
Are THU programs not focused enough on employment issues? Are gaining and securing
employment after release more a result of the quality of community supervision than the
services provided during incarceration? Given this evaluative data, the DOC is probing this
issue further to determine the steps necessary to both reduce recidivism and technical
violations and ensure that offenders are better prepared for gainful employment after their
release from incarceration.
elements of effective data collection: a consensus Conclusion

on what kind of information should be collected Effective efforts to design and implement a
(recall that outcome measurements should be successful offender reentry strategy require the
clearly defined within the strategic plan’s goals use of a rational planning process. Such a
and objectives), and the objective and thorough process ensures that system strengths and gaps
collection and analysis of that data. If monitoring are analyzed objectively and that solutions are
demonstrates that efforts have been based upon a careful consideration of the
unsuccessful, or have created unintended agency’s greatest needs and available resources.
consequences, a gaps analysis should be Rational planning is an endeavor in which the
performed to determine why the efforts made agency should involve staff representing a variety
under the strategic plan were unsuccessful and of perspectives. It is a long-term process
what new priorities and goals should be crafted. requiring the investment of often-limited time
and resources; however, its benefits are many,
including the design of a strategic plan grounded
in objective decision making and demonstrable
results that will organize and guide the agency’s
efforts to achieve its vision.
KEY STEPS
• Create a steering committee of

diverse individuals who represent key
sectors of the organization.
• Collect information about the offend-
er population (sentence length and
conditions, level of risk, criminogenic
needs, and responsivity factors).
• Develop an understanding of the
resources currently available to
address the risk/needs of offenders,
in terms of both quality and capacity.
• Conduct a thorough review of the
agency's policies and practices relat-
ed to offender reentry.
• Identify the strengths and gaps in the
agency’s current work.
• Identify priority change strategies.
• Create a strategic plan to implement
priority change strategies and estab-
lish specific goals, objectives, time-
tables, and measurable outcomes.
• Monitor and revise the strategic plan.
CHAPTER 2: DATA COLLECTION AND
MONITORING: THE FOUNDATION OF
RATIONAL PLANNING
In determining the focus of the data collection
Give me six hours to chop down a tree, process, the steering committee may want to ask
and I will spend the first four hours itself who, what, when, where, why, and how.
sharpening the axe.
Why Should Data Be Collected?
- Abraham Lincoln As indicated above, the steering committee
should first address the question of why data
needs to be collected. A thorough understanding
Perhaps the most time-consuming and yet vital of the role of data collection in an effective
step in the rational planning process is the rational planning process is important; without
collection of data: the collection of baseline data an understanding of and commitment to this
and information at the start of the planning vital component, steering committee members
process, and the collection of data used to may become impatient with the data collection
determine the impact of changes implemented process or may assume that the knowledge at
as a result of that process. The rational planning the table is sufficient to guide their planning
process relies on the objective consideration of work. Committee members must be committed
this data, and the subsequent prioritization and to and engaged in this line of inquiry in order to
implementation of strategies based on that achieve the greatest degree of success.
careful consideration.
What Data Should Be Collected?
The following provides further detail regarding As indicated in Chapter 1, what data should be
the data collection process: the information to be collected is a question requiring careful
gathered and the uses for such information consideration by the steering committee. At a
(adapted from McGarry & Ney, 2006). minimum, the following list of topics should be
considered by the committee as necessary
Narrowing the Focus targets for information collection:
The task of data collection may initially seem
daunting, and it will be important that the • Research on evidence-based and emerging
steering committee invest time in the thoughtful practices
clarification of the focus of its inquiry to decide • Offender population
what the committee is attempting to learn from • Understanding the system
its efforts, and what data will help them • Resources
accomplish these goals. This will prevent the • Policies and practices
committee from engaging in a protracted • Resources
information gathering process that yields • Staff attitudes, knowledge, and skills
unnecessary data. At the same time, the
committee must not be limited in its thinking Research on Evidence-Based and
and must consider all of the factors that Emerging Practices
contribute to a successful offender reentry It is important that the steering committee
strategy. dedicate itself to educating its members on the
current research on evidence-based and
emerging practices at the very beginning of the Offender Population
process. The reason for engaging in a rational At its core, reentry is an approach that seeks to
planning process is to avoid decision making increase public safety by improving the likelihood
based on intuition or conventional wisdom and for offenders to succeed following release from
to engage instead in a decision making process confinement. It only makes sense, then, that any
based on a thorough understanding of what reentry strategy should be based on a thorough
contributes to offender success. An understanding of offenders and the barriers
understanding of evidence-based and emerging these individuals face in becoming lawful and
practices will prepare the steering committee to productive citizens.
engage in this kind of analysis.
Data should be gathered regarding key aspects of
Committee members will have many different the offender population. Committee members
avenues through which to inform and educate should develop a clear understanding of the
themselves on evidence-based and emerging range of offenders served by the agency,
practices. A growing body of literature is available including offenses of conviction, criminal
regarding evidence-based practices; steering histories, length of sentences, risk levels,
committee members may be charged with treatment and service needs, programming
reviewing and discussing this literature as part of received, length of supervision, locations to
the steering committee’s regular meetings. which they return, and recidivism rates. The
demographics of the offender population are
The committee may also seek the assistance of equally important: age, race/ethnicity, sex/gender,
experts on evidence-based and emerging socioeconomic status, cultural background,
practices, bringing these individuals to marital or family status, and the primary
committee meetings to provide information and languages spoken and understood. It is only with
training to committee members. Subcommittees a thorough understanding of the population to
may also be charged with gathering information be served that the steering committee can craft
and presenting it to the committee to expedite reentry approaches and policies that can improve
the learning process. an offender’s opportunities for success.
Understanding the System

As part of the data collection process, the
steering committee should invest time and effort
in the development of a system map. This should
Collecting Data for the Rational Planning Process: Baseline Data Questions
The following provides a few examples of baseline data questions a steering committee might
ask to understand better their offender population:
What are the characteristics of our offender population?

• What are their criminal, social, employment, and educational histories?
• What percentage of the offender population is high risk? Medium risk? Low risk?
• What are the criminogenic need breakdowns among these population groups?
• What responsivity factors are present for these groups (e.g., functional level, mental health
condition, level of motivation, cultural background)?
• What is the average length of supervision for the offender population?
• To which communities are offenders released?
• How many offenders are revoked for technical violations? Which violations?
61 Increasing Public Safety Through Successful Offender Reentry: Evidence-Based and Emerging Practices in Corrections 61
include a visual depiction and description of how can enable the steering committee to determine
an offender’s case is processed through the how current policy and practice may either
system, beginning with the offender’s intake at contribute to or hinder successful offender
the institution and proceeding through discharge reentry efforts. Furthermore, the comparison of
following community supervision, and should formal policy to informal practice is important in
emphasize the decision points throughout the demonstrating to the steering committee the gap
process. It is important for the committee to between where the agency stands in regards to
understand fully these critical decision points and its vision and where it wants to be, and what
who is responsible for decision making at each efforts must be made to change the
stage, as these decision points may be the organizational culture.
impetus for changes to the strategic plan.
The steering committee will want to gather
The information necessary to develop a system information on policies and practices that
map can be found in a variety of places, including directly affect offenders (e.g., disciplinary actions
agency policies and practices (see below) and for infractions, standard supervision conditions)
State statutes regulating procedures, as well as and those that directly affect staff working with
information gathered in interviews and focus offenders (e.g., evaluation and promotion
groups. The steering committee (or subcommittee policies and practices). The impact of policies
assigned to the task) may engage in the process and practices on reentry efforts should be
of system mapping over several meetings, evaluated (i.e., are inmates denied visitation
concentrating on a particular piece of the process rights as a disciplinary measure, and what
at each meeting. System mapping may involve impact does that policy have on efforts to
touring offices and institutions to observe the promote pro-social behaviors?).
process in action (McGarry & Ney, 2006).
Policies and practices should be mapped to
The most effective system maps have both a determine if the actions of one agency have a
visual and a descriptive aspect. A flowchart may significant impact on the efforts of another (i.e.,
best represent a visual picture of the process, but are excessive conditions being set for the
should be supplemented by a narrative that supervision of offenders, thereby impairing the
explains the flow of offenders through the system ability of a parole agent to establish an
and critical decision making points. The system individually tailored case management plan?).
map should include information on (CSOM, Information on policies and practices that
2002, 2007; McGarry & Ney, 2006): determine the programming an offender receives
(e.g., job training, education, treatment) and the
• Major steps and key decision points. impact of other policies and practices on the
• Decision options and key decision makers at offender’s eligibility for those services (e.g.,
each point. classification policies that prohibit offenders from
• Sources of influence on each decision. participating in needed services as a result of
• Amount of time necessary to move a case their classification level) are just a few examples
from one point in the system to the next. of the data that should be collected and analyzed.
• Norms and assumptions (formal or informal)
at various steps and decision points. Resources
In addition to identifying the needs and
Policies and Practices characteristics of the offender population, the
It is important that the steering committee steering committee must also develop a thorough
develop an understanding of the agency’s current understanding of the current internal and external
policies and practices, both formal and informal. resources available to provide services to this
Only a thorough understanding of these issues population. Data must be collected on resources
62 Increasing Public Safety Through Successful Offender Reentry: Evidence-Based and Emerging Practices in Corrections 62
available to serve offender needs such as Staff knowledge may be a more straightforward
treatment (drug, mental and other health needs), matter with regards to gathering information, but
education, employment, housing, and the steering committee should be aware that the
transportation, among others. Information should act of gathering information might raise concerns
also be gathered pertaining to resources for and fears among staff. As discussed in Section
offenders’ families, such as family or couples Three on leadership and organizational change,
therapy, parenting skills training, and services for staff members may resist change when they
children of incarcerated individuals. As data is believe that the changes will require skills they do
collected on the offender population and specific not possess, thus endangering their positions or
needs are identified, inquiries regarding resources chances of promotion. The steering committee
to meet those needs should be explored. will be interested in gathering information
regarding what the staff knows and understands
In gathering data on available resources, care about reentry (e.g., what are the important
should be taken to document such information components of reentry; what is evidence-based
as program requirements, eligibility, cost, practice; what are the principles of risk, need, and
capacity, and demographics served.7 responsivity; how do their interactions contribute
to an offender’s chances of success).
Staff Attitudes, Knowledge, and Skills
While a strong commitment from leadership Finally, staff skills should be measured. Specific
within institutional corrections and community skills are important to the success of offender
supervision agencies is integral to the success of reentry strategies, such as Motivational
offender reentry, there is little question that much Interviewing, the ability to construct an effective
of the hands-on work of reentry will be case management plan, and the effective
performed by line staff, who have ongoing and assessment of offenders at various stages in the
direct contact with offenders. It is important that reentry process. An important source of
the steering committee, as part of the data information for the steering committee on this
collection process, gather information to help it issue will be the agency’s training department,
understand current staff attitudes, knowledge, which should be able to provide information
and skills regarding reentry. It is likely that part of about the types of training made available to
the strategic plan developed for the agency will staff, the agency’s training requirements, and
include some aspect of staff training and staff utilization of its programs. A review of the
education regarding reentry, to prepare staff results of quality assurance efforts also will
members to assist offenders in successfully provide important information about staff skills
reintegrating into the community. and competency levels.
Staff attitudes are particularly important to The steering committee also may want to
determine; staff members who do not believe recognize the opportunities for education in these
reentry is a legitimate goal may resist efforts to data collection activities (e.g., sharing information
implement reentry strategies. Attitudes toward about the agency’s vision prior to engaging staff
offender reentry may also reflect a disbelief in the in discussions about attitudes toward reentry,
effectiveness of reentry as a means of achieving making staff more aware of training opportunities
public safety, a simple resistance toward change, within the agency, et cetera).
or a belief that offenders are incapable of being
rehabilitated. The steering committee should Who Should Collect the Data?
make efforts to understand not only the Each steering committee will have different
prevailing attitudes among staff but also the resources available for data collection. It is
reasons driving them. unlikely that steering committee members, who
will often be executive level staff, will be involved
directly in the data collection itself. Rather, the
steering committee will be responsible for it is likely that the data required by the
directing the data collection process by committee will be stored in a variety of locations
determining what data should be collected and and in a variety of forms, both electronic and
delegating the actual data collection process to paper. Even if the agency has such a system, the
agency staff (such as the agency’s research range of data necessary for collection will require
department) or to members of a subcommittee outreach to other agencies, each of which will
who are uniquely qualified to collect and analyze have its own data collection system and its
data. The steering committee may even delegate unique requirements regarding the sharing of
oversight of the data collection process to a information. Those charged with collecting data
subcommittee that, working under the direction for the steering committee will need to navigate
of the steering committee, will be responsible for these various systems and obstacles in order to
crafting or refining avenues of inquiry, facilitating provide the committee with the most complete
access to data among departments and agencies information possible.
with different data collection systems or
confidentiality requirements, and supervising the How Will the Data Be Collected?
staff charged with the data collection. How the data will be collected will depend to a
great extent on the form that the data takes. Data
Where is the Data to Be stored in database systems may be easily
Collected? acquired through programmed or specially
Unless the agency has already developed a crafted searches. Other data may require careful
sophisticated and integrated technology system, examination of paper files and reviews of case
Collecting Data for the Monitoring Process:

Sample Data Questions
In follow-up to the implementation of their strategic plan, the steering committee should
monitor the impact of the changes made as a result of the rational planning process.
• How many offenders experience technical violations/new crimes within 3 months,

6 months, 1 year, 3 years?
• How does the technical/new crime population compare with those in compliance in terms
of level of risk, needs addressed, and other key factors?
• What percentage of adult offenders released from prison secured employment within 30
days of release? 60 days? What is the length of employment?
• What percentage of juvenile offenders returned to school following release from custody?
What percentage received a high school diploma or GED?
• Are offenders who receive transitional services more successful once released into the
community than those released without these services?
• Of those individuals released from prison, is the recidivism rate lower the earlier the
offender obtains employment? Is the rate affected by the length of employment?
• Did juvenile offenders whose families were actively involved in the intervention process
recidivate at lower rates than juveniles for whom family involvement was absent?
• Do the offenders who receive vocational training exhibit lower recidivism rates than those
who do not receive such training?
• What percentage of offenders with a substance abuse problem received treatment while
under supervision?
• What percentage of juvenile offenders receiving services for co-occurring mental health
difficulties continued to receive those services once released into the community?
management plans. Data to be collected from should approach as ongoing and cumulative. As
external sources will require consultation to important as it is to gather baseline data at the
determine what is possible, from both a human start of the rational planning process, it is equally
resource and information sharing perspective. For important that the committee require that data
example, the steering committee may want data collection continue. The collection of data to
from an outside agency (e.g., wage progression monitor the impact of the steering committee’s
for released offenders, success rates for treatment decision fulfills two functions:
programs, offender utilization of community
services, educational attainment). While the • Monitoring data assists the steering
committee may be able to supply personnel to committee in determining whether the actions
conduct the data collection, confidentiality taken to implement the agency’s strategic plan
concerns (e.g., HIPAA) may prohibit outside have had the intended result. Monitoring data
personnel from accessing those records. If helps determine whether targeted outcomes
resources are an issue, the committee may have were achieved and assists in identifying any
to consider providing funds to the outside agency unintended consequences that may need to
to finance the collection of data or determine be addressed.
alternate sources of data that may be useful.
• Monitoring data also provides information for
Additionally, some information will be anecdotal new avenues of inquiry and the continued
in nature (such as the description of informal refinement of the agency’s strategic plan.
staff practice); this kind of information will have Monitoring data establishes whether the
to be gathered through interviews, focus groups, current goals and objectives of the agency’s
or other survey methods. Finally, the agency’s strategic plan have been met and opens up
policies and practices, contained in employee new opportunities to proceed with additional
manuals, agency directives, procedural manuals, activities that will advance the agency’s vision
logbooks, announcements, newsletters, and and mission.
memos, must also be reviewed in order for the
steering committee to develop a thorough Unless the changes put into place by the steering
understanding of this material. committee are monitored, the committee cannot
be assured that the decisions it made actually
Data collection can shed an unflattering light by resulted in the committee’s intended outcomes.
revealing unfavorable facts or characteristics Furthermore, without conducting performance
about the agency and its success in addressing measurements (set during the crafting of the
aspects of offender reentry. It is important that strategic plan), the steering committee will be
the steering committee support the collection of unable to demonstrate to key stakeholders the
all necessary information, including data that is impact of the agency’s efforts.
uncomplimentary to the agency, so that the
committee can understand fully the current Monitoring the impact of the agency’s strategic
status of the agency’s reentry efforts and base its plan also provides opportunities for the
decisions on objective information. committee to continue the process of identifying
and responding to gaps and challenges, which
Monitoring the Impact of the allows for ongoing development and refinement
Steering Committee’s Decisions of the agency’s strategic plan for offender reentry.
As McGarry and Ney note in Getting It Right:
Collaborative Problem Solving for Criminal Justice, Conclusion
“the cornerstone of good planning is that it never Data collection is the foundation of an effective
ends.” It cannot be emphasized enough that data rational planning process. The data collected
collection is a process that the steering committee regarding the characteristics of the agency’s
offender population; the resources available to
respond to offender needs; the agency’s current KEY STEPS
policies and practices; agency staff attitudes,
knowledge, and skills regarding reentry; and • Narrow the focus of the steering
evidence-based and emerging practices are the committee's inquiry to ensure that
underpinnings of the steering committee’s necessary data is collected without
efforts to consider the gaps and challenges engaging the committee in a protract-
confronting the agency in its reentry efforts and ed process that impedes progress.
inform the development of a strategic plan for • Prioritize the committee's data collec-
enhancing outcomes with offenders. The data tion requests to ensure a quick
collected should guide and inform the work of response.
the committee throughout the rational planning • Become conversant in the research
process. on evidence-based practices.
• Collect baseline data on the offender
In approaching data collection, the steering population, the intervention
committee should consider established methods resources available, policies and prac-
of inquiry: who, what, when, where, why, and tices that guide the agency’s offender
how. Considering these questions will assist the management work, and staff atti-
committee in creating a thorough approach to tudes, knowledge, and skills.
data collection and ensure that all of the data • Make sure that the process extends
necessary to its deliberations is gathered. beyond initial baseline data collection
and that data collection is tied to per-
Data collection should be approached as an formance measures established as
ongoing and cumulative process that continues part of the strategic plan.
beyond the initial stage of establishing baseline • Ensure that data collection is ongoing
data and extends not only to monitoring the and cumulative, designed not only to
impact of the agency’s strategic plan but also to substantiate the success of imple-
creating new avenues of inquiry and action. mentation measures, but also to open
up new avenues of inquiry and action.
Assess Your Agency:
Rational Planning
Yes No Not
Clear
1. Has the agency developed a clear, data-supported understanding of

the offenders who are under their control and supervision (e.g.,
critical information about the offender population that includes:
offenses of conviction, length of sentences, risk levels, treatment and
service needs, responsivity issues, programming received, length of
supervision, locations to which they return, recidivism rates)?
2. Has the agency developed a clear understanding of current reentry

policies and practices from intake to community release, supervision,
and aftercare?
3. Has the agency developed a detailed understanding of the services

and resources currently available for this population (both
institutional and community-based)?
4. Has the agency developed a working knowledge of evidence-based

practices and promising approaches in the area of offender
management and reentry?
5. Has the agency gathered information on the attitudes, knowledge,

and skills of staff to assess their ability to work effectively with
offenders?
6. Has the agency identified its offender management and reentry gaps
and need areas based on these analyses?
7. Has the agency prioritized for implementation key strategies

specifically designed to address the most significant need/gap areas?
8. Has the agency developed a strategic plan to organize and guide the
implementation of change strategies?
9. Has the agency established goals and objectives to implement

prioritized change strategies?
10. Has the agency established a monitoring plan to assess the impact of
these change strategies?
References
Carol Flaherty-Zonis Associates (2007). Building
culture strategically: A team approach for
corrections. Washington, DC: U.S. Department of
Center for Sex Offender Management (CSOM)

(2002). Managing sex offenders in the community:
A Handbook to guide policymakers and
practitioners through a planning and
implementation process. Washington, DC: U.S.
Programs.

(2007). Enhancing the management of adult and
juvenile sex offenders: A handbook for
policymakers and practitioners. Washington, DC:
U.S. Department of Justice, Office of Justice
Programs.
McGarry, P., & Carter, M. (1993). The

intermediate sanctions handbook: Experiences and
tools for policymakers. Silver Spring, MD: Center
for Effective Public Policy.
McGarry, P. & Ney, B. (2006). Getting it right:

Collaborative problem solving for criminal justice.
National Institute of Corrections.
Oldfield, D. (2007). Missouri re-entry process

update to March 31, 2007. Missouri Department
of Corrections, Research and Evaluation.
http://www.doc.missouri.gov/reentry/PDF/March
2007_ProgressReport.pdf, last accessed
December 11, 2007.
Re-Entry Partnership Housing Program (2006).

Re-Entry Partnership Housing Program
announcement. Atlanta, GA: State Board of
Pardons and Paroles and Georgia Department of
Corrections.
Senge, P. (1990). The fifth discipline. New York,

NY: Doubleday Currency.
69
Section Five:
The Essential Role of

Collaboration Susan Gibel and Leilah Gilligan
In some important ways, collaboration provides

INTRODUCTION a foundation for successful offender reentry
strategies because it brings together a multitude
Daunting problems face adult and juvenile of stakeholders, including institutional
offenders upon their return to the community. A corrections and community supervision
criminal history alone is a significant challenge to agencies, other criminal justice and public
addressing the basic necessities of life (e.g., agencies, the community, and the offender’s own
housing, employment); however, these individuals support system, to create opportunities for the
often have additional problems that create other offender to achieve success upon release.
challenges to their ability to succeed. These
problems, including drug or alcohol abuse, mental Internal collaboration is equally as important,
health difficulties, problematic family however. Many institutional corrections and
environments, and a lack of education, will likely community supervision agencies have a history of
continue to challenge their opportunities for working in isolation of one another. In this way,
success when they are released from prison back agencies operated in an “in or out” orientation,
into the community. Because of the complex with little or no information exchange or
difficulties faced by many offenders, the stigma partnership evident. For offender management
they face upon release, and the lack of support they efforts to be successful, however, it is more
will likely encounter in their attempts to apparent than ever that correctional staff must
successfully reintegrate into the community, no work collaboratively with their own colleagues as
one agency can address these myriad issues. well, whether that be correctional officers,
Therefore, collaboration, both internal and external, counselors, and institutional employers sharing
is a critical element of any successful reentry effort. information and working with the offender as a
team, or institutional corrections and community
supervision staff exchanging information and
Convicted felons may lose many essential working closely together to build an informed
rights of citizenship, such as the right to transition and community supervision plan.
vote and to hold public office, and are
often restricted in their ability to obtain In this section, collaboration as a necessary
occupational and professional licenses. component of successful offender reentry will be
Their criminal record may also preclude explored. In Chapter 1, collaboration will be defined
their receiving government benefits and and its importance to offender reentry discussed.
retaining parental rights, [and] be grounds Chapter 2 will focus specifically on the unique and
for divorce…. The restrictions on important relationship between institutional
employment and housing create corrections and community supervision, the target
formidable obstacles to law-abidingness. audience for this handbook, in the area of offender
One has to question whether we are reentry. An overview of multidisciplinary
jeopardizing public safety by making it so collaborative teams will be covered in Chapter 3.
difficult for prison releasees to succeed. Finally, in Chapter 4, the elements of successful
- Petersilia, 2003 teams will be examined and the steps to establish
an effective collaborative team will be discussed.
CHAPTER 1: COLLABORATION: WHAT IS
IT AND WHY IS IT SO IMPORTANT?
them to work together within their own agencies
The corrections system can—and and with other justice and public sector system
should—achieve better results in reducing and community-based partners to achieve a goal
the reoffending that creates new crime that would be beyond the reach of any individual
victims and results in enormous costs to partner to the effort. Collaboration, in other
Oregon. However, our corrections words, can help teams and agencies solve
professionals cannot do this alone… the problems that would otherwise be unsolvable.
success of prison-to-community transition
is complex. Many public and private
agencies have responsibility for parts of it, Collaboration is working together to
yet no agency has responsibility for all of achieve a common goal that cannot be
it. Improving our system will require the achieved without partners.
commitment, dedication, and persistence
of many, working together.
Historically, collaboration has not been a
- Remarks made by Joe O’Leary, Policy cornerstone of the justice system. In fact, legal
Advisor to Governor Kulongoski, on behalf constructs can and have posed significant
of Governor Kulongoski, to the Oregon barriers to collaboration. Some of those
Department of Corrections and their com- challenges include (Carter, 2005; CEPP, 2005a):
munity corrections partners on May 1, 2007.
• The adversarial nature of the legal system.
• A competition for limited resources.
What is Collaboration? • Political and public pressure faced by elected
Collaboration—diverse agencies and individuals officials.
working together to achieve goals that an • The creation or existence of agencies that have
individual or agency cannot achieve alone—is overlapping or duplicative responsibilities.
the most effective way to respond to the • The creation or existence of agencies that have
challenges of reentry. Many agencies may already missions that are at odds with one another.
be engaged in activities that require working with
others, such as: Increasingly, however, institutional corrections
and community supervision agencies are finding
• Networking (exchanging information for new ways to collaborate more effectively internally
mutual benefit). and with other parts of the justice system, as well
• Coordinating (exchanging information for as with external stakeholders, in an effort to
mutual benefit and to achieve a shared goal). surmount very complex problems, including the
• Cooperating (exchanging information, altering challenges associated with offender reentry.
activities, and sharing resources for mutual
benefit and to achieve a common goal) In order for these collaborative efforts to be
(Huxham, 1996). successful, participants must be willing to
engage fully in the process. While strong and
True collaboration, however, requires institutional committed leaders are critical to successful
corrections and community supervision agencies offender reentry efforts, long lasting and
to do more than talk, or exchange and share sustainable change requires the commitment of
information and resources. Rather, it requires many individuals working together toward a
common cause. Collaborative partners must set
aside individual agendas, coalesce around a The criminal justice system is addressing
shared vision, and commit to working together problems that have become increasingly
until the desired outcomes are achieved. These complex and rooted in difficult and
collaborative partnerships can have a significant complicated social issues. Court,
effect, including enhancing relationships within community, and criminal justice
and between institutional corrections and professionals join forces to analyze
community supervision agencies and producing problems and create responsive solutions;
longstanding connections between allied justice and judges, court administrators,
system and community agencies. prosecutors, defense attorneys, probation
and parole representatives, corrections
Why Collaborate? personnel, victim advocates, law
enforcement officers, and public and
No individual is wise enough by private treatment providers reach out to
themselves. one another to forge partnerships that will
enable them to address complex medical,
- Titus Maccius Plautus (254 BC-184 BC) social, fiscal, and behavioral problems that
pose significant threats to the safety and
Collaboratives draw from the experience, well-being of our communities.
perspective, and diversity of their team members
in an effort to work toward a more purposeful - CEPP, 2005a
and reasoned approach to problem solving.
Instead of assuming that any one agency has the
ability, authority, or capacity to resolve a problem Conclusion
as complex as reentry, successful collaborative Collaboration is the process of working together
partnerships recognize that it takes the to achieve a common goal that cannot be
combined efforts of many committed individuals achieved by any single individual or agency.
and agencies to resolve these issues. Given the myriad and complex barriers offenders
face in transitioning to the community,
In recent decades, the public, elected officials, collaboration, although sometimes difficult and
and other system stakeholders have heightened time-consuming, has tremendous potential for
their expectations of institutional corrections and addressing the problems associated with
community supervision agencies. In addition to offender reentry.
incapacitation, they also expect corrections
interventions to cost less and to enhance public Collaboration offers the best method of seeking
safety by reducing recidivism. This is a tall order, out and finding solutions to the challenges
and one that cannot be easily filled by any single posed by offender reentry. It has the potential
agency. For this reason, collaborative problem both to coalesce the efforts of institutional
solving teams are increasingly recognized as a corrections and community supervision
valuable entity through which the effective agencies, and to bring to the table the many
resolution of complex criminal justice problems, stakeholders who have an interest in safer
such as those associated with reentry, might be communities and successful offenders. It is only
achieved. through effective collaboration that the ultimate
goal of safer communities through successful
offender reentry can be achieved, for it is indeed
a goal that cannot be achieved by any single
agency or individual acting alone.
CHAPTER 2: COLLABORATION BETWEEN
INSTITUTIONAL CORRECTIONS AND
COMMUNITY SUPERVISION AGENCIES
Institutional corrections and community collaborative problem solving between their
supervision agencies are the linchpin to divisions or agencies.
successful offender reentry. They are responsible
for determining and providing for the offender’s It is important to emphasize that much of the
needs while incarcerated and for transitioning discussion that follows also applies to
and monitoring the offender’s return to the multidisciplinary collaborations; however, in this
community. Traditionally, institutional corrections chapter the emphasis is on collaboration
and community supervision agencies have between institutional corrections and community
viewed themselves as, if not mutually exclusive, supervision agencies. In addition, although the
at least independent efforts. In some text below will refer to institutional corrections
jurisdictions, this division may in fact be and community supervision agencies as if these
organizationally structured with the separation of are a single agency, whether they are in fact
institutional corrections and community structurally divided within the same agency or
supervision agency functions into distinct separate, independent agencies, the need for
agencies. In actuality, institutional corrections greater collaboration remains the same.
and community supervision agencies represent
two parts that form a whole in the important Most institutional corrections and community
work of offender management. As a result, these supervision agencies assume that internal
agencies might do well to adopt an “in to out” collaboration, collaboration within the ranks of
philosophy, rather than continuing to subscribe their own agency, happens effortlessly and on an
to an “in or out” mentality. An “in to out” ongoing basis. In many jurisdictions, however,
framework means that all professionals, whether this is not the case. During the rational planning
based in institutions or in the community, process, it is not uncommon for institutional
assume a shared responsibility for encouraging corrections and community supervision agencies
success as adult and juvenile offenders move to discover contradictory policies and
from institutional corrections to community procedures, policies and procedures that create
supervision agencies (Bumby, Talbot, & Carter, silos among the agencies’ various divisions, or
2007). policies and procedures that actually impede
efforts to collaborate among divisions.
How institutional corrections and community
supervision agency systems approach these In order to overcome these barriers to effective
responsibilities, and how they partner with each collaboration, agencies will need to concentrate
other in their efforts, are crucial questions. If the their efforts at two levels: collaboration among
collective goal of institutional corrections and policymakers, and collaboration among line staff
community supervision agencies is community operating at the case management level.
safety, then they must be willing to collaborate to
provide the offender with the best possible • Policymaking Level. Collaboration at this level
opportunities for success. Furthermore, to should involve individuals that have
ensure the continued safety of the community, policymaking or decision making authority for
these agencies must develop policies and their respective agencies, departments, or
practices that support and institutionalize divisions. This level of collaboration includes
the directors or deputy directors, district office who can provide additional information or
managers, regional managers, and wardens, perspective about offender needs, assist in the
to suggest just a few. Individuals that have development of appropriate intervention
policy and decision making authority can open strategies, provide access to services and
access to new resources or services previously supports to supplement those available within
unavailable to offenders returning from institutional corrections and community
confinement, promote joint efforts in public supervision agencies, and support ongoing
and policymaking discussions, and assure monitoring and follow up activities.
access to line staff so that they are able to
serve as members of case management Policymaking Level
teams. Perhaps the best example of an institutional
• Case Management Level. The other type of team at the policymaking level is the steering
collaboration is at the case management level, committee. The steering committee is designed
involving individuals at the line level (e.g., to bring together executive and management
correctional officers, counselors, teachers, job level leaders from within the agency to design
supervisors, transition coordinators, parole and conduct an investigation into the agency’s
officers, trackers) responsible for the direct current policies, procedures, and reentry efforts,
supervision of offenders. These are individuals with the purpose of developing a strategic plan
Oregon: Collaboration within the Agency

Oregon has sustained a system-wide focus on improving transition since 1999, and much
progress has been made. We have had success in our change efforts, yet many challenges
remain if we are to live up to our goals.
One of our greatest challenges today is engaging staff at all levels of the organization in that
part of our agency mission that speaks to successful offender reentry. Most corrections leaders
now recognize the importance of a successful transition from prison to community living, both
because the numbers of inmates leaving prison have been growing and because failure during
this high risk time creates new crime victims. Our public safety role demands that we do a
good job with transition. While leadership may be firmly committed to this goal, true change
depends on involving line staff and, probably most important, the mid-level manager.
It is important to continue improving transition without waiting for additional resources to do

this work. Many improvements can be made to the transition process by reprioritizing staff
duties [and] reducing bureaucratic barriers.
In 2004, [the Oregon Department of Corrections] reorganized to better align agency operations
with its vision and mission. A new Transitional Services Division was created, tying together the
services that directly affect the ability of an offender to transition successfully back to the
community. The programs within the prisons that reduce the risk of criminal behavior, such as
education, vocational programs, cognitive programs, addictions treatment programs, parenting
programs, and religious services are in this division. Community corrections, including
supervision, community-based services, and community-based sanctions are also in this division.
- Max Williams, Director, Oregon Department of Corrections
for reentry for the agency and a work plan for the treatment providers but have no organized
implementation of the strategic plan. method to share this information; and parole
officers may not receive offenders’ institutional
As was noted in Section Four, effective records, let alone have the ability to
collaboration is critical to the rational planning communicate with those who have been working
process. The effort of developing the agency’s with the offenders throughout their
strategic plan, and the implementation of that confinements. Without a specific and articulated
plan, is a long-term commitment that requires vision of how each of these individuals fit into a
the application of complex solutions. Throughout larger mission, there is no way to ensure a
this process, the steering committee must collective, overarching perspective on how the
remain committed to a single vision of reentry offender, the offender’s particular level of risk and
and focused on its collective efforts. Maintaining needs, and the offender’s transition to the
this kind of commitment over many months or community should and will be managed.
years requires a commitment to working
together, to collaborating, in order to achieve the
full realization of the strategic plan. This Instituting new reentry programs and
endeavor is impossible without the dedication of policies has led to increased internal
all key stakeholders within the agency. communication and coordination between
units previously separated by job
Case Management Level function. The initiative has also led to
As important as it is to the change process, formalized relationships and an
collaboration at the policymaking level alone is articulation of shared commitment with
insufficient to bring about an effective offender other state entities.
reentry strategy. As mentioned in Section Three
on leadership and organizational change, a new When collaboration happens in this
strategy toward offender reentry must reach context, individuals begin to understand
down to all levels of staff and actively bring them and share a vision of reentry. Parole
into the change process. agents recognize the benefits of working
with institutional staff to develop a
Barriers to collaboration often exist at the staff transitional plan for the offender that
level. Collaboration requires a shared vision that begins several months prior to the
moves individuals beyond their personal ideas of offender's release, while correctional
how to fulfill their job requirements and places officers recognize that engagement in the
their individual efforts within the framework of a appropriate treatment and institutional
larger vision. Given the time and resource programs may increase an offender's
constraints facing an overwhelming majority of opportunities for success in the
institutional corrections and community community. Each individual begins to
supervision agencies, many employees (perhaps understand and appreciate the ways in
without even being aware of it) may view their which they can engage with and
roles so individually that they fail to consider how encourage offenders in the course of their
they fit into the larger process of achieving the day-to-day interactions.
agency’s vision and carrying out its mission. For
example, corrections officers may view their job - Maureen Walsh, Chairman,
as purely custodial and have little interest in or Massachusetts Parole Board
opportunity for talking with case counselors
about an offender’s daily behavior, visitors, or
other issues; case counselors may have The problems created by the lack of a common
information that could be useful to institutional vision for offender reentry, and effective
information sharing to support this outcome, Conclusion
often are exacerbated at the point when Despite the best collaborative efforts of outside
offenders are released from a correctional stakeholders, a successful offender reentry
institution under community supervision. strategy has little hope of succeeding without
Community supervision officers may not be strong collaboration between institutional
provided with detailed information regarding an corrections and community supervision
offender’s experience while incarcerated, beyond agencies. Although many corrections agencies
a cursory report or case file notes. A number of consider internal collaboration to be occurring
important questions may remain unanswered: effortlessly and on an ongoing basis, employees
Did the offender have visitors while incarcerated? working within institutions may see their
If so, how might those visits trigger certain responsibility as custody and control, having little
concerns around community supervision? Did if anything to do with preparing offenders for
the juvenile offender’s parent(s) participate in return to the community. Likewise, community
family interventions prior to the juvenile’s supervision staff members may consider their
release? If the offender is incarcerated on a jobs as unrelated to the confinement of the
domestic violence charge, did the victim—or offender. Effective offender reentry efforts will
potential new or additional victims—have require institutional corrections and community
acrimonious visits with the offender? Did the supervision agencies to consider themselves as
offender participate meaningfully in treatment or two parts that form a whole in the important
life skills programs (e.g., did the offender sign up work of offender management.
and attend faithfully)? Should treatment be
continued in the community to capitalize on
progress made? Without this kind of knowledge, KEY STEPS
community supervision officers lack the essential
information about an offender’s background and • Assess the state of current collabora-
institutional history to monitor, supervise, and tion between institutional corrections
refer offenders to appropriate treatment and and community supervision staff,
successfully transition them into the community. including investigating policies and
procedures that may impede collabo-
In order to facilitate collaboration between these rative efforts.
correctional functions, the leaders of institutional • Form teams at the policymaking level
corrections and community supervision agencies to promote collaboration between
must institutionalize policy and practice that institutional corrections and commu-
promotes intra-agency information sharing. They nity supervision agencies and to cre-
must also promote case staffings and organize ate a collaborative strategic plan.
all staff around the collective goal of reducing • Form teams at the case management
recidivism and enhancing community safety. Just level to facilitate collaboration among
as no one agency can solve the problems institutional corrections and commu-
associated with reentry, no one staff member has nity supervision staff, and to assure
the full picture of any offender. Each is charged the more effective management of
with a different aspect of working with offenders offenders as they transition to the
(e.g., supervision or security, overseeing a work community.
assignment, or conducting case management) • Devote at least as much time and
and each has some critical pieces of information resources to enhancing internal col-
and insight essential to the overarching goal of laboration as is devoted to building
offender success.
CHAPTER 3: MULTIDISCIPLINARY
COLLABORATION
External collaboration with multidisciplinary
stakeholders is also important to successful Through a shared vision, key stakeholders
offender reentry. As stated in the introduction to are able to find common ground that can
this chapter, significant and sometimes serve as a catalyst for promoting offender
overwhelming problems confront offenders success and ensuring public safety: each
returning to their communities. Basic necessities stakeholder begins to recognize their
such as housing, employment, and sustenance unique role, and the cumulative energy
may be difficult to obtain. Additional problems and effort becomes powerful.
may plague their efforts to reintegrate into
society: the availability of treatment (e.g., - CEPP, 2007
substance, mental health), access to education,
family dysfunction, and the lack of pro-social Two Levels of Multiagency
networks. These are complicated problems, Collaboration
requiring complex solutions, and no single Just as with collaboration between institutional
agency, organization, or community service corrections and community supervision
provider can provide adequately for all of these. agencies, there are two levels of collaboration
that are necessary to offender reentry efforts for
Institutional corrections and community external collaboratives:
supervision agencies must work with a multitude
of stakeholders to resolve these difficult • Policymaking Level. Collaboration is critical at
challenges and provide opportunities for the State, regional, or local level and should
offenders to be successful. involve individuals that have policymaking or
decision making ability for their respective
Striving Toward a Common Vision agencies. This level of collaboration would
Obviously, external stakeholders such as include the directors or deputy directors or
community-based treatment or service providers other key leadership of stakeholder agencies.
are likely to have a different focus or vision than Individuals that have policy and decision
institutional corrections and community making authority can open access to new
supervision agencies. Their ultimate goal might resources or services previously unavailable to
be defined as providing the best quality care or offenders returning from confinement,
services to individuals in need, rather than being promote joint efforts in public and
defined as reducing recidivism or improving policymaking discussions, and assure access
public safety. However, the vision of community- to line staff so that they are able to serve as
based stakeholders is, in all likelihood, members of case management teams.
compatible with corrections’ public safety goals,
as successful offender outcomes ultimately • Case Management Level. The other type of
translate into community safety and wellness. collaboration is at the case management level,
Recognizing this and moving toward a shared involving individuals who provide direct
vision across agencies and disciplines is key to services to offenders and their families. These
forming collaborative external partnerships that individuals can assist with additional
will help overcome common barriers to information/perspectives on offender needs,
successful offender reentry. the development of appropriate intervention
strategies, access to services and supports to
supplement those available within institutional the key individuals involved in the
corrections and community supervision management of the case will be broader and
agencies, and support of ongoing monitoring more comprehensive and provide for greater
and follow up activities. Case management coordination and continuity in care.
plans that are developed with input from all of
Policy Level Collaboration

(Typical structural relationship)
Tier 1
Statewide Multidisciplinary
Policymaking Team
Tier II
Statewide Multidisciplinary
Implementation Team
Institutional and Other Multidisciplinary

Community Corrections Action-Oriented
Steering Committee Subcommittees
Case Management Level Collaboration

(Case management collaboration occurs in a variety of settings)
Institutional Corrections/Community Supervision
Institutionally-Based Institutionally- and Community-Based

Case Management Community-Based Case Management
Teams Case Management Teams Teams
External Collaboration workforce, health, and treatment). Each member
Institutional corrections and community of the collaborative will bring a unique
supervision agencies must partner with other perspective and unique solutions to problems
public sector agencies, community-based service associated with offender transition and reentry. A
and treatment agencies, faith and community- workforce development representative, for
based organizations, members of the public, and example, might be able to support a job
others, including employers and placement. An individual who represents the
educational/vocational institutions, victim educational system can be helpful for addressing
advocates, and housing authorities, in an effort barriers to a juvenile’s return to a public school
to bring all necessary community input and or may have important information about
resources to bear on the issue of offender alternative educational settings. A housing
reentry. representative might offer creative solutions to
finding a place for the offender to live. Members
As indicated above, multidisciplinary of community boards or victim advocate groups
partnerships must be organized at both the might offer guidance about how best to notify
policymaking and case management level. Often the community that a violent offender is
the policymaking team will take the form of a returning in a way that promotes information
statewide policy team on reentry, established or sharing and support rather than inciting fear and
supported by the governor or legislature, hostility.
consisting of cabinet level officials from the
State’s various institutional corrections and Who Are the External
community supervision, justice, and public Stakeholders that Should Be
sector agencies, and community partners. Involved?
Members of such a policy team would include As has been suggested throughout this
representatives from agencies responsible for handbook, adult and juvenile offenders
education, social services, healthcare, mental encounter a variety of challenges in their efforts
health, workforce, and housing, to name just a to resume their lives productively in the
few. A policy team such as this will consider and community. It is common for returning offenders
make decisions on statewide reentry efforts and to face barriers, including limited affordable or
may influence funding or provide oversight for available housing, problems with securing or
reentry initiatives. The policy team may consider maintaining employment or education, the
and put into place policies and practices to presence of physical or mental health problems,
encourage and facilitate collaboration at the case financial instability, family problems, and outcry
management level. from the public about their presence in the
community. Clearly, no single agency can address
Staff members who work directly with adult or all these issues alone. In an effort to overcome
juvenile offenders are more likely to be involved these problems, and support offenders as they
in more localized, case management level transition in an effort to prevent reoffense, a
collaboratives. The purpose of these combination of traditional and non-traditional
collaboratives is not to create or implement partnerships is essential.
policy (although the efforts of these teams will
likely inform and influence policy). Rather, it is to In addition to the involvement of the criminal
bring together those individuals and agencies justice system and other public sector agencies
that can enhance the likelihood of a seamless that in some capacity serve the offender
transition from the institution to the community population (such as labor, housing, education,
for the offender, and offer support by providing transportation, health, et cetera), community,
the resources and opportunities needed to service, and faith-based providers should also be
prevent reoffense (e.g., education, housing, active participants in the collaboration in order
for it to effectively address the complex social, • Can promote access to appropriate and
behavioral, and health issues that are linked affordable housing.
inextricably to offender success. Community- • Deliver healthcare services.
based partners will undoubtedly bring different • Provide mental health services.
resources to the resolution of offender behavioral • Have the ability to facilitate access to
issues, as well as a wealth of knowledge about employment.
the community (CEPP, 2005c). • Can provide support and assistance to
children and families of offenders.
Those stakeholders who should be involved in
policymaking and case management level reentry Specifically, these stakeholders might include:
collaboratives include individuals and agencies
who: For juvenile offenders:
• Juvenile and family courts
• Have a vested interest in community safety. • Juvenile institutional corrections and
• Are directly or indirectly responsible for sex community supervision or youth services
offender management. agencies
• Work closely with or advocate for victims. • Social services agencies
• Can provide mentoring or positive social • Child welfare and family services agencies
supports. • Victim advocates
• Offer educational and vocational services. • Education partners
Executive Order to Form a Committee on Prisoner Reentry In Rhode Island

In 2004, Rhode Island Governor Donald Carcieri established a committee to create a
systematic, statewide approach to increasing public safety through more effective offender
reentry. The executive order explicates that since recidivism rates top over 50 percent in the
state and that “all offenders, with the exception of 21 men serving life without parole, will
eventually return to the community,” additional steps are necessary to ensure public safety.
Executive Order 04-02 (State of Rhode Island, 2004) states:
I, Donald L. Carcieri, by virtue of the power vested in me as Governor of the State of Rhode
Island and Providence Plantations, do hereby order as follows:
1. The Governor’s Committee on Prisoner Reentry is hereby established to create a

comprehensive plan and systematic approach to promoting reentry strategies for all
offenders prior to release from incarceration with continued support from probation,
parole, and community-based agencies after release.
2. The Committee on Prisoner Reentry shall:
a. Provide ongoing coordination at the executive level of reentry initiatives across the state;
b. Ensure agreement on overall policy direction;
c. Resolve policies and practices that impede successful reintegration;
d. Assign senior staff from the departments and offices involved to implement established
priorities.
3. The Committee on Prisoner Reentry shall be comprised of at least fifteen members. All
members shall be appointed by the Governor, and shall serve at the pleasure of the
Governor. The Governor shall select a chairperson.
4. All executive state departments and agencies shall support the efforts and goals of the
Committee.
• Employment officials Policymaking Collaboratives
• Releasing authorities At the policymaking level, two tiers of teams are
• Health and behavioral health representatives often established: one that will function as the
• Mentors decision making body on reentry policy issues,
• Faith and community-based partners and one that will serve to implement those
decisions. Case management teams are localized
For adult offenders: in nature, involving individuals generally
• Criminal courts responsible for providing direct services to
• Adult institutional corrections offenders. These teams are all multidisciplinary
• Community supervision agencies in nature, involving justice system, public sector,
• Paroling authorities and community service agencies in addition to
• Victim advocates institutional corrections and community
• Mental health agencies supervision agencies.
• Public health departments and other
healthcare agencies Policymaking Teams: Tier I
• Veterans’ affairs officials Policymaking teams often take two forms: a
• Housing authorities decision making body authorized to review and
• Employment agencies set policy for the state on reentry issues (Tier I),
• Social services agencies and a Tier II team charged with implementing
• Faith and community-based partners the decisions of the decision making body.
Representation by offenders, ex-offenders, or The Tier I team often is established by executive

offender rights organizations can also be order of the governor; likewise, members,
appropriate and may impact the effectiveness of generally cabinet level executives, are appointed
a collaborative team because of the unique by the governor to serve on the team. In some
perspectives they are able to offer. states the governor or his/her representative will
chair the team; in other states, corrections
Rhode Island: Tier I

In Rhode Island, the Governor’s Office and Cabinet form the Tier I reentry group. Part of the
group’s mission is to ensure that the State implements a collaborative policymaking effort to
achieve the vision of effective offender reentry. The group’s mission reads:
• Define the State’s vision for prisoner reentry;
• Communicate the State’s vision for and commitment to prisoner reentry to agency staff
and, as appropriate, to those outside of state government;
• Specifically articulate the role each agency in state government does and should play in
supporting effective reentry efforts;
• Establish processes to assess the extent to which effective reentry policies and practices are
in place;
• Assure communication among agency staff and agency leadership regarding policies and
practices currently in place;
• Resolve challenges that arise as a result of coordinating activities among agencies;
• Agree on policy changes that are essential to the achievement of the vision;
• Secure and make effective use of resources, to the extent that additional resources are
needed;
• Oversee the implementation of agreed upon policy changes; and
• Monitor change strategies to determine if they are producing the desired results.
Rhode Island: Tier II
In Rhode Island, the Governor’s Office and Cabinet has established a group of policy level
representatives to form a Tier II group responsible for defining change strategies and
overseeing their implementation. Specifically, this group has developed five broad goals (with
additional objectives within each goal) to organize their offender reentry efforts in the state.
These include:
• Implementing a comprehensive offender assessment strategy, including an empirically

based offender assessment tool, and a process for designing a single, dynamic case
management plan for every offender.
• Assuring that the interventions available to offenders within the institutions, as well as
those provided in the community, meet the criminogenic needs of the offender population,
and that offenders are appropriately matched to the needed interventions.
• Establishing proactive release planning that begins at intake and addresses barriers to
reentry.
• Ensuring that offender supervision policies and practices support successful offender
reentry.
• Developing a unified data and information sharing process.
directors will assume that role. Although, given help to identify challenges as well as creative
their critical role in offender reentry, institutional solutions to those challenges.
corrections and community supervision agencies
play a key role in such policy teams, it is not The Tier I team may meet frequently or, as is
uncommon for leadership to be situated in the more likely given the other demands upon the
office of the governor. members, only several times each year. Like all
collaborative teams, Tier I teams will need to
Tier I members generally include those meet more frequently in the beginning to develop
individuals with decision making authority for a team vision and mission and to determine how
their agencies. Tier I team members generally the team will do business together.
include directors (or equivalent positions) of all
of the state’s justice system and public sector Policymaking Teams: Tier II
agencies, such as corrections, workforce/labor, The Tier II team is generally responsible for
housing, welfare, mental health, economic implementing the decisions of the Tier I team. If
development, education, public safety, the Tier I team is charged with deciding what will
transportation and social services. Community happen, the Tier II team is responsible for
partners are also typically represented. Such determining how it will happen. Tier II teams are
partners might include victim advocacy generally responsible for crafting and
organizations, community groups, faith and implementing strategies for achieving the goals
community-based organizations and treatment set by the Tier I team.
providers. Any statewide agency or organization
that can either aid offenders in their successful This team is generally staffed by executives
transition to the community or pose barriers to empowered to make changes within their
their successful reintegration should be agencies. Membership on the Tier II team will
considered for inclusion on the team. The input mirror that of Tier I in significant ways, in that
and unique lens through which this diverse the set of agencies and community partners will
group of individuals sees the issue of reentry will generally be the same. (The Tier II team may not
Wisconsin Department of Corrections: Key Targets of Change
A Department Reentry Steering Committee, consisting of representatives from each division in
the Department, was appointed to evaluate and coordinate the Department’s reentry efforts.
Ultimately, the committee identified key targets for change, developed charters with targeted
areas of emphasis within the Department, and formed cross divisional teams to address the
targeted areas. These include:
• Creating an inmate unified case plan: The unified case plan will be used by staff in both
the Division of Community Corrections and Adult Institutions.
• Creating a standardized prerelease program: The program includes a module for
transitional preparation which makes communication between Community Corrections
and Adult Institutions mandatory.
• Enhancing continuity of services for offenders with alcohol and other drug abuse issues:
Addressing the continuum from prison to the community that builds on treatment/relapse
prevention that does not duplicate resources and targets needs.
• Establishing employment readiness and placement: Connecting what education is being
provided to offenders in institutions to the current community labor market.
• Encouraging mentors and enhancing community support networks.
• Addressing the needs of our special populations, such as female offenders and the
mentally ill: Enhanced reentry case planning between the institutions and the field.
• Enhancing staff development and training opportunities: A pilot for field/institution
practicum is targeted for rollout in July 2007. The practicum will increase awareness of job
duties of counterparts in the field and within institutions, which will increase
communication between divisions.
- Matthew Frank, Former Secretary, Wisconsin Department of Corrections
replicate the membership of Tier I completely, Case Management Teams

given the different purposes of the teams. In As indicated above, case management
both cases, membership should be limited to collaboratives will be localized in nature, and will
those individuals who can contribute have the purpose of bringing together individuals
meaningfully to the team’s purpose.) providing direct services to offenders and their
families in order to enhance an individual
To accomplish their goals effectively, the Tier II offender’s opportunities for success. The team will
team typically meets more frequently, generally at meet on a case-by-case basis to develop
least monthly, to review progress and make appropriate intervention strategies and provide
decisions on the implementation process. The access to services and resources to supplement
Tier II team may have subcommittees of its own, those available within institutional corrections and
charged with gathering information, crafting community supervision agencies. As part of the
recommendations, and performing case management plan, the team will develop
implementation tasks. The work of these ongoing monitoring and follow up activities and,
subcommittees will feed into the work of the Tier as a team, share responsibility for making efforts
II team, just as the work of the Tier II team will to enhance the successful transition of the
contribute to and enhance the performance of offender. As with the policymaking teams,
the Tier I team. individuals from any agency that can either
support offenders in successfully transitioning to
Michigan: Multi-Layered Collaborations
Michigan provides an excellent example of multi-layered, collaborative partnerships working to
increase offender success. Each pilot site of the Michigan Prisoner Reentry Initiative (MPRI)
(2007) has a Local ReEntry Advisory Council made up of key stakeholders in the community
who work to educate the community and build support for the effort and a Steering Team led
by the Warden of the community’s releasing facility, a representative from the local field
operations office, and two representatives from faith-based, human service, or planning
community organizations. This Steering Team is mandated by the Governor to include active
representatives from all the service agencies necessary for effective prisoner reentry, including
employment, vocational training and education, housing, healthcare, mental health, alcohol
and drug abuse services, family and child welfare, community-based and faith-based
organizations, victim advocates, and ex-offenders.
The Steering Team then appoints service providers to a Transition Team. The Transition Team
works with the incarcerated offender, institutional staff, and parole agents (who are provided an
office within the institution) to develop a Transition Accountability Plan (TAP) to ensure that
the transition of the offender from prison to the community is seamless. These collaborating
partners work together and share information to create and update the TAP, which serves as a
case management and supervision plan for the offender while incarcerated, preparing for
release, and under supervision in the community.
Wisconsin: Collaboration at the Local Level

The Great Lakes Inter-Tribal Council collaborates with the Wisconsin Division of Juvenile
Corrections (DJC) (2006) to assist Native American youth as they transition back into the
community. A representative of the Council meets with youth during their stay in the
institution and serves as a liaison with the community. He provides them with information
about their heritage and traditions, and provides skill-building opportunities specific to each
child’s needs. Upon release from the institution, the representative will escort the youth back
into the community to try to reconnect him with his tribe.
the community or pose barriers to success should Prison to Community (TPC) initiative sponsored
be included on the team. Memorandums of by the National Institute of Corrections.
Understanding that delineate clearly the
responsibilities of each partner to the collaborative Conclusion
may be useful in the early stages of collaboration. Effective reentry strategies require those best
Such documents formalize the commitment of equipped to assist offenders in becoming
team members and can assist all team members successful within the community (in authority,
in understanding not only their role in the process knowledge, or resources) to come together to
but also the role of other team members. craft solutions to the complex challenges facing
offenders. In order to do this, institutional
The case management process, including the corrections and community supervision agencies
composition of effective case management must engage in multidisciplinary collaboratives
teams, is covered in the TPC Case Management with external partners who bring those elements
Handbook, produced under the Transition from to the table.
Collaborating with key external stakeholders will
help to ensure that all parties who affect or are KEY STEPS
affected by offender reentry have a voice in
resolving common barriers to transition and can • Promote the establishment of
offer unique and effective suggestions about how multidisciplinary teams that operate
to resolve common problems. Working as a at both a policymaking and case
collaborative unit will enable the team to make management level.
the most of limited resources and devise • Identify and bring together key
complementary reentry policies and practices external policymaking stakeholders to
that will support the successful transition of the offender reentry process. These
offenders back into the community, in an effort include corrections, workforce/labor,
to enhance public safety. Key stakeholders housing, welfare, mental health,
include public sector agencies, faith- and economic development, education,
community-based service and treatment public safety, transportation, social
agencies, members of the public, and others, services, and other community and
including employers and educational/vocational faith-based service providers.
representatives, victim advocates, and housing • Create multiple layers of multidiscipli-
authorities. These stakeholders bring important nary collaborative teams to address
and necessary perspectives and resources to policy issues related to offender
bear on the issue of offender reentry. reentry (Tier I), implement offender
reentry strategies across agencies
Collaboration can be difficult and can require a (Tier II), craft and oversee the
substantial investment of time on the part of all implementation of the agency’s
agencies involved. However, the payoff is likely to strategic plan (steering committee),
be significant. While it will undoubtedly require and address the needs of individual
an initial investment of time and energy to offenders in crafting interventions
identify, bring, and keep all key stakeholders at strategies (case management teams).
the table, the distribution of responsibilities and • When appropriate, develop
discretion that is shared across all agencies Memorandums of Understanding that
involved in offender reentry makes collaboration delineate clearly the responsibilities of
necessary (McGarry & Ney, 2006). As already each partner to the collaborative.
noted, no one agency can solve the many
challenges associated with offender reentry. In
order to reach the collective goal of safer
communities through successful offender
reentry, agencies must be willing to share
information and resources (e.g., through
implementing memoranda of understanding),
set aside individual agency agendas in
consideration of the needs of the larger group,
and make a top priority of actively participating
in the collaborative for as long as it takes to work
toward attainment of the desired goals.
CHAPTER 4: HOW TO COLLABORATE
The simple willingness to collaborate is an The team should work together to establish a
important element for any collaborative team. vision statement (or a statement about the
The process of collaboration, however, is one preferred future) as one of their first tasks. To
that requires a specific set of skills and tools in establish this vision, teams will need to engage
order to be successful. This chapter provides a in a process that takes into account the diverse
brief overview of the important steps in creating opinions and backgrounds of all the participating
a collaborative and the characteristics of an individuals, divisions, and/or agencies, and come
effective team. to consensus on an overarching goal that will
drive the team’s work. Common vision
Developing a Shared Vision for statements for reentry-focused teams include
the Team’s Work “Reducing recidivism through seamless and
In Section Three, the need to develop a vision for effective reentry practices,” or “Enhancing
offender reentry for the institutional corrections community safety by effectively transitioning
and community supervision agencies was offenders to the community.”
discussed. The purpose of developing an agency
vision is to provide direction for the efforts of the
agency and an understanding of the preferred Department of Correction staff and Parole
future toward which the agency is striving. The Reentry Officers conducted a series of
vision articulates the values and beliefs of the cross-trainings. (Line officers who have
agency and serves both to motivate and inform. talked on the phone for years met face to
During the rational planning process (covered in face!) DOC staff took a field trip to the
Section Four), the agency’s vision for reentry Parole regional offices and were provided
drives the work of the steering committee as it an orientation to field operations. Parole
seeks to develop and implement a strategic plan staff were hosted at the institutions to
for offender reentry. attend triage meetings (case conferences).
This was all in service of developing a
For many of the same reasons, a shared vision is shared vision of our work.
necessary for any collaborative team to be
successful. Teams must be clear from the onset - Maureen Walsh, Chairman,
about what they want to accomplish and how Massachusetts Parole Board
they will work together to achieve it. Although
this may seem like a natural first step in the
collaborative process, many teams rush to action Team members should refer to and reflect upon
without first thinking about what they collectively their vision as they embark on their work
want the ultimate result of their work to be. together. The vision statement serves as an
important anchor for team members as they
Initially, team members may not consider a vision become involved in the day-to-day and often
statement to be necessary. Not yet understanding complex work of implementing changes that will
the nature of collaboration and that the team move them in the direction of achieving their
must be striving to accomplish together vision.8
something they cannot accomplish individually,
they may believe that other vision statements Crafting a Mission Statement
crafted outside the collaborative efforts of the After the team has developed a vision statement
team are adequate to guide the team’s work. In for its work, it must also develop a mission
short, they do not yet understand how the whole statement that clearly delineates the action it will
can be more than the sum of its parts. take in service of the vision. An effective mission
statement will lay out the work the collaborative feedback (to ensure that expectations of all
will do in order to work toward progress on the team members are being met), and use fact-
vision. The mission statement should define based judgments (e.g., objective, factual data
specifically what the work group’s focus will be, form the basis for the team’s decision
and should be measurable, with performance making).
outcomes and deadlines for accomplishment.
The mission statement will provide the • Competent team members. In this context,
framework for the work of the team, and goals competency refers not only to the necessary
and objectives (specific action steps to be skills and abilities needed to do the work, but
accomplished in furtherance of the mission) will also the personal characteristics required to
be developed based on the mission statement. achieve excellence while working well with
others. Three common features of competent
Characteristics of Effective Teams team members are the essential skills and
Substantial research from disciplines outside of abilities to conduct the work, a strong desire
the criminal justice field has shed light on why to contribute, and the capacity to collaborate
some teams are successful and others are not. effectively.
Teams who are just starting out should consider
the elements that make teams effective and work • Unified commitment. Unified commitment is
to incorporate these elements into their best characterized by team spirit, or a sense of
collaborative efforts. loyalty and dedication to the team. It is often
exhibited by a sense of excitement and
There are eight characteristics that are common enthusiasm for the team and its work, a
among teams that become successful willingness to do anything that has to be done
collaboratives. Those characteristics include to help the team succeed, and an intense
(Larson & LaFasto, 1989): identification with the people who are on the
team.
• A clear and elevating goal (or vision). High-
performing teams have both a clear • Collaborative climate. A collaborative climate
understanding of the goal to be achieved and is most commonly described in the adage,
a belief that the goal embodies a worthwhile “The whole is greater than the sum of its
or important result; teams with a clear and parts.” Teams operating in a truly collaborative
elevating goal understand that whether the climate work well together, and trust is a
team succeeds clearly makes a difference. For mainstay virtue. Trust is bred by honesty (i.e.,
reentry collaboratives, the vision of enhancing integrity and truthfulness), consistency (i.e.,
community safety through the successful predictable behavior and responses), and
transition of offenders to the community is a respect (i.e., treating people with dignity and
centerpiece of the team’s efforts. fairness).
• Results-driven structure. A team’s structure • Standards of excellence. Standards define those

should be designed around the results to be expectations that eventually determine the
achieved. Teams should have clear roles and level of performance a team deems
accountabilities (e.g., team members know acceptable. Three variables are integral to
their role on the team and what is expected of establishing and sustaining standards of
them), have an effective communication excellence: the extent to which the team’s
system (e.g., important decisions and findings standards are clearly and concretely
are documented, issues are discussed in an articulated, the ability of team members to
open environment), have a method to meet those standards, and the team’s ability
monitor the team’s performance and provide to exert pressure on itself to improve.
• External support and recognition. External
support and recognition is measured by the The most important single ingredient in
extent to which those individuals and agencies the formula of success is knowing how to
outside the team who are capable of get along with people.
contributing to the team’s success acknowledge
and support the work of the team. - Theodore Roosevelt
• Principled leadership. Leadership is necessary

to any collaborative endeavor. Ideally, Supporting the Team and
collaborative teams have more than their fair the Process
share of leaders, individuals who demonstrate No matter what issue a team undertakes, staff
leadership qualities such as vision, have the support will be key to its success. Reentry teams
willingness to ask “what” and “why” and will require support in terms of coordination
challenge the status quo, and who stay clearly across multiple agencies, as well as data
focused on the team’s destination. Effective collection and analysis, strategic planning,
leaders keep the team results-oriented and implementation of change strategies, and
focused on their vision. They inspire monitoring and evaluation. Teams will need to
enthusiasm and encourage action. All of these designate members of the team, or in some
qualities are important to the work of the cases hire a staff member or multiple individuals,
collaborative team, to effectuate change. to function as the team’s staff.
In order to operate effectively, teams should

Effective leaders establish a vision of the ensure that the following roles are filled:
future, enlist others to embrace the vision,
create change, and unleash the energy and • A chair (often the team’s substantive leader),
talent of contributing members. someone who is well respected by all
members of the team, has the capacity to
- CEPP, 2005b obtain buy-in from the leadership of all
relevant agencies and stakeholders, and is
able to affect change. (This role should be
Assessing the State of filled by a stakeholder from one of the
Collaboration participating agencies, e.g., a key individual in
Teams may have worked together on other issues the governor’s office, the corrections director,
in the past and, as a result, may have a history of et cetera.)
working well together. Conversely, they may have
faced challenges to their efforts to collaborate • A facilitator (ideally an objective person who is
effectively in their prior work groups. As a result, not a member of the team and therefore has
one of the first steps of the team should be to no stake in outcomes of the team’s decisions)
assess the state of the collaborative team from who can guide the work of the team
the onset. One measure of the team’s ability to
collaborate is the Collaboration Survey • An administrative staff person who is
(http://www.collaborativejustice.org/assess/surve responsible for organizing meetings,
y.htm), a multi-question scoring instrument developing meeting records, and
designed to assess how well teams are truly communicating with all members of the team
collaborating. Administering this survey at the about meeting dates, work assignments, and
beginning of the team’s work and then on a deadlines. (This role might be filled by a
periodic basis thereafter will help to ensure that volunteer from a participating agency.)
the team is working well together over time.
These three parties should work together on an chart, facilitates progressive dialogues by
ongoing basis to (adapted from Gilligan & Carter, noting on paper key points and decisions.
2006):
• Determine the team’s mode of decision making.
• Establish a system of communication, including Teams will need to surface critical issues for
setting an appropriate meeting schedule. discussion and come to a resolution of how
Ensuring that the team has a way to decisions will be made (e.g., by consensus or
communicate and exchange information is majority rule).
crucial. Regular team meetings are a common
method of ongoing communication. • Identify methods for team members to educate
Facilitators should help the group to decide on one another about their individual roles and
a regular meeting schedule and attend to the responsibilities. Reentry teams are composed
details of when and where the meetings will of individuals who represent a variety of
be held, how long the meetings will be, and interests, whether they are from the same
who is expected to attend. agency or many. While members typically
appreciate the diversity of their colleagues’
• Guide the team through the establishment of points of view, they often do not have
ground rules. Very early in the group process, sufficient background knowledge to appreciate
members should have a discussion about them fully.
their ground rules, which should establish
team members’ expectations for their conduct • Surface the values individual members bring to
with one another. the team process and find common ground
among these. Individual values can be critically
• Define meeting goals and the products that will important when it comes to making decisions.
be produced. Each meeting should be For this reason, teams should set aside time
convened with a specific set of goals in mind to air their personal values and then agree
and should result in one or more products. upon a set of core values they will use to
guide their work together. Doing so will assure
• Develop meeting agendas that will direct the that the decisions made are based upon the
team’s work. Detailed agendas should indicate group’s agreed upon values rather than each
the tasks to be accomplished; the fulfillment individual’s personal values.
of these should result in the achievement of
the meeting’s goals and the production of the • Clarify each individual’s roles and
desired work product(s). responsibilities on the team, and clearly
articulate the expectations of team members.
• Guide the team’s discussions during meetings. Teams should work to articulate the roles and
The team’s facilitator should guide the group’s responsibilities of each team member so that
discussions in such a way as to ensure that all each member knows what is expected of him
members have a voice and have an or her.
opportunity to contribute equally.
• Establish a work plan that includes specific
• Summarize key points. Summarizing facilitates goals and objectives designed to assure the
a progressive discussion by demonstrating success of the team in achieving its mission.
that members have been heard. The identification of specific goals and
objectives will serve as the team’s road map
• Note key points and decisions throughout each to achieving its mission. Teams should
meeting. Documenting a meeting’s develop a specific work plan complete with
discussions, typically through the use of a flip individual assignments and deadlines and
routinely review and update the plan to ensure
that work is progressing. KEY STEPS
• Hold team members accountable for their • Develop vision and mission state-
work. For a collaborative effort to succeed, ments for each collaborative, to focus
each individual must commit to do his or her and guide the work of the team.
part. Once this is done, the group’s norm • Identify staff support for the team.
should be to hold one another accountable to • When possible, make use of an out-
these commitments. side facilitator to assist the group in
its process.
Achieving all of these tasks will not be easy, but • Use the Collaboration Survey or other
is likely to yield significant dividends. The more assessment tool to determine the
disciplines and agencies that are involved in team's effectiveness.
examining the hurdles associated with reentry • Value process as much as substance
and crafting possible solutions, the more likely in collaborative efforts.
the chance that the team will succeed in
achieving its vision.
A shared commitment to realize specified

goals and outcomes forms the basis for
collaboration; those goals and outcomes
are the criteria by which to judge a team’s
effectiveness, make decisions on change
initiatives and the use of resources, and
choose among competing problems and
solutions.
- McGarry & Ney, 2006
Conclusion
Although the process of collaboration can prove
difficult, given the many and sometimes
conflicting interests of those coming together to
address offender reentry, research has provided
important tools to assist in the functioning of
effective collaborative teams. These tools can be
applied across different types of collaborative
teams, regardless of their purpose. Whether
collaborative teams are formed within
supervision agencies, or between those agencies
and other external stakeholders, it is important
that the research on effective teams be applied in
the establishment and management of these
teams. Attention to process as well as substance
is essential to a successful collaborative.
Assess Your Agency:
Collaboration
Yes No Not
Clear
1. Has a State-level, multidisciplinary policy team been established to

collaboratively direct a comprehensive effort to improve offender
management and reentry policies and practices?
2. Are the leaders of State agencies that are responsible for, or

contribute to, offender management and reentry committed to
working together on this issue?
3. Have individual stakeholders identified the ways in which their

agencies can contribute to effective offender management and
reentry?
4. Do stakeholders demonstrate equal ownership and investment in

offender reentry?
5. Does the team include individuals, agencies, and organizations from

the State that:
• Are directly or indirectly responsible for offender management?
• Work closely with, or advocate for, victims?
• Provide mentoring or positive supports for offenders?
• Offer educational and vocational services to offenders?
• Promote access to appropriate and affordable housing for offenders?
• Provide mental health services to offenders?
• Facilitate access to employment opportunities for offenders?
• Provide support and assistance to children and families of formerly
incarcerated individuals?
6. Are the efforts of the team defined through a clearly articulated

vision, a clear mission, and specific goals regarding offender
management and reentry in the State?
7. Has leadership, facilitation, and staff support been dedicated to the

State-level multidisciplinary team?
8. At the case management level, do staff members collaborate with one

another to facilitate successful offender reentry (e.g., do
institutionally-based staff collaborate with one another; do
institutional and community-based staff work together to ensure a
smooth transition and continuity of care; does community
supervision work closely with service providers and others to assure
effective case management)?
References McGarry, P. & Ney, B. (2006). Getting it right:
Bumby, K., Talbot, T., & Carter, M. (2007). Collaborative problem solving for criminal justice.
Managing the challenges of sex offender reentry. Washington, DC: U.S. Department of Justice,
Silver Spring, MD: Center for Sex Offender National Institute of Corrections.
Management (CSOM), Center for Effective Public
Policy. Michigan Prisoner ReEntry Initiative (MPRI)
(2007). Creating safer neighborhoods and better
Carter, M. (2005). Collaboration: A training citizens (Web site). http://www.michpri.com/
curriculum to enhance the effectiveness of criminal index.php?page=home, last accessed December
justice teams. Silver Spring, MD: Center for 11, 2007.
Effective Public Policy.
Petersilia, J. (2003). When prisoners come home.
Center for Effective Public Policy (CEPP) (2005a). New York, NY: Oxford University Press.
What is collaborative justice?
http://www.collaborativejustice.org/what.htm, State of Rhode Island (2004). Governor’s
last accessed May 28, 2007. Silver Spring, MD: steering committee on corrections reform and
Author. prisoner reentry. Executive Order 04-02.
http://www.doc.ri.gov/documents/reentry/04-
Center for Effective Public Policy (CEPP) (2005b). 02_PRISONER_REENTRY.pdf, last accessed
How to collaborate. December 11, 2007.
http://www.collaborativejustice.org/how.htm, last
accessed May 28, 2007. Silver Spring, MD: Wisconsin Division of Juvenile Corrections (DJC)
Author. (2006). DJC Newsletter, November 2006.
http://www.wi.doc.com/index_juvenile.htm, last
Center for Effective Public Policy (CEPP) (2005c). accessed December 11, 2007.
Who collaborates in criminal justice?
http://www.collaborativejustice.org/who.htm, last
accessed May 28, 2007. Silver Spring, MD:
Author.
Center for Effective Public Policy (CEPP) (2007).

Community safety through successful offender
reentry: A training curriculum for corrections
policymakers. Washington DC: U.S. Department
of Justice, Office of Justice Programs, Bureau of
Justice Assistance.
Gilligan, L. & Carter, M. (2006). The role of

facilitators and staff in supporting collaborative
teams. Silver Spring, MD: Center for Effective
Public Policy.
Huxham, C. (Ed.) (1996). Creating collaborative

advantage. London, England: Sage.
Larson, C., & LaFasto, F. (1989). Teamwork:

What must go right, what can go wrong. Newbury
Park, CA: Sage.
93
Section Six:
Key Strategies in Effective

Offender Management Kurt M. Bumby
INTRODUCTION
Attempting to ensure that adult and juvenile to do the right thing, but good intentions do not
offenders will exit correctional institutions and always translate into correctional policies and
reenter communities as crime-free, responsible, offender management practices that will be
and contributing members of society can be a effective. Unfortunately, the range of strategies
daunting endeavor. The steady rise in prison that sound right, look right, or feel right may not
admissions and releases, in and of itself, poses a actually be right. Therefore, to help guide
significant challenge to facilitating successful corrections agencies toward what is right for
reentry. Factoring in influences such as negative reducing recidivism and increasing public safety,
public sentiment, political exigencies, and this section provides an overview of the research-
increased scrutiny by policymakers only supported principles and practices that can be
exacerbates the complexity of these efforts. used to establish a maximally effective system of
Complicating matters even further are the offender management.
remnants of the “nothing works” era in
corrections that began in the late 1970s and Chapter 1 offers a working definition of an
lasted for roughly two decades (see, e.g., evidence-based approach, outlines the ways in
Andrews & Bonta, 2007; Burke & Tonry, 2006; which correctional research can be evaluated,
Petersilia, 2003). Largely a function of a reported and highlights a number of benefits of an
lack of evidence to support their effectiveness, evidence-based approach. Building upon the core
rehabilitative ideals were replaced with an evidence-based principles of effective correctional
emphasis on incapacitation, deterrence, intervention, Chapter 2 emphasizes the key role
proportionality, and punishment as the primary that assessment plays in facilitating efficient and
means of crime control and community effective case management decisions throughout
protection. Certainly, these are important aspects the institutional correctional and community
of the correctional system, but they are not supervision systems, from the point of intake,
sufficient for reducing recidivism and increasing throughout the course of incarceration, and
public safety. following release to the community. Chapter 3
provides an overview of the correctional
Recent trends continue to show an increase in programs, services, and interventions for adult
the number of released offenders who are and juvenile offenders that research
subsequently reincarcerated within short periods demonstrates are effective in reducing recidivism
of time (Harrison & Beck, 2006). As a result, and promoting positive offender outcomes. Also
today’s institutional corrections and community addressed are the multiple elements that are
supervision agencies are faced with the question essential for ensuring program implementation
of how to stop the revolving door phenomenon and integrity, without which correctional
while maintaining community safety. Correctional programs and services will be ineffective.
policymakers and practitioners undoubtedly want
Research-supported and promising strategies for interactions between corrections practitioners
post-release supervision are presented in and staff, all of whom can be powerful agents of
Chapter 4, with an emphasis on the value and change. Finally, Chapter 6 synthesizes the
effectiveness of a balanced approach to evidence-based strategies highlighted throughout
supervising adult and juvenile offenders in the this section into the overarching process and
community. Chapter 5 clarifies that effective illustration of case management in corrections.
offender management strategies are not solely Taken together, these chapters demonstrate that,
about assessment processes, specific programs when structured within a broader reentry
and services, or supervision practices. Rather, framework, effective offender management
evidence-based practice in corrections is also a strategies play a significant role in promoting
function of the nature of the relationships and public safety through successful offender reentry.
CHAPTER 1: AN EVIDENCE-BASED
APPROACH TO REENTRY
Introduction doing business. For the purposes of this
When the safety of communities is at hand, no handbook, the following working definition was
one would dispute the inadvisability of decision developed to describe what is meant by an
making guided primarily by instinct, reaction, or evidence-based approach:
trial and error. Indeed, many institutional
officials nationwide recognize the need for a well- The objective, balanced, and responsible
informed reentry strategy that will help them use of current scientific evidence to guide
attain the overarching goal of public safety. correctional strategies in a manner that
Fortunately, they have the benefit of years of will facilitate the most effective outcomes.
empirical evidence that illustrates the specific
interventions and strategies that are effective for
reducing recidivism among adult and juvenile Just as numerous other disciplines and agencies
offenders. As such, the movement toward (e.g., medical, mental health, education, child
evidence-based correctional practice has become welfare) have come to rely on research to inform
increasingly popular. their efforts and enhance their effectiveness,
adult and juvenile corrections agencies can also
What an Evidence-Based draw upon empirical evidence to improve results.
Approach Means and Achieves Indeed, a considerable body of contemporary
For corrections officials and other key research exists already and is instructive not only
policymakers, the concept of an evidence-based with respect to what works in corrections, but
approach is alluring, as it provides guidance also what does not work (see, e.g., Andrews &
about what works and alleviates concerns about Bonta, 2007; Aos, Miller, & Drake, 2006; Aos,
whether the decision to modify specific adult and Phipps, Barnoski, & Lieb, 2001; MacKenzie,
juvenile offender management strategies will be 2006). Taking full advantage of this literature can
worth the investment. In addition to crime result in the following:
reduction, it carries with it the promise of cost
effectiveness and better resource utilization. • Evidence-Based Policies. Legislators and other
However, it has become a cliché in some ways. policymakers develop well-informed criminal
Sometimes, an evidence-based approach is and juvenile justice provisions and
endorsed by agencies without a full appreciation overarching agency standards grounded in
of the implications at the policy level, what research about what is most effective and
implementation requires at the practice level, or what is not effective for enhancing public
even what an evidence-based approach truly is. safety.
• Evidence-Based Practices. Corrections
Becoming evidence-based is not simply about practitioners judiciously invest their efforts
issuing an executive order or instituting a revised and resources on methods demonstrated by
series of policies. Nor is it solely about research to reduce recidivism and promote
establishing a new cluster of programs and other successful outcomes, rather than on
services. Rather, it is a shared philosophy and strategies empirically shown to have either no
approach that permeates the correctional impact (or an undesirable impact), or which
system. As emphasized in the preceding remain yet untested.
sections, it is a commitment to a new way of
The body of correctional literature is ever the greater the sample size, the better the
evolving, and with new research comes the chances are for having a sample that more
potential for new evidence that either supports or closely resembles offenders in general.
refutes current strategies. Adopting an evidence-
based approach thus requires agencies to make Consider how likely it is that a group of twenty
an ongoing commitment to adjust policies and offenders will “look like” the broader offender
practices over time in accordance with the population, in contrast to a sample of 500
contemporary research. offenders. In addition to the increased potential
to be able to generalize the findings and make
An Evidence-Based Approach broader inferences, large sample sizes also offer
Requires Careful Weighing of the more statistical power and precision to the
Evidence research. This means that any observed
Generally speaking, establishing public policy, intervention effects (or lack thereof) are more
including that within the criminal justice arena, likely to be real and not simply due to chance.
can be the subject of much controversy. When Simply put, large sample sizes result in a greater
interested parties with opposing viewpoints degree of confidence that research findings are
debate the issues at hand, it is not uncommon more reliable, meaningful, and applicable. In
for them to cite examples of research evidence addition, large sample sizes allow researchers to
selected to support the merits of their respective ask more refined questions about the
positions. Such an approach is clearly not an relationship between specific variables of interest
objective or balanced use of the available (e.g., age, gender) and the outcomes that are
research. measured.
Identifying effective correctional interventions Comparison Groups

and other offender management strategies is not In order to determine whether a specific
simply a matter of tallying the number of studies correctional intervention has a significant impact
that support a specific intervention and on outcomes, researchers must be able to
comparing it to the count of those studies that compare the offenders who received that
failed to support the intervention. All research is intervention to offenders who received no
not created equal. Variations in the ways in which intervention and/or a different intervention.
studies are designed, carried out, and ultimately Without comparison groups, neither the
reported have an impact on the relative weight researcher nor the consumers of the research
that should be placed on the findings. While not have a reference point and, as such, the findings
an exhaustive list, the following are among the provide little to no guidance with respect to
most common and useful factors to consider policy and practice decisions. For example,
when weighing empirical evidence. simply reporting a low recidivism rate for a group
of juvenile offenders who completed a cognitive
Sample Size skills program does not provide any evidence
An important first step is to be aware of the that the recidivism rate is linked to that specific
number of offenders that were included in a intervention. To begin making any reasonable
given study, because sample size makes a very inferences about the effectiveness of the
real difference. Small samples limit the ability of cognitive skills program, one would need to
researchers to generalize the findings, because know the recidivism rate for juvenile offenders
these offenders are less likely to be who did not participate in the program.
representative of the larger offender population.
This is because the idiosyncratic characteristics The existence of a comparison group does not
of a small group of offenders can skew the automatically mean that observed differences
findings in one direction or another. Conversely, between the intervention and control groups are
definitely the result of the interventions. Other The preferred method for attempting to level the
influences may be operating (e.g., different ages, playing field is to draw from a single source of
different risk levels, additional interventions that potential research subjects and then randomly
were provided) and could be confounding the assign them to the intervention and comparison
findings. Therefore, reference groups should be groups. Because the subsequent groups of
matched to the intervention groups based on offenders came from the same larger group and
demographic characteristics, recidivism risk, did not preexist as independent groups, the
crime type, and other important variables. This process of random assignment ideally results in
helps to ensure that the groups are as similar to equivalent samples that are not systematically
one another as possible. Much like using large different across key variables. Random
sample sizes, using matched comparison groups assignment cannot guarantee that this will
makes it more likely that any significant always be the case, however. As such,
differences in outcomes can be attributed to the researchers must still compare the intervention
intervention. and comparison groups to ensure their
equivalence and statistically control for any
Random Assignment differences that surfaced despite the random
Even though carefully matching intervention and assignment process. Although random
comparison groups increases the value of the assignment is ideal, it is certainly not always
evidence, this is still not the ideal research feasible within correctional systems. Some
design. Indeed, the ways in which those groups offenders who need risk-reducing interventions
are identified for inclusion in the first place can (e.g., substance abuse treatment, intensive post-
distort the findings. It could be that the release supervision) would not receive them if
intervention group was comprised of highly they were subjects of a study that used a
motivated offenders and that the comparison randomized design. That would be incompatible
group primarily included resistant offenders, or with the broader correctional goal of maximizing
that the offenders in the intervention group were public safety and could potentially violate equal
already at low risk to recidivate, whereas the protection provisions of the law.
comparison group primarily included high risk
offenders. These important preexisting Cross-Site Replication
differences are known as selection biases, which Ideally, the results of individual studies can be
can artificially inflate the findings and lead generalized so that corrections agencies
consumers to make stronger inferences about throughout the country have the benefit of
the impact of the intervention than are actually applying the findings to their own offender
justified. management systems. In addition to having a
Questions to Consider When Evaluating Research Evidence

• Does the research sample include the specific offender population of interest (e.g., adults,
juveniles, female offenders)?
• Is the sample size large enough to consider them to be relatively representative of the
population of interest?
• Were comparison groups used?
• If comparison groups were used, did the researcher make sure that the intervention and
comparison groups were similar or matched?
• Were offenders randomly assigned to intervention and comparison groups?
• If confounding variables existed, did the analysis control for those factors?
• Have these findings been replicated in other locations?
• Was this study published in a professional scientific journal?
sound research design, this can be accomplished program being studied). As such, this
when other independent sites in other locations sophisticated statistical analysis is an
create identical or very similar studies and those improvement over rudimentary and non-
studies yield parallel results. Commonly known scientific methods such as simply counting the
as cross-site replication, this approach increases number of studies that support the effectiveness
the confidence that the observed intervention of a specific intervention and comparing the
effects are genuine and not simply an artifact of results to the number of studies that did not
the research design, specific samples used, support the effectiveness of that intervention.
location, or other confounding variables. Cross-
site replication is especially important when the The Multiple Benefits of an
researcher has a vested interest in the outcomes Evidence-Based Approach
because they are testing a model that they When the research is weighed carefully, when its
developed themselves, are receiving external implications for the current system of offender
funds or other resources from a party that has management are explored fully, and when it is
financial interests in the outcomes, or relying on strategically applied to institutional correctional
ongoing funding or support that is contingent on and community supervision policies and
positive demonstrations. practices, the paramount benefit is reduced
recidivism and increased public safety. Evidence-
Meta-Analysis based strategies also prove advantageous for
The factors described above are useful when adult and juvenile offenders and their families in
considering the evidence obtained from single multiple ways, such as enhancing problem-
research studies. The higher the quality of the solving skills, strengthening important
research, the more weight it holds and the more relationships and community supports,
implications it has for institutional correctional solidifying protective factors for the family,
and community supervision practices. However, managing the complex dynamics associated with
an evidence-based approach is not designed the offender’s return home, and maintaining
solely around one or two individual studies, even overall stability within the home. In addition,
if they are high quality. Taking into account only a when corrections agencies adopt an evidence-
limited number of studies can result in bias and based approach, multiple other benefits are
subjectivity, whether intentional or inadvertent. A realized, as highlighted below:
truly evidence-based approach is based on a
comprehensive and systematic review of the best • Internal Clarity and Meaning. Sometimes,
available research and takes into account the agency policies and practices exist without
strengths and limitations of the individual staff members having a full understanding of
studies that comprise that larger body of the underlying reasons for why they do what
evidence. This also means that as new they do, other than because it is simply how
information surfaces, it must be considered things have always been done. Using research-
within the context of previous research. supported strategies presents an important
opportunity to move beyond the status quo.
A generally objective and increasingly common Staff members can be engaged and educated
approach to weighing the broad research base is about effective correctional interventions and
known as meta-analysis. It allows researchers to how their work in the institution or
evaluate, concurrently and systematically, the community is part of a bigger picture (the
accumulation of empirical studies about a ways in which they contribute to public safety
specific intervention in order to identify an through successful reentry). This
overall effect size. A meta-analysis can also demonstrates a specific purpose for their
control for potentially confounding variables work, demonstrates the value of their
(e.g., quality of research design, older versus respective roles in the agency, and emphasizes
newer studies, researcher affiliation with the that what they do (and how they do it) on a
day-to-day basis truly matters and makes a Conclusion
real difference in both the short and long Corrections agencies nationwide are faced with
term. growing prison populations and are charged with
reducing recidivism among the large number of
• External Explanatory Power. Grounding adult and juvenile offenders who are released.
correctional policies in empirical evidence can Administrators and practitioners alike continue
also be enlightening and instructive for to seek the most effective and efficient methods
stakeholders outside the criminal justice to respond to this challenge. Adopting an
system, including legislators, other agencies, evidence-based approach provides the needed
victims and their families, and the broader answers. When current research is used wisely to
public. Specifically, it provides a clear and inform correctional policies and practices,
arguably indisputable rationale (i.e., increased increasing public safety through successful
public safety) behind the interventions and reentry becomes possible.
strategies that are being employed and explains
why other approaches are not being used. This
can ultimately instill a greater degree of KEY STEPS
confidence about the efforts of institutional and
community corrections agencies, which in turn • Revisit the agency’s vision and mis-
can foster increased support. sion for reentry to identify the extent
to which they complement or specifi-
• Resource Efficiency. Adopting an evidence- cally articulate an evidence-based
based approach also ensures that correctional philosophy.
resources will be strategically deployed in a • Identify the ways in which team
manner that yields the best results from a members define an evidence-based
dollars and sense perspective. As highlighted approach and how those descriptions
in the chapters which follow, when research- comport with the working definition
supported correctional interventions are used, offered in this handbook.
the subsequent net benefits resulting from • Establish and employ mechanisms for
crime reductions outweigh the costs of communicating to agency staff at all
implementing these interventions (Aos et al., levels the specific ways in which an
2001; Cohen, 2005; Drake, 2007; McDougall, evidence-based approach can benefit
Cohen, Swaray, & Perry, 2003; Welsh, 2004; them, the agency, offenders and their
Welsh & Farrington, 2000). Put simply, families, and the broader community.
institutional and community corrections • Critically explore the underlying ration-
agencies get more bang for the buck. ale that drives current offender man-
agement practices within the agency.
• System Accountability. Because such a Identify which strategies were imple-
commitment creates a results-driven mented based on a careful review of
structure, it promotes accountability for the “what works” literature and which
demonstrating outcomes. By monitoring were not. Then determine the agency’s
effectiveness of interventions and strategies commitment and readiness to make
that are employed, as well as the integrity of adjustments accordingly.
their implementation, agency officials are
better able to identify key strengths and needs.
Refinement of correctional policies and
practices can be made accordingly, all in the
interest of maximizing public safety and other
outcomes.
CHAPTER 2: ASSESSMENT
Introduction for risk reduction with those offenders who pose
From the point of incarceration throughout the a higher risk.
period of post-release supervision, multiple
important case management decisions are made
by a range of institutional corrections and High Risk
Offenders
community supervision professionals. Because
Risk Reduction Potential

these decisions carry with them considerable
implications for public safety, all stakeholders in
the reentry process (e.g., institutional staff, Moderate Risk
paroling authorities, post-release supervision Offenders
officers) should have access to comprehensive,
accurate, and up-to-date information about each
Low Risk
offender. Assessments are the means by which
Offenders
this information is provided and, therefore, they
are the key to informed decision making.
Well-Grounded Assessments
Increase the Effectiveness of
Reentry Efforts Because low risk offenders are already less likely
Research indicates that when offender to recidivate, and because there is very limited
management strategies are driven by reliable and room for risk reduction, investing considerable
valid assessments, reentry outcomes can be time and correctional resources on that
maximized. Specifically, such assessments are subgroup of offenders is unlikely to yield
necessary for the effective and judicious use of significant public safety benefits. Furthermore, to
correctional resources, reductions in recidivism, the surprise of some practitioners, the research
and increased public safety (e.g., Andrews & demonstrates that when intensive correctional
Bonta, 2007; Lowenkamp, Latessa, & Smith, strategies are used with low risk offenders,
2006). A vital step toward creating sound recidivism rates may actually increase (see, e.g.,
assessments is to ground them in what are Andrews & Bonta, 2007; Cullen & Gendreau,
known as the core principles of effective 2000; Gendreau, Goggin, Cullen, & Andrews,
correctional intervention: risk, need, and 2001; Lowenkamp, Latessa, & Holsinger 2006).
responsivity (see Andrews & Bonta, 2007).
The importance of risk assessments, then, is clear.
Risk Principle By identifying those adult and juvenile offenders
First, correctional practitioners must identify the who are most apt to recidivate and prioritizing
level of recidivism risk posed by each offender, staff time and resources for them, institutional
because this has significant implications for the and community corrections agencies will be better
intensity of case management efforts. The positioned to reduce recidivism and increase
empirical evidence reveals that matching the public safety (Altschuler & Armstrong, 1994;
intensity of interventions to the assessed level of Andrews & Bonta, 2007; Lowenkamp et al., 2006).
risk results in better outcomes, with intensive To assess risk most accurately, research-supported
strategies having much better impact on higher or empirically validated tools should be used,
risk offenders than with lower risk offenders rather than relying solely on individual
(Andrews & Bonta, 2007). After all, there is practitioners’ subjective judgments and instincts,
much more room for improvement or potential which are far less accurate or reliable (Grove &
Meehl, 1996; Grove, Zald, Lebow, Snitz, & Nelson, When corrections practitioners identify offenders’
2000). Additionally, by adopting tools that have criminogenic needs, they can then focus offender
been researched extensively and cross-validated management strategies on the types of issues
across multiple jurisdictions (as opposed to an that will result in the best outcomes, rather than
agency creating its own tool that simply seems to targeting areas that are not actually associated
have the right types of items but that has not been with recidivism (i.e., non-criminogenic needs).
formally validated), staff members are better able Key examples of non-criminogenic needs include
to differentiate higher from lower risk offenders. the following (Andrews & Bonta, 2007):
Need Principle • Anxiety and stress

Second, assessments should focus on identifying • Vague feelings of psychological/emotional
the dynamic or changeable risk factors distress
(commonly known as criminogenic needs) that • Low self esteem
are directly linked with recidivism (see Andrews • Feelings of alienation and exclusion
& Bonta, 2007). The most salient criminogenic • Physical inactivity
needs identified in the research on adult and • Lack of ambition
juvenile offenders are the following (Andrews & • History of victimization
Bonta, 2007):
It is important for correctional practitioners to
• History of antisocial behavior/poor self control differentiate between criminogenic and non-
• Antisocial personality criminogenic needs, as efforts to reduce
• Antisocial attitudes and cognitions recidivism and increase public safety will be
• Antisocial associates/negative peer affiliation undermined if they target offenders’ non-
• Problematic family/marital circumstances criminogenic needs (Andrews & Bonta, 2007).
• School/work difficulties As is the case with assessing risk, practitioners
• Lack of prosocial leisure/recreational interests should use research-supported assessment tools
and activities to identify offenders’ criminogenic needs most
• Substance abuse reliably.
Examples of Common Research-Supported Tools for Assessing Risk

and/or Criminogenic Needs
For adult offenders:
• Correctional Offender Management Profiling for Alternative Sanctions (COMPAS)
• Historical, Clinical, and Risk Management Factors (HCR-20)
• Level of Service Inventory-Revised (LSI-R)
• Level of Service/Case Management Inventory (LSI/CMI)
• Psychopathy Checklist Revised (PCL-R)
• Statistical Information on Recidivism (SIR)
• Violence Risk Appraisal Guide (VRAG)
• Wisconsin Risk and Needs
For juvenile offenders:

• Psychopathy Checklist – Youth Version (PCL-YV)
• Structured Assessment of Violence Risk in Youth (SAVRY)
• Youth Level of Service/Case Management Inventory (YLS/CMI)
Fortunately, multiple tools already exist for can also increase the utility of assessments
conducting valid and reliable risk-need through the following practices:
assessments and, as such, institutional
corrections and community supervision agencies • Assess Early. When adult and juvenile offenders
will be well served by adopting one or more of enter the criminal or juvenile justice system,
those instruments. Ideally, these agencies will comprehensive assessments at the
work together to identify and implement the same presentencing phase, including validated risk
risk-need assessment tool. This will provide a and needs assessments, can provide
common language for practitioners, reduce the invaluable baseline assessment information
potential for unnecessary duplication of about them. At the point of intake into
assessments, and increase the consistency and correctional facilities, assessments assist
objectivity of case management decision making. institutional staff with identifying service needs
and potential barriers that must be addressed
Although some research-supported and during the period of incarceration. This creates
promising tools exist for special offender greater opportunities to meet those needs well
populations such as sex offenders (see Center for in advance of release. Risk and needs
Sex Offender Management, 2007 for a review), assessments at this early point also allow
the vast majority of assessment tools within the institutional staff to determine the appropriate
corrections field are validated only on adult and intensity of case management efforts and to
juvenile males. Although gender responsive risk- triage offenders into prison-based programs
need assessment instruments for adult women and services that are commensurate with their
and adolescent girls remain lacking, some level of risk (i.e., higher intensity services for
important and promising advances have been higher risk offenders).
made (see Section 7: Women Offenders).
• Assess Accurately. Assessments are only as
Responsivity Principle good as the methods that are used and the
Third, correctional practitioners must identify skills and competencies of the practitioners
individual characteristics that may have who are conducting the assessments. As
implications for offenders’ responses to highlighted previously, instinct and experience
interventions. Known as specific responsivity are not reliable approaches to assessing risk.
factors, examples may include gender, culture, Rather, the most accurate and reliable
learning style, cognitive development, or level of information about risk and needs comes from
motivation. The responsivity principle indicates structured, objective, and empirically validated
that responsivity factors should be taken into assessment tools. Effectively using these types
account when determining the appropriate of tools requires specialized training and
course of intervention. This may include making ongoing supervision to make sure that they are
adjustments to existing programs and services to being scored, interpreted, and applied to case
address these factors, matching service providers management decisions correctly. In addition to
or supervision officers to individual offenders, or using empirically validated tools as a means of
otherwise tailoring interventions to ensure enhancing the accuracy of assessments,
maximum benefit (Andrews & Bonta, 2007; institutional and community corrections
Cullen & Gendreau, 2000). practitioners will have more reliable findings if
they gather information from multiple sources,
Additional Tips for Improving rather than relying only on a single data point.
Assessments
Beyond the emphasis on the core principles of • Assess Deliberately. Practitioners can also
risk, needs, and responsivity as the foundation of enhance the usefulness and effectiveness of
assessment processes, correctional practitioners assessments by attending to process-related
Translating Research into Practice:
Evidence-Based Recommendations for Offender Assessment in California
To improve offender programming in California, the Expert Panel on Adult Offender and
Recidivism Reduction Programming made a number of recommendations to the California
Department of Corrections and Rehabilitation (2007). Two key recommendations included:
selecting and using objective assessment tools to identify high-to-moderate risk offenders; and
assessing their criminogenic needs and responsivity to determine appropriate treatment. The
following depicts their plan for an assessment process supported by research:
Adapted from California Department of Corrections and Rehabilitation, 2007
variables. More specifically, as described in • Assess Often. A premise that underlies the
Chapter 5 of this section of the handbook notion of promoting public safety through
(Staff-Offender Interactions), when successful reentry is that risk can change over
practitioners take deliberate steps to enhance time, particularly as a function of effective
engagement and internal motivation among correctional interventions. Risk levels can also
offenders, the assessment and subsequent increase when offenders engage in problem
intervention processes are more productive. behaviors such as affiliating with antisocial
The effective use of Motivational Interviewing peers or abusing substances. Therefore, it is
techniques exemplifies a purposeful important to conduct repeated assessments
assessment approach that has become throughout the course of an offender’s time in
increasingly common within the correctional the institutional corrections and community
field (Ginsberg, Mann, Rotgers, & Weekes, supervision systems, from the point of entry,
2002; Miller & Rollnick, 2002). throughout the period of incarceration, and
into the community, as a formal and objective
means of monitoring changes in risk and
needs. Having access to current and updated
assessment data ensures that institutional KEY STEPS
corrections and community supervision staff
are able to make well-informed case • Review the agency’s assessment poli-
management decisions at key decision points cies and procedures to determine
and on an ongoing basis. Among the whether they are currently grounded
stakeholders that benefit from ongoing in the principles of risk, need, and
assessment data are prison-based program responsivity, and make revisions as
staff, institutional caseworkers, paroling necessary.
authorities and other release decision makers, • Take inventory of the various assess-
community supervision officers, community- ment tools used within the agency,
based providers, and the offenders themselves. and identify whether these tools are
empirically validated and appropriate
• Assess Collaboratively. Finally, because different for the offender population(s) served
stakeholders interact with offenders for by the agency. Where gaps exist,
different purposes and at different points in adopt an empirically validated risk-
time, these practitioners must collectively need tool(s).
assume responsibility for assessing offenders. • Provide practical training and policy-
In addition, because assessment data that driven guidance to staff about how to
may be readily accessible to one practitioner use risk-need tools for case manage-
may be inaccessible to others, a commitment ment purposes, beginning at the
to sharing assessment information across point of intake, during the course of
agencies and disciplines is important. By incarceration, and continuing
collaborating as partners in the ongoing throughout the period of post-release
assessment process, all parties will be supervision.
operating with the most comprehensive and • Invest in skill-building initiatives for
up-to-date information about each offender. staff (e.g., Motivational Interviewing)
to maximize their effectiveness dur-
Conclusion ing the assessment process.
Quality assessments ensure that case • Explore current policies relative to
management decisions are well informed information sharing across agencies
throughout the reentry process, particularly when and disciplines. Where internal and
these assessments are conducted within the cross-agency barriers exist, develop
evidence-based framework of the core principles of complementary policies that will facil-
effective correctional intervention. By using itate routine sharing of critical
research-supported assessment tools, employing assessment information.
promising techniques that can increase offender
engagement in the assessment process, and
sharing important assessment information over
time, institutional corrections and community
supervision professionals will significantly increase
the likelihood that reentry efforts will be successful.
CHAPTER 3: PROGRAMS AND SERVICES
offender management strategies will not result in
Introduction significant reductions in recidivism. Rather, they
For decades, rehabilitative ideals were among the must be used in combination with correctional
cornerstones of corrections agencies. However, interventions that are demonstrated to be
during the latter part of the twentieth century, as effective.
the rate of violent crime escalated, public
confidence in the criminal justice system waned Institutional and community corrections
and correctional systems began to draw sharp agencies therefore need to ensure that quality
criticisms from policymakers. At the same time, evidence-based programs and services are in
an influential researcher proclaimed that place to address the range of offenders’
correctional rehabilitative programs were identified criminogenic needs and other barriers
ineffective (Martinson, 1974). This combination to reentry. Fortunately, correctional officials and
of factors resulted in a widespread philosophical practitioners have the benefit of an extensive and
shift that almost exclusively favored punishment, ever-growing body of research about the types of
incapacitation, proportionality, and deterrence. correctional interventions that work for adult and
Subsequently, agency investments in correctional juvenile offenders, as well as those that do not
programs and services were curtailed and many work (see, e.g., Aos et al., 2001; 2006; Drake,
resources were redirected toward increasing 2007; MacKenzie, 2006; Seiter & Kadela, 2003).
prison capacity. The tables that follow highlight several key
examples of those programs and services.
Since that time, researchers have demonstrated
that punishment- and sanctions-driven More is Sometimes—But Not
approaches do not have the intended impact Always—Better
with either adult or juvenile offenders when used Given the wide range of programs and services
in isolation (see, e.g., Aos et al., 2006; Cullen & that exist in institutions and the community, the
Gendreau, 2000; Drake, 2007; Smith, Goggin, & institutional corrections and community
Gendreau, 2002). As such, corrections officials supervision practitioners who are responsible for
and other policymakers are striving to identify case management may be tempted to assign
and implement proven strategies that will reduce every offender to as many prison-based and
crime, increase public safety, and improve community-based programs and services as
offender reentry outcomes overall. This evidence- possible. This more is better approach makes
based movement has brought a renewed focus intuitive sense when working toward the
on rehabilitative efforts as an important means overarching goal of reducing recidivism and, in
to that end. some instances, it can be effective. Under other
circumstances, it does not lead to the desired
Many Correctional Programs and outcomes and may actually have the opposite
Services “Work” effect.
If reentry is to be successful, adult and juvenile
offenders must be equipped with the skills, Density Matters: Target Multiple
competencies, and resources that will allow them Criminogenic Needs
to remain stable, crime-free, and productive As highlighted in Chapter 2 (Assessment), the
upon their return to the community. This cannot need principle emphasizes the importance of
be accomplished simply by incarcerating making criminogenic needs the focus of
offenders and monitoring them following release. correctional interventions. Changes in these
While important aspects of corrections, these crime-producing factors are associated with
Examples of Adults Programming and Examples of Juvenile Programming and
Associated Impacts on Recidivism Associated Impacts on Recidivism
Community-based cognitive-behavioral Functional Family Therapy

sex offender treatment 31.2% (FFT) 15.9%
Prison-based cognitive-behavioral Multisystemic Therapy

sex offender treatment 14.9% (MST) 10.5%
Prison-based vocational Juvenile sex offender

education 12.6% treatment 10.2%
Community-based drug Behavior modification

treatment 12.4% programs 8.2%
Prison-based cognitive-behavioral Aggression Replacement

8.2% Training (ART) 7.3%
programs (general and specific)
Prison-based correctional industries Juvenile drug

programs 7.8% courts 3.5%
Intensive prison-based substance abuse Interagency coordination

6.9% 2.5%
programs with community aftercare programs
Cognitive behavioral drug treatment Boot camps

(prison-based) 6.8% 0%
Work release
5.6%
programs
Intensive prison-based substance abuse

programs without community aftercare 5.3%
Prison-based basic adult

5.1%
education
Community-based employment
training and job assistance 4.8%
Educational/cognitive-behavioral
domestic violence programs 0%
Adapted from Aos, Miller, & Drake, 2006 Adapted from Drake, 2007
Recidivism Impact as a Function of Density of
Criminogenic vs. Non-Criminogenic Needs Targeted by Programs
20%
10%
0%
-10%
-20%
-30%
-40%
-50%
-60%
6 5 4 3 2 1 0 -1 -2 -3
Targeting more criminogenic Targeting more non-criminogenic
than non-criminogenic needs than criminogenic needs
Adapted from Dowden, 1998, in Andrews & Bonta, 2007
significant reductions in recidivism. When illustrated in the following graph, once the
programs are designed to target multiple balance of programming efforts shifts in favor of
criminogenic needs (in other words, when they non-criminogenic needs, recidivism rates begin
increase the density of these targets), recidivism to increase incrementally (see Andrews & Bonta,
is further reduced (see Andrews & Bonta, 2007). 2007). Under these circumstances, more is
For example, correctional programs that address certainly not better.
4-6 criminogenic needs have significantly better
outcomes than those that target only 1-3 Dosage Matters: Intervene with
criminogenic needs (see, e.g., Andrews & Bonta, Appropriate Duration and Intensity
2007). Beyond reducing post-release recidivism, The effectiveness of correctional programs also
greater density also has a significant impact on varies in relation to the dosage of interventions
prison misconduct (French & Gendreau, 2006). (i.e., the units of service or number of treatment
Substantially lower incidences of institutional sessions provided over a given time period).
misconduct are achieved for correctional Consistent with both the risk and need
programs that address 3-8 criminogenic needs as principles, higher risk offenders who have
compared to programs in which only 1-2 multiple criminogenic needs benefit more from
criminogenic needs are targeted (French & higher dosages (Bourgon & Armstrong, 2005;
Gendreau, 2006). Put simply, with respect to Landenberger & Lipsey, 2005; Lipsey, 1995;
density, more is better. Lowenkamp, Latessa, & Holsinger, 2006). More
specifically, research reveals the following
Conversely, focusing on offenders’ non- (Bourgon & Armstrong, 2005; Lipsey, 1995):
criminogenic needs reduces density, which in
turn causes programs to become diluted and • High-risk, high-need offenders who receive
less effective. Indeed, with every additional non- higher dosages of interventions over longer
criminogenic need that becomes a focus of periods of time are less likely to recidivate
programming, the overall impact of correctional than are similar offenders who receive a lesser
interventions is successively undermined. As dosage.
Oregon Legislature: Funding Evidence-Based Programs
In 2003, the Oregon Legislative Assembly (2005) passed a bill requiring state agencies
including the Department of Corrections and the Oregon Youth Authority to spend at least 25%
of state monies on evidence-based programs by 2005. In 2007 the requirement was raised for
agencies to spend at least 50% of program monies on programs demonstrated empirically to
be effective, and by 2009 the requirement will be 75%.
The statute defines "evidence-based programs” as those that are based on scientific research,
are cost-effective, and are intended to reduce criminal or delinquent behavior. The statute
reads:
"Program" means a treatment or intervention program or service that is intended to:

• Reduce the propensity of a person to commit crimes;
• Improve the mental health of a person with the result of reducing the likelihood that the
person will commit a crime or need emergency mental health services; or
• Reduce the propensity of a person who is less than 18 years of age to engage in antisocial
behavior with the result of reducing the likelihood that the person will become a juvenile
offender.
"Scientifically based research" means research that obtains reliable and valid knowledge by:
• Employing systematic, empirical methods that draw on observation or experiment;
• Involving rigorous data analyses that are adequate to test the stated hypotheses and justify
the general conclusions drawn; and
• Relying on measurements or observational methods that provide reliable and valid data
across evaluators and observers, across multiple measurements and observations and
across studies by the same or different investigators. [2003 c.669 §3; 2005 c.503 §12]
• A minimum of 200-300 contact hours is How Correctional Programs are

needed to reduce recidivism for higher risk Implemented is as Important as
offenders with multiple needs. Which Programs are
• Low dosage (i.e., 100 contact hours) is not Implemented
sufficient for reducing recidivism among high Having the right types of programs in place is an
risk-high need offenders. important step toward promoting successful
reentry. However, it should come as no surprise
Taken together, the research on density and that if these programs are not well implemented,
dosage indicates that while more is, in fact, they are less likely to be effective (see, e.g.,
better in some cases, it is not better in others. Andrews & Bonta, 2007). This vital
Because the differential impact appears to be a implementation piece is often known as integrity
function of offenders’ level of risk and needs, this or fidelity.
highlights again the importance of using reliable
and valid risk-need assessments to identify which For example, as noted previously in this chapter,
offenders will benefit most from which types of Functional Family Therapy (FFT) and Aggression
interventions, for how long, with what level of Replacement Training (ART) are among the
intensity, and under what circumstances. evidence-based programs for juvenile offenders
that reduce recidivism significantly (see Drake,
2007). However, the extent to which these
programs are delivered appropriately and within Each of these factors is independently and
the established protocols has an impact on the significantly associated with the overall
actual outcomes (Barnoski, 2004). The figure effectiveness of correctional programs and
below illustrates that when program integrity (as therefore requires ongoing attention from both
a function of provider competency) was administrators and practitioners (see Andrews &
acceptable, juveniles’ recidivism rates decreased Bonta, 2007; Cullen & Gendreau, 2000; Lipsey &
considerably, whereas recidivism rates actually Landenberger, 2006; Lowenkamp et al., 2006).
increased for juveniles who participated in FFT or Indeed, many of these factors can be
ART programs that were delivered by suboptimal incorporated into agency performance measures
providers (Barnoski, 2004). and used as quality assurance/continuous quality
improvement indicators.
Integrity Matters
A number of factors influence the integrity of Another key aspect of correctional program
program implementation and service delivery, integrity, and one that is closely linked to
including, but not limited to, the following (see recidivism, is the extent to which programs for
Andrews & Bonta, 2007): adults and juveniles adhere to the core principles
of effective correctional intervention (i.e., risk,
• A sound underlying theoretical model that is need, and responsivity) as well as the core
known to affect behavior change (i.e., practices for effective correctional interventions
cognitive-behavioral and social learning). (e.g., cognitive-behavioral and social learning
• Formalized manuals and other approaches, staff characteristics, training, and
policies/procedures that guide service delivery. supervision). The greater the adherence is, the
• Staff selection practices that are based on better the outcomes are (see, e.g., Andrews &
important relationship qualities and skills that Bonta, 2007; Lowenkamp et al., 2006). This
are necessary for influencing change. holds true for prison- and community-based
• Adequate training to ensure that staff programs and services, halfway houses, and
understand their specific roles and community supervision practices. Not
responsibilities. surprisingly, as program integrity decreases,
• Ongoing clinical supervision of staff to recidivism increases. Therefore, to maximize
provide specific feedback designed to enhance reentry efforts, corrections administrators must
skills and performance. take active steps to increase the integrity of
Effect of Provider Competency on Juvenile Offender Recidivism: Functional

Family Therapy (FFT) and Aggression Replacement Training (ART)
40%
Increased FFT ART
recidivism 20%
0%
-20%
-40%
Decreased
recidivism
-60%
Provider rated "competent" Provider rated "not competent"
Adapted from Barnoski, 2004
Program Adherence to the Principles of Risk,
Need, and Responsivity: Impact on Recidivism
10%
Increased
recidivism 0%
-10%
Decreased
recidivism
-20%
Adheretoall 3principles
Adhereto2principles
Adhereto1principle
Adheretonone
-30%
Andrews et al., 1999
A Checklist for Enhancing Correctional Program Integrity and Effectiveness

• Is staff hired or selected based on qualities, characteristics, and attributes that will increase
program effectiveness (e.g., communication and relationship skills, recognition of the value
of rehabilitative efforts)?
• Is an effective theoretical model of change clearly in place (e.g., behavioral, social learning,
cognitive-behavioral)?
• Are specific expectations outlined for staff about what to do to carry out the program
effectively (e.g., modeling, skill practicing, reinforcement)?
• Is staff trained to follow the model (preservice and on the job)?
• Are staff members supervised and monitored as they deliver programming (e.g., for
relationship skills and interactions, adhering to the model)?
• Is the program delivered with appropriate intensity, dosage, and as designed?
Adapted from Andrews & Bonta, 2007
program and service delivery, both in the through evidence-based interventions and
institutions and in the community. strategies. It is also important that correctional
practitioners identify and assist offenders with
Comprehensive Services Should resolving fundamental survival needs that are
Be Available necessary for adult and juvenile offenders to
Without question, reducing recidivism as a transition successfully from the institution to the
means of promoting public safety is the chief community (see, e.g., Altschuler & Armstrong,
objective of reentry efforts. This is largely 1994; Petersilia, 2003). For some offenders,
accomplished by targeting criminogenic needs these may include the following:
How Well Do Correctional Programs Measure Up?
Over the past several years, researchers have assisted hundreds of adult and juvenile
correctional agencies with exploring the extent to which their programs adhere to the
principles and practices of effective correctional intervention. Using the Correctional Program
Assessment Inventory – 2000 (CPAI-2000; Gendreau & Andrews, 2001), programs are
evaluated across several domains: program implementation and leadership, offender
assessment, program characteristics, staff characteristics, evaluation, and other elements.
Among the programs that were assessed, a considerable proportion were found to be in need
of improvement (Matthews, Hubbard, & Latessa, 2001; Pealer & Latessa, 2004). The following
were among the most common concerns:
• Standardized and objective assessments to identify risk, needs, and responsivity factors
were lacking.
• Treatment modalities and practices did not have a strong theoretical basis.
• Services were often not matched to offender risk.
• A one-size-fits-all approach to treatment was used.
• There was an over reliance on punishment, with only sporadic rewards.
• Program evaluation was lacking, in terms of both assessing within-treatment change and
examining recidivism outcomes.
Because research indicates that greater adherence to the principles and practices of the
effective correctional interventions is progressively associated with greater reductions in
recidivism (see, e.g., Andrews & Bonta, 2007; Lowenkamp et al., 2006), it is important for
correctional agency administrators to emphasize program integrity, routinely monitor and
evaluate these issues, and participate in ongoing improvement efforts to address identified
areas of need.
• Obtaining personal documentation such as Although these types of issues may not be
birth certificates, state identification, social directly linked to recidivism, they can nonetheless
security cards, driver’s licenses or permits. create significant barriers to community
• Transitioning to private or state-assisted reintegration if left unaddressed. Corrections
insurance. agencies must therefore have in place a
• Accessing public assistance. comprehensive range of services and supports
• Identifying and navigating public that take into account offenders’ full range of
transportation system. reentry needs.
• Developing or improving life skills (e.g.,
shopping on a limited budget, hygiene and Continuity of Care and Aftercare
grooming, banking/money management, are Critical
cooking). Some adult and juvenile offenders who are
• Enhancing job skills, such as completing approaching release continue to have intervention
employment applications, practicing job needs that will need to be addressed in the
interviewing, and establishing positive work community. As such, correctional staff must take
habits. active steps to ensure that these individuals are
• Identifying transitional or other suitable linked with appropriate programs and services
housing. prior to release in order to prevent unnecessary
Adhering to the Principles of Effective Programming:
Program Evaluation in Pennsylvania
This chart exhibits the efforts of the Pennsylvania Department of Corrections in evaluating the extent to which their
available programs and interventions meet the principles of effective intervention.
yle
st
m i ng
nt ra rn
ts ch ne r og e l lea
en r oa po p nd
m d od
ds ss pp o m s se l m t ya
e e l a r k c e a a li
ne ss ra n vic -b tic s na
g sa io wo tio er ty re
in d v n et n s u ni o v ice r so
c s e h a e f m e r e
du se ne cy ev yo th se p
ro ca d be en pr om m r’s
p k n v e- u e gri t c r a i ve e
- ris a ti q s e th n s nd
e h- isk ni l in ap nt wi og te fe
rim ig sr og de r el e si s pr in of
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s s uc de rc at d e e
et et ze up fo gr id ch
arg a rg o nd tili isr clu ein te ase r ov at
T T C U D I n R I n B P M
WORK & EDUCATION
Mandatory Education NA NA NA NA NA
Special Education NA NA NA NA NA
GED NA NA NA NA NA
Secondary Diploma NA NA NA NA NA
Vocational Education - General NA NA NA NA NA
Vocational Education - Apprenticeship NA NA NA NA NA
CITIZENSHIP
Unit Based Citizenship
Character Development
FAMILY / RELATIONSHIP / SELF
Long Distance Dads NA
Fresh Start NA
Parenting Program Services NA
Parents Anonymous NA
Reading to Your Children NA
Foundation Parenting NA
Elderly Inmates
Long Term Offenders
Positive Relationships
113
114
yle
st
g
m in
nt ra rn
ts h ne r og l lea
en ac p e d
s p ro po d od an
sm om s se lm ty
e ed s es l ap r k c e b a a li
n as ra n ic - ic s a
g wo io rv ty et on
in ds vio n et nt se u ni or v ice rs
c s e h a y e f m e r e
du se ne ev yo th se p
ro ca be nc pr m m ’s
k nd v e- ue e gri t co r a i ve er
-p ris a ti q ps e n s n d
e h- isk ni l in la nt ith og te fe
rim ig sr og de re esi sw pr in of
c h t s c ts s c t e on s s
s s uc de r a d e e
et et ze up fo gr id ch
arg arg o nd tili isr clu ein te ase r ov at
T T C U D I n R I n B P M
OFFENSE RELATED
Thinking for a Change
Therapeutic Communities
Residential Substance Abuse Treatment
AOD Abuse Education
AOD Group Counseling
Relapse Prevention
12 Step Facilitation
Sex Offender Program
Violence Prevention
Batterers Program
Impact of Crime
Victim Awareness Education
REENTRY
COR Aftercare, Continuum of Care
Legend
Meets principle of effective programming
Does not meet principle of effective programming
Partially meets principle of effective programming
Adapted from http://www.cor.state.pa.us/stats/lib/stats/ADResultsandRecommendations.pdf., last accessed July 25, 2007
delays or interruptions in needed services (see, • Mental health services
e.g., Altschuler & Armstrong, 1994; Petersilia, • Healthcare
2003). Furthermore, research demonstrates that • Substance abuse treatment
the impact of prison-based programs and • Education/employment services
services is maximized when those programs are • Housing
followed by parallel services in the community • Family interventions
(see, e.g., Andrews & Bonta, 2007; Gaes,
Flanagan, Motiuk, & Stewart, 1999; Lawrence, As highlighted in Chapter 6 of this section of the
Mears, Dubin, & Travis, 2002; MacKenzie, 2006; handbook (Effective Case Management),
Seiter & Kadela, 2003). In addition, for juvenile seamless service delivery is best accomplished
offenders, aftercare programs and services are through “reach in” and “reach out” activities
essential and have a greater impact in the during the transition phase, whereby institutional
community (Altschuler & Armstrong, 1994; corrections and community-based providers
Altschuler & Brash, 2004; Lipsey & Wilson, 1998). collaborate with one another and with offenders
Promoting continuity of care and other aftercare to identify appropriate aftercare resources and
services therefore becomes an important part of supports. For example, identifying a community
case management. mental health center or public health clinic with a
sliding fee scale is important for uninsured or
Included among the many specialized needs that underinsured offenders who have mental health
may require attention with respect to continuity or healthcare needs. Scheduling an initial
of care are the following: appointment prior to release can be beneficial as
Meeting the Challenge: Securing Identification for Parolees

One of the biggest challenges facing the Massachusetts Parole Board was securing
identification for offenders leaving prison for parole supervision through the Registry of Motor
Vehicles (RMV). Parolees lacking primary and secondary identification (e.g., birth certificates,
social security cards, and utility bills) were unable to secure quickly the identification needed to
obtain essential needs—housing and employment, traveling, and applying for state and federal
benefits. The Board found that only a small number of ex-offenders could meet the
requirements of the RMV, and that many had to wait several months to receive replacement
cards and birth certificates before returning to the RMV, which had serious implications for
offenders’ successful transition to the community.
The Parole Board and the RMV reached an agreement to enable parole officers to verify the
identity (including birth date and social security number) and home address of parolees using
law enforcement databases. Parole officers then escorted parolees equipped with a new parole
identification form (authenticated by the parole office) and a photograph to the RMV to secure
permanent identification. Given that ex-offenders are already screened, they are prioritized for
service when they apply at the RMV office.
With the formation of a new partnership and an innovative strategy to meet standard RMV
requirements, the Board has successfully secured 345 identification cards for parolees over the
course of one year.
From correspondence with Maureen Walsh, Chairman, Massachusetts Parole Board, and
Massachusetts Parole Board, Parole News, June 2007, http://www.mass.gov/Eeops/docs/pb/
june_07.pdf, last accessed November 26, 2007.
well, especially for those with chronic needs and partners, parents and guardians, children, and
those who are prescribed medication. Similarly, other family members of offenders, as they are
for offenders who have recently completed likely to be impacted psychologically, emotionally,
prison-based substance abuse treatment, behaviorally, developmentally, and financially,
correctional caseworkers or community both in the short and long term (see, e.g.,
supervision officers should work proactively to Altschuler & Armstrong, 1994; Mears & Travis,
identify a local aftercare substance abuse 2004; Solomon, Waul, Van Ness, & Travis, 2004;
treatment program and local AA/NA meetings Travis & Waul, 2003). The social stigma
(including meeting dates, times, and locations) associated with having an offender as a relative
prior to their release to the community. can create significant hardships for families in
and of itself. In addition, the return of an
To facilitate continuity of care and aftercare offender to a previously established and
during the transition and release process, some otherwise stable home in which a partner,
corrections agencies have partnered with other children, or other family members reside may
human service agencies and organizations to create unexpected disruptions. If domestic
establish “one-stop shops.” In these locations, violence, sexual abuse or other maltreatment,
offenders are able to meet with their post-release marital difficulties, or other family difficulties
supervision officer, obtain employment existed prior to the offender’s incarceration, there
assistance, receive direct services or referrals for may be ongoing dynamics and aftereffects that
mental health and healthcare, and access public need to be addressed. Therefore, programs and
assistance from professionals who are services specifically for families of incarcerated
specifically poised to assist and support them as offenders are important to have in place. These
they return to the community. Still other might include marital or family therapy, parenting
corrections agencies, particularly those skills classes, substance abuse treatment and
responsible for juvenile offenders, have pooled support groups, victim services, and mentoring
resources and created networks of providers to programs that target children of incarcerated
address concurrently the multiple needs of parents. Community-based partnerships and
reentering juveniles (see, e.g., Altschuler & other sources of support must be identified for
Armstrong, 1994; Wiebush, Wagner, McNulty, families as early as possible during the offenders’
Wang, & Lee, 2005). Another helpful tool is to incarceration, and links to these services must be
create resource directories for local communities emphasized particularly during the transition and
that can be accessed not only by institutional and release-planning phase (Solomon et al., 2004;
community corrections practitioners but also by Travis & Waul, 2003). In addition, it is important
offenders and their families. for partners, parents, and other family members
to be aware of the offenders’ specific risk factors
Recognize the Needs of Families and range of effective coping strategies, so that
Although the focus of many interventions is on they are able to support the offenders’ progress
the offenders themselves, practitioners must also toward a stable, law-abiding lifestyle.
take into account the challenges and needs of
Revising Inmate Visitation Policy to Better Serve Reentry Goals

In an effort to provide “more meaningful and productive contacts between offenders and their
family members,” the Ohio Department of Rehabilitation and Correction (2002) revised its
policy on inmate visitation to “remove barriers prohibiting family members from visiting and
provide for the reactivation of the visitation list for parole violators.” Doing so aids the
department in reaching its offender reentry goals by “providing family members with
opportunities to be constructively engaged with the offender during his or her confinement.”
Conclusion
An effective reentry strategy relies heavily on KEY STEPS
programs and services that are designed to
reduce offenders’ risk, increase their skills and • Take stock of existing programs and
competencies, and enhance their overall stability services and identify the extent to
in the community. The extensive research and which they comport with the evi-
professional literature in the corrections field dence-based literature about correc-
draws attention to numerous evidence-based and tional interventions that work.
promising interventions for adult and juvenile • Analyze offender population data to
offenders, provides helpful guidance to agencies explore the prevalence of crimino-
regarding how to improve the fidelity, integrity, genic and other key reentry needs
and impact of those programs and services, and within the context of current program
highlights the need to address the multiple and service capacity and availability.
reentry needs and barriers experienced by • Identify any significant gaps in need-
offenders and their families. ed programs and services for offend-
ers and their families and begin to
formulate strategies to enhance
agency capacity for these programs.
• Invest in an independent, objective
review or process evaluation of the
agency’s programs (e.g., using the
CPAI).
• Incorporate formal performance
measures and/or continuous quality
improvement indicators to monitor
program fidelity and service delivery
over time.
CHAPTER 4: SUCCESS-DRIVEN
SUPERVISION
Introduction remain stable, productive, and crime-free),
Supervising adult and juvenile offenders communities are safer.
following their release from incarceration is a
central component of the reentry process. Some Approaches to Offender
Indeed, supervision officers have long assumed a Supervision Work and Some Do
pivotal role in promoting successful community Not
reintegration and public safety through a In the preceding chapters, a number of
combination of practices that includes correctional interventions were highlighted
monitoring, enforcement, service brokerage, and because empirical evidence demonstrates that
engaging community supports. However, during they work individually and collectively to reduce
the “nothing works” era, as priorities in recidivism and enhance outcomes for adult and
institutional corrections agencies de-emphasized juvenile offenders. Supervision strategies and
rehabilitative efforts in favor of a more punitive other community management approaches are
and retributive approach, a similar movement included in that “what works” research, and the
occurred within community supervision findings can be very informative for community
agencies, whereby surveillance and sanctioning corrections and supervision agencies who are
strategies became paramount. This emphasis, in striving to improve their effectiveness. Indeed, as
combination with steadily increasing caseloads illustrated in the figure on the following page,
of offenders under post-release supervision, correctional research indicates that while some
significantly curtailed many of the change- supervision strategies are effective for adults and
promoting and social casework activities (i.e., juveniles, others are not (see, e.g., Aos et al.,
advocating for and brokering treatment, 2006; Drake, 2007; Lipsey & Wilson, 1998;
educational, and other rehabilitative services; MacKenzie, 2006).
linking offenders to needed resources and
supports) that had previously supported the For example, intensive supervision that is driven
transition from prisons to the community. by close surveillance and monitoring alone has
limited to no impact on recidivism (see, e.g., Aos
Despite the expectation that a principal focus on et al., 2006; Drake, 2007; Lipsey & Wilson, 1998;
surveillance and sanctioning would reduce MacKenzie, 2006). Similarly, when intermediate
recidivism, neither the corrections system nor sanctions are used as the primary supervision or
the community at large has experienced such an community management strategies (e.g.,
impact with either adult or juvenile offenders electronic monitoring, drug testing, boot camps),
(see, e.g., Aos et al., 2006; Drake, 2007). recidivism is not reduced significantly (see, e.g.,
Community supervision agencies can, however, Aos et al., 2001, 2006; Drake, 2007; MacKenzie,
improve outcomes for offenders under post- 2006). In some cases, the use of these
release supervision and reap tangible community intermediate sanctions actually has the opposite
safety benefits by designing supervision effect and increases recidivism (see, e.g., Aos et
strategies that are well grounded in the al., 2001; 2006; Drake, 2007; MacKenzie, 2006).
correctional research. It also requires an agency
mission that explicitly recognizes that offender Other approaches to supervision have much
success is a means of increasing public safety. more positive outcomes. Specifically, when
Put simply, when offenders are successful officers pair monitoring and accountability
following release from incarceration (i.e., they strategies with social casework activities, they are
likely to attain the desired results of decreasing to-day supervision practices. When the core
recidivism and increasing public safety (see, e.g., principles of effective correctional intervention
Aos et al., 2001, 2006; MacKenzie, 2006). With (i.e., risk, need, and responsivity) are used to
adult offenders, this strategy is referred to as a structure institutional and community-based
balanced or rehabilitation-oriented supervision programming efforts, and when practitioners
approach. As applied to juvenile offenders, this attend to evidence-based program integrity
concept is sometimes known as intensive variables (e.g., staff selection and supervision,
aftercare (see, e.g., Altschuler & Armstrong, appropriate intensity and dosage), interventions
1994; Wiebush et al., 2005). The underlying are increasingly effective in reducing recidivism
philosophy of these types of approaches is that (Andrews & Bonta, 2007). Although research on
supervision should be results-driven and that the application of these principles specifically to
officers must assume a direct role in ensuring offender supervision practices is limited, the
that offenders will be successful following release same appears to hold true. To illustrate,
to the community. investigators have found that recidivism rates
decrease when the following risk-need conditions
Applying the Core Principles are met throughout the course of supervision
of Effective Correctional (Lowenkamp, Pealer, Smith, & Latessa, 2006):
Intervention Also Works for
Supervision • High-risk offenders are targeted for the more
Identifying what works and what does not work intensive supervision strategies.
with respect to supervision is an important step • Periods of supervision are longer for high-risk
for community supervision agencies as they offenders than for low risk offenders.
strive toward maximizing public safety through • More program referrals are made for high-risk
successful reentry. Equally important is the offenders.
manner in which agencies establish operational • More criminogenic than non-criminogenic
policies and procedures to guide officers in needs are the focus of intervention.
applying evidence-based principles to their day-
Common Supervision Frameworks: Intermediate Sanctions for Offender

Impact on Recidivism Management: Impact on Recidivism
Intensive supervision:
Treatment-oriented (adults) 21.9%
Electronic monitoring 0%
Intensive probation with Drug testing 0%

programming (juveniles) 5%
Adult boot camps 0%
Intensive supervision:
Surveillance-oriented (adults) 0% Shock incarceration
(juveniles) 6%
Surveillance-oriented parole
(juveniles) 0% Scared Straight
programs (juveniles) 6.8%
Adapted from Aos et al., 2001, 2006; Adapted from Aos et al., 2001, 2006;
Drake, 2007 Drake, 2007
As depicted in the graph below, the more that little to no impact on recidivism, at least not in
supervision officers adhere to these risk-need the desired direction. There is also some
conditions, the better the outcomes are evidence, albeit limited, that when the balance of
(Lowenkamp et al., 2006). When multiple risk- supervision practices shifts primarily in favor of
need conditions are addressed through social casework activities, the outcomes are also
supervision practices, recidivism rates decline less than optimal (Paparozzi & Gendreau, 2005).
substantially, whereas in the absence of risk-need For example, researchers revealed that parolees
application during the course of supervision, who were supervised by officers with a social
recidivism rates may increase. casework orientation had much higher
reconviction and overall revocation rates than
Success-Driven Supervision offenders supervised by officers with a more
Requires Balance balanced orientation (i.e., a blend of enforcement
Throughout this handbook and in this section and social casework) (Paparozzi & Gendreau,
specifically, it has been emphasized that focusing 2005). These findings led the investigators in this
on offender success is an important way to study to hypothesize that the officers who
increase public safety in the short and long term. favored a social casework philosophy may not
Sometimes, putting the spotlight on offender have provided adequate direction, structure, and
success is misinterpreted as meaning that limit setting and, as such, the offenders were
surveillance, enforcement, and sanctioning are held less accountable, were less engaged in the
not important (or are less important) aspects of change process, and ultimately were less
community supervision. This is certainly not the successful (Paparozzi & Gendreau, 2005).
case. While the social casework activities that
characterize success-driven supervision are The important message here is that community
necessary, they are not sufficient. Nor are the supervision agency leaders are advised not to
monitoring and enforcement activities sufficient adopt an either/or supervision philosophy in
by themselves. which either monitoring and enforcement or
social casework occurs in the absence of the
As described previously, when supervision other. To be most effective with adult and juvenile
strategies become overly weighted toward offenders, these philosophies and practices must
monitoring and sanctioning, there is generally coexist, and the agency mission must take into
Adherence to Risk-Need Principles in Supervision

Practices: Impact on Recidivism
20%
Increased
recidivism 10%
0%
-10%
Decreased
recidivism
-20%
Adhered to 0 Adhered to 1-2 Adhered to 3-4
Adapted from Lowenkamp, Pealer, Smith, & Latessa, 2006
account the dual roles of supervision officers as Supervision Officers Should Be
monitors/enforcers and social caseworkers. After Recognized as Change Agents
all, both are designed to achieve the same It is unlikely that anyone would disagree with the
primary goal: to increase public safety. What idea that outcomes of a success-driven
differs are the ways in which these sets of supervision strategy (and any other correctional
activities help to achieve this common goal. intervention, for that matter) are ultimately a
function of offenders’ choices. This includes their
willingness to commit to the change process,
Supervision Philosophies and develop important self-management and
Functions Should be Balanced problem solving skills, maintain prosocial
attitudes and values, genuinely participate in
programs and services that will help them
acquire and refine skills, rely on appropriate
Monitoring and Social
enforcement casework community networks, and comply with
established post-release conditions.
At the same time, supervision officers can be a

powerful influence on offenders’ attitudes and
behaviors through their ongoing work with
In effect, the monitoring/enforcement and the offenders throughout the course of supervision.
social casework functions represent two sides of This is one of the key distinctions between
the same coin. On the one side, the social surveillance-oriented and success-driven
casework supervision activities are designed to approaches to supervision. Indeed, as described
enhance offenders’ internal controls and shape fully in Chapter 5 of this section of the handbook
their behaviors so that they can ultimately remain (Staff-Offender Interactions), all corrections
stable, successful, productive, and crime-free in practitioners—including supervision officers—
the community—eventually ultimately can facilitate change among offenders by
independent of being under the supervision of consistently using evidence-based relationship
the corrections system. On the other side of the skills and practices in their routine interactions
coin, monitoring/enforcement provides with offenders (Andrews & Bonta, 2007; Dowden
important external controls, structure, & Andrews, 2004). From a practical perspective,
accountability, and public protection safeguards supervision officers can be positive agents of
as offenders transition from correctional facilities change in the following ways (see Fulton, Stone,
to the community. In many ways, the external & Gendreau, 1994; Taxman, Yancey, & Bilanin,
controls that occur via the enforcement and 2006):
monitoring aspects of supervision provide a
system of checks and balances for the internal • Developing productive, change-promoting
controls that are being developed through the relationships with offenders and their families
social casework aspects. When offenders in a way that decreases resistance and
demonstrate that their own internal controls are increases offender investment.
not adequate, supervision officers still have the • Modeling during all supervision contacts the
leverage of the correctional system and formal prosocial attitudes and behaviors they expect
risk management mechanisms to maintain offenders to exhibit, and working with them
public safety. Therefore, a balanced supervision during these contacts to practice effective
approach provides officers with full coverage problem-solving and other skills.
over the types of activities that are necessary for • Advocating for and brokering needs-based
achieving successful outcomes. services for offenders and their families and
supporting their participation in these
programs and services.
• Providing incentives, rewards, and reinforcers results driven (see, e.g., Altschuler & Armstrong,
consistently when offenders demonstrate 1994; Fulton, et al., 1994; Taxman, Shepardson,
prosocial attitudes and behaviors, attain & Byrne, 2004; Taxman et al., 2006; Wiebush et
established goals, and comply with al., 2005).
supervision expectations.
• Using the firm but fair nature of the officer- Therefore, to maximize their ability to influence
offender relationship to demonstrate change and enhance outcomes, supervision
disapproval for antisocial attitudes and officers must take advantage of the various face-
behaviors and to apply proportional sanctions to-face contacts (i.e., both field and office
when warranted. contacts) that they have with the adult and
juvenile offenders on their caseloads. When used
All Supervision Contacts Should strategically, officer-offender contacts can be
Be Meaningful and Purposeful valuable for not only ensuring accountability and
The aforementioned practices draw attention to compliance, but also for facilitating offender
another important difference between a change and success.
surveillance-oriented and success-driven
supervision approach: the nature and purpose of • Initial contacts. The initial interactions between
officer-offender contacts. Within a surveillance- supervision officers and offenders can go a
oriented approach, contacts tend to become long way in setting the stage for successful
obligatory tasks that serve little purpose outside supervision outcomes, namely by providing
of meeting a policy-driven expectation or excellent opportunities to begin engaging
standard. Not surprisingly, contacts that occur offenders and fostering their internal
primarily for the sake of documenting that they motivation. The use of Motivational
occurred do little to promote public safety or to Interviewing (described more fully in Chapter
facilitate offenders’ successful reintegration into 5) is a specific strategy that can facilitate this
the community. On the other hand, officer- process up front, as well as throughout the
offender contacts within a success-driven course of supervision, and it has become
approach are purposefully designed around increasingly popular with supervision officers
measuring progress and achieving meaningful in recent years (Clark, Walters, Gingerich, &
goals. In other words, supervision contacts are Meltzer, 2006; Ginsberg, Mann, Rotgers, &
Surveillance-Oriented vs. Success-Driven Supervision:

How Do the Key Philosophies and Practices Differ?
Surveillance-Oriented Success-Driven
• Officers are viewed as enforcers of release • Officers are viewed as agents of change
conditions • Monitoring occurs to assess progress,
• Monitoring occurs primarily to identify goal attainment, and compliance
compliance and need for sanctions • Contacts are driven by problem-solving
• Contacts are driven by adherence to policies and change-promoting interests
and standards • Emphasis is on reinforcers to promote
• Emphasis is on sanctions/punishment for positive behavioral change, sanctioning
noncompliance and problem behaviors when warranted
• Referrals to programs and services are • Advocacy and brokerage for programs
ancillary/secondary and services are central
• Officers react after problems arise • Needs are anticipated in advance and
officers intervene proactively
Adapted from Fulton et al., 1994; Taxman et al., 2006
Weeks, 2002; Miller & Rollnick, 2002; Walters, • Home visits/contacts. Supervision officers can
Clark, Gingerich, & Meltzer, 2007). Officers can use home visits to accomplish multiple
also maximize the utility of initial contacts with important objectives as well. Over and above
the offenders assigned to their caseloads by verifying offenders’ residence and periodically
reviewing risk-need assessment findings with confirming curfew compliance, home contacts
them (see, e.g., Taxman et al., 2006; Taxman et allow officers to assess the quality and stability
al., 2004). Particularly when this occurs in of the home environment and identify any
conjunction with Motivational Interviewing potential risk factors (e.g., presence of
techniques, it can assist offenders with drugs/alcohol, weapons, antisocial associates)
developing insight into the relationship that may signal a need to intervene. In
between identified criminogenic needs and addition, home contacts provide opportunities
their problem behaviors, and it can begin to to observe the nature and quality of the
facilitate recognition of important changes that interactions between offenders and their
they may need to make (see, e.g., Taxman et partners, parents, or other family members.
al., 2006; Taxman et al., 2004). Taking it a step During these contacts, officers can begin to
further, when officers explain the various engage these individuals as positive supports
programs and services that can help offenders by identifying a common goal with the family
become successful in the community and members: to ensure and support the success
prevent them from having further encounters of the offender. When officers establish these
with the justice system, offenders may be more partnerships with family members, they have
motivated to participate in these programs. an additional set of eyes and ears that can be
Finally, initial contacts are an important time useful for holding offenders accountable,
for officers to review and clarify post-release supporting change, and communicating about
supervision conditions with offenders, outline important issues that may arise.
incentives and rewards that are associated with
engagement in the change process and • Other collateral and community contacts.
compliance with expectations, and explain the Similar to home visits, other field contacts
potential consequences and sanctions that are provide the opportunity for supervision
used to respond to violations. officers to interact with offenders in natural
environments to meet several objectives. For
offenders who are employed, enrolled in
Benefits of Supervision Officers’ Use school, or involved in a treatment program,
of Motivational Interviewing field contacts in these settings can
• Ensures that officers take an active demonstrate to offenders that the officers are
role in facilitating behavior change interested in and supportive of their
and influencing successful reentry participation in these prosocial activities.
• Prepares offenders for the change Officers can frame such contacts as a means
process, increases internal motivation of verifying and reinforcing that offenders are
and investment continuing to demonstrate that they are doing
• Places responsibility on offenders, well, rather than simply verifying that the
prevents officers from working harder offenders are where they are supposed to be.
than the offenders In addition, officers can use these contacts to
• Provides officers specific tools for build relationships with employers, school
managing offender resistance and officials, or providers and elicit their
helps prevent difficult situations from involvement as community supports for
getting worse offenders. Field contacts can also be used to
• Allows officers to address problem engage other individuals who may be
behaviors while still being motivational members of offenders’ community support
networks, such as mentors, AA/NA sponsors,
Adapted from Clark et al., 2006
or members of the faith-based community.
Because of their routine interactions with the Responses to Violations Should
offenders, these individuals can provide Be Measured and Proportional
officers with insights into offenders’ day-to-day Undoubtedly, some adult and juvenile offenders
activities and behaviors through a perspective will exhibit problem behaviors and violate release
that tends to differ significantly from what the conditions following their return to the
officer may observe during a face-to-face community. Because the overarching goal of
contact only with the offenders themselves. successful reentry is to promote public safety,
supervision officers must be ready and willing to
• Office contacts. Although field contacts respond effectively to these violations. This does
typically provide supervision officers with the not mean, however, that a revocation of
richest and most diverse opportunities for conditional release and a return to incarceration
both monitoring and supporting offenders, will be the most appropriate, effective, or efficient
office contacts can also be meaningful. For means to that end (see, e.g., Altschuler &
example, office contacts allow supervision Armstrong, 1994; Burke, 2004; Carter, 2001).
officers and offenders to engage and interact Indeed, while some violations significantly
without the distractions of the home, work, or compromise public safety (e.g., committing a
school environment. This may be especially violent crime), others are more “technical” in
important when concerns or other issues need nature (e.g., missing work, failing to report for an
to be raised, by either the officer or the office contact) and do not pose an unacceptable
offender, in a more discrete setting. Office threat. Some violations are driven by offenders’
contacts can also be used purposefully as firmly entrenched antisocial attitudes, deliberate
behavioral contingencies to shape offenders’ disregard for supervision expectations, and active
behaviors. Reporting requirements can be resistance to the change process. Yet others may
reduced when an offender has consistently be situationally driven or symptomatic of other
demonstrated responsibility and progress, or difficulties (e.g., mental health issues, family
increased when greater accountability is chaos, relationship problems, financial
needed because of problem behaviors or hardships, substance abuse relapse).
violations of post-release conditions.
Technical Violation Rates As a Function of Parole

Officers’ Orientation to Supervision
60%
Technical violation rate

4 0%
20%
0%
Social Casework Balanced Orientation Enforcement
Orientation Orientation
Adapted from Paparozzi & Gendrea, 2005
These and other differences in the nature of (and system might look like, and then examine whether
reasons for) violation behaviors mean that the their current responses to violations support that
manner in which officers respond should be goal and resemble that ideal system (Burke, 2004;
varied, flexible, and well-informed, based on the Carter, 2001). If the goal of supervision is to
individual circumstances of any given case (see, facilitate offenders’ successful reentry as a means
e.g., Altschuler & Armstrong, 1994; Burke, 2004; of increasing public safety, the following may be
Carter, 2001). However, agencies must also take particularly helpful principles and ideals against
steps to prevent officers from responding in which agencies can gauge their current approaches
widely inconsistent and largely subjective ways. (Burke, 2004; Carter, 2001):
Disparate and inequitable responses to violations
can occur when policies provide insufficient • Adult and juvenile offenders (and their
guidance and structure for officers and can also families) clearly understand the expectations
be a function of officers’ different personalities of post-release supervision and recognize that
and styles, philosophies about supervision, and any problem behaviors or noncompliance will
interpretations of policies (Burke, 2004; Carter, result in some type of sanction or response.
2001; Paparozzi & Gendreau, 2005). • Supervision practices are designed to prevent
violations by identifying offenders’ risk and
For example, supervision officers whose needs, brokering services proactively,
supervision approach is centered exclusively on assessing progress routinely, and limiting the
surveillance and monitoring may be overly rigid, number of supervision conditions imposed to
crack down on offenders, and provide harsh prevent unnecessary overload.
sanctions for all technical violations when less • Officers respond to every violation in order to
onerous responses would have been appropriate ensure that offender accountability remains a
or sufficient. While this might have an immediate visible priority.
effect on recidivism (primarily because offenders • Officers have at their disposal a range of
are more apt to be revoked and returned to sanctions and other strategies for responding
incarceration before a crime actually occurs), it to violations, and they are empowered to
does not promote successful reentry or reduce impose lower-level sanctions when warranted
recidivism over the long term. Conversely, some and without unnecessary administrative or
officers tend to be overly lenient when problem bureaucratic barriers.
behaviors arise and may therefore be less • All responses are timely and proportional,
inclined to cite offenders for technical violations thus demonstrating an immediate and logical
even when they should, which does not serve link between offenders’ problem behaviors
public safety interests either. and the accompanying responses.
• The lowest level sanction or response is
Research on this very issue reveals technical always used in order to manage correctional
violation rates vary considerably in relation to resources effectively and allow offenders the
officers’ orientations toward supervision ongoing opportunity to modify their behaviors
(Paparozzi & Gendreau, 2005). This highlights and work toward successfully completing
again the need for a balanced approach to post- supervision, provided that public safety will
release supervision in which responses to not be unnecessarily compromised.
violations are measured and proportional. • Referrals to programs and services are
included as potential responses to violations
When thinking about how best to manage as appropriate, so that offenders can use skill-
violations, it can be a valuable exercise for agency building and risk-reducing resources to
administrators to work closely with officers in the enhance their ability to be productive and
field to identify the overarching goal of post-release stable in the community.
supervision, envision what an ideal supervision • The system processes violations efficiently for
the benefit of both the offenders and the the enforcement/monitoring and social casework
officers. activities that characterize the success-driven
• External stakeholders understand the agency’s supervision model.
overall philosophy, approach, and purposes
with respect to responding to violations. Educating officers about the superior outcomes
• Responses to violations assist officers and and public safety benefits of a success-driven
offenders alike with attaining successful approach can be an important first step in
supervision goals. garnering their support. This may be especially
compelling when officers are enlightened about
As is the case with other offender management any offender management or supervision
decisions, supervision officers are most likely to strategies they use on a day-to-day basis that
identify effective responses to violation behaviors have little to no impact on recidivism and that
when they collaborate with other key stakeholders may actually increase recidivism of the adult or
to consider potential interventions within the juvenile offenders on their caseloads. In addition,
context of community safety and offender needs when agencies assist supervision officers with
(see, e.g., Burke, 2004; Carter, 2001). understanding the ways in which a success-
driven approach will actually benefit them (e.g.,
A Success-Driven Approach encountering less resistance from offenders and
Requires the Support of their families, working with offenders who are
Supervision Officers more internally motivated, managing their
In some community corrections and supervision caseloads more effectively and efficiently, better
agencies, a success-driven model has been outcomes for offenders on their caseloads), they
established through these agencies’ vision, may be apt to recognize its utility and value.
mission, and goals and the officers have Finally, it can be worthwhile to help officers and
subsequently bought in to the associated supervisors recognize that using evidence-based
philosophies and practices. However, supervision strategies will put them and the
administrators and managers who are at a agency on more solid ground in the event that a
different stage and are currently considering case with a particularly negative outcome comes
adopting such an approach may have concerns under scrutiny from the public or other external
about the extent to which they will experience stakeholders.
skepticism and resistance. Their concerns may
be most significant with respect to the officers As some agency leaders begin to take steps
who will be expected to engage in and balance toward formally implementing a success-driven
What Factors Should Be Considered When Responding to Violations?

• Nature and seriousness of the problem behavior
• Degree to which community safety was compromised
• Current risk level of the offender, or recent change in risk level
• Overall stability in the community, including employment, housing, financial, social, and
family circumstances
• Responses to prior interventions or sanctions
• Ongoing patterns of noncompliance versus an isolated instance
• Presence of assets, resources, community supports, or services and
• Extent to which the offender can be realistically and safely maintained in the community
with adjustments to the supervision plan
Adapted from Burke, 2004; Carter, 2004
By Their Own Accounts: What Parole Officers Need
To Promote Successful Reentry
Greater latitude to exert authority/control
Stricter laws or policies
Treatment services for parolees
Employment services for paroless
Educational services for parolees
Public education about parole officers' roles
Public tolerance for parolees
0% 20% 40% 60% 80%

Percentage Agreement
Adapted from Quinn & Gould, 2003
model, they might be pleasantly surprised to find importance of keeping abreast of offenders’
that officers’ existing beliefs and desires about employment needs, making job referrals, helping
what effective supervision should look like are them obtain and maintain employment, and
already congruent with such an approach. providing on-the-job support and
Indeed, just as researchers have found that encouragement. As illustrated in the chart above,
support for rehabilitative efforts is not when supervision officers rate the types of things
uncommon within the range of staff working in that will allow them to carry out their duties
correctional institutions (e.g., custody officers, more effectively, their responses overwhelmingly
correctional case managers, unit supervisors) favor more programs and services to support
(Farkas, 1999; Larivière & Robinson, 1996), offenders’ successful reintegration (as well as
others have found that similar orientations are public support for reentry efforts), rather than
prevalent among probation and parole officers additional get tough measures or enforcement
(see, e.g., Fulton, Stichman, Travis, & Latessa, tools (Quinn & Gould, 2003).
1997; Paparozzi & Gendreau, 2005; Quinn &
Gould, 2003; Seiter, 2002; Seiter & West, 2003; Taken together, this information is noteworthy for
West & Seiter, 2004). agency officials and other key policymakers in the
following ways:
For example, supervision officers in multiple
studies recognize the importance of their dual • It signals the possibility that obtaining buy-in
roles as enforcers/monitors and caseworkers for from supervision officers should not be
promoting successful offender outcomes and assumed to be a daunting or insurmountable
public safety (Fulton et al., 1997; Quinn & Gould, task.
2003; Seiter, 2002; Seiter & West, 2003; West & • It implies that the attitudes and values of
Seiter, 2004). More specifically, many understand many staff members, and arguably some of
the value of assessing offenders’ individual risk their current supervision practices, may
and needs early in the supervision process and already lean in the direction of the evidence-
proactively linking them to appropriate based correctional literature pertaining to
programs, services, and other resources, rather supervision of adult and juvenile offenders.
than making referrals primarily in response to • It suggests that the line level staff directly
problems that arise later. They also cite the charged with ensuring public safety, as well as
the offenders for whom they are responsible, barrier (Burrell, 2006; DeMichele, 2007).
may currently lack necessary resources. If officers are expected to employ effective
strategies, smaller caseloads are necessary
Therefore, to increase the likelihood that (Burrell, 2006; DeMichele, 2007).9 This allows
supervision officers will be both willing and able the officers greater opportunities to develop and
to operate within a balanced, success-oriented use relationship skills and other techniques to
framework, agency leaders must be prepared to engage offenders, broker appropriate programs
critically evaluate internal and external resources, and services, foster community ties, and
staffing patterns, and caseloads (Burrell, 2006; coordinate case management efforts with other
DeMichele, 2007). Indeed, for community stakeholders involved in each case (Altschuler &
supervision officers who are attempting to Armstrong, 1994; Burrell, 2006; Caplan, 2004;
implement evidence-based supervision practices, DeMichele, 2007; West & Seiter, 2004; Wiebush
caseload size is perhaps the most significant et al., 2005).
A Model Strategy for Adult Offenders: Proactive Community Supervision (PCS)

The Proactive Community Supervision (PCS) model is a key example of a balanced, success-
driven approach (see Taxman et al., 2006; Taxman et al., 2004). Broadly speaking, PCS is
designed to promote successful supervision outcomes by engaging offenders early in the
supervision process, employing supervision strategies and other interventions that target
criminogenic needs, and fostering positive involvement with community support networks.
Consistent with the principles of effective correctional intervention, PCS emphasizes the
importance of assessing risk and criminogenic needs, prioritizing interventions to higher risk
offenders, and making interactions between supervision officers and offenders purposeful
during the ongoing supervision/case management process. Within the State of Maryland, the
Division of Parole and Probation implemented the PCS model through the following methods:
• Agency guidelines and expectations were established regarding officer-offender interactions

within local offices in order to create the positive environment necessary to engage
offenders and support change.
• Officers were trained to use Motivational Interviewing skills and techniques.
• Supervisors and managers provided coaching to officers, observed the quality of officer-
offender contacts, and provided feedback.
• Officers were trained to use the Level of Service Inventory–Revised (LSI-R) as a reliable way
to assess risk and needs and develop well-informed and responsive case plans.
• Case plans were designed to include a combination of internal and external controls, as
well as programs and services to target criminogenic needs.
• Supervisors were required to review and approve supervision plans to ensure that these
plans were individualized based on offenders’ risk and needs.
• Community partnerships were developed to address employment, programming, and
monitoring.
• Performance measures that focused on both offender outcomes as well as the outcomes
within individual supervision units were established.
Preliminary findings in Maryland are very promising. Compared to a matched group of

offenders supervised in a more traditional approach, offenders under the PCS model have
significantly lower rearrest rates, and fewer warrants are issued for technical violations
(Taxman et al., 2006).
A Model Strategy for Juvenile Offenders:
The Intensive Aftercare Program (IAP)
In the 1990s, concerns arose throughout the country about the transition and reentry of high-
risk juveniles from institutional programs to the community. Subsequently, the Intensive
Aftercare Program (IAP) model was developed and became widely recognized as a promising
reentry initiative for juvenile offenders (Altschuler & Armstrong, 1994; Wiebush et al., 2005).
The IAP model is designed around three key sets of core activities: prerelease planning and
preparation during the juvenile’s incarceration, deliberate and structured transition planning
that requires both institutional and aftercare staff to be involved prior to and following release,
and substantial reintegration activities that balance needed programs and services with external
controls and conditions.
On a more specific level, and congruent with evidence-based correctional literature, the
following case management practices are emphasized (see Althschuler & Armstrong, 1994;
Wiebush et al., 2005):
• Using validated risk assessment tools to identify higher risk juveniles for the focus of
intervention efforts.
• Creating individualized, assessment-driven case management plans that include family,
peer, school, and other social networks.
• Identifying service needs beginning at the point of intake and beginning to address these
needs during the course of incarceration, while proactively anticipating community-based
resources that will be needed post-release.
• Maintaining a balance between monitoring/surveillance activities and programs and
services.
• Ensuring that case management efforts are coordinated by community supervision officers
or case managers with small caseloads.
• Implementing a system of rewards and incentives in combination with graduated and
proportional sanctions.
• Establishing and maintaining key linkages with community-based resources and other
positive networks of support in the community.
The Office of Juvenile Justice and Delinquency Prevention (OJJDP) sponsored a multi-phase,
multi-site implementation and evaluation project using the IAP model. Although superior
outcomes in terms of long-term recidivism reductions have not yet been consistently identified,
a number of promising findings have been revealed (Wiebush et al., 2005). For example, sites
that implemented the IAP model enhanced program and service access for high risk juvenile
offenders reduced institutional misconduct among IAP juveniles, reduced the length of time
these juveniles remained incarcerated, and promoted a more balanced approach to post-release
supervision.
Recommended Maximum KEY STEPS
Caseload Sizes for Community
Supervision Officers • Ensure that promoting offender suc-
cess is an explicit focus of the
Adult Juvenile agency’s vision/mission for post-
offenders offenders release supervision.
Highest risk 20 15 • Critically examine the extent to which
current supervision strategies are
Moderate to consistent with evidence-based prin-
50 30
high risk ciples and practices, and be genuine-
ly committed to make adjustments
Low risk 200 100 accordingly.
• Establish supervision policies and
Adapted from Burrell, 2006 practices that include both surveil-
lance and monitoring activities and
social casework activities (including
In addition to adequately addressing caseload meaningful field contacts) and
sizes, administrators can increase officers’ include these responsibilities in offi-
effectiveness by reviewing and eliminating cers’ performance expectations and
performance expectations that are outdated and reviews.
no longer of value, redeploying existing • Assess prospective supervision offi-
resources, increasing agency capacity through cers’ attitudes and beliefs about
additional appropriations, or using trained supervision as part of the hiring and
paraprofessionals (e.g., case aides, trackers, selection process, with ideal candi-
criminal justice interns, volunteers) to provide dates demonstrating support for a
support to officers. balanced philosophy.
• Review current and historical viola-
Conclusion tion data critically to identify any
By definition, successful reentry is contingent on trends that signal under- or over-
offenders’ ongoing stability in the community. responding to offenders’ problem
Because supervision officers have such behaviors, and create a system of
important responsibilities for managing graduated violation responses that
offenders following release from incarceration, requires timely, proportional, effi-
they are uniquely poised to influence positive cient, and effective responses to all
outcomes, specifically by way of their supervision violations.
philosophies and practices. The best available • Develop performance indicators that
research indicates that a balanced, success- include process elements and out-
driven approach to supervision, whereby officers comes for supervision practices (e.g.,
blend enforcement and monitoring with application of risk-need principles,
casework activities, is effective in reducing number and type of program refer-
recidivism. As such, when implemented in rals, nature and frequency of field
accordance with the principles of effective contacts, technical violation and revo-
correctional intervention and paired with cation rates).
evidence-based programs, services, and
practices, this model of post-release supervision
plays a key role in facilitating public safety
through successful reentry.
CHAPTER 5: STAFF-OFFENDER
INTERACTIONS
Introduction individuals across most settings, including adults
As outlined in the preceding chapters in this and juveniles involved in criminal and juvenile
section of the handbook, successful reentry justice systems.
outcomes depend upon the implementation of
multiple evidence-based principles and practices Unfortunately, correctional systems are not
specific to assessment, programs and services, typically designed to promote engagement and
and supervision. Although the combination of internal motivation among offenders and, in
these strategies is necessary to achieve positive some ways, the very nature of these systems can
correctional outcomes, it is not sufficient. actually increase resistance (Ginsberg et al.,
Indeed, a key lesson from the research is that 2002; Taxman et al., 2004). Consider, for
none of these components will be fully effective example, the typical environment within
unless offenders are motivated internally, correctional facilities, where maintaining safety,
engaged actively, and influenced positively order, and structure are paramount. Staff
throughout the intervention process. The latter members control the movements and activities
elements can best be realized through productive of offenders, who are limited substantially in
relationships and interactions between terms of what they are allowed to do and when
correctional practitioners and the adult or and how they are allowed to do it. Similarly, when
juvenile offenders with whom they have routine offenders are released to the community,
contact. multiple conditions and restrictions are imposed
on them as a means of behavioral control in the
This chapter provides an overview of the interest of maintaining accountability and public
powerful influences of staff-offender interactions safety.
on offender engagement, motivation, and
behavioral change and highlights the specific Although the use of external controls is an
qualities, skills, and behaviors of staff that are important and necessary feature within
important to promoting desired outcomes institutional corrections and community
among offenders. These elements are known as supervision settings, it potentially fosters an
relationship and structuring principles of underlying adversarial us versus them way of
effective correctional intervention (see Andrews thinking among both offenders and the staff
& Bonta, 2007; Dowden & Andrews, 2004). charged with managing them. Additionally, it can
inadvertently place responsibility for offenders’
Successful Reentry is Dependent behaviors on institutional corrections and
upon Offenders’ Readiness and community supervision professionals rather than
Internal Motivation to Change on the offenders themselves. Moreover, these
Most professionals and others would likely agree controls do not produce lasting effects on public
that people in general are not likely to change safety when used in isolation. Observed success
their behaviors until they first recognize a need tends to be short-lived because it is primarily a
to change. Furthermore, most would probably function of offenders demonstrating compliance
concur that the greatest potential to make lasting to avoid further sanctions or restrictions.
changes ultimately stems from internal
motivation and genuine engagement in an Successful reentry over the long term depends
intervention process, rather than from external heavily upon offenders being internally motivated
pressures alone. This is, in fact, true for to make attitudinal and behavioral changes. They
must be ready and willing to engage in the in facilitating engagement and change,
change process while incarcerated, continue as institutional correctional and community
they reintegrate into the community, and supervision staff must demonstrate the following
maintain these changes over time. Therefore, qualities in their working relationships with
institutional corrections and community offenders:
supervision staff must consider the ways in
which they can facilitate change (not solely • Mutual respect
compliance) with adult and juvenile offenders. • Openness
Decades of research indicates that this is best • Attentiveness
accomplished through quality working • Structure and support
relationships and interactions between staff and • Warmth and empathy
offenders. • Genuineness
• Flexibility
Change-Promoting Relationships
between Institutional Correctional These characteristics collectively illustrate the
and Community Supervision relationship principle of effective correctional
Practitioners and Offenders are intervention and create an environment that
Grounded in Common allows adult and juvenile offenders to feel
Characteristics comfortable expressing themselves, become
Within the mental health and behavioral health increasingly open and less resistant to receiving
field, evidence-based practices emphasize the feedback, and begin to consider the need to make
importance of therapist-client relationships (see adjustments in their lives (see, e.g., Andrews &
Castonguay & Beutler, 2006; Norcross, 2002). Bonta, 2007; Dowden & Andrews, 2004).
The nature of these relationships can impact Additionally, establishing such a relationship
treatment outcomes in both positive and allows practitioners to better assess the extent to
negative ways, over and above the actual which offenders are ready and internally
interventions that are provided. Service providers motivated to change initially and over time. In
maximize the effectiveness of interventions when turn, interventions and strategies are adjusted
relationships with their clients are characterized accordingly in order to minimize resistance and
by a strong therapeutic alliance, warmth and continue to facilitate engagement and motivation
empathy, effective management of attitudes or throughout offenders’ tenure in the system (see,
feelings about their clients, collaborative e.g., Miller & Rollnick, 2002). This type of
development of treatment goals, and tailored relationship between staff and offenders is in
responses to clients’ readiness and motivation to clear contrast to the more traditional staff-
change (see Castonguay & Beutler, 2006; Miller offender relationship, which tends to be built
& Rollnick, 2002; Norcross, 2002). upon power, authority, and control.
Although the relationships between staff and Motivational Interviewing

offenders differ in many ways from therapist- Provides a Model Framework for
client relationships, the overall quality of their Enhancing Offender Engagement
interactions should be similar, if they share the One of the most promising approaches to
goal of promoting and maintaining positive increasing individuals’ interest and commitment
change. Indeed, the evidence-based correctional in the intervention process, including those
literature confirms that the nature of staff- within the criminal justice system, is the use of
offender relationships contributes substantially to Motivational Interviewing (Ginsberg et al., 2002;
the effectiveness of interventions (see, e.g., Miller & Rollnick, 2002). Broadly speaking, as
Andrews & Bonta, 2007; Dowden & Andrews, applied to institutional correctional and
2004). Specifically, in order to be most effective community supervision practices, this strategy
Important Groundwork for Increasing the Effectiveness of
Correctional Practices
Explore Manage
Establish a Offender’s Resistance
Engage Offender,
Change- Internal Effectively,
Foster Internal
Promoting Motivation and Promote
Relationship Motivation
Readiness to Ongoing
Change Engagement
involves establishing collaborative relationships independently able to determine the need for
between institutional and community change.
practitioners and the offenders with whom they
work, respecting the offenders’ current • Roll with resistance. Instead of engaging in
perspectives, and facilitating their readiness and counterproductive confrontations with clients
motivation to change without attempting to force when resistance, reluctance, or ambivalence is
change upon them (Ginsberg et al., 2002). expressed, practitioners should accept this
resistance as an understandable part of the
The guiding principles of Motivational change process. It also provides a signal that
Interviewing are as follows (see Miller & Rollnick, a new strategy may be warranted. Effectively
2002): working through resistance can take the form
of inviting the client to consider new
• Express empathy. When individuals feel information or perspectives, while ensuring
accepted and do not perceive themselves as that the practitioner does not impose his or
being judged, they are more likely to engage her own viewpoints. This gives the client
with practitioners and are subsequently more permission to accept or reject the information,
open to change. The skillful use of reflective which ultimately allows the client to remain in
listening without communicating criticism or the driver’s seat.
blame is an important part of this process.
• Support self-efficacy. Even when people
• Develop discrepancy. Rather than telling people independently recognize a problem and a
why they should change their behaviors, staff need to change, they are unlikely to engage in
should assist them with self-assessing or self- the intervention process if they feel hopeless
diagnosing. As a result, individuals are able to or powerless about their actual ability to
see on their own the incongruence between change. Practitioners must view the
important personal goals and values and their individuals as capable of change, convey this
actual behaviors. In turn, they are confidence, and assist them with believing
that they are fully capable of overcoming respond to offenders, have a considerable impact
difficulties and successfully changing. on shaping ongoing and future attitudes and
behaviors of offenders (see, e.g., Andrews &
By understanding Motivational Interviewing Bonta, 2007). Put simply, regardless of whether
philosophies and using these strategies they are aware of it, all institutional corrections
effectively, institutional corrections and and community supervision staff are influential
community supervision practitioners are better change agents. In turn, they contribute in both
equipped to interact effectively with offenders at positive and negative ways, and on an ongoing
different stages of change, foster internal basis, to reentry outcomes.
motivation, and facilitate offenders’ ownership of
the change process (Clark et al., 2006; Ginsberg Every Interaction Provides an
et al., 2002). As such, interventions are more Opportunity to Influence Positive
likely to be responsive and effective. Attitudinal and Behavioral
Changes
Supporting Offender Change is To take full advantage of the routine teaching
the Responsibility of All Staff moments that exist at any given point in time, it
Without a doubt, offender participation in is important that staff members understand and
evidence-based programs and services (e.g., use the following set of skills and practices to
cognitive skills training, substance abuse structure and guide their everyday contacts with
treatment) enhances reentry efforts and reduces offenders (i.e., the structuring principle)
recidivism by facilitating positive changes in (Andrews & Bonta, 2007; Dowden & Andrews,
criminogenic needs. It should be noted, however, 2004):
that potential for offender change is not confined
to offenders’ physical presence and participation • Model Desired Attitudes and Behaviors. The
in correctional programs. This is good news, as more offenders are exposed to prosocial
programming encounters represent only a small attitudes and behaviors, the more likely they
fraction of the ways in which offenders spend their are to begin to adopt and display such
time either in institutions or in the community. attitudes and behaviors. Therefore, staff must
always model the kinds of prosocial attitudes
Some of the most powerful opportunities to and behaviors that are desired of offenders,
support offender change exist outside of the such as healthy communication patterns. This
formal treatment setting and occur as a result of is especially important given that many
the behavioral influences of corrections offenders come from home and community
practitioners. Indeed, social learning and environments in which prosocial attitudes and
behavioral principles demonstrate that human values are not predominant and may even be
behavior in general is shaped by people’s viewed in negative terms.
observations of, and interactions with,
reinforcements and punishments from others. • Promote Skill Acquisition and Effective
The compelling evidence underlying these Problem-Solving Through Structure and
practices, therefore, has significant implications Practice. As suggested by the adage practice
for staff-offender interactions, particularly those makes perfect, offenders are better at adopting
involving front-line staff such as custody officers, new skills when they have the opportunity to
youth care workers, supervision officers, program learn and practice those skills in a structured
staff, and others who have routine contact with way. Staff must clearly describe and explain
offenders (e.g., work crew supervisors, education the skills that are needed (e.g., key steps in the
professionals, community mentors). Specifically, problem-solving process), model the proper
the attitudes and behaviors modeled by these ways to use these skills, provide offenders
staff, and the ways in which staff members with opportunities to practice these skills (e.g.,
through role-playing), receive feedback about avoid the punishment or sanction), but it has
how well they demonstrated the skills, and little effect on enhancing internal motivation or
ensure that they are given additional facilitating long-term changes in attitudes or
opportunities for skill practice and refinement. behaviors. Therefore, reinforcement is the
Enhancing problem-solving and other key skill preferred approach. Within corrections, a
sets (e.g., anger management, assertiveness, combination of punishments and
and conflict resolution) will assist offenders reinforcement is required, as some behaviors
with remaining successful in the community. (e.g., high-risk behavior, noncompliance, new
Correctional facilities provide multiple real-life arrest) require that sanctions are applied in the
opportunities for staff to work with offenders interest of deterrence, retribution, and broad
on these skills. Similarly, community public safety interests. To reiterate, however, for
supervision officers can assist offenders and every punisher used in response to a problem
their families with putting these skills to use behavior, four reinforcers for prosocial
as they experience actual challenges in the behaviors should be provided in order to have
community. the most impact on behavior change.
• Use Reinforcers and Incentives Consistently and • Remain Authoritative, Not Authoritarian. It is
Generously. Reinforcement involves providing not uncommon for the interactions between
a positive response or reward or removing a some correctional practitioners and offenders
negative element as a means of increasing the to be characterized by positional power,
frequency of a desired behavior. Because of control, inflexibility, and demands for
the powerful motivating influence on behavior obedience. Not surprisingly, this authoritarian
change, reinforcements or rewards should be approach is not conducive to increasing
immediately and consistently provided to engagement or internal motivation. Much like
offenders any time they demonstrate positive, the use of punishment, it may result in a
prosocial attitudes or behaviors. To be most degree of short-term compliance but not
effective, experts suggest that reinforcers lasting change. Correctional staff members are
should outweigh the use of punishments or more effective change agents when they
sanctions using an ideal ratio of four instead use an authoritative approach that
reinforcers for every punisher (see Andrews & includes respect, predictability,
Bonta, 2007). However, consistent and encouragement, and the leverage of a
generous reinforcement can be challenging in productive working relationship. This firm but
correctional contexts, as it is often human fair approach allows practitioners to establish
nature to focus on problem behaviors. the rapport necessary for engaging offenders
Additionally, for some staff, going out of one’s while maintaining clear expectations, limits,
way to reinforce offenders simply for meeting rewards, and consequences. As such,
basic expectations may feel unnatural and behaviors can be gradually influenced without
unnecessary. Nonetheless, the use of increasing resistance that arises from
reinforcements and incentives is essential for attempting to force change.
facilitating offender motivation and positive
change. • Assume an Advocacy and Brokerage Role.
Program staff, correctional case managers,
• Use Disapproval and Punishment Wisely and and supervision officers should work with
Selectively. Punishment is the act of imposing offenders and their families to identify needed
a negative stimulus or removing a positive one programs, services, and resources within
when problem behavior is demonstrated. facilities and the community. Facilitating
Punishment can be fairly effective for access or serving as a liaison and link between
promoting short-term compliance (simply to these resources and the offenders is an
Important Elements of Staff-Offender Interactions Needed to
Influence Change: Core Correctional Practices
Appropriate
Use of
Authority
Advocacy,
Consistent, Brokerage for
Prosocial Attitude and Resources
Modeling Behavior
Change
Effective Structured Skill-

Reinforcement, Building, Problem-
Punishment Solving
see Andrews & Bonta, 2007; Dowden & Andrews, 2004
important aspect of supporting and administrators and managers take the following
maintaining the change process. It also allows actions on a consistent basis:
offenders and their families to recognize staff
members’ ongoing interest in and • Understand and target the attitudes and
commitment to their successful reintegration orientations staff have about offenders and
in the community. offender interventions that may either support
or undermine a change-promoting
Staff-Offender Interactions environment.
Should Be a Visible Priority • Clarify the underlying rationale and bottom
Within the Organizational Culture line for a specific focus on staff-offender
In order to translate the theories behind these interactions, both in terms of what such a
relationship and structuring principles into focus means and what it does not mean.
consistent and effective agency-wide practices, • Rigorously pursue and support staff
they must be made an explicit priority within development issues (i.e., preservice training,
institutional corrections and community ongoing in-service training, direct supervision)
supervision agencies. Indeed, establishing to ensure that staff acquire and use
productive working relationships that facilitate relationship and structuring skills routinely
engagement, motivation, and change should be and effectively.
a given for all staff and should be clearly reflected • Demonstrate agency investment in and
within an agency’s driving philosophies, mission, commitment to these principles through staff
policies, and culture. This is most likely to be recruitment, selection, and retention efforts.
achieved and highly visible when agency
Presence of a Rehabilitation-Supportive Orientation among Various
Institutional Corrections Professionals
Correctional officers
Case management
officers
Programming staff
Vocational/employment
training staff
Healthcare/psychology
staff
Correctional
managers/supervisors
0% 20% 40% 60% 80% 100%

Percentage of Staff
Adapted from Larivier̀e & Robinson, 1996
Understand and Target Staff Attitudes In some jurisdictions, staff attitudes are already
and Beliefs properly aligned or, at the very least, within the
Without question, obtaining and maintaining staff realm of the desired culture. For example,
buy-in is an integral aspect of establishing the investigations involving supervision officers’
overall agency culture. It is particularly salient viewpoints reveal that they consider offender
with respect to front-line staff (e.g., rehabilitation as well as their social casework
corrections/custody officers, supervision officers). responsibilities (e.g., advocacy, referrals, and
By virtue of their frequent contact with offenders, service brokerage) as very important to successful
these staff members are in ideal positions to reentry (see, e.g., Fulton et al., 1997; Paparozzi &
facilitate offender engagement, motivation, and Gendreau, 2005; Quinn & Gould, 2003; Seiter,
behavioral change. In addition, because the 2002; Seiter & West, 2003; West & Seiter, 2004).
perspectives of front-line staff influence their day- Similarly, as seen in the preceding graph, research
to-day interactions with adult and juvenile indicates that institutional corrections staff in a
offenders, it is important to ensure that their variety of positions, including correctional/
orientations toward this work are congruent with custody officers, are supportive of correctional
the expectations and values of the agency. rehabilitation efforts (Farkas, 1999; Larivière &
The 3 Rs of Staff-Offender Interactions in the Oregon Department of Corrections

As a key component of implementing evidence-based practices to promote successful reentry,
the Oregon Department of Corrections (2007) promotes productive interactions between staff
and offenders through a “3 Rs” philosophy:
• Role model pro-social behaviors
• Reinforce positive behaviors
• Redirect negative behaviors
Robinson, 1996) and may even have an interest change agent role. Indeed, even correctional
in assisting in the intervention process (Larivière officers who hold negative attitudes toward
& Robinson, 1996). Furthermore, when compared offenders and are largely punitive in their
to correctional officers whose orientations toward orientations express a willingness to contribute
offenders are punitive, officers with intervention- to an agency mission that emphasizes effective
supportive attitudes are more likely to experience correctional practices (Larivière & Robinson,
the following benefits (Larivière & Robinson, 1996).
1996):
Taken together, these and other similar findings
• Greater career and job satisfaction. speak to the importance of understanding staff
• Less job stress. values and perspectives, taking steps to reinforce
• More empowerment on the job. complementary orientations, and targeting non-
• An increased sense of physical safety on the supportive attitudes for change. This can help
job. foster an agency culture that embraces the use of
• Greater support for the agency mission. relationship and structuring elements to shape
offenders’ behaviors in prosocial ways and
Whether a function of preexisting attitudes, staff thereby leads to successful reentry.
selection practices, training efforts, and/or
internalization of agency missions, this data Clarify the Bottom Line
provides an optimistic perspective about the Another key to increasing staff buy-in for an
receptiveness of front-line staff to their roles as agency culture in which staff-offender
change agents. interactions are a routine part of doing business
is to reiterate the underlying rationale for
Of course, not all corrections professionals hold implementing these principles and practices. The
attitudes and beliefs that are naturally conducive message should be unmistakable and
to maintaining productive interactions with consistently repeated that such an emphasis is
offenders or supporting intervention efforts. not incompatible with public safety interests or
Some are not opposed to other staff (e.g., offender accountability, or that punishment,
treatment and education personnel) having a deterrence, and retribution are no longer relevant
role in the offender engagement, motivation, and philosophies or goals. Nor does it mean that
change process, but they may view their own either rehabilitative or punishment philosophies
professional responsibilities as limited to must exist at the expense of the other. Rather,
custody, control, and enforcement (see, e.g., staff must be taught to appreciate that these
Farkas, 1999; Fulton et al., 1997). Others may be philosophies and practices can and should
leery altogether about offenders’ abilities to coexist if the goal is to facilitate public safety and
change and they may question an approach that effective reentry outcomes. The relationships and
focuses on quality staff-offender relationships as interactions between staff and offenders, in
an important component of the correctional combination with additional evidence-based
system, potentially viewing it as being soft on correctional interventions, are an important
offenders. Still others, particularly staff members means to that end.
with longevity in their positions (who have likely
witnessed shifting correctional philosophies and The value of these coexisting philosophies,
priorities over the years) may simply go through principles, and practices may be further
the motions while waiting for this perceived illuminated, and buy-in increased, when staff
phase to pass. Yet despite having attitudes that members are educated about their effectiveness
are less than enthusiastic about the value of not only in reducing recidivism post-release, but
correctional interventions, these staff members also for decreasing institutional misconduct,
are not necessarily resistant to assuming a which translates into increased safety and order
within correctional facilities (French & Gendreau, initiatives (e.g., intensive Motivational
2006). Interviewing training) that will enhance staff
effectiveness, or instituting flexible schedules
Rigorously Pursue and Support Staff or leave options to allow staff to participate in
Development off-site professional development activities. In
It should come as no surprise that the addition, administrators and supervisors
effectiveness of staff-offender interactions is should encourage, reward, and advocate for
linked to the integrity of their implementation staff who seek out and participate in
and the extent to which staff are adequately continuing education activities that will further
trained and supervised (see, e.g., Andrews & the agency’s mission, such as obtaining
Bonta, 2007; Dowden & Andrews, 2004). As specialized certifications or advanced degrees.
such, staff development is particularly important Performance-based rewards, recognition, and
and has a number of implications: advancement opportunities should be
prioritized for those staff members who clearly
• Preservice training provides the opportunity to excel in their work, exceed minimum
introduce newly hired staff to the agency performance expectations, and are able to
philosophies and expectations, particularly demonstrate exceptional outcomes.
those concerning the roles of all staff as
change agents. Under ideal circumstances, Staff Recruitment and Selection
preservice training activities should be used to Practices
begin teaching staff members the necessary Finally, agency administrators and supervisors
relationship and structuring skill sets and can promote these organizational priorities
provide them with multiple opportunities to through staff recruitment, interviewing, and
practice these skills in a controlled selection practices. For example, during
environment prior to entering the field. interviewing processes, they should specifically
explore staff attitudes and orientations toward
• On-the-job staff development and skill offenders and offender rehabilitation. Staff
practicing are among the most important recruitment and interviewing processes also
aspects of the staff development process. provide the opportunity to clarify expectations
Community supervision agency supervisors, regarding the roles of all staff, including
unit managers, and others in an oversight corrections/custody officers, supervision officers,
capacity play a vital role in this respect. They and other front-line staff, as change agents.
must describe and model for their staff the Incongruence between individual staff members’
expected relationship qualities and ways of attitudes, orientations, and role expectations and
influencing behaviors, observe staff as they the philosophies, priorities, and expectations of
work with offenders, offer corrective feedback the agency can lead to poor quality interactions
when warranted, and provide reinforcements between staff and offenders, job dissatisfaction,
for appropriate demonstrations of these skills. burnout, and increased turnover. Consequently,
Peer mentoring by more experienced staff can this impacts the ability of other staff to manage
be a valuable source of support, guidance, and workloads effectively and creates hardships with
problem solving as staff develop and use providing the training, staff development, and
these relationship and structuring skills. ongoing supervision of new and existing staff.
However, turnover does provide an excellent
• Agency administrators must provide the tools, opportunity for agencies to recruit and hire new
resources, and other supports necessary to staff members whose attitudes and philosophies
ensure that all staff members are able to carry are more congruent with the organizational
out their duties effectively. This may include, culture, which can ultimately maximize staff
for example, funding for specific skill-building retention, minimize the turnover potential, and
provide agency stability in the short and long
term. KEY STEPS
The specific strategies outlined above as a • Elevate and formalize the value of
means of shaping and maintaining a change- staff-offender interactions through
supportive agency culture should sound familiar. the agency mission.
This is because the activities largely parallel the • Promote an agency environment in
key relationship and structuring practices used to which productive, civil, dignified, and
shape offenders’ attitudes and behaviors as a quality professional relationships are
means of enhancing outcomes. Indeed, both are expected among all staff members at
driven by the social learning and behavioral all times and hold staff accountable
approaches that are so effective in influencing for these relationships.
human behavior. •Ensure that agency administrators,
supervisors, and managers consis-
Conclusion tently model and reinforce the
To be successful in the community, adult and desired style of interactions with their
juvenile offenders must be committed to long- staff that are expected between staff
term positive change. Given the ability of and offenders.
institutional and community correctional staff to • Invest in staff training programs that
influence and shape offenders’ attitudes and will enhance relationship skills and
behaviors through the nature and quality of their interactions (e.g., Motivational
relationships and routine interactions with them, Interviewing, other engagement and
staff members can play a pivotal role in communication strategies).
impacting behavior change and, therefore, public • Incorporate specific expectations
safety. As agencies strive toward improving about staff-offender interactions into
reentry practices, they may be tempted to focus performance expectations and per-
their efforts on strategies such as risk-need formance reviews for staff in all posi-
assessments, evidence-based programming, and tions.
post-release supervision efforts because of their
widely recognized impact on reducing recidivism.
However, even with the right assessment
processes and the right types of programming,
long-term offender change cannot be fully
realized absent offender engagement and
internal motivation. These rely, in large part, on
the relationship and structuring principles of
behavioral influence. Therefore, it is essential
that equal attention be paid to these evidence-
based elements to guide staff-offender
interactions, so that offender reentry and public
safety outcomes are maximized.
CHAPTER 6: EFFECTIVE CASE
MANAGEMENT
Introduction dynamic plan of action from the point of entry
The term “case management” is sometimes through their ultimate return to the community.10
described in ways that imply it is a discrete task
or activity that is distinct from the effective Case Management Efforts Bridge
practices outlined in the preceding chapters. In Three Sequential Phases of the
reality, however, case management is the Reentry Process
synthesis of these practices. Conducting or using In order to maximize the potential for successful
risk-need assessments, delivering or brokering reentry, a number of key case management
prison- and community-based programs and objectives must be met as adult and juvenile
services, providing or supporting post-release offenders move through the institutional
supervision efforts, and influencing offender corrections and community supervision systems.
change through meaningful interactions are all These objectives and the associated case
interrelated aspects of case management. management activities and strategies are best
illustrated when considered within the context of
For the purposes of this handbook, case three specific but overlapping stages of the
management is conceptualized as the reentry process: the institutional, transition, and
overarching process through which institutional community phases.
corrections and community supervision
practitioners purposefully integrate evidence- Institutional Phase
based strategies, rationally deploy and allocate Case management officially begins upon intake,
resources, and effectively collaborate within and at which time the first objective is quick
across facility and community lines to facilitate assessment of offenders to identify and
successful reentry. In addition, case management subsequently address any issues that may pose a
is a means of working with offenders (as threat to the safety and security of the facility or
opposed to doing to offenders) toward a shared which critically affect the well-being of the
goal. Finally, it is an incremental, cumulative, and offender. Once any such issues are resolved,
phased process that, for each offender, is guided institutional corrections staff initiate, from the
by an individualized, assessment-driven, and outset, the gradual and deliberate process of
Ongoing, Evidence-Based
Validated Risk-Need Programs and
Assessment Services
EFFECTIVE SUCCESSFUL REENTRY

CASE MANAGEMENT
Success-Oriented Quality, Productive
Post-Release Staff-Offender
Supervision Interactions
ensuring that offenders are adequately prepared • Reinforce. Take advantage of the multiple
to return to the community. Put simply, a focus opportunities to provide tangible incentives,
on reentry essentially begins at the point of entry. rewards, and reinforcements when offenders
demonstrate desired behaviors. These
To attain the ultimate goal of preparing offenders behaviors may include taking ownership in the
for release and reintegration, the following are development of their case plans, participating
among the chief case management objectives in prison-based risk-reducing programs and
and activities during the institutional phase: skill-building services, practicing effective
problem solving and communication
• Triage Offenders. Shortly after intake, conduct techniques, participating in family
formal assessments using empirically interventions, and maintaining appropriate
validated tools to determine the appropriate institutional conduct. Beyond increasing the
intensity of case management efforts that will prosocial attitudes and behaviors, consistent
be necessary for each offender. Offenders who reinforcement fosters offender engagement,
pose a greater risk for recidivism and who internal motivation, and investment in the
have multiple criminogenic needs are targeted change process, all of which are necessary
for a more intensive case management track, building blocks for successful reentry.
whereas those whose recidivism risk is already
low and who have few criminogenic needs are • Review, Reassess, and Readjust. Throughout the
designated for a case management path that period of incarceration, routinely review
requires minimal institutional and staff offenders’ case management plans (e.g., every
resources. This process of sorting offenders ninety days) with the offenders to explore
based on assessments ensures that progress, challenges, and ongoing needs. In
institutional resources are brokered efficiently addition, update risk assessments at
and effectively. appropriate intervals to identify important
changes that have occurred over time
• Chart a Course of Intervention via a Case objectively. These ongoing reviews and
Management Team. Use a core assessments position the team to evaluate the
multidisciplinary team approach to develop current appropriateness of the objectives,
each offender’s case management plan strategies, and timelines detailed in the case
(described in more detail later in this chapter). management plans and make well-informed
Such a team is comprised of institutional modifications accordingly.
representatives who will have a significant
intervention and management role with the Transition Phase
offender during the period of incarceration Approximately six months prior to an offender’s
(e.g., caseworker, substance abuse or other anticipated release date, the formal transition
treatment providers, educational or vocational phase begins. It is not wholly distinct from the
staff, health/mental health care professionals, institutional and community phases. Rather, it
housing unit/custody staff). To build the case merges with and bridges the various case
management plan, the team works together to management activities that occur throughout the
review the assessment findings, identify reentry process. It is at this juncture that
intervention needs, and develop strategies to institutional and community practitioners
address these needs. The plan should formally partner to assist offenders with a
sequence and prioritize interventions based seamless transition from correctional facilities to
on the most salient criminogenic needs and the community. To facilitate a deliberate, smooth,
significant barriers to reentry. and well-coordinated handoff, the following case
management activities are essential during the
transition phase:
Effective Case Management Requires
“Out-Reach” and “In-Reach” During the Transition Phase
Out-Reach
Institutional Community
Practitioners Practitioners
In-Reach
• Realign the Team Composition. Ensure that the with contacting these resources. It is also
core case management team evolves from a accomplished via in-reach activities through
working group of institutional staff into an which community-based practitioners conduct
appropriate blend of relevant institutional and service-specific needs assessments, determine
community stakeholders. For example, the eligibility for their respective programs and
community supervision officer joins the team services, and facilitate access to these
at this point, providing an important services.
opportunity to build rapport with the offender
prior to release. In addition, representatives • Explore Community Support Networks. Work
from relevant community agencies and entities diligently with adult and juvenile offenders to
(e.g., community mental health, health and build, enhance, and maintain (or rebuild and
human services, schools, family services, reestablish) strong relationships with
specialized treatment programs) become significant individuals in their lives who can be
members of the case management team as a positive influence upon their return to the
warranted. Over time, these individuals play an community. These may include partners or
increasingly greater role, while the institutional spouses, parents or other family members,
team members begin to gradually step back. AA/NA sponsors, members of community-
The coordination of case management and faith-based organizations, and trained
activities becomes a shared responsibility volunteers or mentors. Networks of support
between the institutional caseworker and the can offer encouragement, foster accountability,
community supervision officer and is and mitigate some of the challenges offenders
ultimately assumed by the supervision officer encounter during the community reintegration
as the transition phase ends. process (e.g., housing, financial,
transportation).
• Link to Community-Based Resources. Facilitate
continuity of interventions and a seamless Although identifying community supports
transition to the community by connecting should be an objective at the outset of
offenders and their families to needed offenders’ incarceration, it becomes especially
programs and services in the returning important as they prepare for release. This
community. This requires dedicated outreach highlights again the importance of outreach
efforts, whereby institutional practitioners and in-reach activities during the transition
identify, make referrals to, and assist offenders phase.
• Reassess, Readjust, Record, and Reinforce. community phase, the following case
Update risk-need assessments, evaluate management practices are particularly salient:
participation and progress in prison-based
programs and services, and review institutional • Realign the Team Composition. Finalize the
conduct and adjustment. Thoroughly team membership in a manner that ensures
document and use this information to make that case management responsibilities are
sure that case management plans are current, fully assumed by the community supervision
well informed, and appropriately structured as practitioners and other service providers who
the offenders begin to reintegrate into the are working closely with the offender in the
community. In addition, use the information to community. If outreach and in-reach efforts
develop discharge summaries at the point of are effectively coordinated during the
offenders’ release to the community. The transition phase, most of these stakeholders
revised case management plan and discharge will already be at the table.
summary are vital for ensuring that the
corrections practitioners and other • Supervise for Success. Employ a balanced
stakeholders who will be working with approach to post-release supervision that
offenders in the community will be operating consists of a blend of enforcement/
from the most accurate and up-to-date monitoring and social casework functions.
information. As always, continue to use Specifically, use external controls (e.g.,
reinforcers, rewards, and incentives to motivate reporting requirements, curfews, drug testing,
offenders internally as goals are attained, other specialized conditions) as warranted to
progress is made, and other positive behaviors promote accountability; at the same time,
and changes are identified. continue to broker programs and services
(e.g., mental health services, family
Community Phase interventions, substance abuse treatment,
In this final phase of the reentry process, the education/employment services) and work
primary case management goal is to ensure that closely with members of community support
offenders are stable and successful in the networks to ameliorate destabilizing
community, which ultimately translates into influences. Ground all supervision strategies
public safety. The most intensive case in the philosophy that offenders’ success in
management activities continue to be prioritized the community is the key to public safety, and
for high-risk, high need adults and juveniles, as implement research-supported supervision
they are most likely to have difficulties with approaches that have been demonstrated to
community reintegration. In addition, during the be most effective in attaining these outcomes.
Summary of Key Case Management Objectives in a Phased Reentry Process

Institutional Phase
Transition Phase
Community Phase
Realign the team
Triage offenders
composition Realign the team
Chart a course of composition
Link to community-
intervention via a case
based resources Supervise for success
management team
Explore community Re-assess and
Reinforce
support networks readjust
Review, re-assess, and
Re-assess, readjust, Reinforce and retreat
readjust
record, and reinforce
• Reassess and Readjust. Conduct formal invaluable opportunities for offenders to put
assessments (i.e., risk-need) and informal into place the skills they have developed or
assessments (e.g., via office and field visits, enhanced, while still having the supports and
communication with community supports, leverage of the criminal justice system as a
employers, and treatment providers) public safety backup if necessary. In other
throughout the course of the community words, the balance of external and internal
phase. These reassessments allow the case controls progressively shifts in favor of
management team to keep abreast of offenders’ self-reliance on internal controls,
important changes in offenders’ risk, needs, ideally reinforcing offenders’ abilities to
attitudes, behaviors, and overall remain productive and crime-free long after
circumstances and subsequently make any the period of post-release supervision ends.
necessary revisions to case management
plans. Detecting factors that signal an The Case Management Plan
increased potential for recidivism are Provides the Roadmap for
especially important during this phase. Institutional Corrections and
Examples include evidence of affiliating with Community Supervision
antisocial peers, use of drugs or alcohol, or Practitioners and Offenders Alike
unstable housing or employment. In these The interrelated objectives and activities that
instances, formal sanctions or other strategic span the three phases of the reentry process
adjustments to case plans may be required. underscore the fact that no single practitioner
Responses to violations must be can assume sole responsibility for all aspects of
proportionate to the nature and seriousness of case management. Effective case management is
the behavior and delivered in a manner that a shared responsibility among multiple agencies,
prevents unnecessary returns to incarceration organizations, and disciplines, all of whom are
while continuing to ensure accountability and working toward the same end goal of ensuring
public safety. public safety through successful reentry. This
parallels the goal of most adult and juvenile
• Reinforce and Retreat. Finally, in anticipation of offenders: returning to and remaining in the
offenders’ eventual discharge from the community.
correctional system, a key case management
objective is to cultivate self-efficacy and To attain this common goal, institutional
healthy autonomy among offenders, which is corrections staff, community supervision officers,
necessary for them to maintain stability and service providers, and offenders alike need a
success independently in the community. clear guide to help them navigate effectively and
Reentry outcomes are ultimately determined efficiently through the institutional, transition,
by offenders’ ongoing motivation, personal and community phases. The case management
commitment, and genuine change. Again, plan becomes that roadmap. It is the result of
these elements can be bolstered by carefully collecting and synthesizing key
consistently using incentives and reinforcers. information about an offender and translating
Therefore, as adult and juvenile offenders that information into a comprehensive plan of
demonstrate positive decision making and action that is:
increased responsibility over time, the case
management team should gradually reduce • Singular in nature
the intensity of case management efforts. • Individualized
Provided that offender risk does not preclude • Dynamic
such an approach, this allows institutional
corrections and community supervision When developing such a plan, the offender must
practitioners to provide more and more be engaged and involved in the process. After all,
effective case management is not about “doing parties involved, including the offender. It may
to” an offender; it is about working with an also create a situation in which the offender is
offender. If adult and juvenile offenders are not unnecessarily overburdened with demands, thus
encouraged and expected to be active decreasing the likelihood of successfully meeting
participants in their own case planning efforts, expectations.
they are less apt to take ownership and may be
more resistant to the interventions and strategies The ideal is to craft a single case management
that are designed to assist them. plan for each offender that comprehensively
addresses the intervention needs and
One Offender, One Plan management strategies that will ultimately
In some instances, because a given offender has facilitate a successful return to the community.
multiple needs that warrant intervention, This plan essentially becomes a behavioral
multiple case management plans are developed contract that integrates the following (see, e.g.,
for that offender. Consider the following Taxman et al., 2006; Taxman et al., 2004):
hypothetical: Shortly after the intake and
assessment process in a correctional facility, a • Specific, measurable objectives or
caseworker develops a service plan that outlines expectations for the offender—and the family,
the offender’s housing unit assignment, work as appropriate—during a specific period of
detail, and recommended prison-based time (e.g., 90 days).
interventions. Throughout the period of • Target dates associated with each of the
incarceration, as the offender enters the specific objectives.
prescribed programs (e.g., educational services, • Interventions and strategies that will be
substance abuse treatment, sex offender provided to assist the offender (and family)
treatment), separate intervention plans for these with meeting these objectives.
respective programs and services are developed • Staff responsible for working with the offender
and addressed independently with the offender. to meet these objectives through the identified
Later, for release consideration, or in anticipation interventions and strategies.
of a presumptive release date, a release plan is • Specific incentives, rewards, or consequences
developed and presented to the parole board or for meeting or failing to meet specific
other releasing authority. Once released, a objectives or expectations.
supervision officer creates a post-release
supervision plan that includes specific Individual Offender, Individualized Plan
conditions, restrictions, and community-based Because offenders differ in multiple ways, so
programming requirements. In turn, each should their case management plans. As
community-based program then develops an highlighted in the preceding chapters in this
individual plan for the offender. section of the handbook, outcomes are
maximized when interventions and strategies are
Although this illustration is extreme, it represents matched based on the individual risk level,
a very real potential. Even with the best of criminogenic needs, and responsivity factors of a
intentions, if the practitioners involved in reentry given offender. Put simply, one size fits all case
efforts fail to collaborate effectively around case management plans will not effectively reduce
management, a number of problems may arise. recidivism, increase public safety, or lead to
These include fragmented offender management successful reentry. Case management plans must
activities, duplication of efforts, unclear roles and be assessment-driven and tailored to the specific
responsibilities, lost information across agencies individual.
and disciplines, and misallocation of resources.
Moreover, using multiple case plans for a single To illustrate, consider an adult offender with an
offender can create confusion, frustration, and extensive history of substance abuse,
easy opportunities to pass the buck among all longstanding patterns of criminal behavior,
affiliation with negative peers, antisocial antisocial peers again, and tests positive during a
attitudes, and who is assessed at high risk for drug test, the case management plan would
recidivism. Initially, a primary objective on the need to be adjusted. Provided that the offender
case management plan may be to focus on can still be managed effectively in the community
engaging the offender and fostering internal with appropriate strategies, the revised plan
motivation. This could take the form of a might include a short-term residential treatment
correctional caseworker processing the program followed by day treatment, more
assessment findings with the offender to assist frequent drug testing, and increased contacts
with developing insight into the criminogenic with the supervision officer, both scheduled and
needs that ultimately led to incarceration (see, unannounced.
e.g., Taxman et al., 2006; Taxman et al., 2004). In
addition, the case manager provides information In contrast, the case management plan would be
about the prison-based intervention programs quite different for a moderate risk juvenile
and services that can give the offender a jump offender with very few criminogenic needs, but
start on increasing the likelihood of successful who is identified as having significant depressive
reentry and reducing the chances of being symptoms and a history of suicide attempts. The
incarcerated again. In so doing, the offender may plan during the institutional phase may initially
begin to independently recognize the importance target addressing suicidal ideation and self-
of engaging in the change process. injurious behaviors, and could include the use of
an anti-depressant medication. Later, a time-
The case management plan for this offender limited psychoeducational class about
might then be structured to include a cognitive understanding mental health disorders may be
skills intervention program to focus on cognitive added to the plan, followed by a weekly cognitive-
restructuring, emotional management, and behavioral group to address underlying causes of
problem-solving skills, followed by an intensive depression and symptom management.
therapeutic community substance abuse Ultimately, after identifying an appropriate
program within the correctional facility. It may be community-based provider, these interventions
further modified by including expectations that might be replaced with individual and family
the offender practice these skills on an ongoing therapy during the transition and community
basis within the institution, initially applied to phases. Updated assessment findings might
interactions in the housing unit, then expanded reveal a need only for low intensity post-release
to include the work assignment setting, and then supervision that includes medication
to leisure and other contexts or activities. When compliance, routine medication checks with a
the offender successfully meets these objectives, qualified mental health provider, outreach for
the case management plan might be modified crisis intervention services as needed, and
again to include a lower intensity maintenance relatively limited office or field contacts with the
program and AA/NA support groups, first in the supervision officer.
institution and continuing following release.
Dynamic Offender, Dynamic Plan
As this offender enters the community, the plan The case management plan must be a fluid,
may center around intensive supervision that flexible, and responsive working document that
includes random drug testing, maintaining evolves with the offender as the offender moves
employment (but that is restricted to minimize through the institutional, transition, and
exposure to high risk situations), routine office community phases. This is important because—
and field contacts, and ongoing substance abuse as highlighted in the examples above—changes
support groups. If the offender later begins to occur with offenders and their circumstances
demonstrate noncompliance with post-release over time. Some of these changes affect
supervision, is known to be affiliating with recidivism potential and intervention needs, and
others provide evidence of progress and stability. earlier curfew, and additional monitoring.
Regardless of the nature and direction of these Depending on the underlying reasons for
fluctuations, the case plan must be adjusted in noncompliance (e.g., substance abuse, marital
order to be most effective. conflict), relevant treatment services may need to
be incorporated into the plan as well.
For example, throughout the course of
incarceration, if an offender has participated in The dynamic nature of the case management
risk-reducing programs and services, completed plan is also important because the plan cannot
vocational skills training, and consistently realistically incorporate at the outset every
demonstrated positive institutional adjustment, potential intervention or management strategy
the case management team and classification that will be needed from start to finish. Rather, it
staff may determine that a transitional or should be limited to the key targets of change
community corrections facility is appropriate. that are most important during a given period of
The case management plan could then be time. Specific objectives and strategies should be
adjusted to focus on specific strategies relevant sequenced in a manner that makes the plan
for the transition phase, such as participating in manageable for both the offender and
prerelease classes or work-release programs, institutional corrections and community
exploring housing options, engaging in family supervision practitioners, generally beginning
reunification activities, or connecting with with the core criminogenic needs of that
employment services and other community- offender. As these objectives are met, the plan is
based resources. This also provides modified accordingly and new objectives replace
reinforcement for the progress made by the the old.
offender thus far, creates opportunities for
additional incentives for demonstrating prosocial A final advantage of a dynamic case
behaviors, and continues to foster internal management plan is that it promotes the
motivation. Alternatively, for an offender who has seamlessness that is so important for successful
been released under community supervision but reentry. Specifically, as a unified plan that is
who has recently begun to demonstrate initially crafted at the point of intake and is
noncompliance with release conditions, the case routinely updated and adjusted for continued use
management plan may require adjustments that through release and reintegration, it minimizes
could include more frequent officer contacts, an the potential for last minute (and oftentimes
Using the Transition Accountability Plan to Guide Case Management in Missouri
Participating State Agencies
Prisons Board of Probation and Parole

Institutional Transitional Community
Phases Phase Phases
1 2 3 4 5 Improve
Intake, Community
Assessment Programming Release Supervision Discharge Public
And And Preparation And And
Classification Treatment Services Aftercare Safety
Transitional Accountability Plan (TAP)
Adapted from MDOC, 2007
preventable) reentry barriers to arise. The
updates and changes to the case management KEY STEPS
plan are guided by information sharing that
crosses institutional and community lines. As • Establish or revise agency policies to
such, all stakeholders have a shared awareness ensure that comprehensive case
of ongoing intervention needs and required risk management expectations are clearly
management strategies and they are clear about delineated for each phase of the reen-
their respective roles in ensuring that these try process (i.e., institutional, transi-
issues are addressed in an adequate and timely tion, community).
manner. This results in greater accountability for • For each phase of the reentry
continuity of case management efforts, thereby process, clarify the specific case man-
reducing the potential for issues to fall through agement roles and expectations for
the cracks as offenders transition from the institutional staff and supervision
institution to the community. officers to prevent duplication of
activities or diffusion of responsibili-
Conclusion ties.
Identifying and then executing the wide range of • Develop complementary policies and
activities necessary to guide adult and juvenile procedures across institutional cor-
offenders through a successful return to the rections and community supervision
community is not a simple endeavor. This agencies that articulate specific
challenge is compounded by the need to ensure shared or collaborative case manage-
that correctional and community resources are ment responsibilities, including in-
efficiently managed, that interventions and reach and outreach activities during
strategies from multiple disciplines are the transition phase.
integrated and coordinated, and that public • Collaboratively develop a model for
safety is always maintained. Indeed, the overall case management planning that
case management process, which is largely establishes a single, individualized,
designed for these purposes, can seem quite dynamic plan for each offender.
daunting. Yet when institutional corrections staff • Incorporate key elements of the case
and community supervision practitioners and management process into formal per-
other key stakeholders work collaboratively as a formance expectations and reviews
case management team armed with a focused (e.g., in-reach and outreach activities,
plan of action, they are most ideally positioned to timely and assessment-driven case
accomplish each of these goals. plan development and reviews, appli-
cation of evidence-based practices).
Assess Your Agency:
Effective Offender Management Practices
Yes No Not
Clear
1. Assessment:
• Are offender assessments conducted shortly after admission to
prison, and in an ongoing fashion thereafter, to identify risk level,
criminogenic needs, and responsivity factors?
• Are empirically supported or promising assessment tools used?
If yes, please list which tools are used:
• Do the results of the empirically supported or promising
assessment tools inform the offender management process (e.g.,
treatment planning, supervision case planning)?
2. Case Management: Please answer these questions in relation to the

work done by staff and partners with individual offenders. This may
be termed “correctional counseling” or some other term within
correctional institutions, or “field supervision” while an offender is
under supervision in the community:
• Do the stated goals of case management (within institutions and in
the community) include the provision of safe, secure custody,
monitoring/supervision, and successful offender reentry?
• Is case management a seamless continuum from admission to
prison until the termination of community supervision?
• Does each offender have a single, dynamic case management plan
that follows him/her from intake through post-release supervision?
• Is this approach to case management supported and enhanced by
information technology?
• Does the case plan address the offender’s risk and needs at each
stage (intake and incarceration phase, prerelease planning phase,
and reentry and post supervision phase)?
• Is the case plan updated to reflect changes in the offender’s risk
and needs, and to document improvement and progress made?
• Is information about the offender exchanged between institution
and community supervision staff?
• Are multidisciplinary team approaches used to manage offenders?
• Are noncorrections partners (such as public agencies, community
partners, nonprofits, family members, etc.) involved in creating,
updating, and accessing case plan information?
• Does the case plan identify programmatic interventions appropriate
for the offender based on the offender’s assessed level of risk and
criminogenic needs?
• Do case management plans target the three to four (or more) most
significant criminogenic needs?
• Are offenders prioritized for participation in programs and services
based on risk and needs?
• Are policies, procedures, and priorities in place to facilitate the
actual delivery of such interventions to offenders?
• Are interventions delivered in a timely way in view of an anticipated
release date?
Assess Your Agency:
Yes No Not
Clear
• Are offenders active participants in creating and updating their own

case plans (as opposed to just complying with its terms)?
• Do appropriate corrections staff members (within institutions and
in the community) receive skills training on how to better engage
offenders in the change process?
• Are interactions with offenders, including infractions and
violations, viewed as opportunities to enhance motivation?
3. Institutional/Residential Interventions:
• Are existing institutionally-based programs and services for
offenders:
- Multimodal and integrated?
- Cognitive-behavioral in nature?
- Skills-oriented?
- Linked with parallel services in the community?
- Matched to offenders based on risk, needs, and responsivity
factors?
- Monitored and evaluated?
4. Proactive Release Planning:

• Does planning for release begin when offenders enter the
institutional or residential setting?
• Does the release planning process include both
institutional/residential staff and community stakeholders?
• Are barriers to reentry anticipated and identified early in the release
planning process?
• Are transition and case management plans tailored to address the
risk, need, and responsivity factors of every offender?
• Are offenders actively involved in the development of transition and
case management plans?
• Are community resources that support the transition process
identified prior to release?
• Are the needs of victims addressed in the release planning process?
5. Informed Release Decision Making:

• Are offenders released to the community through a discretionary
decision making process?
• Does the releasing authority have access to, and does it use, the
results of risk assessments, transition plans, and information from
institutional programming to inform decision making?
• Does the releasing authority establish conditions based upon the
assessed risk level and criminogenic needs of offenders?
• Does the releasing authority use structured guidelines to inform
decision making?
• Does the releasing authority use information from victims and
victim advocates to inform decision making?
Assess Your Agency:
Yes No Not
Clear
6. Success-Oriented Approach to Supervision:

• Do current supervision policies and practices reflect a strength-
based approach (in contrast to a more exclusive focus on deterrence
or punishment)?
• Is multiagency collaboration a key feature of supervision?
• Are supervision levels assigned and adjusted over time based on the
risk level and needs of each offender?
• Are the nature and frequency of field contacts guided by the risk
level and needs of offenders?
• Do supervision officers use incentives to promote and reinforce
pro-social, appropriate offender behavior?
• Are responses to supervision violations flexible, graduated, and
reasonable, and informed by the risk posed by offenders and the
severity of the violations?
7. Programs and Services:

• Do community and institutional programs and services
complement one another? (Is there continuity of care?)
• Are offenders linked to specific community supports that can
enhance the supervision process and promote success (e.g.,
informal social support networks, mentoring programs for
juveniles)?
• Are the following programs and services available to offenders
while incarcerated:
- Healthcare services?
- Behavioral health programs?
- Life skills assistance?
- Substance abuse services?
- Educational and vocational services?
- Employment assistance or job matching?
- Social services?
- Housing assistance?
- Programs for children and families?
while in the community:
- Social services?
Assess Your Agency:
Yes No Not
Clear
8. Monitoring and Evaluation:

• Has the agency established a specific monitoring and evaluation
plan regarding offender reentry with clearly defined performance
measures and outcomes, including:
- Educational achievement scores, graduation, or GED attainment?
- Job placement and retention?
- Stability in housing?
- Behavioral health symptom improvement?
- Sobriety?
- Stability of health?
- Family preservation?
- Recidivism?
- Nature and frequency of violations?
- Other(s)_____________________________________
• Are monitoring and evaluation data routinely collected and
analyzed?
• Are the results of the data analyses used to inform the development
and/or revision of reentry policies and practices?
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Section Seven:
Women Offenders
Judith Berman, Adapted by Susan Gibel
INTRODUCTION
As institutional corrections and community In this section, the unique challenges to
supervision agencies examine existing policies successful reentry faced by women offenders will
and practices and consider how best to adapt be explored. Chapter 1 outlines women
them to encourage successful offender reentry, offenders’ involvement in the criminal justice
important opportunities are presented to think system and their distinctive pathways to
about the varying needs of diverse groups of criminality. Chapter 2 focuses specifically on the
offenders, and how policy and practice takes principles of gender responsiveness. Finally, in
their different needs into account. The rapidly Chapter 3, an overview of the key offender
increasing population of women under management issues with women offenders is
correctional supervision, their differences from presented, with an examination of some of the
male offenders in terms of the pathways that specific issues raised in the reentry process.
bring them into the system, their risks and
needs, and their role in the community from This section is provided in recognition of the
which they have come and to which they will unique challenges faced by women offenders
return suggest that institutional corrections and returning to their communities; however, it is not
community supervision agencies need to think intended as a comprehensive exploration of this
differently about how to promote women’s topic. The section will provide a brief overview of
successful reentry. the issues involved and direct the user to
additional resources that may be useful in
crafting policies and practices to address women
offender reentry.
This section of the handbook was adapted from "Women Offender Transition and Reentry:
Gender Responsive Approaches to Transitioning Woman Offenders from Prison to the
Community.” The Bureau of Justice Assistance and the Center for Effective Public Policy
extends their thanks to the National Institute of Corrections and the article’s author, Judith
Berman, for permission to modify and include the article in this handbook.
Berman, J. (2005). Women offender transition and reentry: Gender responsive approaches to transi-
tioning women offenders from prison to the community. Washington, DC: U.S. Department of
Corrections, National Institute of Corrections. http://www.nicic.org/Library/021815, last accessed
November 28, 2007.
CHAPTER 1: WOMEN OFFENDERS
The population of incarcerated women offenders females, compared to a decrease for male
is growing, and continues to grow at a faster rate juveniles of eight percent (Snyder, 2006).
than the population of men (Harrison & Beck,
2003). Many trace the increase to changes in For many women, involvement in the criminal
State and national drug policies that mandated justice system has become a revolving door from
prison terms for even relatively low-level drug which they cannot escape, particularly for those
offenses. Nationally, the number of women who are drug-involved or for whom meeting the
incarcerated in State and Federal prisons and obligations of the system (supervision conditions
local jails has jumped eightfold between 1980 or fees and restitution, for example) becomes an
and 2002 (Lapidus et al., 2005). Between 1986 obstacle in itself. Many institutional corrections
and 1999, the number of women incarcerated in and community supervision agencies have taken
State facilities for drug-related offenses alone a position against differentiating between males
increased by 888 percent (compared to an and females and make efforts to apply policies
increase of 129 percent for non-drug offenses) and practices universally. Research, however, has
(Lapidus et al., 2005). The female offender identified significant differences between male
population continues to rise at a faster rate than and female offender populations that may help
the male offender population: from June 30, shed light on this revolving door (See, e.g.,
2003 to June 30, 2004, the number of women in Bloom, Owen, & Covington, 2003; Chesney-Lind,
State and Federal prison increased by 2.9 1997; Dehart, 2005; NIC, 2000; Richie, 1996).
percent, while the rate for men rose 2.0 percent
(Harrison & Beck, 2005). Moreover, this does Pathways to Criminality for Girls
not include women under community and Women
supervision. Offending patterns for women and girls are
qualitatively different from men. In comparison
A similar situation exists for female juveniles. to men, women are:
Although the juvenile offense rate in 2004 was
the lowest since 1980, the proportion of female • Less likely than men to have been convicted of
juveniles relative to male juveniles continues to a violent crime (Greenfield & Snell, 1999).
increase. Rates of arrest for female juveniles • Less likely to be a major dealer or kingpin in a
increased or decreased less than the rates of drug enterprise and less likely to have played a
arrest for male juveniles (Snyder, 2006). In 2004, major planning role in a drug related crime
24 percent of arrests for aggravated assault and (Lapidus et al., 2005).
thirty-three percent of arrests for other assaults • Less likely to have used a gun or other
could be attributed to female juveniles. These weapon in the commission of the crime
figures are much higher than those for female (Greenfeld & Snell, 1999).
involvement in other types of violent crime. • Less likely to present the same degree of
Between 1980 and 2004, the juvenile arrest rate danger to the community as their male
for simple assault increased 290 percent for counterparts (Bloom, Owen, & Covington,
female juveniles, compared to 106 percent for 2003).
male juveniles. Most of the increase in female
arrest rates for violence can be attributed to Women become involved in criminal behavior for
familial abuse or relational aggression, including different reasons than men do, and these
domestic violence (Chesney-Lind & Irwin, 2007). reasons are important when considering how to
Between 1995 and 2004, juvenile arrests for drug keep women from reentering the system once
abuse violations increased 29 percent for they leave. “Women’s most common pathways
to crime are based on survival of abuse, poverty, institutional environment and individual behavior
and substance abuse.” (Bloom, Owen, & (Hills, Siegfried, & Ickowitz, 2004).
Covington, 2003.) The relationship between
these three factors is complex and significant. Females in the Juvenile Justice
Physical, sexual, and emotional abuse are very System
common in the life histories of women Like adult women offenders, female juveniles
offenders. These can be the source of a enter the justice system with different and often
substance abuse problem (using drugs to self- more severe problems than male juveniles. Risk
medicate the pain of abuse) or they can also be a factors for female juveniles include childhood
result of involvement in a lifestyle that revolves abuse and neglect, mental health and substance
around substance use, such as an intimate abuse issues, problematic peer and dating
relationship with a substance abuser who also relationships, family contexts, and early
commits acts of sexual or domestic violence. childhood behavioral patterns (Acoca & Dedel,
Similarly, many women are driven to the drug 1998). Female juveniles are likely to be younger
trade by poverty or become involved in than their male counterparts (Bergsmann, 1994)
prostitution (often following a history of sexual and more likely to have run away from home
abuse) that then leads to substance abuse and (Chesney-Lind & Shelden, 1998) and to have
vulnerability to further physical and sexual abuse. attempted suicide (Miller, 1994). Female
In other words, violence in the lives of women juveniles experience higher rates of abuse than
prior to their involvement in the criminal justice do their male counterparts (see, e.g., Brosky &
system is often connected to the criminal Lally, 2004; Browne, Miller, & Maguin, 1999;
behavior with which they are charged (Bloom, McClellan, Farrabee, & Crouch, 1997), with
Owen, & Covington, 2003; Dehart, 2005; Lapidus estimates ranging from 43 percent to as high as
et al., 2005). 80 percent (Acoca & Dedel, 1990).
Similarly, women who are involved in the Although the incidence of mental health
criminal justice system are significantly more disorders among juveniles in the justice system
likely than men are to have mental health is high, it is particularly high among female
problems and/or previous involvement in the juveniles. A 1997 study estimated that 84 percent
mental health system (Ditton, 1999). For of female juveniles (compared to 27 percent of
example, the rate of Posttraumatic Stress their male counterparts) had evidence of serious
Disorder (PTSD) is very high among substance mental health symptoms (Timmons-Mitchell et
abusers, averaging 12-34 percent, compared to al., 1997). Similarly, an epidemiological study of
lifetime prevalence in the adult U.S. population psychiatric illnesses among youth in detention
of about 8 percent. For women with substance published in 2002 estimated that 74 percent of
abuse disorders, the rate is 30-59 percent (CSAT, female juveniles (compared to 66 percent of
2005b). Mental health problems serve as a their male counterparts) met the criteria for a
common trigger for substance use, and current disorder (Teplin, Abram, McClelland,
substance use can in turn exacerbate some Dulcan, & Mericle, 2002).
mental health problems, and/or set the stage for
further experiences of trauma. Women in the Family Role Distinctions
criminal justice system also experience high rates Another important difference between
of depression, anxiety, and other personality and incarcerated men and women is that women are
mood disorders (CSAT, 1999). Institutions are significantly more likely to have been primary
increasingly finding that helping women manage caretakers of children prior to entering prison
mental health symptoms through cognitive, (Mumola, 2000) and are more likely to plan to
behavioral, and relational approaches, and not return to that role upon release (Hairston, 2002).
just medication, has a positive impact on the This fact alone transforms the experience of
many incarcerated women. They are concerned Conclusion
in an ongoing way with their children’s day-to- Any attempt to address the successful
day welfare, since incarceration may have caused reintegration of female offenders into the
significant family disruption and children are community following incarceration in an adult or
often moved several times during a woman’s juvenile facility must address the many and
incarceration. While 90 percent of children of varied distinctions between male and female
male offenders continue to live with their mother offenders and integrate that information into the
during their father’s incarceration, only 28 development of informed policies and practices
percent of children of female offenders live with that build upon the strengths presented by those
their other parent. Instead, they live with distinctions. Institutional corrections and
grandparents (52.9 percent), other relatives (25.7 community supervision agencies must be
percent), in non-relative foster homes (9.6 cognizant of different pathways to criminality for
percent), or with friends/others (10.4 percent) girls and women and the impact of those
(Mumola, 2000). experiences on both their interaction with the
justice system and their ability to reintegrate
Incarcerated women stand to lose their parental following release.
rights if they do not stay abreast of child welfare
actions that require regular contact between a Female offenders, regardless of age, present
parent and a child placed in foster care (see, e.g., dissimilar risks to the communities to which they
Adoption and Safe Families Act (ASFA) of 1997, return. In addition, they impact in different ways
and for more information about ASFA, see Child the communities to which they return, often
Welfare League of America’s Web site at reassuming primary responsibility to provide and
http://www.cwla.org.). At the same time, few care for children and/or other family members.
correctional institutions maintain relationships While they share the need for suitable
with child welfare agencies that would facilitate employment, housing, and treatment programs
the sharing of information with offenders, and with male offenders, programs and services
enable offender participation in relevant designed to meet these needs for female
proceedings. The limited number of facilities for offenders must also address issues related to
women means that visitation can be especially histories of physical and sexual abuse and
difficult, since children and caregivers may have depression.
to travel long distances and caregivers often do
not have the time or the means to do so. The The unique characteristics of this population and
negative impact of a threatened mother-child the strengths and challenges they bring to efforts
relationship, whether through action like a to reintegrate female offenders should be fully
Termination of Parental Rights petition or explored as part of building effective and gender
inaction like lack of contact, can have a dramatic responsive reentry strategies.
impact on women during their incarceration, as
well as increase the obstacles faced during
reentry.
CHAPTER 2: GENDER RESPONSIVENESS
Research on the differences between male and abuse behaviors (Hanson, 2002). Because so
female offenders invites institutional corrections many women in the criminal justice system have
and community supervision agencies to consider substance abuse problems, this field has
how policies and practices either acknowledge or contributed significantly to the thinking about
ignore the ways in which women’s experiences gender responsive approaches to women
within and outside the criminal justice system offenders.
are different from their male counterparts. It also
invites consideration of how the role of The health field has also been instructive. For
institutional corrections and community example, recent research on heart disease has
supervision agencies in supporting the success substantiated differences in the way heart attacks
of reentering women offenders might be manifest in women. While the disease is
adjusted to maximize the strengths inherent in essentially the same, a blockage in the flow of
these differences and minimize the inherent blood to the heart muscle, women often
challenges and obstacles. Researchers in this experience a different set of symptoms than men
field call this being “gender responsive:” taking do. This has caused many women and their
account of the differences in experience that men doctors to fail to recognize a heart attack in
and women bring to the criminal justice and progress (McSweeney et al., 2003). Thus, it is
institutional corrections and community not only in the obvious areas of reproductive
supervision systems and adjusting strategies and health that physicians and researchers need to
practices in ways that are appropriately look at differences between men and women.
responsive to those differences (Bloom, Owen, & Instead, they need to look at the many and subtle
Covington, 2003). While this also opens the door ways in which women’s bodies are different from
to looking at more effective gender responsive men’s bodies. Once these differences are
programming for men (such a step would be understood, they must take the next step of
encouraged), the correctional system was educating the public and health care
designed with the predominantly male practitioners about how to respond more
population in mind, incorporating assumptions effectively to health problems in women.
about typical male behaviors, experiences, and
criminal pathways. While this has not necessarily Principles of Gender
produced the desired results for men, as there is Responsiveness
significant work to be done in improving offender A gender responsive approach to women
reentry success rates for men, it has in effect offenders in the correctional system includes
rendered the unique experiences of women several key elements or principles, according to
invisible within the field of criminal justice. Gender Responsive Strategies: Research, Practice,
and Guiding Principles for Women Offenders, the
The study of gender responsiveness has taken influential 2003 report by Bloom, Owen, and
cues from many other arenas, including Covington. These principles address the areas of
substance abuse treatment, which has begun to gender, environment, relationships, services and
recognize the limitations of certain treatment supervision, economic and social status, and
models when used with women, differences in community:
women’s typical patterns of and physical
responses to substance abuse, and the • First and foremost is the simple
importance of addressing issues of trauma and acknowledgement that gender does make a
victimization as part of a comprehensive difference for correctional practice. Without
approach to intervening in women’s substance this acknowledgement by senior policymakers,
and grounding in the knowledge of gender • Women’s typical pathways into crime and the
differences, there is little support for changing criminal justice system involve a complex
and improving policy and practice based on interplay of trauma and victimization,
the gender specific needs of women. substance abuse, and mental health problems.
Services and supervision provided to women
• Next would be creating an environment based offenders, therefore, should address these
on safety, respect, and dignity. Given the high issues in an integrated way in order to
rates of trauma and victimization of women in respond most effectively to how women
the correctional system, it is important for actually experience and understand them.
both offenders and staff that the environment Cultural issues also need to be appropriately
does not reinforce or exacerbate the impact of integrated into program design in order to
a history of violence. Women must be free increase participant retention and have
from sexual and other forms of abuse by staff maximum impact on the targeted offenders.
and other offenders. As the field of psychology
has taught, behavioral change is most likely to • From a socioeconomic point of view, most
occur in environments that are safe, nurturing, women who enter the criminal justice system
compassionate, and consistent. While these are economically disadvantaged, with little
are not concepts typically associated with a education, few job skills, and sporadic
prison environment, taking cues from the field employment histories. Many have relied on
of treatment becomes increasingly important public assistance that, in some states, will no
as the field of corrections renews its longer be available following a felony drug
commitment to rehabilitation and offender conviction. At the same time, many of these
success in the community. women are single mothers who must find
ways to support both themselves and their
• The field of developmental psychology (and children. Their capacity to be economically
much anecdotal experience) teaches that self-sufficient is essential to their success in
women’s experience is defined through their community, especially if understood in
relationships, in contrast to men, whose the context of relationships. Women who are
major developmental tasks are defined not self-sufficient must depend on family or
through achieving autonomy and significant others. While some families and
independence. Many of women’s criminal significant others can be sources of
experiences can be best understood in the tremendous support and stability, others can
context of unhealthy relationships, often with contribute to women’s instability and leave
significant others who encourage substance them vulnerable to further involvement in
abuse or make demands on women to substance abuse or other criminal activities.
become involved in the drug trade or
prostitution. Because of dysfunctional family • Women typically return to the same
backgrounds and histories of domestic communities from which they left to go to
violence and sexual abuse, many women in prison. The challenges they faced there likely
correctional institutions have no experience of will still exist for them upon their return.
healthy, trusting, prosocial relationships with Therefore, they need to find support within
either men or women. For correctional those same communities in order to face the
practice, this means that policies and myriad challenges that accompany reentry:
practices need to promote healthy staying clean and sober, finding safe and
relationships within the institutional setting, sober housing, returning to a primary
as well as support offenders’ healthy caretaker role for their children, finding
connections with children, families, significant employment that pays a livable wage along
others, and the community. with child care and transportation, and
negotiating the requirements of community Conclusion
supervision along with the possibility of Research has provided important information on
additional requirements of the child welfare how a consideration of the different experiences
system. For some women, this also involves of male and female offenders can impact
finding care for chronic health conditions like successful reentry. While both male and female
HIV. Just as the services and programming offenders face many of the same challenges to
within corrections need to take account of the success (e.g., housing, employment, substance
interrelationship of substance abuse, violence, abuse issues), the solutions to these issues often
mental health, and family/relationship issues are achieved through different methods,
in women’s lives, so do supportive services in requiring different sets of skills, services, and
the community. Services must be programming. An acknowledgement that gender
comprehensive, and must be coordinated so makes a difference in the success of institutional
that receiving support does not place corrections and community supervision
additional burdens on returning offenders. In agencies’ reentry policies and practices is a key
order to achieve this level of service for first step in developing a strategic plan that will
women, institutional corrections and provide avenues for successful reentry for the
community supervision agencies need to join growing population of women offenders.
forces with public and private community
organizations to ensure that the community
support is available for women to successfully KEY STEPS
fulfill their criminal justice system obligations,
and achieve successes that will ensure that • Acknowledge that gender (male and
they do not return to prison. female) makes a difference.
• Apply the principles of gender
There is ongoing work in the development of responsiveness to the development
specific models for practice based on these and implementation of reentry poli-
gender responsive principles. They can serve as cies and practices.
both a basis for self-assessment and a guideline • Use models from other fields of study
for implementation of changes. Many (such as health and substance abuse
jurisdictions have incorporated these principles treatment) to inform the considera-
through such practices as developing contractor tion, development, and implementa-
requirements for women’s treatment services tion of gender responsive policies
that require a gender specific treatment and practices.
approach; creating gender specific caseloads for
community supervision; revising family visitation
programs to better support mother-child
relationships; and revising intake procedures to
identify and address PTSD and co-occurring
mental health and substance abuse disorders
early in a woman’s stay in prison so that women
suffering from trauma are better able to cope
with the demands of institutional life. These are
just examples of ways in which gender
responsive principles have been translated into
practice.
CHAPTER 3: KEY MANAGEMENT ISSUES
FOR WOMEN OFFENDERS
While women face many of the same obstacles Every offender goes through a process of
as men during their period of incarceration and assessment upon entry into an institution, and
throughout the early stages of their return to the often at various stages throughout their
community (e.g., addressing substance abuse incarceration and beyond. Full and accurate
issues or locating jobs and housing), women’s information gathering is a critically important
reentry experience is influenced by the same component of reentry, since all decisions about
factors that create their unique pathways into the an offender’s experience (from custody level, to
criminal justice system. These include: eligibility for programs, to type of programming
needed, to the types of support necessary to
• Histories of physical and sexual abuse. achieve success) are linked to what can be
• The combination of substance abuse and known about each offender, the risks the offender
mental illness. presents, and what types of programming and
• Economic disadvantage. support the offender needs in order to succeed.
In addition, women offenders are unique in that

they are challenged by the expectation (their own Prerelease is not the beginning of offender
and that of others) that they will resume full-time reentry. It is a stage that follows and
parenting responsibilities upon their release. In should be built upon efforts that begin at
addition, many also are faced with the challenge intake, including assessment, case
of managing chronic physical health problems planning, and the provision of programs
such as HIV or hepatitis. Perhaps one of the and services.
greatest challenges for institutional corrections
and community supervision agencies is the need
to understand and implement strategies that Assessments, however, serve many different
address this entire complex of issues purposes. The first function of assessment and
simultaneously rather than considering them the mainstay of most correctional programs is a
independently or sequentially. classification system that predicts an offender’s
likelihood of rearrest, reconviction, absconding
Assessment (e.g., community risk assessment instruments),
or serious misconduct (e.g., institutional custody
Assessment: Key Questions classification and reclassification instruments).
1. Is information gathered on the issues Another important function of assessment is the
that are most relevant to women (e.g., identification of treatment needs. Needs
abuse and trauma, family and assessments complement the risk assessment
children, mental health, and direct correctional practitioners to treatment
relationships)? targets that should be addressed during the
2. Have the assessment tools been correctional term and upon release. These
validated on a relevant female assessments are often understood in terms of
population? the particular tools that are used. Most states,
3. Does the staff conducting assessments however, use the same assessment tools for men
understand the areas in which male as they do for women, despite what is known
and female offenders differ? about the different pathways, needs, and
custodial behavior presented by males and
females. An inventory conducted by the National shared by men and women are, in fact, the ones
Institute of Corrections, now several years ago, that will contribute most significantly to women’s
found that at that time only fourteen states had success both within and outside the institution
validated institutional risk assessments for (Hardyman & Van Voorhis, 2004). Some studies
women offenders, and fewer (eight states) had suggest that factors such as the well-being of a
different needs assessments for women and men woman’s children, which are not accounted for
(Van Voorhis & Presser, 2001). in existing gender neutral assessment tools, have
a profound impact on women’s institutional and
post-institutional behavior and need to be
The first step in assessment should be understood more fully (Hardyman & Van
asking each woman her goals in each of Voorhis, 2004).
the basic life areas.
Institutional corrections and community
supervision agencies are strongly encouraged to
Tools that are validated on male populations examine their assessment processes and ensure
invariably overclassify the risk level of women that the tools that are being used for women
offenders. In other words, the highest risk have been validated on an appropriate female
women are almost inevitably lower risk (for population. More importantly in the short term,
assaultive misconducts, non-walkaway escapes, however, is to recognize the need to gather full
and violence) than the highest risk men and accurate information about the women who
(Hardyman & Van Voorhis, 2004). The are entering the institutions, whether that is
designation of high risk, therefore, accomplished by revising existing tools or simply
miscategorizes some women offenders and can supplementing existing tools with additional
lead to fewer opportunities for programming and assessment instruments in order to solicit
stepdown to community placements. In addition, information on those factors known to be
there is evidence that some factors currently important to women. These factors include:
assessed in ostensibly gender-neutral tools history of abuse; current relationship status;
operate differently in men and women. For mental health concerns, especially PTSD; family
example, a factor like greater education that issues (including how many children the offender
suggests lower risk of institutional infractions has, whether she is caring for parents or other
among men enhances rather than lowers the risk family members, who provides care in the
of such infractions among women (Hardyman & woman’s absence, concerns the offender has
Van Voorhis, 2004). about family members’ wellbeing, and whether
she needs assistance in working with child
Another problem with these non-validated, non- welfare agencies to ensure that her parental
gender specific tools is that they can miss some rights are not terminated); and socioeconomic
of the issues that constitute women’s unique history and what she will need in order to
experience, and therefore provide insufficient become economically self-sufficient.
information about the placements,
programming, and other needs that will advance Research is underway to test whether and how
women’s success. While current correctional these gender specific factors actually predict risk
practice strongly emphasizes the need to (McCampbell, 2005) and it is clear that the
dedicate resources toward the criminogenic current generation of risk assessment tools has
needs of offenders (or in other words, those not adequately addressed these issues for
factors most likely to contribute to future women. Preliminary evidence has been reported
criminality) (Andrews & Bonta, 1998), there is which suggests that when gender responsive
considerably more research needed to items are used to predict criminal behavior they
understand whether the criminogenic needs are more predictive than traditional risk/need
assessments (Van Voorhis, 2007; Blanchette, Finally, sufficient attention should be paid to the
2007). Further research is needed to augment context of these assessments since it might be
these findings; however, it is clear that the issues expected that women will withhold information
identified above (e.g., mental health, child care, unless and until they can trust that it will be used
relationships) are significant issues that must be for their benefit and not their detriment. This is a
acknowledged and addressed before a woman difficult task in the correctional environment but
will be able to address those factors successfully. one that is built upon the gender responsiveness
principles of both environment (safety, respect,
Until recently there have been few efforts to and dignity) and relationships (modeling and
develop or modify assessments to be gender facilitating healthy connections with others).
responsive. However, there are some recent
developments that hold promise: Behavior and Programming
• The National Institute of Corrections, in Behavior and Programming:

conjunction with Pat Van Voorhis at the Key Questions
University of Cincinnati, has developed a 1. Does staff have the necessary training
comprehensive gender responsive assessment to translate assessment information
tool that has been validated with a sample of into a meaningful case plan?
women in Missouri (Van Voorhis, 2007). 2. Do programs and services effectively
• The University of Cincinnati has developed a correspond to the risks and needs
trailer which consists of a number of gender identified among women?
responsive items that can be used in addition 3. Do programs and services, and the
to existing risk needs assessment tools (Van structure through which they are
Voorhis, 2007). delivered, reflect the interrelatedness
• Orbis Partners of Ottawa Canada of women’s risks and needs?
[www.orbispartners.com] is piloting a
risk/needs/strengths assessment that was
developed for women. The Service Planning As part of the transformation from a security-
Inventory for Women (SPin-W) incorporates oriented to success-oriented approach to
gender responsive needs and protective corrections, women’s institutions must consider
factors across ten critical domains. how to incorporate the elements of gender
responsiveness on both a structural and
Whatever tool is used, information needs to be programming level. Of primary concern is
gathered across all of the basic life areas ensuring that women who have experienced
(subsistence/livelihood, residence, physical, sexual, and emotional trauma, especially
health/sobriety, family/relationships, and criminal those with PTSD, are not further traumatized by
justice compliance). This will enable a the environment or the behavior of staff,
determination of what concerns women are including but not limited to sexual misconduct
bringing with them to the institution that will and verbal abuse. This is both a training and
impact their experience, what issues need to be leadership issue, representing the kind of broad
resolved over the period of incarceration, and organizational change covered in Section Three. It
what challenges will need to be surmounted as requires the coordination of new training for staff
they approach their release into the community. on key issues related to women offenders and the
Assessments should also be looking for reconsideration of existing policies and practice
strengths and protective factors that can be related to providing incentives for staff to adopt
nurtured in order to build women’s resilience as new behaviors. It also requires the clear and open
they face the challenges they will inevitably commitment of the institutional leadership to
encounter while incarcerated and upon release. implementing this kind of change. Taking on
institutional culture is a difficult but necessary
element of facilitating successful reentry for Because the challenges women face in the
women offenders, since their experience within community are interrelated, programming
the institution will inevitably impact their for women must address these issues in
experiences on the outside, perhaps far into the integrated rather than compartmentalized
future (Harding, 2000). ways. For example, programming must
reflect an understanding of how violence
Structurally, consideration should be given to the in the lives of women impacts many of
creation of appropriate and sustainable their decisions and experiences, including
relationships between offenders and where to work, where to live, who to trust,
representatives of the institution, such as with whom to associate, and whether to
creating a case management system whereby use drugs.
women are encouraged to develop a healthy,
supporting, or encouraging relationship with a
team of staff members whose primary interest is Programming availability and content must also
the woman’s success. This can also be reflect the gender specific needs of women.
accomplished through connections between the Because the challenges women face in the
institution and community-based agencies. community are interrelated, programming for
When community-based treatment and other women must address these issues in integrated
service providers are encouraged to provide rather than compartmentalized ways. For
services to women in the institution, these same example, programming must reflect an
service providers are better equipped to provide understanding of how violence in the lives of
ongoing services to the women when they leave women impacts many of their decisions and
and, in fact, may be better equipped to experiences, including where to work, where to
anticipate, plan, and proactively prepare live, who to trust, with whom to associate, and
offenders for release than those with institutional whether to use drugs. Only when women receive
experience alone. With the connections and help in understanding these interrelationships
relationships in place, women offenders may be can they begin to develop strategies for
more likely to follow up with essential services sustaining a healthy crime-free life in the
upon their return to the community, thus community.
enhancing their likelihood of success in all of the
basic life areas. This is especially important Additional Considerations in the
because women typically have shorter lengths of Transition of Women Offenders
stay in prison than do men (Greenfeld & Snell,
1999; Parke & Clarke-Stewart, 2002). There is Subsistence/Livelihood
often insufficient time for women to complete In order to succeed in the community, women
treatment and other types of programming need to be equipped for gainful employment.
during their incarceration. Community Institutions can benefit from partnerships with
partnerships are essential to ensure that what is local or statewide workforce development
begun in the institution can be completed in the agencies in order to ensure that institutional
community, and/or opportunities for treatment education, job readiness, and employment
and programming that are missed in the training match the opportunities available to
institution can be compensated for in women on the outside. Too often women spend
community-based programming. valuable time learning skills that their criminal
justice status will prevent them from using for
legal employment (i.e., employment requiring
licensure, often unavailable to those with felony
criminal records), or that are unlikely to lead to
jobs with sufficient wages for them to support a creating child friendly visiting spaces and policies
family. Women who cannot support themselves (e.g., allowing physical contact, providing snacks,
will need to rely on others, and research on the removing limits on the number of children that
pathways to criminality for women offenders can visit, working with community groups to
indicates that this dependence is often directly develop programs for weekend long visits; pairing
related to their criminal behavior. Programming parenting classes with therapeutic visiting
needs to target long-term economic self- programs, flexible visiting hours). Institutions
sufficiency as a primary goal, and begin moving should consider eliminating family visits from the
women offenders in that direction to the extent list of privileges that can be taken away and
possible. instead view them, like daily exercise, as activities
essential to offender well-being. Other methods
Residence of strengthening family/relationship ties include
Most jurisdictions have many fewer institutions creating family reunification counseling programs
for women than men do. As a result, most to help prepare offenders and their significant
women are housed far from the communities to others for the challenges of reentry, and
which they will return (an average of 160 miles) identifying a child welfare liaison to ensure
(Travis, Cincotta, & Solomon, 2003), which limits women are aware of and meeting obligations that
their ability to build relationships with and/or will prevent termination of their parental rights.
remain connected to both the people and
services in those communities. The use of When women do have children in foster care,
community-based alternatives for women is they need assistance from the correctional
especially important for this reason. Community- institution to remain in contact with their
based residential facilities for women can help children. They may need flexibility on approved
prevent some of the disruption caused by phone numbers (foster children can be
incarceration while serving many of the same transferred with minimal notice and case workers
purposes, especially for those women who are reassigned) and the ability to make calls that are
classified at the lowest custody levels. Women not collect (not all foster parents will accept
should be diverted to or transferred to collect calls), copy cards and letters sent to them
community-based facilities for as much of their (to prove that the offender kept in contact), and
sentences as possible. work with legal services to prepare for and attend
hearings. Even if children are not in foster care,
Family/Relationships they may enter a crisis and women may need
For the wellbeing of women offenders, as well as flexibility in order to be involved. For example,
their children and their children’s caregivers on children may attempt suicide, drop out of school,
the outside, institutions need to develop policies get evicted from their living situation, or have an
and practices that recognize that healthy emotional breakdown. While incarceration
relationships are critical to women’s long-term inevitably disrupts family and community
success. “Studies comparing the outcomes of connections, there are myriad ways that
prisoners who maintained family connections institutions, in partnership with community-
during prison through letters and personal visits based organizations, can work to mitigate some
with those who did not suggest that maintaining of those effects and better prepare women and
family ties reduces recidivism rates.” (Travis, their significant others for their eventual return.
Cincotta, & Solomon, 2003). Institutions must
work to remove as many obstacles as possible to Health/Sobriety
sustaining and, where possible, improving the Most women who enter prison are in poor health
essential connections between women, their as a result of lifestyles that damage their bodies,
children and families, and other members of their and poverty and histories of abuse prevent them
existing support networks. This can include from seeking and receiving the help they need
(Bloom, Owen, & Covington, 2003; CSAT, 1999). Department of Health and Human Services, has
Ironically, prison may be the first place that published a variety of technical assistance
women receive regular treatment for both acute materials pertaining to best practices in
and chronic physical and mental health substance abuse treatment for women, including
problems. Screening for health problems in Substance Abuse Treatment for Women Offenders,
women is essential, both because some of the Guide to Promising Practices (CSAT, 1999). The
health conditions are infectious and may need CSAT approach is to view substance abuse as
specialized management, and because physical being intricately intertwined with all the major
and mental impairments can prevent women facets of a woman’s life. The substance abuse
from participating in and benefiting from other cannot be addressed as an isolated problem. If a
essential programming. Some recent studies woman is to heal and maintain recovery, the
have suggested that women entering prison have treatment program must help her address both
much higher rates of self-injury or self-harm than her social and psychological needs. These areas
women who are not incarcerated. Women include the impact of physical and sexual abuse
offenders who exhibit self-injury behaviors do not during childhood, depression, domestic violence,
adjust to the institutional environment or the drug and alcohol abuse of her partner,
respond to programming as well as women who relations with her children, and the guilt, shame,
do not exhibit this behavior (Wichmann, Serin, & and low self-esteem and confidence that her life
Abrucen, 2002). Understanding this critical issue experience has produced (CSAT, 1999).
from a behavioral and programming perspective
(not to mention assessment) seems critical to According to the National Institute on Drug
successfully working with women while they are Abuse (NIDA, 2005), research shows that
incarcerated. women receive the most benefit from drug
treatment programs that provide comprehensive
Women also need to be screened for pregnancy services for meeting their basic needs, including
so that proper prenatal care can be administered access to the following:
and preparations made for birth and infant care,
or steps can be taken to terminate the pregnancy, • Food, clothing, and shelter
if appropriate. It is important that treatment be • Transportation
provided in a manner consistent with individual • Job counseling and training
dignity, respect, and privacy. Too often women in • Legal assistance
prison are treated as if their bodies are public • Literacy training and educational opportunities
property (Galbraith, 1998), and this kind of • Parenting training
treatment runs counter to the ultimate goal of • Family therapy
encouraging women to value and take care of • Couples counseling
their bodies. In addition to treatment for disease, • Medical care
institutionalized women need education on • Child care
health related issues, including reproductive • Social services
health, nutrition and exercise, mental health, and • Social support
managing chronic diseases. • Psychological assessment and mental health
care
Of all the health issues that women bring to • Assertiveness training
prison, substance abuse is probably the most • Family planning services
common, both alone and in combination with
other mental and physical health problems. The While some of these issues (such as
Center for Substance Abuse Treatment (CSAT), a transportation or couples counseling) are less
branch of the Substance Abuse and Mental relevant to incarcerated women, they become
Health Services Administration of the U.S. very relevant to women upon leaving the
institution. Correctional substance abuse working with women often use write-ups as a
program leaders, therefore, need to consider how way to manage minor incidents, which has
to partner with their community corrections significant repercussions for incarcerated women
counterparts and community-based treatment (Hardyman & Van Voorhis, 2004). Multiple
providers to ensure that these offender reentry infractions such as staff disrespect or yelling can
needs are addressed through their program elevate a woman’s custody level, thus limiting
design that should, ideally, involve community- her access to visitation, programming, and
based providers in a seamless network of ultimately release on supervision, despite the fact
services. that these women pose little risk to safety either
within or outside the institution. In addition,
The principle that emerges from the well- disciplinary codes in the institutions often fail to
researched area of substance abuse intervention distinguish between misconducts with severe
is the need to integrate and not isolate the and relatively minor implications. For example,
various elements of women’s experience in all assaults will be coded the same, whether
program design. This will apply to substance involving a sexual assault, an aggravated assault
abuse as well as mental health treatment, involving substantial injury to the victim, or
physical and sexual health education, simple assaults with no injury (which is far more
employment training and preparation, parenting common among women). This, too, can result in
skills programs, and general life skills, stress over classification of women. Moreover, there are
management, problem solving, and other implications: at the time of release, the
empowerment. Each of these topics needs to paroling authority’s release decision may be
integrate information on coping with trauma and based on a skewed impression of what a high
mental health symptoms; managing parenting, number of misconducts represent in terms of
elder care, and childcare responsibilities; and women’s institutional compliance and risk of
dealing with sexual harassment or abuse reoffense.
(whether by a partner, treatment provider,
employer, corrections officer, or supervision
officer). All must be oriented toward increasing Women commit far fewer serious and
women’s self-efficacy, the sense that the offender violent misconducts than men but are
has the power to affect the course of her life. The more frequently cited for minor
combination of integrated service elements with misconducts. Researchers note that staff
attention to the institutional and treatment members who are inexperienced or
environment can have a profound effect on untrained in working with women often
women’s ability to move toward genuine use write-ups as a way to manage minor
behavioral change. On an institutional level, incidents, which has significant
understanding the issues that impact a woman’s repercussions for incarcerated women.
health can suggest a variety of funding sources
that may assist the woman in receiving the care
the offender needs in the community. The issue of institutional misconducts reaffirms
the importance of gender specific assessments,
Criminal Justice Compliance both at initial classification and reclassification.
As most correctional officers know, women’s For one thing, troubled women (i.e., those with
behavior in institutions differs from that of men. mental illness, experiences of abuse, substance
Women commit far fewer serious and violent abuse, and other high needs) appear to commit
misconducts than men but are more frequently more misconducts than women who score high
cited for minor misconducts (Hardyman & Van on criminal and institutional history (the
Voorhis, 2004). Researchers note that staff traditional predictors) (Hardyman & Van Voorhis,
members who are inexperienced or untrained in 2004). Thus, for women, needs may be better
predictors of misconduct than criminal history, • Social security card
though most institutions still rely on the latter • Birth certificate
rather than the former to make classification • Government identification
decisions (and custody classification according • Copy of her case management plan (with
to need rather than behavior poses ethical updated assessments)
questions that need to be addressed) (Hardyman • Schedule for her first week
& Van Voorhis, 2004). In addition, most
assessments do not take account of gender This can be a difficult process requiring
specific needs, even those that have been shown significant coordination, and should be initiated
to correlate to institutional adjustment such as in a timely fashion. The offender will need both
having been a victim of child abuse, money and transportation from the facility to her
codependency or lack of power in relationships, new residence. Most importantly, the offender
and mental health (Hardyman & Van Voorhis, will need a case manager or other supportive
2004). contact in the community who can help her
negotiate the challenges of her reentry.
Release Preparation Depending upon how long the offender has been
Release preparation should begin immediately incarcerated, the offender may need an
following intake assessment and the orientation to new technologies, such as credit-
development of an individual programming plan. like cards for public transportation, public
Like their pathways into the system, women’s assistance, and Medicaid. Community-based
needs upon leaving institutions are directly agencies, faith groups and others can be
influenced by their gender specific experience. important allies both to the individuals being
While all offenders need to think about housing, released and to the institutions. They can serve
women need to consider whether they will be as a necessary bridge and offer services that
safe from domestic violence if they choose to live women need but that the institution is not
with an intimate partner. While all offenders need structured to provide.
to consider job opportunities, women typically
have more limited work histories and lower As part of a systemic approach to offender
expectations for their wage levels than men do, reentry, the prerelease period should include
despite their need to support themselves and updated assessments and revisions to the case
their children (LaVigne, Kachnowski, Travis, management plan, as necessary. If the
Naser, & Visher, 2003). Reunification with institutional programming plan has been
children may be the primary issue for women, so successful, women will be returning to the
they are also more likely to need childcare, and community with different needs than when they
will have to consider whether a potential job left. These changes should be noted both to
location or schedule will allow them access to assist the woman in developing her sense of
affordable childcare opportunities. Thus, as success and self-efficacy, and to assist the
women are prepared for release, the subjects community supervision agency and community
may be similar but the questions and issues that service providers in moving forward with the
need to be addressed are likely to be different woman rather than duplicating work that has
from those addressed for men. been done. Institutional corrections and
community supervision agencies need to look
At the time of release, women should leave the carefully at parole rates, look at the releasing
institution with the essentials for their survival. authority’s interpretation of institutional
The release package should include: behaviors, and ensure that women are being
released on supervision at rates at least equal to
• All paperwork those of the male population. If a case
• A reasonable supply of medication (based on management plan is being used to help assess
the availability of public health services) offenders’ eligibility for supervision, and the
programming or other structural support is not Research has shown that offenders who
in place for women to meet the goals of their participate in work release programs are more
plans successfully, the institution may need to likely to find and retain employment in the three
address this issue on a system-wide basis. to six months following release than those who
participate in either job training or job readiness
Additional Considerations During education or institutional job placements
Release Preparation (LaVigne, Kachnowski, Travis, Naser, & Visher,
2003). There have traditionally been many fewer
Subsistence/Livelihood work release opportunities for women than for
While the ultimate goal is for women to be self- men, but clearly this is the direction to follow to
supporting and financially independent, with assist women in achieving financial stability. The
sufficient education and training opportunities to particular challenge for women is ensuring that
ensure long-term stability and growth, the financial dependence does not lead to
immediate concern in the prerelease phase is on relationships that jeopardize their sobriety, their
short-term survival and stabilization. Women physical, sexual, and emotional safety, or their
should be working toward job opportunities that likelihood of becoming involved in criminal
will provide living wages and benefits, though activities. When domestic violence is an issue in
subsidized employment and minimum wage a woman’s life, the offender needs to be actively
work are often necessary as a beginning, due to encouraged to seek alternatives to returning to
poor work histories and discrimination by the abusive relationship. While such a
employers. Women offenders reentering the relationship may satisfy an immediate need for
community will also need to consider where they financial support and companionship, it can be
will acquire food, clothing, and other essentials highly detrimental to her longer-term prospects.
upon release, and where they will be able to
receive mail, make phone calls, and receive Residence
messages in order to pursue job, housing, and Residential goals include safe, sober, permanent
other opportunities and responsibilities. (and permanently affordable) housing that will
Institutions can help by ensuring that women accommodate a woman and her children, though
apply for any public health or cash benefits for many women pass through homeless shelters
which they may be eligible at the earliest possible and other housing alternatives on their way
opportunity, including prior to release. Some toward the goal of a permanent residence.
programs take as long as three months to Women may need to rely on a network of family
determine eligibility, and still others routinely and friends, though this option should be
reject certain types of applicants and require an carefully considered in terms of whether the
appeal. Assisting women in this area may require situation supports or threatens her sobriety
working with other public systems both to (Sullivan, Mino, Nelson, & Pope, 2002). Too
become familiar with their procedures and to many women leaving prison end up homeless.
identify roadblocks and challenges that may This often leaves them extremely vulnerable to
cause delays. Women should also leave the both drug use and violent victimization. To avoid
institution equipped with proper identification. this scenario, prerelease planning is essential.
Many public housing authorities will not serve
women with criminal histories that include drug
Service systems that case managers need to felonies. This can severely limit women’s options.
become familiar with in order to assist Even public housing for which an ex-offender is
women include: substance abuse treatment, eligible often has long waiting lists and cannot be
child welfare, housing and homelessness, considered a survival or even stabilization phase
public assistance (e.g., TANF, food stamps, option. Corrections agencies should work to
SSI), mental health, child care, Medicaid, ensure that there are sufficient halfway house
and HIV/AIDS Services. placements for women in the communities where
women are most likely to return. Halfway house
placements can facilitate a successful return ideal, it is not always possible at isolated
because they allow women time in their institutions. Alternatives include partnering with
communities to seek appropriate housing and community-based agencies to provide counseling
employment without resorting to old criminal or information sessions, and increasing visitation
networks, abusive partners, or living on the street. opportunities such as weekend stays for children
and visits with partners that might include a
Among the housing challenges that some meeting with a prerelease counselor, or using
women face is the challenge of meeting Child video conferencing technology.
Welfare requirements in order to regain custody
of children in foster care. A woman must locate In addition to family reunification issues,
housing adequate for the size of her family but prerelease is an important time to consider how
often, in the case of subsidized housing, cannot to develop or support appropriate and
rent a large enough apartment until the children therapeutic offender relationships with treatment
are actually in her custody. This creates a difficult and other service providers in the community, as
situation for women whose goal is family well as with community supervision officers. If
reunification. Finally, while most incarcerated community-based treatment providers have not
women come from and will return to urban been involved during incarceration, they should
environments, special attention should be paid be invited to meet with offenders prior to release
to women from rural communities. Rural to establish a connection and set up
communities tend to have fewer housing options appointments for the women upon release.
and other services, and women are more likely to Similarly, other service providers should be
need to rely on family and friend networks in invited to share whatever resources they have
order to avoid homelessness. While that could available since a personal contact will make it
be a positive development if the family is more likely that a woman will avail herself of the
sufficiently healthy and supportive, it could also resources once the offender is in the community.
place a woman back in a situation that is either Supervision officers should also be encouraged
dangerous and/or conducive to relapse. to make contact with offenders well in advance of
release in order to discuss expectations and
Family/Relationships establish appointments.
Regardless of how long a woman has been
incarcerated, whether the offender has maintained Health/Sobriety
contact with her children, and whether the Prerelease planning for health and sobriety
offender has a positive relationship with the issues involves ensuring that plans are in place
children’s caregiver(s), family reunification for continuity of treatment for physical health,
following incarceration can be challenging both mental health, and substance abuse related
emotionally and practically. It is made easier, disorders. State and local public health agencies
however, if family ties have been supported are important partners in this endeavor, since
through the period of incarceration. During the most reentering offenders will rely heavily on
prerelease phase, institutions can facilitate public sector health care services upon release
successful family reintegration by creating (RAND, 2003). Applications for public health
opportunities for both offenders and family benefits may need to be submitted prior to
members to learn about what to expect, and release in order to ensure that services will be in
helping them to plan for anticipated challenges. place when offenders leave the institution.
Some corrections agencies have designed Determination of eligibility can take up to ninety
programs at prerelease centers that involve family days in some cases, and may require appeals,
counseling sessions with offenders and their depending on the eligibility claim. Many
families, and/or group educational sessions for offenders will need education on how to manage
families alone. While involving families directly is chronic illnesses in order to avoid an over-
reliance on emergency services. They will also how much money they will need to dedicate to
need to be prepared to manage their fees of various kinds and if they will need to pay
reproductive health, and will need counseling on rent at a halfway house or contribute to the costs
contraceptive options, as well as protecting of treatment. This process can be an important
themselves (and/or their partners) from sexually education in planning and budgeting and will
transmitted diseases. Offenders who identify as help women manage some of the stress that will
lesbian will need different information in terms surely accompany their release. This is also a
of their sexual health, and may also need time to examine other system obligations that
referrals to health care providers who are might compete or conflict with their criminal
sensitive to their differing health needs. justice compliance requirements, such as child
welfare requirements for family reunification,
Community-based substance abuse treatment participation in a dependency court, or TANF.
services for the poor are limited, and can be Often, each system representative (e.g.,
especially so for women, and even more so for supervision officer, child welfare caseworker,
women with children who require childcare judge) will assume that their requirements
services or residential treatment facilities where should supersede all others, leaving women in
children can accompany them. Because the an untenable position. Many women need
immediate period following release can be so assistance negotiating a plan that will not be a
dangerous to sobriety, the fact that so many recipe for failure, and women should not have to
treatment facilities have long waiting lists can be choose between these equally vital needs.
particularly damaging to this population of
women. Ideally, women should leave the
institution with a prearranged placement in an Release: Key Questions
appropriate level of treatment. If not, they will 1. Have supervision officers been
most likely need to rely on self-help groups until integrated into the prerelease process
an opening becomes available and should be and received necessary information
provided information on the locations and about institutional achievements,
schedules of these meetings. This should not be progress, and ongoing needs?
considered sufficient, however, since most 2. In addition to basic supplies for
substance-abusing women who are returning to survival (e.g., money, identification,
the community will need multidimensional etc.), is there an established linkage
support around their drug use behaviors which with a supportive person in the
self-help groups are not necessarily geared to community with whom the offender
provide. can make contact immediately upon
release?
Criminal Justice Compliance 3. Many incarcerated women have
During the prerelease period, women should be mental and physical disorders. Do
well informed about the criminal justice women leaving the institution have
conditions that will be applied upon their release, prescriptions, adequate supplies of
and have an opportunity to meet with the medication, and an appointment with
supervision officer to whom they will be a community-based health care
reporting in order to begin to establish a rapport provider?
and clarify expectations. They should be assisted 4. Is gender used as an analytic category
in anticipating which conditions are going to be in monitoring and evaluating release
the most difficult for them, and how they might rates? Are women being released at
overcome those difficulties, whether it is a matter rates comparable to men and
of transportation to meet contact requirements, appropriate to their level of threat to
or avoiding contact with people who might the community?
threaten their sobriety. Women will need to know
Release network of community shelter and housing
Part of a systemic approach to offender reentry providers. Ideally, a woman will be going where
involves consideration of the role of community someone is expecting her arrival. Absent these
supervision. Too often, whether parole is part of preparations, many women will end up spending
the same or a different agency, institutional their time on the street, a condition that is not
corrections and community supervision agencies conducive to long-term success.
do not communicate well or work together to
facilitate reentry for offenders. As institutional Family/Relationships
corrections and community supervision agencies The first task for many women upon release will
move toward a focus on offender success as a be locating their children and other members of
means of achieving public safety, this their family and making contact with them.
communication becomes increasingly important. Depending on how long the offender has been
Interpersonal communication among treatment incarcerated and if the offender has remained in
providers, case managers, supervision officers, contact, this experience will vary in the level of
community service providers, and others difficulty, satisfaction, pain, and frustration it
involved in addressing offender needs and might produce. Preparing a woman for this
obligations is critical to providing support to the process by encouraging family contact prior to
woman’s reentry efforts. release or, if necessary, preparing a woman to
handle the feelings of disappointment or
Additional Considerations at Release loneliness the offender might experience if the
process does not go as the offender would like,
Subsistence/Livelihood is an important prerelease task. Though not a
Unless a woman is in the unlikely position of substitute for family, encouraging contact with
having a job waiting for her when following service providers, twelve-step groups, and other
release, the first days or even weeks out of prison potential sources of support can help women
will likely be a basic struggle for survival. Without cope while seeking to reconnect with family.
income, women need to find ways to acquire
food, clothing, and transportation, maintain Health/Sobriety
basic hygiene, and fulfill their criminal justice Avoiding relapse is perhaps one of the biggest
obligations. Many will need public services, such challenges for newly released women. Part of a
as those provided by faith and community-based woman’s early survival on the outside will be
organizations like clothing banks and food dependent on knowing whom to contact for
pantries. Women should leave with a list of support (and whom to avoid) when the urge to
providers of basic services, with as much use substances becomes strong. While current
information as possible about locations, hours of thinking about relapse is that it is part of the
operation, accessibility by public transportation, journey to sobriety, offenders should be striving
contact phone numbers, et cetera. to lengthen the period of time between relapses
or, in other words, increase the periods of
Residence sobriety. An early relapse can set the stage for
No woman should leave the institution without a failure in the community, since it will make it
place to go, whether it is to the home of a family difficult to successfully reconnect with family and
or friend, a shelter, or a halfway house, and manage criminal justice obligations, if not cause
transportation to get there. The lack of a plan, a return to custody in and of itself. Therefore,
however, is not a good reason to keep women women with substance abuse issues should be
past their release date. The solution is a linked as quickly as possible with an appropriate
proactive approach, adequate preparation time, level of treatment. This may require that their
and a solid backup plan facilitated by strong Medicaid eligibility be established, that
connections between the institution and a appointments have been made prior to release,
and that information from the institution has
been shared with the treatment facility. Supervision and Services:
Key Questions
Women with other physical and mental disorders 1. Do supervision officers see their role
in addition to substance abuse issues will need as helping offenders succeed?
to be able to continue on medication regimes, 2. Are supervision officers trained in
and establish routines in the community that are gender responsive approaches to
compatible with self-care. Women who are supervising women offenders? Do
homeless are vulnerable to additional illnesses they understand and take into account
and infections and have a very difficult time family and child related issues,
managing care of chronic illnesses like HIV or women’s safety from abuse, and
diabetes. Therefore, women who are ill have a mental health issues? Are they
particular need for a stable residential plan to prepared to provide support and
prevent worsening of their conditions and efforts facilitate access to services as well as
should be made to ensure that education on self- perform more traditional oversight
care is part of the release plan. Prerelease activities?
managers may be able to assist women in 3. Are contracted service providers (e.g.,
locating housing resources that are tied to substance abuse treatment providers,
funding streams for HIV/AIDS or severe mental employment programs, etc.) required
illness. It is vital that institutions provide a to provide gender responsive
prescription and/or supply of medication that programs for women?
will realistically carry a woman until she can meet 4. Do supervision officers use a range of
with a community health care provider or until sanctions and rewards to help shape
medical benefits can go into effect. A backup offender behavior? Is there policy in
plan must be in place in case the process takes place to help guide the use of
longer than expected. sanctions and rewards?
Criminal Justice Compliance

The primary criminal justice goal for returning Supervision and Services
offenders at the earliest stages of release is to Effective supervision for women involves
report for community supervision as required. partnerships with community-based services,
This can be facilitated with prescheduled including those under contract with community
appointments, and a transportation plan. supervision agencies, those with formal or
Supervision officers should be prepared to assist informal collaborative relationships, and those
women in making sure that their basic survival that are unaffiliated in any way beyond referral. If
needs are being met in order to prevent them essential community service providers are not
from failing in their criminal justice obligations currently involved in the reentry partnership,
for no other reason than that basic survival takes efforts should be made to involve them. Ideally,
precedence. Supervision officers should also be supervision officers should be looking to these
prepared for women looking to them for support community-based services as partners in a team
and advice. approach to offender management, helping to
determine the risks and needs of individual
offenders and the best strategies for addressing
them based on available resources. These would
include: mental health and substance abuse
treatment providers, especially those who can
work with dually-diagnosed women and those
that have programs geared toward women with
children; employment programs, especially those progress in their chosen direction. Supervision
that have programs to address the specific officers are increasingly being asked to function
challenges women face in the workforce; as case managers, a balance requiring both
domestic violence and sexual assault service support and management skills. Community
providers; halfway housing providers; and child supervision agencies should consider how well
care specialists. prepared their staff members are to fulfill both
the supporting and enforcing functions required
Increasingly, community supervision agencies are by this approach. One important key to effective
considering ways to make supervision practices case management and supervision is being very
more gender responsive. Some are organizing up front with information about expectations and
gender specific caseloads, while others are consequences. Women may be more likely to
making efforts to train all officers on strategies accept being held accountable by someone who
and practices most effective with women. they look to for support when the accountability
Agencies that have made these efforts have measures are perceived as fair and predictable,
begun to see increasing numbers of women rather than arbitrary and personal.
successfully completing their supervision
obligations. Women are more likely to be Most women under community supervision will
successful when attention is paid to the quality be relatively low-risk offenders (in terms of risk to
of the relationship between the officer and the public safety) compared to the population of
offender (Koons, Morash, Burrow, & Bynum, men. This suggests that they may be low priority
1997). Women’s success also depends upon on a mixed supervision caseload. While this
support in dealing with family obligations, such reduces their chances of being violated for
as ensuring that childcare is available at required technicalities, it may also increase their chance of
programs. More generally, the services to which failure since women offenders need support in
women are referred, and especially services for order to succeed in becoming sober,
which the corrections agency contracts, should independent, law-abiding members of the
be required to demonstrate that their programs community (Bloom & McDiarmid, 2000). Unless
are gender responsive. Gender responsive the system has developed a relationship with a
programs should be structurally designed to community-based agency to provide case
meet women’s needs (like providing onsite management services to women offenders, the
childcare and single sex treatment groups) and supervision officer may be the only person
the content should also integrate the variety of positioned to provide support and facilitate
issues known to be significant for women, such access to needed services. This challenge
as victimization and trauma. underscores the importance of taking a team
approach with community-based service
Community supervision professionals, like their providers to the supervision of women offenders.
institutional colleagues, need to embrace the Some of these service providers (e.g., substance
position that a significant part of their role is to abuse treatment, halfway housing providers) may
help offenders succeed. It is no longer sufficient, be well equipped to provide the case
in this model, to focus on surveillance, management services the women need, freeing
infractions, and failures; rather, consideration the supervision agent to play a supporting rather
must be given to how to motivate and support than primary role in seeing that women’s
offenders in meeting their obligations and essential needs are met.
achieving success in the community. This
requires an ability to assess and make best use Because women offenders present so many
of offender strengths, such as helping offenders needs, however, there is an additional challenge:
to articulate their own goals for their future and ensuring that women are not over supervised,
how their period of supervision can help them that their level of obligation does not exceed the
level of their crime or risk they pose to the In order to be most effective with women
community, and that their readily apparent needs offenders, supervision officers should try to
are not automatically translated into greater educate themselves on the local resources
criminal justice requirements. In other words, it available to support employment among women
is very important that supervision officers offenders. Ideally, the community supervision
recognize and provide guidance and referrals for agency will have formal relationships with
problems like domestic violence. However, workforce assistance programs that specialize in
attendance at a battered women’s support group hard-to-place employees. Some of these
should not necessarily become an additional programs will include services in other areas as
obligation of a woman’s conditions of well, like substance abuse treatment, and some
supervision. Community supervision agencies will help direct women into jobs, like
and others who have any control over construction trades, that promise a better
supervision conditions should make every effort economic future for women and their families.
to ensure that conditions for women are realistic, These programs should be assessed for their
relevant, and research-based. gender responsiveness, such as whether they are
prepared to help women address domestic
Additional Considerations During violence and sexual harassment, both of which
Community Supervision can profoundly impact employment stability.
They should also be assessed as to whether the
Survival/Livelihood staff includes women whose backgrounds reflect
Holding a job is a typical condition of their client population.
community supervision, and research supports
the connection between employment and lower Residence
offending rates among offenders under Affordable housing is a national crisis, and
community supervision (Visher, LaVigne, & women under community supervision are
Travis, 2004). Women, however, face obstacles victims of this crisis along with many other low-
that most men do not in finding and keeping income groups. They also face additional
jobs. In addition to histories that typically include obstacles, however, since criminal background
less education and training, greater incidences of checks are a mainstay of housing applications,
mental illness, and limited work experience and and many are still struggling with addiction,
earnings, women need to have adequate, mental illness, and other obstacles to stability.
affordable childcare and a backup plan for times Some women under community supervision will
when children are sick in order to succeed in the be fortunate in finding a placement at a halfway
workplace (Reed & Leavitt, 1998). They need to house facility that is designed to help women
have safe transportation; women are not with the reentry process, whether a prerelease
necessarily safe when walking or taking public facility or a facility designed for women who have
transportation at certain times or in certain been released to community supervision. It is
places. They need to understand how to manage best for women when supervision officers work
sexual harassment issues if they should arise. If a together with staff at these residential facilities to
woman needs to leave her job in order to achieve manage the various services and obligations of
safety from sexual or physical abuse, this should each individual woman. For women without
not be held against her. To supervise women access to these resources, supervision officers
effectively, supervision officers need to need to be mindful of their vulnerability to
understand the specific barriers that women face homelessness—not considering homelessness a
in the job market and in retaining employment. failure for which the women are responsible, but
rather a challenge that they are facing due to
multiple obstacles. Supervision agencies should
work closely with local homelessness programs
to help women on supervision stay connected to negotiate visitation and program schedules that
treatment services and other essential support will present logistical challenges as they attempt
services that are significantly threatened when to meet their other obligations as well. While
stable housing is not available. supervision agencies typically have little to say
about family and parenting issues except insofar
When family or friends provide housing, as they involve the offenders’ contacts with
supervision officers should seek ways to include others who might have criminal justice histories
these individuals as part of the woman’s support or be actively involved in substance abuse, it is
network. Using them not merely as collateral helpful to women in particular if supervision
contacts who will report on the woman’s officers can be aware of and acknowledge the
behavior but as assets who can support her in challenges they may be facing. Supervision
her efforts to succeed, supervision officers can officers can then provide them with sufficient
help the support network remain in place and flexibility to address these important matters, as
become stronger. Officers can educate family and well as referrals to community-based agencies
friends on issues such as addiction, ensure that that may be able to assist. Efforts expended to
the presence of the offender is not placing undue assist women in becoming effective parents and
burdens on the household that can jeopardize integrated members of supportive, functional
her stability, and provide referrals to services if, families can be expected to pay returns in
in fact, they are needed. This kind of approach women’s success in the community.
both assists women under community
supervision in maintaining a stable residence, Health/Sobriety
and honors the importance of these relationships Substance abuse treatment providers can be
in the lives of women. supervision officers’ most important and
valuable allies in working with the many women
Many believe that most women offenders do not offenders who have substance abuse issues
belong in prison at all, and that community- (CSAT, 2005a). As partners, substance abuse
based corrections facilities are the best, most treatment agencies are often prepared to provide
appropriate option for non-violent women case management services, and can work closely
offenders. Advantages of these kinds of facilities with supervision officers to develop relapse
include the ability of women to maintain prevention plans and other resources to help
connections in the community that will facilitate officers maintain perspective on the risks and
their ability to locate permanent affordable needs of women offenders. Together, treatment
housing. providers and officers can agree on responses to
violations or failures in treatment, the
Family/Relationships consistency of which will assist women in
Reintegrating with family after a period of understanding and meeting their obligations. It
incarceration is one of the most difficult and is essential that treatment providers have both
emotionally loaded challenges that women face. knowledge and experience in working within a
Supervision officers need to be aware that, in criminal justice system as well as in treating
addition to the emotional issues that may women offenders, in order that they recognize
genuinely wreak havoc on women’s ability to the need for gender specific, women only
cope, women may face legal issues which will programs, and are prepared to address the
require their presence in court. They may be complicated lives of women returning to the
under obligations to the child welfare system to community from incarceration.
participate in a variety of programs in order to
avoid losing their children permanently. This To some extent, the effectiveness of this
means they may need legal assistance for which partnership will depend on the cooperation of
referrals will be helpful, and they may need to the institutions in providing treatment programs
that comply with State treatment standards (thus using positive and negative reinforcement to
enabling consistent follow up), facilitating the shape behavior, is basic to behavioral
sharing of information among institutional and modification. In fact, research in this area has
community treatment providers, and shown that positive reinforcement is much more
encouraging access to offenders by community effective than negative reinforcement (Bandura,
providers during the prerelease period. 1996; Bandura & Ross, 1963; NIC & CJI, 2004;
Community supervision agencies are responsible Gendreau & Goggin, 2007; Higgins & Silverman,
for developing ongoing collaborative 1999). Yet community supervision has always
relationships with the treatment providers, been more focused on responses to violations
including protocols for sharing case information, than accomplishments. In the switch toward a
and establishing clear expectations of the roles success-oriented corrections system, developing
and responsibilities of the different agencies in a set of rewards is just as important as a set of
managing the women. sanctions for violations. These rewards can
include everything from certificates of
Supervision agencies should be aware of how achievement (e.g., six months without a missed
women generally are responding to a given appointment, completion of parenting program,
treatment program. Because men in treatment etc.) to ceremonies of celebration (e.g.,
significantly outnumber women, many treatment completing a phase of treatment, completing
facilities have developed programs based on the supervision, etc.) to early discharges. The point
needs and substance abuse patterns of men. is to find things to celebrate and provide women
Even when these programs provide women-only with sources of pride and accomplishment.
groups, they may be doing so using approaches
that were developed for a male population and
thus fail to address the differences in men’s and Response to Violations:
women’s drug use and recovery patterns, their Key Questions
different co-occurring problems (like eating 1. Are expectations and potential
disorders), and the ways that violence, mental consequences clear and responses
health, and family and significant relationships consistent?
impact their substance use (Kassebaum, 1999). 2. What policies and practices are in
In other words, it may be that the program is not place to ensure that women are not
meeting the needs of the women, and women unnecessarily revoked and
drop out or fail to progress not because they are reincarcerated? Are conditions
resistant but because they are essentially reasonable?
invisible within the context of the program. There 3. Is there a system of responses that
has been significant research in the past decade both reward and punish as
on the substance abuse treatment needs of appropriate?
women, and partnerships should be sought with
those programs that are familiar with this
research and are best equipped to address the Response to Violations
gender specific needs of women. Accountability to the case management plan
(crafted while the woman was incarcerated) will
Criminal Justice Compliance clearly be different outside the institution than
Most supervision officers are aware of the within it. Accountability should always be based
importance of providing swift and certain on clearly defined expectations and an advance
consequences for inappropriate behavior. Fewer understanding of consequences. Sanctions
are familiar with or adept at providing rewards should be graduated, gender responsive, and
and recognition for small or even large appropriate to the level of the violation and
successes. Operant conditioning, the idea of should avoid over-reliance on revocation and
reincarceration which may have severe long-term case planning at offenders’ entry into the
repercussions for both women and their children. institutional system, the provision of targeted
In addition to the offender’s accountability, services, and concluding with linkages to
releasing authorities and community supervision gender specific aftercare services.
agencies need to be accountable for making sure
that expectations are reasonable based on the • When working with or planning for work with
availability and accessibility of services, as well as women offenders, consider their roles in the
the gender responsiveness of services. Finally, community as mothers and members of
data should be kept that includes gender as an families. These relationships are essential to
analytic category to ensure that rates of violation their understanding of themselves and a
and revocation are comparable between men and failure to take these vital relationships into
women. If large discrepancies are found, there account often sets up women to fail.
should be some investigation into the sources of
the problem. • The role of trauma and violence in the lives of
women offenders is not to be underestimated
Conclusion in terms of how it impacts their experience
Offender reentry is a complicated matter, but it is within the correctional system, and how it will
vital to the cause of public safety and community impact them when they return to the
stability that institutional corrections and community. All staff working with women
community supervision agencies address these should be trauma-informed.
issues head on. Creating an effective offender
reentry system for both men and women
offenders requires a multidisciplinary,
collaborative approach by the full range of
corrections and community-based stakeholders.
Effective collaboration is itself a challenge,
requiring the development of a shared vision and
goals, and trusting relationships among working
members of the collaborative. A commitment to
offender success, including women offenders,
can prove to be the common ground that will
make these collaborations possible. In working
with women offenders in particular, institutional
and community corrections and community
supervision professionals should be mindful of
four key issues:
• Gender matters. Men and women come to the

criminal justice system in different ways and
with different life experiences which must be
accounted for if the system is going to
succeed in helping them become sober,
contributing, crime free members of the
community.
• Effective offender reentry requires a system

wide approach, beginning with thorough,
gender specific assessment and individualized
Assess Your Agency:
Women Offenders
Yes No Not
Clear
1. Are the institutional and post-release supervision agencies committed

to implementing gender responsive policies and services to women
offenders?
2. Has the agency developed a working knowledge of the principles of

gender responsiveness:
• Does agency policy and practice reflect an understanding that
gender matters in relation to the successful management and
reintegration of women offenders?
• Has the agency created an environment for women offenders based
on safety, respect, and dignity?
• Do agency policies and practices promote healthy relationships
within the institutional setting, as well as support women offenders’
healthy connections with children, families, significant others, and
the community?
• Do programs and services offer women offenders the opportunities
to learn skills that will allow them to be economically self-sufficient?


the women offenders who are under its control and supervision (e.g.,
critical information about the women offender population that
includes: offenses of conviction, length of sentences, risk levels,
treatment and service needs, responsivity issues, programming
received, length of supervision, locations to which they return,
recidivism rates)?
5. Is training provided to staff to facilitate the development of the

specific types of skills necessary to intervene with women offenders
in ways that will promote successful case outcomes?
6. Does the agency prioritize work activities that promote successful

outcomes for women offenders (in contrast to focusing exclusively on
custody and control, and surveillance and punishment-oriented
activities)?
7. Does the agency use assessment tools that have been validated on a
relevant women offender population?
8. Do agency staff members conducting assessments understand the

key areas in which male and female offenders differ and how that
should impact the assessment process?
Assess Your Agency:
Women Offenders
Yes No Not
Clear
9. Does the agency offer gender responsive programming and services

for women offenders?
10. Are case management plans developed in a manner that reflects the
interrelatedness of women’s risks and needs, and are programs and
services structured to address these risk and need areas?
11. Has the agency developed gender responsive policies and procedures
(e.g., discipline), taking into account the differences between male
and female offenders?
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Section Eight:
Conclusion Madeline M. Carter
National detention and prison population (through the development of a system map,
growth, the rate of release of offenders to the creation of resource directories, and a risk-
community, accelerating correctional costs, a based understanding of the offender
recognition that incarceration is falling short of population).
our hope to stem the tide of recidivism, and a • The prioritization of those work activities most
substantial body of evidence regarding likely to result in offender success (such as
approaches that can significantly impact the meaningful offender contacts and
likelihood that offenders will offend again have engagement, effective case management, and
resulted in a growing interest in offender reentry programs and services that reduce risk).
and effective offender management practices. • The identification and implementation of
This handbook describes an approach to specific strategies and tools that will support
beginning or continuing the important work of the agency’s activities (for instance, the use of
assuring that institutional corrections and empirically-based assessment tools,
community supervision agencies are aligned in motivational interviewing techniques, and
such a way that they can have the maximum engagement of community supports in the
potential for promoting the success of offenders offender change process).
upon their return to the community. • Improvements in important working
relationships (within corrections and
This framework includes four key components: community supervision and across agency
boundaries resulting in, for example,
• Exercising leadership and undertaking collaborative case management and enhanced
organizational change efforts. access to or availability of resources and
• Undergoing a rational planning process. services).
• Building and supporting internal and external
collaborative relationships. Ultimately policymakers, professionals, and
• Engaging in empirically based offender community members seek the same end: safer
management practices that are effective in communities. Promoting offender success
reducing recidivism. through the strategies outlined in this handbook
offers the greatest opportunity to realize this
Experience demonstrates that by following this goal.
approach, institutional corrections and
community supervision agencies will improve
not only the way in which their work is
conducted, but also the outcome of their efforts.
This approach will result in:
• Clarity of purpose and direction for the agency

(a clear vision).
• A more thorough understanding of the
corrections agency and its surrounding system
Appendix
OFFENDER REENTRY POLICY AND

PRACTICE INVENTORY
The purposes of this inventory are to assist Processing the Questions
institutional corrections and community In a group setting, users should review the items
supervision agencies to begin to look critically at marked “No” in order to identify need areas for
their current policies and practices in improvement. Positive responses indicate
comparison to evidence-based and emerging strengths of the agency (or agencies) in working
practices for offender reentry, and to identify toward successful offender reentry and provide
issues and need areas that require further opportunities to build upon current successes.
examination. This inventory does not provide a Items marked as “Not Clear,” as well as
comprehensive description of all of the policies conflicting answers between respondents, may
and practices necessary for successful offender indicate an area requiring further
reentry. research/inquisition, where the actual policies or
practice must be clarified for certain staff within
How to Use This Inventory the agency, or where policies or practice diverge
This inventory can be utilized in a variety of ways between agencies/divisions. For example, where
and settings. Institutional and community an institutional representative may answer yes to
corrections practitioners are encouraged to a question, and a post-release supervision
employ it in the manner that is effective for their representative may answer no to the same
purposes. However, it is important to point out question, further discussion on the reasons for
that the value of engaging in this exercise is this discrepancy should ensue.
maximized when respondents spend time
processing their answers to the questions in the The value of the inventory lies not so much in its
context of a group discussion. Through this completion but in the promise of clarification,
processing, strengths, needs, and diverging discovery, and advancement that can be its
opinions around policies and practices are result.
discovered and examined within a lens of
successful offender reentry.
Leadership and Organizational Change Yes No Not
Clear

to promoting offender success?
2. Does agency policy clearly indicate that offenders’ successful

completion of supervision following release from confinement is a
primary goal?
3. Are agency managers routinely involved in discussions about the

purpose or focus of offender management activities (i.e., to promote
successful outcomes)?
4. Have special means or strategies been used (e.g., annual meetings,

publications, the distribution of a rewritten vision statement) to
communicate to staff the agency’s specific vision and expectations
regarding offender management and supervision (i.e., to promote
successful outcomes)?
5. Does the agency hire/promote individuals who support the agency’s

vision and who have the necessary qualities to assist in carrying out
the vision?
6. Is training provided to facilitate the development of the specific types

of skills necessary to intervene with offenders in ways that will
promote successful case outcomes?
7. Does the agency routinely involve staff at all levels in discussions

regarding the ways in which the agency can most effectively carry out
its mission?
8. Does the agency value and measure those activities that promote
offender success?
9. Does the agency prioritize work activities that promote successful

offender outcomes (in contrast to focusing exclusively on custody and
control, and surveillance and punishment-oriented activities)?
10. Are incentives offered to reward and recognize staff who support the
agency’s vision for offender reentry?
11. Do line staff understand that they play a significant role in providing
offenders with opportunities to be successful?
Rational Planning Yes No Not
Clear

the offenders who are under their control and supervision (e.g.,
critical information about the offender population that includes:
13. Has the agency developed a clear understanding of current reentry

policies and practices from intake to community release, supervision,
and aftercare?

15. Has the agency developed a working knowledge of evidence-based

practices and promising approaches in the area of offender
management and reentry?
16. Has the agency gathered information on the attitudes, knowledge,

and skills of staff to assess their ability to work effectively with
offenders?
17. Has the agency identified its offender management and reentry gaps
and need areas based on these analyses?
18. Has the agency prioritized for implementation key strategies

specifically designed to address the most significant need/gap areas?
19. Has the agency developed a strategic plan to organize and guide the
implementation of change strategies?
20. Has the agency established goals and objectives to implement

prioritized change strategies?
21. Has the agency established a monitoring plan to assess the impact of
these change strategies?
Collaboration Yes No Not

Clear
22. Has a State-level, multidisciplinary policy team been established to

collaboratively direct a comprehensive effort to improve offender
management and reentry policies and practices?
23. Are the leaders of State agencies that are responsible for, or
contribute to, offender management and reentry committed to
working together on this issue?
Yes No Not
Clear
24. Have individual stakeholders identified the ways in which their

agency can contribute to effective offender management and reentry?
25. Do stakeholders demonstrate equal ownership and investment in

offender reentry?
26. Does the team include individuals, agencies, and organizations from
the State that:
• Are directly or indirectly responsible for offender management?
• Work closely with, or advocate for, victims?
• Provide mentoring or positive supports for offenders?
• Offer educational and vocational services to offenders?
• Promote access to appropriate and affordable housing for
offenders?
• Provide mental health services to offenders?
• Facilitate access to employment opportunities for offenders?
• Provide support and assistance to children and families of formerly
incarcerated individuals?
27. Are the efforts of the team defined through a clearly articulated
vision, a clear mission, and specific goals regarding offender
management and reentry in the State?
28. Has leadership, facilitation, and staff support been dedicated to the
State-level multidisciplinary team?
29. At the case management level, do staff members collaborate with one
another to facilitate successful offender reentry (e.g., do
institutionally-based staff collaborate with one another; do
institutional and community-based staff work together to ensure a
smooth transition and continuity of care; does community
supervision work closely with service providers and others to assure
effective case management)?
Effective Offender Management Practices Yes No Not

Clear
30. Assessment:
• Are offender assessments conducted shortly after admission to
prison, and in an ongoing fashion thereafter, to identify risk level,
criminogenic needs, and responsivity factors?
• Are empirically supported or promising assessment tools used?If
yes, please list which tools are used:
• Do the results of the empirically supported or promising
assessment tools inform the offender management process (e.g.,
treatment planning, supervision case planning)?
Yes No Not
Clear
31. Case Management: Please answer these questions in relation to the

work done by staff and partners with individual offenders. This may
be termed “correctional counseling” or some other term within
correctional institutions, or “field supervision” while an offender is
under supervision in the community:
• Do the stated goals of case management (within institutions and in
the community) include the provision of safe, secure custody,
monitoring/supervision, and successful offender reentry?
• Is case management a seamless continuum from admission to
prison until the termination of community supervision?
• Does each offender have a single, dynamic case management plan
that follows him/her from intake through post-release supervision?
• Is this approach to case management supported and enhanced by
information technology?
• Does the case plan address the offender’s risk and needs at each
stage (intake and incarceration phase, prerelease planning phase,
and reentry and post supervision phase)?
• Is the case plan updated to reflect changes in the offender’s risk
and needs, and to document improvement and progress made?
• Is information about the offender exchanged between institution
and community supervision staff?
• Are multidisciplinary team approaches used to manage offenders?
• Are noncorrections partners (such as public agencies, community
partners, nonprofits, family members, etc.) involved in creating,
updating, and accessing case plan information?
• Does the case plan identify programmatic interventions appropriate
for the offender based on the offender’s assessed level of risk and
criminogenic needs?
• Do case management plans target the three to four (or more) most
significant criminogenic needs?
• Are offenders prioritized for participation in programs and services
based on risk and needs?
• Are policies, procedures, and priorities in place to facilitate the
actual delivery of such interventions to offenders?
• Are interventions delivered in a timely way in view of an anticipated
release date?
• Are offenders active participants in creating and updating their own
case plans (as opposed to just complying with its terms)?
• Do appropriate corrections staff members (within institutions and
in the community) receive skills training on how to better engage
offenders in the change process?
• Are interactions with offenders, including infractions and
violations, viewed as opportunities to enhance motivation?
32. Institutional/Residential Interventions:

• Are existing institutionally-based programs and services for offenders:
- Multimodal and integrated?
- Cognitive-behavioral in nature?
- Skills-oriented?
- Linked with parallel services in the community?
Yes No Not
Clear
- Matched to offenders based on risk, needs, and responsivity factors?

- Monitored and evaluated?
33. Proactive Release Planning:

• Does planning for release begin when offenders enter the
institutional or residential setting?
• Does the release planning process include both
institutional/residential staff and community stakeholders?
• Are barriers to reentry anticipated and identified early in the release
planning process?
• Are transition and case management plans tailored to address the
risk, need, and responsivity factors of every offender?
• Are offenders actively involved in the development of transition and
case management plans?
• Are community resources that support the transition process
identified prior to release?
• Are the needs of victims addressed in the release planning process?
34. Informed Release Decision Making:

• Are offenders released to the community through a discretionary
decision making process?
• Does the releasing authority have access to, and does it use, the
results of risk assessments, transition plans, and information from
institutional programming to inform decision making?
• Does the releasing authority establish conditions based upon the
assessed risk level and criminogenic needs of offenders?
• Does the releasing authority use structured guidelines to inform
decision making?
• Does the releasing authority use information from victims and
victim advocates to inform decision making?
35. Success-Oriented Approach to Supervision:

• Do current supervision policies and practices reflect a strength-
based approach (in contrast to a more exclusive focus on deterrence
or punishment)?
• Is multiagency collaboration a key feature of supervision?
• Are supervision levels assigned and adjusted over time based on the
risk level and needs of each offender?
• Are the nature and frequency of field contacts guided by the risk
level and needs of offenders?
• Do supervision officers use incentives to promote and reinforce
pro-social, appropriate offender behavior?
• Are responses to supervision violations flexible, graduated, and
reasonable and informed by the risk posed by offenders and the
severity of the violations?
36. Programs and Services:

• Do community and institutional programs and services
complement one another? (Is there continuity of care?)
Yes No Not
Clear
• Are offenders linked to specific community supports that can enhance

the supervision process and promote success (e.g., informal social
support networks, mentoring programs for juveniles)?
while incarcerated:
- Social services?
while in the community:
- Social services?
37. Monitoring and Evaluation:

• Has the agency established a specific monitoring and evaluation
plan regarding offender reentry with clearly defined performance
measures and outcomes, including:
- Educational achievement scores, graduation, or GED attainment?
- Job placement and retention?
- Stability in housing?
- Behavioral health symptom improvement?
- Sobriety?
- Stability of health?
- Family preservation?
- Recidivism?
- Nature and frequency of violations?
- Other(s)_____________________________________
• Are monitoring and evaluation data routinely collected and analyzed?
• Are the results of the data analyses used to inform the development
and/or revision of reentry policies and practices?
Women Offenders Yes No Not

Clear

to implementing gender responsive policies and services to women
offenders?
Yes No Not
Clear
39. Has the agency developed a working knowledge of the principles of

gender responsiveness (please indicate yes, no, or not clear for each):
• Does agency policy and practice reflect an understanding that
gender matters in relation to the successful management and
reintegration of women offenders?
• Has the agency created an environment for women offenders based
on safety, respect, and dignity?
• Do agency policies and practices promote healthy relationships
within the institutional setting, as well as support women offenders’
healthy connections with children, families, significant others, and
the community?
• Do programs and services offer women offenders the opportunities
to learn skills that will allow them to be economically self-sufficient?

41. Has the agency developed a clear, data-supported understanding of the

women offenders who are under their control and supervision (e.g.,
critical information about the women offender population that includes:
42. Is training provided to staff to facilitate the development of the

specific types of skills necessary to intervene with women offenders
in ways that will promote successful case outcomes?
43. Does the agency prioritize work activities that promote successful out-
comes for women offenders (in contrast to focusing exclusively on custody
and control, and surveillance and punishment-oriented activities)?
44. Does the agency use assessment tools that have been validated on a
relevant women offender population?
45. Do agency staff members conducting assessments understand the

key areas in which male and female offenders differ and how that
should impact the assessment process?
46. Does the agency offer gender responsive programming and services
for women offenders?
47. Are case management plans developed in a manner that reflects the
interrelatedness of women’s risks and needs, and are programs and
services structured to address these risk and need areas?
48. Has the agency developed gender responsive policies and procedures
(e.g., discipline), taking into account the differences between male
and female offenders?
Endnotes
1 For additional information about the TPC model, 6 See pages 87-88 of Section Five, Chapter 4 for a
including reasons to implement the approach, key discussion of effective team members.
features of the model, and key learnings from states 7 For a detailed guide to conducting a resource
involved in the TPC Initiative, see the E-Learning assessment, see McGarry & Ney, 2006, p. 151-161.
Module that will soon be available at the NIC Learning 8 For a detailed guide to creating a vision statement, see
Center at http://nic.learn.com. Carter (2005), Collaboration: A Training Curriculum to
2 This represents a comparison of 1970 to 2005 data. Enhance the Effectiveness of Collaborative Teams.
3 The initiatives discussed here are representative of 9 As noted in the American Probation and Parole
activities underway around the country; see also the Association’s Caseload Standards for Probation and
Council of State Governments Re-Entry Policy Council, Parole, “[d]espite the fact that it is very difficult to
and other initiatives sponsored by both federal define an optimal caseload size…, a general consensus
agencies and leading national foundations. seems to be emerging from the research, practice and
4 For additional references on the importance of positive dialogue in the field” (Burrell, 2006). These represent
reinforcement to behavioral change, see NIC & CJI, APPA’s promulgated standards for supervision
2004. caseloads.
5 More information on how to conduct such a planning 10 The explanation of effective case management in the
process is available in the TPC Reentry Handbook, an handbook is conceptually consistent with the
additional resource for corrections practitioners Integrated Case Management and Supervision Model
seeking to implement a successful offender reentry (ICMS) outlined in two companion documents, The
strategy in the context of a multidisciplinary agency National Institute of Corrections TPC Reentry
effort. Other resources include Carol Flaherty-Zonis Handbook, and The TPC Case Management Handbook,
Associates (2007), McGarry, P. & Ney, B. (2006), forthcoming from the National Institute of Corrections.
CSOM (2002), and CSOM (2007). Both of these approaches move beyond a traditional
contact-standard driven, surveillance model of
supervision to a case management approach that
engages offenders in the process of change.

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Increasing Public Safety

A companion document to:

Center for Effective Public Policy © 2007

Langan, P. A., & Levin, D. (2002). Recidivism of

Snyder, H., & Sickmund, M. (2006). Juvenile

Special thanks are extended to the following

• Julie Boehm, Reentry Manager, Division of

Center for Effective Public Policy

PURPOSE OF THIS HANDBOOK

Offender Reentry from a

Keeping dangerous people away from

- Roger Werholtz, Secretary, Kansas The Social Costs on Future

Second Chance Act of 2007:

• Providing offenders in prisons, jails, or juvenile facilities with educational, literacy,

- 110th Congress, 1st Session, H.R. 1593, November 14, 2007

President’s Prisoner Reentry Initiative

- U.S. Department of Justice, Office of Justice Programs, http://www.reentry.gov.learn.html,

Brown, D., Maxwell, S., DeJesus, E., & Schiraldi,

Catalano, S. (2006). Criminal victimization, 2005.

Ditton, P. (1999). Mental health and treatment of

Glaze, L. & Bonczar, T. (2006). Probation and

Rubinstein, G. (2001). Getting to work. How

Rutherford, R. B., Bullis, M., Anderson, C. W., &

Snyder, H. & Sickmund, M. (2006). Juvenile

Travis, J., Cincotta, E., & Solomon, A. L. (2003).

Travis, J. & Lawrence, S. (2002). Beyond the

Waul, M., Travis, J., & Solomon, A. L. (2002).

A Framework for Offender

Rational Planning Process

Kansas Risk Reduction Initiative:

- Matt Frank, Former Secretary, Wisconsin Department of Corrections

Leadership and Organizational

The types of changes that must be made to

Demonstrating a Willingness to Listen Leaders know when to step up and be heard,

• Envision a preferred future; express

Examining critical policies and compliance levels - Maureen Walsh, Chairman,

Vision of the Michigan Prisoner ReEntry Initiative

Vision of the New York Reentry Task Force

A Vision for Effective Offender Reentry in Rhode Island

• Mentor/Model New Behaviors. Employees will

• Reinforce the agency’s vision by pro-

1. Are the institutional and post-release supervision agencies

2. Does agency policy clearly indicate that offenders’ successful

3. Are agency managers routinely involved in discussions about

4. Have special means or strategies been used (e.g., annual

5. Does the agency hire/promote individuals who support the

6. Is training provided to facilitate the development of the specific

7. Does the agency routinely involve staff at all levels in discussions

8. Does the agency value and measure those activities that

9. Does the agency prioritize work activities that promote

10. Are incentives offered to reward and recognize staff members

11. Do line staff members understand that they play a significant

A Rational Planning Process

Shifting the agency’s focus to successful offender

What is a Learning Organization? Steps in a Rational Planning

2. Enhance Intrinsic Motivation: Use Motivational Interviewing and other motivation

4. Skill Train with Directed Practice: Use cognitive-behavioral strategies in programming

5. Increase Positive Reinforcement: Research suggests a ratio of four positive reinforcements

6. Engage in Ongoing Support in Natural Communities: Realign offenders with prosocial

Offender Programming: Targeting Criminogenic Needs

A crucial element of this literature is the importance it attaches to understanding

Critical Outcome Information Identified