Bureau of Community Sanctions Audit Standards

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1 6/25/213 Bureau of Community Sanctions Audit Kara Peterson, Assistant Chief Bureau of Community Sanctions How did we get here? What was wrong with the old audit standards? Timeline Initial CBCF/HWH research study commissioned by DRC to evaluate program effectiveness published by University of Cincinnati in 9/2. Research Steering Committee developed in 12/2. Committee recommendation to develop standardized risk assessment instrument. General minimum performance-based standards developed in 25. CCA research study published in 4/5. Minimum performance-based audits began FY 26. Average Audit Scores Fiscal Year 26 Fiscal Year 21 CBCF 97% CCA 47 95% CCA 48 93% HWH 87% CBCF 98.5% CCA 47 97% CCA 48 96% HWH 95% Follow-up Research and Next Steps CBCF/HWH follow-up study published by UC in 3/1. February 211 Audit Standard Workgroup convened to revise existing minimum performance-based standards based on follow-up research. Workgroup comprised of Program Directors from CCA, CBCF and halfway house programs. Follow-up Research and Next Steps Draft standard revisions distributed to all community programs for feedback and comment. June 211 Audit Workgroup considered program feedback and completed further standard revisions. October 211 audit standards piloted at 4 community programs (Common Pleas, Municipal, CBCF, HWH). 1

2 6/25/213 Follow-up Research and Next Steps Audit standards further revised based on pilot audits. FY212 audits did not score programs based on audit outcomes. Provided time to understand audit measures and establish a baseline for compliance. FY213 programs not audited. Receiving coaching and technical assistance site visits to assist with implementation of program improvements. Sites with larger numbers of non-compliance receive higher numbers of site visits to allow for more extensive technical assistance. What are they based on? Why do we have them? Incarceration Reduction Recidivism Reduction Designed to reduce the number of days in jail. Examples include Electronic Monitoring, Community Work Service, Pretrial Designed to be more cost effective than jail. Operate at a lower cost per offender than recidivism reduction programs. Designed to serve lower risk offenders. 8 BCS audit standards are applied to these programs. Designed to reduce the likelihood of future crime. Examples include CBCF, HWH, ISP Designed to follow evidence-based principles. Risk, Need, Treatment, and Program Integrity Operate at a higher cost per offender. Designed to serve higher risk offenders. 39 BCS audit standards are applied to these programs. Risk Principle Target those offenders with a higher probability of recidivism. Provide the most intensive treatment and interventions to higher risk offenders. Intensive treatment for lower risk offenders can increase recidivism. Probability of Reincarceration Treatment Effects for Low Risk Offenders Program AA Program EE Program Y Program HH Program LL Program L Program Q Program BB Program K Program GG Program Z Program N Program V Program DD Program II Program S Program O Program All Program M Program P Program FF Program I Program MM Program R Program JJ Program X Program E Program U Program G Program W Program J Program D Program A Program KK Program F Program CC Program B

3 r-value r-value 6/25/213 Probability of Reincarceration Treatment Effects for High Risk Offenders Program M Program O Program L Program K Program J Program I Program H Program G Program F Program E Program D Program C Program B Program A Program MM Program LL Program KK Program JJ Program II Program HH Program GG Program FF Program EE Program DD Program CC Program BB Program AA Program Z Program Y Program X Program W Program V Program U Program S Program All Program R Program Q Program P Program N Changes in Recidivism by Program Factors for Probation Programs High Risk Sample High Risk Longer Supervision.7.1 High Risk More Txt High Risk More Referrals Change in Recidivism by 4 Point Factor Score for Probation Programs Factors 1 or 2 Factors 3 Factors Risk Related Audit BCS #11: Programs shall target appropriate participants for the program and develop and adhere to written criteria that exclude inappropriate participants. BCS #12: Programs shall administer internally, or refer to a community agency for completion, the following assessments as indicated: The appropriate Ohio Risk Assessment System (ORAS) tool at designated interval; Need assessments, such as, alcohol and other drug, sex offender, domestic violence; Responsivity factors, such as, mental health, personality,motivation or readiness to change, intelligence, learning style, reading level and literacy. Risk Related Audit BCS #17: Treatment groups shall separate offenders by risk and need level. BCS #18: The duration and intensity of services (internal/external referrals, programming) provided to offenders shall be based on risk. High risk offenders shall receive more services and referrals, at a higher intensity than moderate risk offenders. The Need Principle Assess and identify criminogenic needs those conditions and social structures that make it more likely for crime to occur. Supervision and treatment should focus on and target criminogenic needs. Needs to be targeted should be identified by risk/need assessment not a one size fits all approach. If this approach is followed recidivism rates can be lowered. 3

4 6/25/213 Targeting Criminogenic Need: Results from Meta-Analyses Reduction in Recidivism Increase in Recidivism -.5 Target 1-3 more non-criminogenic needs Target at least 4-6 more criminogenic needs What to Target Criminal Attitudes, Values and Beliefs Criminal Associates Antisocial Behavior Personality Employment Family Substance Abuse Source: Gendreau, P., French, S.A., and A.Taylor (22). What Works (What Doesn t Work) Revised 22. Invited Submission to the International Community Corrections Association Monograph Series Project Need Related Audit BCS #12: Programs shall administer internally, or refer to a community agency for completion, the following assessments as indicated: The appropriate Ohio Risk Assessment System (ORAS) tool at designated interval; Need assessments, such as, alcohol and other drug, sex offender, domestic violence; Responsivity factors, such as, mental health, personality,motivation or readiness to change, intelligence, learning style, reading level and literacy. Need Related Audit BCS #13: At minimum, 7% of services offered, programming and referrals provided by the program shall target criminogenic needs. BCS #16: Treatment groups shall be separated by gender. BCS #17: Treatment groups shall separate offenders by risk and need level. Need Related Audit BCS #19: All programs designed to reduce offender risk and needs shall ensure services are individualized and address criminogenic targets, based on the results of the offender s current Ohio Risk Assessment System (ORAS) assessment and other results obtained from additional assessments administered or received by the program. Offenders shall actively participate in the development of their individual case plan. Treatment Principle The most effective interventions are behavioral. Treatment needs to focus on current factors that influence behavior. Treatment needs to be action-oriented. Offender behaviors need to be appropriately reinforced positive, pro-social behaviors rewarded and anti-social, violation behavior sanctioned. 4

5 % Change in Recidivism Percent Change in Recidivism 6/25/213 Relationship between Treatment Model and Treatment Effect for Residential Programs Cognitive Behavioral Other Source: Edward J. Latessa, Ph.D., 22 Ohio CBCF/HWH Study -9 Treatment Related Audit BCS #2: The program shall implement a behavior management system that includes both rewards and punishers designed to encourage new skills and prosocial behavior, while suppressing anti-social behavior. BCS #21: Program/supervision completion shall be determined by established, defined criteria based on the offender s progress in acquiring pro-social behaviors, attitudes and beliefs and not engaging in illegal activity. Programs shall incorporate a standardized process to periodically and objectively reassess offender progress in meeting case plan goals. Treatment Related Audit BCS #22: Treatment groups that include skill modeling and skill training shall not exceed a ratio of 12 offenders per actively involved facilitator, unless specifically noted in the curriculum utilized by the program. Program Integrity Need to ensure treatment is delivered with integrity delivered as designed. Remove barriers to treatment for the offender. Programs based on cognitive-behavioral principles can substantially reduce recidivism; however, the same program poorly implemented can actually increase recidivism. Effect of Program Integrity on Recidivism: Results from Meta Analysis Andrews and Dowden Trained Workers Specific Model Monitor Change Printed Manuals Supervised Workers Involved Researcher Adequate Dosage BCS #8: Job performance for staff shall be reviewed annually. Evaluations for staff in direct contact with offenders as part of their job duties should include rating on areas such as, communication skills, modeling pro-social behaviors, use of redirection techniques and behavioral reinforcements, knowledge of program s treatment model and effective interventions. In addition to formal, written annual evaluation(s), supervisors shall train, monitor, guide and assist staff to ensure effective delivery of services. 5

6 6/25/213 BCS #9: All full-time staff, with a primary function of working with offenders, shall annually complete a minimum of 24 hours of training, relevant to evidence-based practices and service delivery. All other staff, having minimal contact with offenders, shall annually complete a minimum of 8 hours of training related to evidence-based practices. Training hours for part-time staff shall be on a prorated basis. The Program Director or Training Administrator shall approve relevant staff training and ensure training hours are completed. BCS #14: The program shall maintain treatment manuals which are used by facilitators, containing goals and content of the group, teaching methods, lesson plans, exercises, activities and assignments. BCS #24: The program shall implement a quality assurance process ensuring the accuracy of completed Ohio Risk Assessment System (ORAS) assessment tools and all staff completing ORAS assessments is currently certified by the authorized entity. BCS #25: Programs shall conduct case record audits to ensure offender records are current, complete and accurate. The file reviews should include, but not be limited to: accuracy of assessment results, case plan based on assessment results, treatment progress is being monitored and documented. BCS #26: The Program Director or designee(s) shall conduct regular monitoring and observation of staff in group facilitation and service delivery. A process shall be implemented to provide feedback to staff. BCS #27: The Program Director or designee shall monitor programmatic services targeting a criminogenic need provided on-site by external entities under (sub)contract or memorandum of understanding. All (sub)contracts for programmatic services targeting a criminogenic need are to be evidence-based. A quality assurance process shall be in place to ensure contractual services meet the program and offender needs. BCS #28: The Program Director or designee shall monitor the utilization of external referrals for treatment services targeting a criminogenic need provided in the community. A quality assurance process shall be in place to ensure outside treatment services targeting a criminogenic need meet the program and offender needs. Audit standards are based on research. 6

7 6/25/213 The bar has been raised. Funding is now dependent on incorporating characteristics of effective programs. You will not achieve 1% audit compliance and that s OK. You will receive technical assistance to guide and assist in implementing changes. Audits will help identify service gaps and assist in guiding future funding needs. 7