Evidence Based

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   Evidence-Based Offender Management Guidelines

To reduce offender risk and the likelihood of future criminal behavior while enhancing
public safety, evidence-based offender management applies a framework of
scientifically validated principles to change offender attitudes and behaviors. The
principles of evidence-based practices are interdependent and are applied in
developmental order:

   •   Assess actuarial risk and need
   •   Enhance intrinsic motivation
   •   Target interventions
   •   Skill training with directed practice
   •   Increase positive reinforcement
   •   Engage ongoing support in natural communities
   •   Measure relevant processes/practices
   •   Provide measurable feedback

(Implementing Evidence-Based Practice in Community Corrections: The Principles of
Effective Intervention, National Institute of Corrections & Crime and Justice Institute
2004)

These principles can be viewed as components of supervision involving assessment,
transition planning, suitable referral and monitoring, appropriate response to offender
behavior, and capable guardianship. Supervision also entails motivating offenders to
change, helping offenders acquire pro-social skills, and ensuring compliance with goal-
oriented objectives addressing criminogenic needs.




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                                 CHAPTER ONE

          BEHAVIORAL MANAGEMENT APPROACH
              TO COMMUNITY SUPERVISION
SECTION ONE

UNDERSTANDING THE CHANGE PROCESS

The core components of behavior change involve a series of interactions that provide
the offender the opportunity to learn about his behavior, acquire new skills to address
problematic issues, and develop tools to ensure long-term success. It should be clear,
as well, that offenders should be responsible and accountable for their own actions,
including the willingness to change. Offenders cannot be treated as passive participants
inundated with services or as misfits incapable of leading productive lives. Staff should
be proactive in motivating offenders to change while offenders participate in the change
process or face consequences. (Tools of the Trade: a guide to incorporating science
into practice, National Institute of Corrections & Maryland Department of Public Safety
and Correctional Services)

Every person has a set of attitudes, beliefs, and patterns that combine to form his
cognitive structure. Cognitive structure influences the actions that people pursue. For
every person, this cognitive structure is a self-fulfilling cycle, which means that whatever
an offender believes will eventually be validated in his own mind as being right or just.
Criminal thinkers do not see fault with their actions. Without this internal control, they
are more likely to engage in further criminal actions, given the means and opportunity.

Not all offenders are criminal thinkers. Some have made bad decisions but do not have
distorted thinking patterns that will result in similar decisions in the future. It is important
to determine how much of the offender’s behavior is poor decision making and how
much can be attributed to a distorted thinking pattern. Typically, higher risk offenders
display patterns of criminal thinking.




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Many offenders have not had the opportunity to learn appropriate problem solving skills.
This lack of problem solving skills, in many cases, contributes directly to decisions made
by the offender that result in criminal behavior. The ability to evaluate a situation and
make a decision based on weighing appropriate options can serve to assist the offender
in managing a problem situation and divert potential criminal activity. Problem solving
involves six steps that include:

   •   identifying the goal;
   •   assessing current circumstances;
   •   identifying different options and solutions;
   •   analyzing solutions;
   •   selecting a strategy;
   •   developing an action plan

It is critical for staff to understand the underpinnings of criminal behavior, that is, what
makes a “ready offender.” While the entire spectrum of human behavior cannot easily
be summarized, research has consistently identified a set of characteristics that are
common among criminal offenders and relate closely to re-offending.                   These
characteristics, which both predict and influence criminal behavior, are often called risk
factors or criminogenic needs. Non-criminogenic needs may be concerns for offenders
to address, but they are not related to re-offending.

Every interaction with the offender provides valuable information regarding the
offender’s degree of motivation and willingness to engage in the behavioral change
process. The first objective for staff is engagement of the offender in the change
process. This sets the premise for the offender assuming full responsibility for a pro-
social lifestyle.


SECTION TWO

THE STAGES OF CHANGE

The “Stages of Change” model developed by Prochaska, DiClememte, and Norcross
best demonstrates the sequence of behaviors leading to change. This model identifies
six stages in the behavioral change process. The officer can identify each stage from
statements the offender makes during an interaction. Each stage necessitates a
different approach from the officer to help move the offender through the “Stages of
Change.”

In this model, the behaviors fall into six identifiable stages:




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1. An offender in pre-contemplation typically denies that a problem exists.
   Through conversation with the offender, the officer must lead the offender in
   developing the discrepancy between the current behavior and future goals. It is
   the development of this discrepancy that motivates change and leads the
   offender into contemplation. Frequent contact is required with offenders in this
   stage. This contact serves to maintain the offender’s focus on the behavioral
   issues that have contributed to criminal behavior. The officer’s role is to assist
   the offender in the objective evaluation of the problem behavior to assist the
   offender’s progression in the change process.

   Some techniques that can be utilized with offenders in the pre-contemplation
   stage include:

      o   Exploring the meaning of events that brought the offender to supervision
      o   Eliciting the offender’s perceptions of the problem
      o   Offering factual information about the risks of continued behavior
      o   Providing personalized feedback about assessment findings
      o   Exploring the pros and cons of continued behavior
      o   Helping a significant other/capable guardian intervene
      o   Examining discrepancies between the offender’s and other’s perceptions
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          of the problem behavior
      o   Use of change readiness evaluation tools and techniques


2. An offender in contemplation realizes a problem may exist but is ambivalent
   about it. Ambivalence is a normal stage in the process of change, but it can be
   paralyzing, preventing movement. The officer’s discussion with the offender will
   focus on the offender’s statements about the problem. Resolving ambivalence is
   the key to change and should not be forced. It must be explored so the
   offender’s increased awareness can facilitate the process of change. The goal is
   to reinforce the offender’s reasons to change and move him toward the
   preparation stage.

   Some techniques that can be utilized with offenders in the contemplation stage
   include:

      o Eliciting and weighing pros and cons of the problem behavior
      o Eliciting a change from extrinsic to intrinsic motivation
      o Examining the offender’s personal values in relation to change
      o Emphasizing the offender’s free choice, responsibility, and self-efficacy for
        change
      o Eliciting self-motivational statements of intent and commitment from the
        offender
      o Eliciting ideas regarding the offender’s perceived self-efficacy and
        expectations regarding supervision
      o Summarizing self-motivational statements


3. An offender in preparation recognizes the problem behavior and begins to make
   a commitment to change. There may still be obstacles. The officer and the
   offender work together from a menu of options to develop a plan supporting the
   offender’s commitment to change. The offender now moves to the action stage.

   Some techniques that can be utilized with offenders in the preparation stage
   include:

      o Clarifying the offender’s own goals and strategies for change
      o Offering a menu of options for change
      o Offering expertise and advice
      o Negotiating a change plan and behavior contract
      o Helping identify barriers to change and develop strategies to address them
      o Helping to identify and elicit social support
      o Exploring supervision expectancies and the offender’s role
      o Eliciting from the offender what has worked in the past either for him or
        others whom he knows
      o Assisting in identifying and diminishing potential barriers
      o Having the offender share with family or friends the plan to change

4. An offender in the action stage of behavior change is implementing the
   negotiated plan and requires continuous positive reinforcement from the officer.
   The officer will increase his efforts to enlist the support of capable guardians in
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   providing additional reinforcement. Once the offender has successfully worked
   the plan for a period of six to nine months, he progresses to the maintenance
   stage.

   Some techniques that can be utilized with offenders in the action stage include:
      o   Engaging the offender in program involvement and reinforce the
          importance remaining in the program
      o   Supporting a realistic view of change through small steps
      o   Acknowledging difficulties for the offender in early stages of change
      o   Helping the offender identify high-risk situations through a functional
          analysis and develop appropriate coping strategies to overcome these
      o   Assisting the offender in finding new reinforcements of positive change
      o   Helping the offender assess family and social support


5. An offender in the maintenance stage has met key milestones in changing the
   factors associated with his criminal behavior. The milestones are often
   dependant on the length of time that the offender has abstained from the
   behavior and made a change. The rewards of the new behavior now outweigh
   the rewards of the old behavior. The old behavior has been extinguished. The
   officer will stress the importance of supports in the community that the offender
   can turn to when trouble arises. Through communications with the offender and
   capable guardians, the officer will reinforce the milestones attained to ensure
   maintenance. The officer will be prepared to support the offender through events
   that could lead to a lapse or relapse.

   Some techniques that can be utilized with offenders in the maintenance stage
   include:

       o Helping the offender identify and sample new pro-social behaviors
       o Supporting lifestyle changes
       o Affirming the offender’s resolve and self-efficacy
       o Helping the offender practice and use new coping strategies to avoid a
         return to criminal behaviors
       o Maintaining supportive contact
       o Developing a plan if the offender resumes criminal behavior
       o Reviewing long-term goals with the offender


6. An offender may experience a lapse, which can be a one-time event or a series
   of mishaps. A prolonged period of return to problem behavior is considered a
   relapse. A lapse does not mean the offender has failed or that a complete
   relapse is inevitable. Each slip requires care and attention to its causes and the
   development of a plan to address the people, places, or situations that triggered
   the slip.

   Some techniques that can be utilized with offenders in the relapse stage include:



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          o   Helping the offender reenter the change cycle and commend any
              willingness to reconsider positive change
          o   Exploring the meaning and reality of the recurrence as a learning
              opportunity
          o   Assisting the offender in finding alternative coping strategies
          o   Maintaining supportive contact

An offender’s stage of change in reference to a given criminogenic need is a
responsivity issue and when accurately identified and addressed (EBP Principle #2) can
lead to more successful change outcomes. Responsivity is a Principle 3 consideration.
Information regarding the offender’s current stage of change, basis for the determination
and techniques being used to progress forward will be documented in the case notes.

Research has shown that the following elements of motivational interventions are most
effective in moving offenders toward positive change:

   •   The FRAMES approach (detailed below)
   •   Decisional balance exercises
   •   Creating discrepancies between personal goals and current behavior
   •   Flexible pacing (allowing offenders to move through stages at their own pace)
   •   Frequent contact with offenders who are not in the action stage of change

The FRAMES approach to motivational interactions uses the following elements:

   •   Feedback regarding personal risk or impairment is given to the offender following
       assessment of criminogenic patterns and associated problems

   •   Responsibility for change is placed squarely and explicitly on the offender

   •   Advice about changing criminogenic behavior is clearly given to the offender in a
       nonjudgmental manner

   •   Menus of self-directed change options and alternatives are offered to the
       offender

   •   Empathetic interventions (showing respect and understanding) is emphasized

   •   Self-Efficacy or optimistic empowerment is created in the offender to encourage
       change




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                               CHAPTER TWO

                           GETTING STARTED
Upon case assignment, the officer must accomplish the following tasks: Complete the
offender orientation interview within 15 days, conduct the LSI-R/ASUS and home visit
within 45 days; and negotiate a transition plan within 60 days. (3-3130, 4-APP-2A-01,
4-APP-2A-03) The transition plan will be the basis for supervision; however, if needs are
identified prior to the completion of the LSI-R/ASUS or the development of the transition
plan, the officer will make appropriate referrals at that time. The supervising officer will
use the initial 60 days of supervision to begin building rapport with the offender. This
will serve to enhance communication in an effort to improve the quality and validity of
the information obtained during the completion of the assessment and for use in the
joint development of the transition plan. Capable guardians will be given the
opportunity to be included in the orientation/supervision process.

SECTION ONE

OFFENDER ORIENTATION

The supervision of an offender begins upon the offender’s reporting to the
probation and parole office or upon receipt of reliable information that the
offender is under supervision. Reliable information includes certified court
documents such as a Judgment and Sentence, a Summary of Facts, or court
minutes. To ensure verification of the criminal history information, the officer will
request a criminal records check to include FBI, OSBI and DPS records.

The orientation process will include a structured interview focusing on the offender’s
crime and the motivators for the criminal behavior. The offender will be advised of the
expectations of supervision and will be encouraged to discuss with the officer his or her
own goals for the supervision period. The officer will discuss with the offender the
importance of pro-social support and will assist the offender to identify possible capable
guardians. The orientation interview will be conducted within 15 working days of the
offender being received for supervision.

This orientation process affords the supervising officer the opportunity to begin
developing rapport with the offender and to begin discussing strategies for successful
completion of supervision. The officer should begin to ascertain the offender’s
readiness to change, begin to encourage and develop open communication, and
provide any educational material that could help to move the offender forward in the
change process. Tools such as the URICA and/or SOCRATES may be useful during
this time to engage the offender in a self-evaluation of their readiness to change.

The officer will discuss the supervision rules and conditions as ordered by the
sentencing court or releasing authority; provide the offender with a means to contact the
officer outside of normal office hours; review eligibility for termination of supervision;
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offer assistance with community based resources; and provide information to the
offender regarding the agency’s grievance process. The “Orientation to Supervision”,
(Attachment D) will be completed. The officer will review with the offender all information
in the section titled “Verification of General Orientation”. The officer will discuss with the
offender the items listed in the section titled “Initial Supervision Plan”, and will negotiate
with the offender to develop this plan. The officer and offender will sign the negotiated
agreement and a copy will be provided to the offender. (3-3102, 3-3134, 3-3135, 3-
3179, 4-APP-2B-01, 4-APP-2E-02, 4-APP-3D-29)

If the offender has been court ordered to complete a specific program or evaluation, the
offender will be provided with written referral instructions as soon as the officer
becomes aware of the order. Although the LSI-R will provide the basis for identifying
criminogenic needs later in the supervision process, if obvious needs are observed by
the officer prior to the completion of the LSI-R/ASUS or the development of the
transition plan, appropriate referrals will be made at the time of the observation.


For offenders transitioning from a period of incarceration, the supervising officer will
review all continuums of care processes and determine if the offender has been
involved in a wraparound services team or reentry project. All institutional re-entry
plans will be reviewed and considered for inclusion in the transition plan.



         If the offender’s primary language is other than English, the
         supervising officer will assist in having the rules and conditions
         translated into a language understood by the offender. The
         Department of Corrections maintains a listing of available
         interpreters who can assist with communication. (3-3134, 4-APP-
         2B-01)




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SECTION TWO

ADULT OFFENDER STANDARDIZED ASSESSMENT (AOSA)

EBP Principle #1 is to assess actuarial risk and need. In order to maximize the
predictive accuracy of the assessment process, it is necessary to evaluate on domains
most relevant to the criterion, review a number and variety of risk factors, and conduct
multi-method assessments. The Oklahoma Department of Corrections, Division of
Community Corrections, has selected two instruments: the Level of Service Inventory-
Revised (LSI-R) and Adult Substance Use Survey (ASUS), to identify offender risk and
needs directly impacting the likelihood of criminal behavior.

The LSI-R is conducted using a semi-structured interview, which involves set-up,
information gathering, and closing. This framework provides guidelines that set the
general course of the interview without confining the officer to an exact set of verbatim
questions. It allows the officer the freedom to gather information from offenders using
motivational interviewing. This semi-structured interview technique helps officers gather
and process information quickly, accurately, and completely.

The officer will review EZAssess to determine whether or not an LSI-R has been
completed for the current case(s) and whether an ASUS has been completed within the
prior 24 months. If an LSI-R is found in EZAssess and is current within the previous 90
days, the assessment will be reviewed for validity. A new LSI-R will be conducted if the
assessment is not current within the previous 90 days. The officer will examine the
criminal history records in conjunction with a review of an existing assessment, or prior
to the initiation of the Adult Offender Standardized Assessment (AOSA) process. The
LSI-R must be completed within 45 days of the offender’s reporting for supervision. The
LSI-R interview usually takes place in the probation office or the county jail. Both
locations create an intimidating environment for the offender and can cause anxiety that
may lead to defensiveness. To overcome, or at least attempt to overcome, this initial
handicap, the interview setting must be made as non-threatening as possible. Officers
can create a favorable private interview environment by taking steps to minimizing
distractions such as phone calls or interruptions from co-workers. This reinforces the
importance of the interview. The LSI-R interview should not be conducted during the
orientation stage of supervision. Research supports the finding that as rapport
improves between the officer and the offender, the offender’s defensiveness is reduced
and the quality and validity of the information provided to the officer increases, thus
enhancing the effectiveness of the interview. The LSI-R interview may be conducted at
the offender’s residence or at any other location agreeable to the officer and offender.

A critical feature of a successful interview is the manner in which the officer
communicates with the offender. EBP Principle #2 is enhance intrinsic motivation.
Motivational interviewing has proven to be a communication style that not only helps the
officer to reduce the offender’s defensiveness but also improves the information
exchange. This less intimidating approach to offender-officer interaction permits the
offender to be more open to discussing criminogenic issues.


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The following six steps are utilized to accomplish the AOSA:

      Step 1. Set-up - The purpose of the interview set-up is to lessen the offender’s
      anxiety and defensiveness. There are three steps in this process. First, explain
      the purpose of the interview in general and positive terms. This helps to
      establish an amicable climate for the meeting as well as for subsequent
      interactions. Next, inform the offender that multiple sources will be used to verify
      the information obtained during the interview. Finally, if the offender is
      interested, the officer will provide him with normative feedback (EBP Principle #8)
      on the assessment and how he compares to a standardized group. Providing
      feedback will assist in developing the discrepancy between where the offender is
      and where he thinks he is in order to move him through the stages of change.

      While gathering information, the officer learns about the immediate
      circumstances of the offender’s life that would indicate criminogenic needs. The
      interview is arranged to move from general impersonal questions to more specific
      personal issues. The information gathering stage also yields the opportunity to
      explore with the offender the identified areas of criminogenic needs. It is also
      used to help to identify the offender’s stage of change in relation to each need
      and to enhance the offender’s intrinsic motivation to change. When the officer is
      reasonably satisfied that he has collected all of the information necessary to
      score the LSI-R, he should conclude the interview.

      Step 2. ASUS - The ASUS is a self-administered assessment. However, prior
      to initiating the assessment, the officer must carefully explain the guidelines for
      completing each section. The offender completes the ASUS while the officer
      manually obtains a preliminary score for the LSI-R using the “Data Entry Sheet.”
      The results of the ASUS will be entered into EZAssess.

      Step 3. Compare Information – Particular sections of the LSI-R and the ASUS
      correlate with one another. Therefore, the officer will examine the LSI-R and the
      ASUS for discrepancies which should be explored with the offender.

      Step 4. Close Out – This step includes utilizing magic questions (questions that
      are geared to make the offender consider change in reference to his
      criminogenic need), addressing any hot cognitions (thoughts or ideas revealed
      during the interview that are pressing, important, and require some form of
      decision or action), and providing feedback (impersonal, non-judgmental, and
      recognizes the offender’s individuality). Feedback provided in a motivational
      style enhances commitment to change and improves outcomes.

      Step 5. Verify information from assessments – The information gained during
      the LSI-R interview must be verified. Verification includes review of the criminal
      records check previously obtained. In order to ensure accurate information
      has been obtained in reference to the offender’s accommodation, lifestyle,
      and capable guardians, a residential visit will be completed prior to
      finalizing the LSI-R. Suggestions for additional collateral verification can be
      found in the AOSA interview and scoring guide. Once verified, the LSI-R
      interview information is entered into the EZAssess program for automated
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       scoring.

       Step 6. EZAssess – EZAssess is a web-based program developed to score
       both the LSI-R and ASUS, provide certain quality assurance functions, and to
       serve as a repository for information obtained during the assessment process. It
       is imperative that all data be verified prior to entry and that the information be
       entered accurately. Once the officer has entered the information into this system,
       there is a 48-hour window to edit. The EZAssess system drives placement into
       the transition modules and inaccurate information will result in false placements
       and inappropriate use of resources.

       Assessment is a continuous process that is accomplished throughout supervision
       by the officer’s observation of the offender’s movement through the stages of
       change. (3-3130, 3-3138, 3-3139, 4-APP-2A-01, 4-APP-2A-03, 4-APP-2A-07, 4-
       APP-2D-01)

       Documented reassessment utilizing the LSI-R (EBP Principle #7 & #8) should
       occur following measurable criminogenic change that would indicate increased
       risk. Upon reassessment, results will be entered into EZAssess and updated into
       the Computerized Offender Management Information Technology (COMIT)
       system to determine any change in module placement. Reduction of risk will not
       serve to remove any offender from an assigned programmatic module unless the
       module requirements have been met as outlined herein. Change may occur
       independently or in response to incentives or sanctions.

SECTION THREE

PROGRAMMATIC MODULES

The LSI-R total score and the protective score create a baseline measure to evaluate
the offender’s progress toward meeting supervision goals. The officer will retrieve LSI-R
results from EZAssess utilizing the division’s automated management information
system, COMIT. COMIT will use the LSI-R scores and responses to specific elements
to prompt offender placement into appropriate programmatic module(s) for inclusion in
the transition plan. Module placement is determined by the correlation between specific
LSI-R elements that score and research-based predictors of criminal behavior: poor
self-control skills; anti-social attitudes, values, and beliefs; anti-social peer support
groups; callous personality; history of substance abuse; and dysfunctional family
relations. (3-3136, 4-APP-2A-05) COMIT identifies mandatory module placements and
may provide identification of other behavioral areas that should be considered by the
officer for placement into a programmatic module. COMIT is a tool to assist the officer
in examining behavioral issues of the offender but should not be relied upon to
determine if a particular need area is criminogenic for the offender. The supervising
officer must make that determination after a full review of the situation surrounding the
offender and consideration of ancillary factors relating to the offender and the offender’s
behavior.


    Programmatic modules include:
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o    Employment
o    Education
o    Substance Abuse
o    Cognitive (anger, behavioral, mental)

Unless an identified need is determined to be criminogenic by the supervising
officer, that is, contributing to the criminal behavior of the offender, module
placement is not allowed. The team supervisor must approve the decision of a
PPO I to not make optional programmatic module placement; a PPO II may make
that decision without supervisor’s approval. Any waiver of mandatory programmatic
module placement requires supervisor’s approval.

An offender may be required to complete more than one programmatic module
based on placement criterion. This negotiated placement may occur simultaneously
or incrementally, depending upon the severity of the criminogenic need, the
offender’s stage of change, program availability, or other responsivity issues.

The chart below lists programmatic modules and associated LSI-R elements that
determine placement:

      MODULE                MANDATORY             OPTIONAL PLACEMENT**
    ASSIGNMENT              PLACEMENT*
                                 Elements                      Elements
      Employment             LSI-R 12 and 13                LSI-R 12 or 13
                                                  If neither 12 or 13, examine 11,
                                                  18, 21 or 22
        Education             No mandatory        15 or 16 and either 10,
                               placement          11,12,13,14 or 17
    Substance Abuse       LSI-R 39 or 40 and 41   LSI-R 39 or 40 and any element
                                                  42-45,       consider     SUHM
                                                  recommendation
    Cognitive – Mental        LSI-R 47 or 50      LSI-R 46 or 49
         Health
    Cognitive – Anger         No mandatory        LSI-R 8, 9,10, 14, 17, 19, 20, 23,
           Mgt.                placement          36, 42, 43, 51, 52, 53, 54
       Cognitive –            No mandatory        LSI-R 1, 2, 3, 4, 5, 6, 7, 8, 9, 10,
        Behavior               placement          12, 13, 14, 15, 16, 33, 34, 39,
      Enhancement                                 40, 51

 *Override of mandatory module placement requires supervisor’s approval.
**PPO I decision to not make optional programmatic module placement requires
supervisor’s approval.

Offenders with an overall LSI-R score of 9 or below will normally be assigned to an
active caseload for no longer than six months, and then closed in accordance with
OP-160201 entitled “Opening, Closing and Transferring Probation and Parole Cases
Under Supervision”. Offenders scoring 10-18 on the LSI-R will be placed in a
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programmatic module if responses to substance abuse questions mandate
placement. If there are no substance abuse needs identified by the LSI-R, the
offender will normally be assigned to an active caseload for no longer than six
months, and then closed in accordance with OP-160201 entitled “Opening, Closing
and Transferring Probation and Parole Cases Under Supervision”. This supervision
period will be for the purpose of completing additional collateral verification of
assessment data and further evaluation of the offender’s risk factors and may
extend for up to six months after the offenders’ initiation of supervision utilizing the
“Case Review for Non-Module Supervision”. The request will be submitted to the
team supervisor by completing the “Case Review for Non-Module Placement
Supervision”, (Attachment B) and reviewed for approval by the assistant district
supervisor. The supervision of offenders with no module placement will focus on
providing the offender with access to services or programs that are requested by the
offender or ordered by the court. These services or programs are not based on
criminogenic need and the officer should ensure supervision resources are not
expended in monitoring the offender’s participation in the services or programs,
unless such monitoring is indicated.

If the sentencing court has ordered special conditions that were not identified by the
LSI-R, the supervising officer shall require the offender to submit to a specific
assessment to evaluate need in the ordered area. This referral will be made during
the offender orientation, or as soon as the officer has knowledge of the order. If the
assessment indicates a programmatic need, the offender will be placed into the
appropriate programmatic module. If the assessment indicates no treatment need,
the court shall be advised and supervision will be terminated.

Careful review and evaluation of assessment results and of the information
obtained through collateral verification should be made of offenders with a violent
offense history/conviction. Any offender having a current conviction in the high or
highest category as outlined in OP-060102 (F) (M) entitled “Male/Female Initial
Custody Assessment Procedures” will not be terminated from supervision until an
evaluation has been completed to determine the need for cognitive programming to
include domestic violence counseling, anger management, or cognitive behavioral
counseling. If a need is identified, a plan will be developed with the offender
utilizing the “Case Review for Non-Module Placement Supervision” (Attachment B)
and an appropriate referral will be made. Active termination of supervision will not
occur until the offender has successfully completed any identified treatment or
educational programs recommended. If the court has ordered programs specific for
violent behavior (anger management, domestic violence programs etc.), supervision
will continue until the offender has completed the required program. The court
ordered programs will be included in the justification on, the “Case Review for Non-
Module Placement Supervision” (Attachment B). No offender who is required to
register in accordance with OP-020307 entitled “Sex and Violent Crime Offender
Registration”, will be terminated prior to their supervision expiration date unless so
ordered by the sentencing court.

If the sentencing court has requested notice prior to the termination of supervision
of offenders with no module placement, the court will be notified by the submission
of a special report that includes the results of the assessment and the request that
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the balance of the sentence be ordered unsupervised. Supervision will not           be
terminated until a response has been received from the court. Supervision may       be
transferred to the administrative caseload pending approval by the court             to
terminate supervision. The transfer to the administrative caseload will be           in
accordance with OP-160801 entitled “Administrative Caseload”.

Upon discovery that an offender has displayed new behavior contrary to public
safety the case may be reactivated in accordance with OP-160201.

Employment Module

Stable and satisfying employment is a primary component of socialization and
provides a source of social bonding. Employment stability depends on the pro-
social rewards received. Lack of consistent employment indicates a higher risk for
criminal behavior. Because of this, the employment module serves as a protective
factor for an offender. Maintaining full time (30 hours or more per week) lawful
employment is the objective of the employment module. (3-3154)

Mandatory placement in this module is driven by the scoring of LSI-R elements 12
(Frequently unemployed) and 13 (Never employed for a full year). These elements
reflect an offender’s difficulty in maintaining stable and satisfying employment. The
officer will review the reason for the offender’s inability to keep a job. The officer
should be able to articulate how the offender’s explanation relates to the “Big 6”
predictors of criminal behavior:

      •   Poor self-control skills (as demonstrated in criminal history)
      •   Alcohol or other drug (AOD) use
      •   Pro-criminal attitudes, values, and beliefs
      •   Pro-criminal peers
      •   Poor family support relationships
      •   Callous personality

Optional placement in the employment module requires review of LSI-R elements 11
(Currently unemployed), 18 (Participation and performance), 21 (Problems), and 22
(Reliance on social assistance). This review should focus on offender behaviors or
circumstances that caused these elements to score and how the behaviors are
connected to the “Big 6.” One way to accomplish this is to search for antecedents
and consequences of the scoring behaviors. Antecedents are sometimes referred to
as “triggers” or “cues”, which may be people, places, items, or thoughts.
Consequences are rewards or costs associated with the behavior. Rewards
increase the likelihood the behavior will be repeated whereas costs decrease the
likelihood the behavior will be repeated.

If LSI-R element 11 scores, the officer will determine why the offender is currently
unemployed and consider the relationship between the unemployment and current
motivators for involvement in the criminal behavior. If element 18 scores and the
offender is currently employed consider why it scored. It may have scored because
of the offender’s attitude toward work in general or towards the current job in

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particular. It may have scored because of anger management issues or AOD use.
If the offender also scored on element 12, 13, or 14, consider how the offender’s
attitudes, values, and beliefs impact the scoring of these elements. Consider how
these elements and behaviors interrelate. If element 21 or 22 scores, review the
criminogenic implication.

   Action steps may include:

   o       Participation in change readiness workshop
   o       Participation in employment workshop
   o       Cognitive behavioral program designed to change attitudes toward
           employment
   o       Structured job search

Offenders exempt from this module may include those who are: unemployable
(either permanently or temporarily); retired; a full-time student; or a homemaker.

       Successful module completion occurs after twelve months of
       continuous, verified, and lawful employment.


Education Module

Academic achievement provides stability and reduces the likelihood of continued
criminal activity. The objective of the education module is to improve the offender’s
educational level.

Placement in the education module is predicated on the scoring of LSI-R elements
15 (Less than regular grade 10) or 16 (Less than regular grade 12) scoring in
combination with one or more of elements 10, 11, 12, 13, 14, and/or 17. The officer
should first consider the level of education completed by the offender and how this
level relates to the offender’s involvement in criminal behavior. The officer will
consider how additional education would help reduce the offender’s likelihood to re-
offend. (3-3154)

   Action steps may include:

   o       Participation in change readiness workshop
   o       Identification of literacy assistance required
   o       Selection of an appropriate provider
   o       Establishing an initial assessment/appointment
   o       Attendance and participation in programming as recommended by the
            provider

       Successful module completion occurs upon the offender attaining
       the literacy/skill level initially identified.



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Substance Abuse Module

Substance abuse facilitates or instigates criminal behavior, erodes significant
pro-social bonds resulting in increased criminal risk, interferes with protective
factors created through work or school, and is associated with poor self-
regulation skills and long-term health problems. The objective of this module is
for the offender to demonstrate and maintain a substance-free lifestyle.

Mandatory placement occurs when LSI-R element 39 (Alcohol problem,
currently) or 40 (Drug problem, currently) and 41 (Law violations) score. The
officer should understand how the offender’s personal consumption of AOD
relates to the law violation which prompted the scoring of element 41.

Optional placement in the substance abuse module could follow a review of the
relationship between either LSI-R element 39 or 40 and any of the elements 42
through 45. The officer must determine whether or not the relationship is
criminogenic for the offender. If not criminogenic, criminal justice resources
should not be used to provide treatment.

      Action steps may include:

       o     Participation in change readiness workshop
       o     Referral
       o     Additional assessment
       o     Treatment
       o     Substance screening
       o     Compliance with the treatment provider’s discharge plan

      Officers are responsible for verifying the offender’s progress through
      use of urinalysis testing. Offenders in a substance abuse module
      should be drug tested, by the supervising officer or treatment provider
      at a minimum of once every 90 days.

 Successful module completion occurs after twelve months with no
 indicated drug usage. The abstinence of drug use must be
 documented by an initial and closure negative urinalysis.


Cognitive – Mental Health Module

Severe emotional and cognitive problems interfere with an individual’s ability to
cope with life’s stressors and can significantly increase the risk of criminal
behavior. Mild anxiety and mild depression can interfere with an individual’s
ability to appropriately respond to occupational, social, and psychological
stressors. Offenders exhibiting symptoms of mental illness may need immediate
professional intervention. The objective of this module is stabilization of the
offender and the establishment of a continuum of care.
Mandatory placement in this module follows the scoring of LSI-R elements 47

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(Severe interference, active psychosis) or 50 (Psychological assessment
indicated).

Optional placement may be warranted by the scoring of LSI-R element 46
(Moderate interference) or 49 (Mental health treatment, present). As with
optional placement in other modules, the officer will be able to articulate how the
elements are criminogenic for the individual offender before placement occurs.

       Action steps may include:

       o     Identifying and selecting an appropriate treatment provider
       o     Scheduling the initial intake/assessment
       o     Offender attendance and participation in treatment                 as
              recommended by the clinician
       o     Compliance with the provider’s discharge plan

 Module completion occurs upon the stabilization of the offender’s
 behavior as determined by the treatment provider and the
 supervising officer.


Cognitive – Anger Management Module

Conflict resolution through personal acts of aggression and violence is a
cognitive distortion reflective of poor self-regulating skills, non-consequential
thinking, and poor decision-making. The objective of this module is successful
completion of an approved cognitive treatment program addressing anger
management/domestic violence issues.

Placement in this module is predicated on the scoring of a combination of several
LSI-R elements: 8, 9,10,14,17, 19, 20, 23, 36, 42, 43, 51, 52, 53, and 54. While
it is unlikely an offender would be placed in this module for scoring on any of the
elements individually, it is important for the officer to look for common
antecedents to and consequences of the behaviors that caused the elements to
score. The identification of these common "triggers” and rewards/costs could be
cause for placement in the module.

    Action steps may include:

   o Participation in change readiness workshop
   o Identifying and selecting an appropriate treatment provider
   o Establishing an initial assessment appointment
   o Offender attendance and participation in treatment as recommended by
      the provider
   o Compliance with the provider’s discharge plan

 Module completion occurs upon successful conclusion of
 treatment.

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       Cognitive – Behavior Enhancement

       Cognitive interventions are based on the theory that how people think
       determines how they act and that all people are capable of changing their
       thought processes and, thereby, their behaviors. The objective of the
       behavior enhancement module is to provide restructuring of erroneous
       thinking patterns, which include poor self-control skills, low impulse control
       thresholds, and non-consequential thinking. Thinking errors can be the
       result of attitude, lack of motivation, or social skills.

       Placement in the Behavioral Enhancement module is prompted when any of
       the following LSI-R elements score: 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 12, 13, 14, 15,
       16, 33, 34, 39, 40, and 51. This is not intended to be a catch-all module.
       The elements listed represent behaviors possibly caused by thinking errors
       which, if changed, should reduce the offender’s likelihood of continued
       involvement in the criminal behavior.

          Action steps may include:

          o      Participation in change readiness workshop
          o      Identifying and selecting an appropriate treatment provider
          o      Establishing an initial assessment appointment
          o      Attendance and participation in treatment as recommended by the
                 provider
          o      Compliance with the provider’s discharge plan

    Module completion occurs upon successful conclusion of
    treatment.

SECTION FOUR

NEGOTIATING THE TRANSITION PLAN

The transition plan negotiated between the officer and the offender is the foundation
of the supervision process. It is the blue print for building character, promoting pro-
social behavioral change, and reducing the likelihood of the offender’s continued
involvement in a criminal lifestyle. Negotiating (EBP Principle 2) a plan engages
offender participation and results in higher rates of compliance. The offender is
more likely to commit to a plan in which he has had input. (3-3132, 3-3136, 4-APP-
2A-05)

The transition plan outlines responsibilities for the officer as well as the offender for
accomplishing the desired behavior. Ultimately, however, the responsibility for
making a lifestyle change is up to the offender.

  How to Negotiate the Plan

  COMIT, through retrieval of LSI-R elements, will identify the programmatic
  modules most likely to address the criminogenic need(s) of each offender.
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Optional programmatic module placement occurs only when the supervising
officer determines that the need is criminogenic for that offender. (3-3132, 4-
APP-2A-05) COMIT is a tool to assist the officer in identifying offender need
areas. COMIT identifies mandatory modules and modules that are recommended
but not mandatory. The supervising officer must evaluate all modules identified
and recommended by COMIT to determine if that particular area is criminogenic
for the offender and whether module placement is warranted. Any programmatic
module identified that does not result in placement should be documented in a
case note.

During the feedback portion of the AOSA (EBP Principle #8), the officer and the
offender discuss criminogenic issues and problem behaviors identified during the
LSI-R interview (EBP Principle #1 & #2). The officer will acquire knowledge of the
offender’s stage of change for each problem behavior and gauge the offender’s
readiness to change. The officer will anticipate areas of offender resistance and
develop appropriate strategies for diffusion. The officer and the offender will
consider possible roadblocks to successful engagement in the transition plan and
make a list of ways the roadblocks can be removed or lowered. The list should
become a part of the transition plan file. (3-3102, 4-APP-3D-29)

The officer will identify the items to be negotiated during the development of the
transition plan. By developing a tentative plan, the officer makes mental or
written notes on important transition plan issues (i.e., possible interventions, how
to deal with anticipated areas of resistance, and strategies to deal with areas
requiring compromise). (3-3131, 4-APP-2A-02)

Non-negotiable Issues

The officer will consider non-negotiable issues, such as:

       •   Dictates of the law
       •   Standard rules of probation/parole
       •   Institutional/residential rules
       •   Court-ordered conditions
       •   Behavior that poses a threat to the client or others

Negotiation Process

       •   State the purpose of the transition plan
       •   Find areas of agreement
       •   Reframe areas of disagreement
       •   Reality check




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SECTION FIVE

DEVELOPING THE TRANSITION PLAN

Upon completion of negotiation and consideration of the offender’s stage of change in
his various criminogenic need areas, the transition plan is developed. EBP literature
suggests the following four items must be addressed in the development of an effective
transition plan:

         •   Problem Statement
         •   Behavioral Objective
         •   Offender Action Steps
         •   Officer Action Steps

      Problem Statement - The problem statement addresses the identified
      criminogenic need(s) and includes:

         •   Antecedents to the behavior
         •   The undesirable behavior
         •   The offender need being served by that behavior (rewards)
         •   The undesirable results for the offender (costs)

      Problem statements should be behaviorally based and measurable.

      Behavioral Objective - The behavioral objective specifies what alternative
      behavior the offender will use. In developing objectives, the officer will consider
      the offender’s abilities and skill level.

      Common problems that occur in trying to write behavioral objectives are:

             •   Specifying activities instead of changed behavior

                 Not this: “Mary will attend AA meetings.”
                 This:     “Mary will remain free of drugs and alcohol by attending
                            AA meetings.”

             •   Focus on the desired long-term outcome

                 Not this: “Mary will not drink alcohol or use drugs.”
                 This:     “Mary will maintain abstinence from drugs and alcohol
                            through her support systems and relapse prevention
                            techniques.”

             •   Negatively stated

                 Not this: “John will not hit his wife.”
                 This:      “John will be aware of his anger management issues
                            and will practice self-control.”

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Offender Action Steps – The offender action steps specify methods,
techniques, and resources to be used. The recommended treatment level
derived from the LSI-R/ASUS guides the officer in determining the type and
frequency of treatment for the offender. This section also warrants attention to
the concept of responsivity and the type of program most likely to benefit the
offender.

Officer Action Steps - The officer action steps outline the assistance the officer
will provide to the offender and how the officer will monitor the offender’s
progress in meeting the objectives of the transition plan.

  The supervision process is dynamic. Transition plans should
  accurately reflect supervision realities and must remain dynamic as
  well. (3-3138, 4-APP-2A-06)

Finalizing the Transition Plan

The transition plan, a behavioral contract based upon identified criminogenic
needs, includes measurable criteria of expected behavior and accomplishments,
a time schedule for achieving specific goals, and scheduled progress reviews.
The transition plan should be considered a fluid document that may require
change as an offender’s attitudes, values and beliefs are modified. Any
subsequent change in the transition plan will be negotiated between the officer
and offender, and a copy, signed by both, provided to the offender (3-3131, 3-
3139, 4-APP-2A-07).

Offenders are also required to meet certain responsibilities ordered by the court.
While EBP indicates that outcomes are linked to the offender’s addressing
criminogenic needs, these needs cannot be addressed if the offender is
incarcerated for failing to comply with court ordered conditions. Prioritizing is a
difficult task and includes examining the different responsibilities, placing them in
order of importance.

If court ordered services are not available, the court shall be notified for further
dispositional consideration. (3-3137, 3-3143, 4-APP-2A-08)

Due to the possibility that sex offenders may have criminogenic needs other than
those related to their sexual offending, all sex offenders will be reviewed for
module placement.        In addition to any module placement requirements,
supervision of all sex offenders will be managed in accordance with OP-160601
entitled “Supervision of Sex Offenders.” Supervision of sex offenders will not be
terminated due to module completion. Termination will occur only upon order of
the court, upon reaching court-ordered discharge, or death of the offender.

The transition plan will be negotiated and completed within 60 days of the
offender being received for supervision. After the transition plan has been
negotiated with the offender and finalized, the officer will meet with the offender
and the offender’s capable guardians (when appropriate) in order to discuss the
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transition plan and to address any questions relating to supervision. They will be
advised of the supervision process, expectations of the offender, and of the
importance of family participation and support. The officer should explain his
support role, review supervision requirements, and discuss the transition plan.
The officer will utilize this opportunity to observe indicators of the offender’s life-
style including use of time, social needs, and family support structure.




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                      CHAPTER THREE
                OFFICER ACTION STEPS
SECTION ONE

ACTION STEPS FOR MODULES

 Employment Module

 During every interaction, the officer will review the negotiated activities included
 in the transition plan, discussing and documenting the following suggested items:
 (3-3131, 3-3138, 3-3139, 4-APP-2A-02, 4-APP-2A-06, 4-APP-2A-07)

   •      Gauge the offender’s current stage of change
   •      Interact with family/community resource(s) to solicit/maintain assistance
          and support from these capable guardians
   •      Review the offender’s access to such basics such as clothing,
          transportation, hygiene items, child care, etc., to support full-time
          employment
   •      Listen and elicit change talk
   •      Provide positive feedback and encouragement
   •      Review employment contacts and applications
   •      Help offender with resume
   •      Involvement in job readiness workshop
   •      Program involvement
   •      Identify and remove new barriers that hinder progress, modifying action
          steps as needed
   •      Apply incentives or sanctions as appropriate

 Education Module

 During every interaction, the officer will review the negotiated activities included
 in the transition plan, discussing and documenting the following suggested items:
 (3-3131, 3-3138, 3-3139, 4-APP-2A-02, 4-APP-2A-06, 4-APP-2A-07)

   •      Gauge the offender’s current stage of change
   •      Interact with family/community resource(s) to solicit/maintain assistance
          and support from these capable guardians
   •      Review the offender’s access to financial aid, supplies, transportation,
          childcare, etc., to support additional education
   •      Discuss attendance and progress in educational classes
   •      Provide positive feedback and encouragement
   •      Reinforce the value and importance of educational advancement in
          relation to the offender’s goal(s)
   •      Identify and remove new barriers that hinder progress, modifying action
          steps as needed
   •      Apply incentives or sanctions as appropriate
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Substance Abuse Module

During every interaction, the officer will review the negotiated activities included
in the transition plan, discussing and documenting the following suggested items:
(3-3131, 3-3138, 3-3139, 4-APP-2A-02, 4-APP-2A-06, 4-APP-2A-07)

  •      Gauge the offender’s current stage of change
  •      Interact with family, treatment providers, and community resource(s) to
         solicit/maintain assistance and support from these capable guardians
  •      Review the offender’s access to adequate finances, transportation,
         childcare, etc., to support treatment participation
  •      Discuss attendance and progress in substance abuse education or
         treatment
  •      Provide positive feedback and encouragement
  •      Reinforce the value and importance of abstinence in relation to the
         offender’s goal(s)
  •      Identify and remove new barriers that hinder progress, modifying action
         steps as needed
  •      Apply incentives or sanctions as appropriate

Cognitive – Mental Health Module

During every interaction, the officer will review the negotiated activities included
in the transition plan, discussing and documenting the following suggested items:
(3-3131, 3-3138, 3-3139, 4-APP-2A-02, 4-APP-2A-06, 4-APP-2A-07)

  •    Gauge the offender’s current stage of change
  •    Review the continuum of care plan with family, treatment providers, and
       community resource(s) to solicit/maintain the support of these capable
       guardians
  •    Review the offender’s access to adequate finances, transportation,
       childcare, etc., to support treatment participation
  •    Discuss attendance and progress in mental health treatment
  •    Provide positive feedback and encouragement
  •    Emphasize the necessity of following the prescribed medication regimen
  •    Reinforce the value and importance of abstinence from self-medication
  •    Review the continuum of care with offender and provider
  •    Identify and remove new barriers that hinder progress, modifying action
       steps as needed
  •    Apply incentives or sanctions as appropriate

Cognitive - Anger Management Module

During every interaction, the officer will review the negotiated activities included
in the transition plan, discussing and documenting the following suggested items:
(3-3131, 3-3138, 3-3139, 4-APP-2A-02, 4-APP-2A-06, 4-APP-2A-07)


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         •   Gauge the offender’s current stage of change
         •   Interact with family/community resource(s) to solicit/maintain assistance
              and support from these capable guardians
         •   Review the offender’s access to finances, transportation, childcare, etc., to
              support program participation
         •   Discuss attendance and progress in treatment
         •   Provide positive feedback and encouragement
         •   Reinforce the value and importance of treatment goals in relation to
              impulse control
         •   Identify and remove new barriers that hinder progress, modifying action
              steps as needed
         •   Apply incentives or sanctions as appropriate

      Cognitive - Behavioral Enhancement Module

      During every interaction, the officer will review the negotiated activities included
      in the transition plan, discussing and documenting the following suggested items:
      (3-3131, 3-3138, 3-3139, 4-APP-2A-02, 4-APP-2A-06, 4-APP-2A-07)

         •   Gauge the offender’s current stage of change
         •   Interact with family/community resource(s) to solicit/maintain assistance
              and support from these capable guardians
         •   Review the offender’s access to finances, transportation, childcare, etc., to
              support program participation
        •    Discuss attendance and progress in educational intervention
        •    Provide positive feedback and encouragement
        •    Reinforce the value and importance of recognizing thinking errors,
              improving self-control skills, and modifying non-consequential thinking
         •   Identify and remove new barriers that hinder progress, modifying action
              steps as needed
         •   Apply incentives or sanctions as appropriate


SECTION TWO

SUPPLEMENTAL OFFICER ACTION STEPS

The following suggested interactions may be necessary to support or enhance progress
toward the offender’s desired goals/positive outcomes.

      Offender Interaction - an interaction with the offender providing an opportunity
      to assess progress in meeting benchmarks (completion of negotiated action
      steps) of the transition plan. Utilizing motivational interviewing skills (EBP
      Principle #2), the officer will reinforce the offender’s progress, participation, and
      compliance (EBP Principle #5). Communication skills used with the offender
      should be consistent with the offender’s current stage of change (see Chapter
      One, Section Two, The Stages of Change).

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Collateral Interaction - interaction with someone other than the offender, who
has an interest in the offender’s success. The supervising officer will tap the
strengths of the offender’s support system. These interactions assist in
evaluating the offender’s pro-social adjustments and progress relative to the
transition plan.

Residential Visit - a visit to the offender’s home allows the officer to verify
information and provide a glimpse of the offender’s life that is not easily obtained
in the office setting. The visit also gives the officer a chance to observe how the
offender views his surroundings and how the surroundings influence the
offender. In addition, it is a method to verify a change in the offender’s
residence.

Substance Testing – the testing of the offender for the presence of drugs or
alcohol. Substance testing is used to support treatment progress, goals, and
outcomes. It is a convenient and easy way to identify an offender’s progress in
the stages of change. A lapse/relapse may occur during the change process.
Consequently, staff and offenders must be prepared to respond if and when
there is a return to substance use. In addition, substance tests need to be used
in conjunction with a clearly established system of incentives. Requiring fewer
substance tests may be used as an incentive for offenders maintaining a
substance-free lifestyle. If an offender tests positive for use of substances and
the offender is not currently in a substance abuse program, an appropriate
intervention will be negotiated.

Staffing - a meeting with the offender, officer, supervisor, and, when appropriate,
treatment provider(s) to discuss offender behavior, positive or negative. In order
for the staffing to be most meaningful, it should occur as closely as possible to
the demonstrated behavior. Staffing in relation to significant positive events
provides an opportunity to reinforce offender change and is consistent with EBP
Principle #5: Increase positive reinforcement.

Employment Verification – confirmation of the offender’s employment status.
Because EBP indicates that lack of consistent employment contributes to greater
risk of criminal behavior, on-going monitoring of employment will occur. Change
in employment will be verified within 30 days by personal contact, check stub,
letter of verification from the employer, work attire, or other means.

Residential Verification – confirmation of the offender’s residence. Changes of
address will be monitored because EBP indicates that each change in residence,
even if it is an improvement, decreases stability and increases the likelihood of
criminal behavior. More than three changes of residence within a twelve-month
period are identified as a criminogenic factor on the LSI-R. Awareness of an
offender’s environment helps staff develop and adjust a transition plan to address
the positive and negative influences in the offender’s surrounding. Therefore, it
is important to verify each change of residence within 30 days of notification
through residential visit, utility bill, letter from landlord, rent receipts, or other
means.

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       Records Check – obtaining criminal arrest and disposition reports from various
       law enforcement agencies. FBI, OSBI, and DPS records will be requested 90
       days prior to termination (either through case expiration or statutory termination)
       and as deemed necessary by the supervising officer.


SECTION THREE

INCENTIVES, INTERVENTIONS, AND SANCTIONS

The officer shall initiate appropriate response to significant offender actions, positive
and negative. Positive reinforcements with the offender will be utilized at a higher ratio
than negative reinforcements. Responding to offender behavior may be accomplished
individually by the officer or through the use of a staffing. Officer discretion is imperative
for an appropriate response to offender behavior. In selecting the response, whether
an incentive or sanction, the officer needs a clear understanding of the offender’s
behavioral objectives as addressed in the transition plan and his current position in the
stages of change.

   Research indicates higher successful outcomes result the ratio of incentives
   to sanctions is 4:1.

The most effective incentives and sanctions are:

   •   Timely – the reinforcement should occur as closely as possible to the behavior to
       be reinforced or extinguished
   •   Proportionate - the incentive or sanction should be balanced and increasingly
       progressive
   •   Consistent – the behavior(s) should be acknowledged and reinforced or
       sanctioned each time it occurs
   •   Individualized – the incentive or sanction should be meaningful to the offender
       and appropriate for the behavior exhibited

       Incentives

       Offenders need clear rules that are consistently and swiftly enforced with
       appropriate responses. Increasing positive reinforcement is the fifth principle in
       EBP. For offenders, positive reinforcement helps insulate, protect, and motivate
       them as they work on internalizing pro-social behaviors. Positive reinforcement
       effectively supports EBP Principle four (skill training with directed practice) and
       principle six (engage ongoing support from natural communities). The more
       instances of positive reinforcement, the more effective the total approaches to
       combating re-offending. Incentives are actions used by an officer to immediately
       reinforce positive offender behavior and compliance.

       Awarding of one or more incentives may be warranted by offender behaviors
       such as:


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          •   Compliance with rules and conditions
          •   Accomplishing benchmark(s) of transition plans/programmatic modules
          •   Successful completion of optional supportive programming

   Each district will develop incentives and implement a process to award them.
  Offenders who reach major milestones along the path of behavior
  change should receive significant positive reinforcement. These
  rewards shape offender behavior.

   Interventions and Sanctions

   Interventions and sanctions are tools used by officers to respond to an offender’s
   behavioral lapse or relapse. Interventions are specific actions an officer takes in
   an effort to modify the offender’s behaviors. The officer will employ appropriate
   behavior-targeted responses that are swift, consistent, and proportionate to the
   action. Corrective responses that influence the behavior of offenders in the
   community serve as an effective alternative to probation acceleration/revocation
   to prison or parole revocation without compromising public safety. The offender
   must be aware there are consequences to non-compliant behavior. The officer’s
   response should redirect the offender to positive behaviors. The consequences
   should be only coercive enough to be meaningful to the offender and to move
   him into compliant behavior.

    When violations occur, alternatives to revocation and incarceration will
    be considered and utilized to the extent that public safety allows. (3-
    3168)

   Awarding of Incentives

   Incentives within an officer’s discretion include, but are not limited to:

          •   Positive recognition such as letters, certificates, or phone calls
          •   Verbal affirmations
          •   Acknowledgment of birthdays and special events (sobriety)
          •   Decreased reporting requirement
          •   Reduction of previously imposed sanction

As offender behavioral objectives are attained, certain benchmarks warrant
recognition by the immediate supervisor as well as by the supervising officer. If the
offender is involved in treatment, the treatment provider should also be invited to
participate. Incentives requiring a staffing with the offender, the officer, and the
immediate supervisor include, but are not limited to:

          •   Recommendation for modification of conditions
          •   Positive recognition such as letters, certificates, or phone calls
          •   Offender Hall of Fame (display of photographs, news articles)
          •   Give-Aways
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             •    Advance/Statutory termination of supervision
             •    Waiver/reduction/refund of supervision fees
             •    Recommendation to district supervisor for advance/statutory
                  termination of supervision
             •    Special report to the court recommending case dismissal or
                  modification of supervision requirement

      Imposition of Interventions and Sanctions

      Interventions and sanctions within an officer’s discretion include, but are not
      limited to: (3-3137, 4-APP-2A-08)

             •    Verbal admonishment
             •    Curfews
             •    Itineraries
             •    Travel restrictions

      Some behaviors are serious enough to justify a staffing, a meeting with the
      offender, the supervising officer, and the immediate supervisor. If the offender is
      involved in treatment, the treatment provider should also be invited to participate.
      The immediate supervisor is involved because the offender’s non-compliant
      behavior is escalating and because the interventions and sanctions are more
      restrictive and may involve liberty interests. (3-3138, 4-APP-2A-06) Interventions
      and sanctions requiring a staffing include, but are not limited to:

             •    Modification of supervision fees
             •    Recommendation to the sentencing/releasing authority for additional
                  conditions
             •    Day reporting or other structured activities
             •    Modification of action steps of the transition plan
             •    Written warning, letter of concern, or letter of reprimand
             •    Continued supervision in lieu of statutory termination
             •    Violation report with recommendation of acceleration or revocation to
                  jail/prison

SECTION FOUR

MODULE MOVEMENT AND COMPLETION

Action steps may need to be modified as a result of:

              •      Offender change has occurred
              •      Offender change has not occurred
              •      Offender’s circumstances have changed
              •      Other responsivity issues have developed
              •      Lapse or a relapse
              •      Successful completion of benchmarks

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Movement from one module to another may occur as a result of successful completion
of the currently assigned module. If the transition plan has consecutive modules
requiring completion, the offender would move on to the next (most salient) module. (3-
3139, 4-APP-2A-07) If the offender has the ability, multiple modules may be assigned
simultaneously. Upon module completion, the supervising officer will ensure the
assigned modules are closed in the COMIT system.

When an offender has satisfied all requirements within an assigned module, the officer
will review the negotiated transition plan and the offender’s risk level. If additional
module placement is warranted based upon identified criminogenic need factors and
LSI-R element scoring criteria, the offender may be placed in an additional module. (3-
3132, 3-3130, 4-APP-2A-01, 4-APP-2A-03, 4-APP-2A-05, 4-APP-2D-01)

Offenders who have successfully completed all programmatic module requirements
should be considered for advance/statutory termination of supervision. The officer will
request a criminal record check to include FBI, OSBI and DPS records. Subsequent to
the receipt of the records, the officer will complete an exit LSI-R with the offender. The
results will be entered in EZAssess. (3-3144, 4-APP-2A-09)


SECTION FIVE

DOCUMENTATION

Case notes will be maintained throughout the period of supervision. (3-3102, 4-APP-3D-
29) Case notes document pertinent information, including progress or lack of progress
toward transition plan objectives. Entries will be detailed, specific, and include date,
time, place, and type of interaction. Case notes will be entered as closely as possible
following the interaction, but no more than 24 hours, or the next working day.

The current codes for case note types and sub-types in the Offender Management
System will be utilized. Upon full implementation of the COMIT system, the following
codes for each type of case note will be utilized:

                 AC*      Address Change – Documents a change in residence


                 AS       Assessment – Documents the completion of an LSI-
                          R/ASUS and EZAssess entry

                 CI       Collateral Interaction - Documents interaction with an entity
                          other than the offender

                 DNA*     DNA completed – Documents that DNA collection has
                          been completed

                 EC*      Employment     Change     –   Documents      a   change    in
                          employment

                 EV*      Employment Verified – Documents verification of the
                          offender’s employment

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IA*     Incentive Awarded – Documents the awarding of an
        incentive recognizing compliant behavior

JS*     Judgment and Sentence added – Documents that a new
        sentence has been added

MC*     Module Completion – Documents completion of a module


MO*     Module Override – Documents override of module
        placement

OI      Offender Interaction – Documents interaction with the
        offender

PSI*    Pre-Sentence Investigation completed – Documents that a
        Pre-Sentence Investigation has been completed

RG*     Report Generated – Documents that a system-generated
        report has been completed

RR*     Rap Request – Documents the request for criminal record
        checks

RV*     Residence Verified – Documents the officer’s verification of
        offender’s address change

S       Staffing – Documents meeting          of offender, officer,
        supervisor, and treatment provider, when appropriate, to
        address offender behavior (positive or negative)
SA*     Sanction Applied – Documents the imposition of a sanction
        admonishing non-compliant behavior

SC*     Special Conditions completed – Documents that a special
        condition has been completed

SOR*    Sex Offender Registration completed – Documents that
        sex offender registration has been completed

ST*     Substance Testing - Documents that a substance abuse
        test has been completed and the results recorded

TRN*    Transfer of Supervision – Documents             transfer    of
        supervision between officers or districts

VC*     Vehicle Change – Documents change in offender’s vehicle
        information

VOR*    Violent Offender Registration completed - Documents that
        violent offender registration has been completed


*Case notes created by COMIT as a result of officer data entries.


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                                                                              OP-160103




                             CHAPTER FOUR

COMMUNITY RESOURCES AND PARTNERSHIPS
To support the comprehensive management of offenders, district supervisors will
ensure officers have knowledge of available community resources and maintain contact
with agencies (EBP Principle #6: Engage on-going support in the community) providing
treatment, education, employment, health education, financial, and leisure activity-
related services. Officers shall maintain contact with employment agencies and local
businesses to obtain information and create job opportunities for offenders. (3-3146, 3-
3150, 3-3151, 3-3155, 4-APP-2D-03)

Building community partnerships is an important component of the NIC/CJI integrated
model of implementing effective correctional management of offenders in the
community. Collaboration with external stakeholders is crucial to sustaining long term
commitment to the model. In keeping with EBP Principle #3 resources, must be
matched to individual risk, need, and responsivity. Community treatment providers
must be aware of and offer programs consistent with EBP Principle #4: Skill train with
directed practice. (3-3148, 3-3149, 3-3151, 4-APP-1B-03)


 Offenders are eligible to receive services through a cooperative agreement
 with the Department of Mental Health Substance Abuse Services (DMHSAS).
 Treatment providers must be identified from the DMHSAS Special Population
 Treatment Unit (SPTU) Providers.

 Indigent offenders (both probation and parole) are eligible to receive services
 in accordance with OP-160901 entitled “Parole Treatment, Sanctions,
 Warrants, Revocations and Intermediate Sanctions.”




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                                                                                 OP-160103


                                   APPENDIX
Out of State Travel

Periodically, offenders may have the need to travel outside the state. Officers have the
authority to grant permission for offenders to leave the state for a period of thirty days.
Any request for travel exceeding thirty days must be approved by the immediate
supervisor through a staffing. Offenders convicted of sex offenses may be approved for
travel outside the state for a period not to exceed fourteen days and must be issued a
written “Travel Permit” (DOC 160103B) in accordance with OP-160601 entitled
“Supervision of Sex Offenders.” Offenders residing in Oklahoma who are employed in
another state requiring daily travel outside of Oklahoma will be issued a permanent
work travel permit indicating the offender’s place of employment to include the address
and telephone. This information will be provided to the Oklahoma Interstate Compact
Administrator through the submission of a “Special Report.”

Any offender requesting authorization to travel outside the United States will require
approval by the court (probation offenders), the Pardon and Parole Board (parole
offenders) or the sending state if the offender is supervised through the interstate
compact. Community supervised inmates are not allowed to travel outside the state of
Oklahoma.

Absconders

In order to reduce the likelihood of the offender absconding supervision, prompt action
will be taken to locate offenders who fail to report for a scheduled appointment. An
attempt to make contact with the offender will occur within five (5) days of knowledge of
a missed appointment. An appointment would include those scheduled with the
supervising officer, treatment or other program provider. Once contact with the offender
is made, a staffing may be conducted in order to determine an appropriate response.

If contact with the offender cannot be made or when an officer has reason to believe an
offender has absconded, the officer will make inquiries at the last known residence and
place of employment, and will check with family, friends, local jails, welfare and service
agencies, and other agencies with which the offender may have had contact. In
addition, letters may be mailed to other possible contacts including those outside the
immediate area. All locator attempts shall be completed within the initial 30 days of the
missed contact. (3-3170, 4-APP-3B-08)

Once the determination has been made that the offender has absconded supervision,
the supervising officer will submit a violation report within four working days. The
violation report will contain detailed information outlining all locator attempts by the
officer.

Interstate offenders who have absconded supervision will have their cases closed upon
submission of a violation report to the Interstate Compact Administrator. The summary
section of the report will include the following language: “The above referenced offender
is an absconder. Oklahoma is closing interest at this time.”
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If an absconder is located prior to court action and investigation reveals that the
offender has not committed any new offenses and is not viewed as a risk to the
community, supervision will continue with the offender’s re-entry/continuation of
assigned modules. If the court has intervened with the issuance of an application or a
warrant, the supervising officer should recommend continued community supervision if
the offender poses no risk to the community. (3-3171, 4-APP-2B-15)

Informant Activities

Offenders will be advised that engaging in informant activities will not preclude them
from adhering to programmatic module actions nor from abiding by the rules and
conditions of the sentencing or administrative authority.

Institutional Visitation

Offenders desiring to visit immediate family members confined in a departmental facility
may make written application to the supervising officer for permission to visit in
accordance with OP-030118 entitled “Visitation.” If approved by the supervising officer,
a letter shall be prepared by the supervising officer that contains the name, DOC
number and relationship to the offender to be visited. A copy of the current rap sheets
shall be attached to the letter. The letter shall be submitted to the district supervisor who
will review all such requests and, if approved, forward to the appropriate facility head.
The offender shall be advised that access to the facility for visitation will not be
authorized by the facility until the offender has been added to the inmate’s visiting card.
The submission of the request and the final decision will be documented in the
“Chronological Record.”

Deferred Prosecution

The supervising officer will report to the district attorney and supervise the offender as
requested regarding the status of the offender. The LSI-R will be conducted and the
offender will be placed into the appropriate programmatic module and supervised in
accordance with this policy.


                                                                                     (R 9/07)




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