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1 Hennepi n County Departm ent of Commu nity Corrections and Rehabilitation Continuous Improvement in the Department of Community Corrections and Rehabilitation February 2013 Introduction The Department of Community Corrections and Rehabilitation (DOCCR) has shown its dedication too continuous improvement of operations in many ways over the past several years. This brief reports describes DOCCR efforts in this area,, focusing on the methods and practices used by the department, some specific examples of initiatives, and the outcomes of the approach. Results: Continuous Improvement The general success of DOCCR s approach to continuous improvement can be seen in the department s main outcome measure: the rate of recidivism of DOCCR clients. Because of its recent automated recidivism report project (see below), DOCCR is able to report overall recidivism for all clients at one, two, and three years after they enter our system. One year recidivism has declined to a statistically significant degree over the last several years, goingg from 28.5% for the clients entering our system in January 2008 to 23.5% for those entering in December Two and three year recidivism appears to be declining as well, as shown by the chart above. The DOCCR s premiere outcome measure is a lagging indicator: it measures the outcomes of the department s programs as they were

2 when the clients concerned were served. Clients must be followed for a period of time to identify new criminal activity. Therefore, the department has developed a robust array of operational and output measures that tell us whether or not we are moving toward our ultimate goal of reducing new criminal activity. These measures, which are compiled and examined monthly, quarterly, or semi-annually (depending on the measure) help guide the department s operations and initiatives. One of these leading indicators is revocations. Adults convicted of a felony that do not successfully complete their probation periods are sent to state prison, a process known as revocation. Probation revocations have decreased steadily over the last five years. In Q1 2007, 18.8% (160/850) of all closed adult felony cases were revocations; that went down to 8.2% (116/1423) in Q The Basic Approach: Managing by Data Through the Adaptive Action Cycle In DOCCR, continuous improvement is attained through data-informed and data-driven management. The department continually uses its data collection and analysis capabilities to improve processes and approaches, and thus the outcomes of the department s operations. Data is widely distributed in the department. In addition to the quarterly balanced scorecard metrics, monthly operational measures are sent via to all supervisors, managers, and administrators. Everyone also receives a quarterly outcomes measure supplement. This data is the keystone of the department s methodology: the Cycle of Adaptive Action. This process, developed by Glenda Eoyang at the Human System Dynamics Institute, is an iterative process of analysis and action that acknowledges and responds to the continuing changes in the world in which we operate. Adaptive Action planning asks three questions: 1. What? We gather pertinent data from across the environment to develop a picture of the underlying dynamics of our current status. What are the patterns we see and what do we know about their impact on the system? 2. So What? We examine data to make sense of it. We come to understand what the picture of our current status means and begin to explore and plan next steps. We explore the impact of the system patterns on the whole, part, and greater whole; the conditions (CDE) that generated those patterns; and options for action that can shift the patterns to make the system more adaptable, more sustainable, more fit. 3. Now What? We take action and then pause for a second check to measure our impact. By following up and asking where we are now Continuous Improvement in DOCCR 2 February 2013

3 and what is to be done next, we start the next cycle in the iterative process. 1 Adaptive action can be used at all levels of the organization, addressing everything from day-to-day office procedures to large scale policy initiatives. It is this approach that has allowed the department to achieve and maintain significant operational and outcome improvements. Data Initiatives None of this would be possible without a robust array of data systems and analysis. Some of the initiatives that DOCCR has engaged in recently have been designed to enhance the data collection and analysis capabilities of the department. Recidivism Query and Recidivism II How many of our clients commit another crime is a vital outcome measure of our work. But until recently, it has been difficult and time consuming to measure recidivism. Researchers had to match records from different data systems by hand, a difficult and time-consuming practice. But recently completed DOCCR data initiatives have dramatically reduced the time and effort necessary to determine recidivism. The recidivism reporting system combines data from the DOCCR case management systems with the statewide MNCIS court information system to identify new convictions in Minnesota. Work that would have taken weeks or months can be completed in hours or days. Last year, the system was upgraded to allow specific subpopulations to be tracked. This is allowing the department to track specific populations of interest. A study on recidivism of felony clients is expected within the next few weeks. Case Management System Redesign and Improvement DOCCR has separate case management systems for juvenile programs, adult field services, and the Adult Corrections Facility. Each of these is carefully maintained and continuously improved as needed. For example, the juvenile system was recently upgraded to MAIn 3.0. The adult system was moved from our proprietary CORRIS application to the statewide Court Services Tracking System (CSTS). Automated reporting of UA results were added to the system as part of the upgrade. Electronic Incident Reports As a part of a recent safety initiative, the department created a new electronic incident report to track safety-related incidents at all DOCCR locations. Aggregated data will be used to identify areas of risk and risk mitigation plans. 1 Human Systems Dynamics Institute, : Adaptive Action Models accessed 14 February 2013 Continuous Improvement in DOCCR 3 February 2013

4 Policy and Operational Initiatives DOCCR initiatives arise from several sources: board level policy initiatives, county administration, or internal efforts. In all cases, though, they are informed by the data collected, maintained, and analyzed by the department. Typical DOCCR initiatives are Initiative Structure The result of review and analysis of specific data. Designed and operated with the assistance of a combination of stakeholders. The nature of the stakeholders varies by initiative. For larger initiatives, such as the Juvenile Detention Alternatives (JDAI) or Crossover Youth initiatives (see below), they include representatives of the bar, the bench, other involved county departments, and the community. Managed using Cycle of Adaptive Action methods that involve the continual review of ongoing operational and outcome data. The following listing is not exhaustive, but serves as an example of the types of continuous improvement practices within DOCCR. Policy Level Initiatives Evidence Based Practices Research has identified specific approaches that lead to reduced recidivism among corrections clients. Some of these approaches are different from the way we have done things in the past; others are continually being revised, updated, and improved. The department s commitment to evidence based practices (EBP) guides the selections and implementation of continuous improvement efforts. In 2011 the department renewed its commitment to EBP, by dedicating full time resources to centralized EBP planning and implementation efforts. The following efforts are aimed at improving and enhancing the use of Evidence Based Practices in the department s operations. Motivational Interviewing One emphasis in 2012 was the continued training and implementation of Motivational Interviewing (MI) throughout the department. MI has been shown to improve client outcomes, and shows benefits when used in interactions between departmental staff as well. In 2012, 158 staff members completed MI Level 1& 2 training. This included all juvenile probation officers. Those trained in MI are regularly reassessed through audio recordings of interviews they conduct. Results of those reassessments are regularly collated and reported. Continuous Improvement in DOCCR 4 February 2013

5 Correctional Program Checklist (CPC) The CPC is a standardized assessment protocol for vendors providing treatment services to correctional populations. It measures the degree to which a vendor has the capacity to operate an evidence-based intervention, and the degree to which the program is currently operated on EBP principles. Currently, twelve staff members are trained to work in teams of two or three to carry out the assessment with both contracted vendors and providers who are being considered for a contract through the RFP process. In 2012, 10 programs were assessed using the CPC. Actuarial Risk Assessment Average Daily Populations at the Juvenile Detention Center Pre JDAI The department continues to expand and improve its use of actuarial assessment instruments to identify risk of reoffense and criminogenic needs within our client populations. The department regularly examines and reports the scores of its clients on tests and retests for the various instruments used, and analyzes scoring accuracy. Juvenile Detention Alternatives Initiative (JDAI) JDAI is an ongoing improvement effort operated in in partnership with the community and other parts of the criminal justice system. JDAI participants work together to improve outcomes for youth involved in the juvenile justice 64 system by reducing the use of detention and other placements outside of the community. Research shows that 44 youth who are held in detention are more likely to go on to further, more expensive involvement in the juvenile justice system than others accused of the same crime that remain in the community. JDAI provides alternatives to detention and works to reduce racial disparity in detention decisions. Funds previously spent on detention are redirected to pay for more effective community-based interventions. Continuous Improvement in DOCCR 5 February 2013

6 Data is a key part of the JDAI governance process. Data is used to monitor the operations and outcomes of various parts of the JDAI effort. The success of JDAI can be seen in many areas, but the most obvious is in the number of youth held at the Juvenile Detention Center (JDC) as shown in the chart above. Before JDAI began, the average daily population was 95. In 2012, it was down to 38. JDAI uses many strategies to attain its goals. One example is the Community Coaches project. Community Coaches An offshoot of the JDAI initiative, Community Coaches link lower-risk juveniles with community coaches who work with them to ensure that they attend scheduled hearings and appointments. One of the drivers of JDC population growth was youth admitted on bench warrant status that is, those who had failed to appear at a court hearing, and were therefore arrested. Community Coaches are provided by four separate community providers, who are compensated under a pay for performance contract (see below) that pays the vendor when the youth appears at scheduled hearings. The community coaching project has been underway since about July of In that time the court attendance rate has increased from 44% to 78% in Q The number of youth admitted to the JDC on a bench warrant has also fallen steadily from 905 in Q to 209 in all Q Crossover Youth There are many youth who are involved in both criminal justice and human services. These are known as crossover youth who are youth with open referrals with both DOCCR and HSPHD. DOCCR is a partner in the recently started pilot of new ways to address such youth. The pilot, which began in October, is expected to significantly improve outcomes. Continuous Improvement in DOCCR 6 February 2013

7 Out of Home Placements Reducing the use of out of home placements for youth in the juvenile justice system has been a focus of DOCCR efforts for the last five years. These placements are expensive. What is more important, research shows that services are best delivered to youth in their community, and in the context of their existing social structure. DOCCR collaborates with the Bench, the Human Services and Public Health Department and other stakeholders to reserve out of home placement for those youth who can benefit from it. The mechanism put into place for controlling placements and monitoring their use has led to a significant decrease in placements, and maintained the number of placements at a much lower level over time, as showing in the chart above. Operational Initiatives DOCCR is committed to making its internal operations more effective and efficient. The following are examples of continuous improvement initiatives taking place within the department that seek to improve efficiency and effectiveness of service deliver. Performance-based contracts Since 2009, DOCCR has been experimenting with performance based contracts for some juvenile residential treatment programs and vendors of Community Coaching services. The treatment programs receive a bonus if a client does not have a new offence within one year of leaving the program. The community coaching vendors are paid based on how Continuous Improvement in DOCCR 7 February 2013

8 often the client attends mandated hearings or other scheduled appointments. HR Practice USPEQ In November of 2011, DOCCR contracted with a vendor used regularly by HSPHD to conduct an employee climate survey. This survey known as USPEQ looked at the perceptions of the department by all staff. Taking the results as its starting point, the department has engaged with employees and developed a number of initiatives to address the issues revealedd in the survey. The department will be conducting the survey againn in 2013 to gauge the effect of these initiatives. Career ladders One of the issues identifiedd by the survey was the perceived lack of career advancement opportunities for some staff. As a result, a career path for Correctional Officers and Juvenile Correctional Officers is being developed that will make it easier for qualified officers to enter the probation officer series. Conclusion The efforts noted above aree only a few of the areas DOCCR has obtained continuous improvement through the Adaptive Change model. This model, along with the intensive use of operational and outcome data, is vital in the department s continuing operational effectiveness. Tom Merkel, Director, Department of Community Corrections and Rehabilitation Jennifer Schuster-Jaeger, Area Director, Organizational Change Management Stephanie Ahles, Actingg Manager, Policy, Planning and Evaluation Jim Ahrens, Principal Planning Analyst, Policy, Planning and Evaluation Continuous Improvement in DOCCR 8 February 2013