EBP CURRICULA: RECOMMENDED PRACTICES, PRINCIPLES, AND GUIDELINES January, 2008

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1 EBP CURRICULA: RECOMMENDED PRACTICES, PRINCIPLES, AND GUIDELINES January, 2008 Evidence-Based Practices (EBP) in the field of corrections are crucial in guiding agencies in the right direction of effectively utilizing resources, helping reduce offender recidivism and ultimately to increase public safety. In Minnesota, an Evidence- Based Practices Policy Team was created in 2004 under the direction of the Commissioner of Corrections, and with technical assistance from the National Institute of Corrections (NIC). The EBP Policy Team is a group of leaders representing all three of the State s correctional delivery systems, including the Minnesota Department of Corrections (DOC), Community Corrections Act (CCA) agencies, and County Probation Office (CPO) departments. Members of the EBP Policy Team, and associated workgroups, continue to meet on a regular basis to review EBP related topics and accomplish various team objectives. As one of its objectives, and in response to numerous discussions and inquiries about EBP training and interventions, the Policy Team members committed to developing a summary list of key training and implementation considerations for agencies interested in utilizing EBP approaches and strategies. The list below is not meant to be exhaustive, but to serve as a useful reference and guide for correctional agency leaders and practitioners who are considering strategies which have been identified to be promising through numerous research studies, reports, and application in the field. The content of this list includes feedback from many dedicated correctional practitioners throughout the state, and from numerous research articles and training curricula. The EBP Team anticipates that this list will need to be periodically updated and revised, and a Training and Work Group will continue to monitor and edit this document as necessary. The information contained here may assist agencies in their search for enhancing services for offenders, victims, and communities. However, more detailed sources of information should be considered and reviewed as available, including information available from the DOC s EBP website (listed below), the Minnesota Association of Community Corrections Act Counties (MACCAC), the Minnesota Association of County Probation Officers (MACPO), the National Institute of Corrections (NIC), the American Probation & Parole Association (APPA), and other sources. An electronic version of this document is available at the following website through the Minnesota Department of Corrections:

2 EBP Overview: What Works? Motivational Interviewing (MI) Half day to 1 day overview of correctional practices that has been proven by research to reduce recidivism, increase offender competencies, and improve community safety. By example, Dr. Edward J. Latessa, at the University of Cincinnati s Division of Criminal Justice, offers an overview presentation entitled What Works and What Doesn t in Reducing Recidivism: Principles of Effective Intervention. More information and EBP related articles are linked at: Motivational Interviewing (MI) was developed by William Miller and Stephen Rollnick. MI integrates a complex set of clinical skills and strategies based on principles of autonomy, collaboration and evocation. It is recommended that all trainees review and read Miller & Rollnick s book, Motivational Interviewing, 2002; Guilford Press. Another recommended reference book is Health EBP overview training should be considered as a pre-requisite for all of the trainings listed below. There are several theories that support MI, e.g., understanding approach avoidance; selfdetermination theory; stages of change theory; social learning theory. These theories help us understand how to work with an individual s motivation for and ambivalence about change. Prerequisites may include reading assignments, video examples or reviews of For agencies struggling to implement EBP, an implementation piece could be added to the actual training component. Additional articles outlining EBP implementation issues include: Implementing EBP in Community Corrections: The Principles of Effective Intervention, by NIC, April 30, 2004; and EBP in Probation and Parole: The Challenge, by Thomas White, Director of Operations, Connecticut Judicial Branch Court Services Support Division, August The levels and types of training in MI noted in here and below apply to an initial workshop only. Supervisors and administrators should also be trained, knowledgeable and practice MI approaches (serve as role models). Programs may be assessed via instruments such as the CPAI (Correctional Program Assessment Inventory, by Andrews, et. al.) A culture of quality in the organization must be incorporated. Comprehensive quality assurance plans developed for each agency s needs must be developed. Outcomes must be identified and measured. Peer review teams need to be developed, established and supported. Detailed quality control information can be found in NIC s publication entitled: Implementing EBP in Community Corrections: Manual, December 27, Training plans should provide for continuing coaching, feedback and supervision. Direct observation and/or videotaped interviews can help in providing practitioner feedback and document use of specific MI skills, strategies, and techniques. Quality control may be shared by supervisors, lead agents, and/or outside evaluators or consultants. Audio equipment can be utilized. Developing an Interview Audit Form to be Thorough understanding of what is meant by the integrated model of EBP, including, but not limited to understanding the eight areas of evidence-based practice: 1) Using Actuarial Risk/Need assessment tools 2) Enhancing Intrinsic Motivation 3) Target Interventions (Risk Principle, Need Principle, Responsivity Principle, Dosage, Treatment Principle) 4) Skill Train with Directed Practice 5) Increasing positive reinforcement 6) Engaging on-going support in natural communities 7) Measure relevant processes/practices 8) Measurement Feedback See Appendix. Demonstrate the understanding of a strengthsbased approach, Apply the Stages of Change model to offender behavior, Name the four basic principles of MI, Explain how to avoid traps, Demonstrate how to reduce resistance, Explain how to respond to and elicit change talk, Apply new skills to engage 2

3 Risk Assessment Instruments: Juvenile YLS/CMI Behavior Change, by Rollnick, et. al., 1999, Harcourt Publishers. And NIC s publication, "Motivating Offenders to Change: A Guide for Probation & Parole" (2007) is available at DF/Library/ pdf Current YLS/CMI is a 3 tier training event: Phase I is online (6.5 training credit hours are received for this portion); Phase II is 2 days of classroom instruction; Phase III is an online scoring exercise (1.5 training credit hours are received for this portion). All Phases must be successfully completed, participants should verify completion of Phase before moving on to next Phase, and Phases should follow each other without undue separation. Participant and Trainer Manuals have been written by the Minnesotan YLS/CMI Master Trainers and DOC staff, and approved by the YLS/CMI author (Dr. Robert Hoge). effective interviews. Booster s sessions should be considered on an annual basis, and advanced agents may be able to mentor others. No specific pre-requisite for Phase I, except a recommendation to read Psychology of Criminal Conduct (3 rd ed.), Chapters 1, 2 & 6. Take MI training before YLS/CMI training, and ECM training afterward. Recommend 3-4 hour booster trainings, 1-2 times per year that include a scoring exercise. Intent of tool is for case planning; adherence to risk principle, focus on high-risk offenders, limit overrides, proper training of staff with boosters. Staff should understand why the tool is being used and how it benefits case management. Policies should be written detailing who the tool is used for and what it should include when it is completed. Consider use of YLS/CMI Pre-Screen (8 questions focused on YLS risk domains). Secure funding for training, etc. 1. Adopt policies 2. Train managers & supervisors 3. Train trainers 4. Provide user training 5. Implement research program 6. Identify utilization within the agency or facility & support with consistent policies and practice. 7. Have representatives from various jurisdictions attend the used by supervisors and/or Peer Review Teams. Use of the MITI (Motivational Interviewing Treatment Integrity) Coding tool for quality assurance and coaching should be considered Completion of all phases of training; regular booster training; peer evaluation (reliability); supervisory follow-up; posting agent or supervisor should be experienced in YLS/CMI, use of Interview Guide, and Scoring Key; agency norming of results (validity); collection of collateral info. Consider supervisors, lead agents, & peer review team s involvement in QA, including posting, training, observing staff interviews & scheduling boosters. Random sample of interviews selected on a monthly or quarterly basis (cross-section of interviews) for review. Alternately, all officers could be assessed when they first begin administering the assessment (either once or multiple times), and then on a yearly basis thereafter. Regardless of the sampling methodology, the officers should receive the results of the assessment, and have the reluctant client, Discuss options for further skill building and implementation Participants will: 1) Observe an interview, read a case history and complete all sections of the Interview Guide 2) Accurately complete and score the YLS/CMI, using the Minnesota Scoring Key (+ or 2 points); 3) Write a case plan based on the YLS/CMI; 4) Describe the principles and theories underlying the YLS/CMI; 5) Name and describe the 3 principles of effective correctional intervention. Agencies policy should address acceptable level of performance. 3

4 Risk Assessment: Juvenile Female Offenders Risk Assessment Instruments: Adult LSI-R Use an evidence-based risk needs tool, preferably with gender-responsive aspects, and ECM and MI techniques. Current LSI-R is a 3 tier training event: Phase I is online (6.5 training credit hours are received for this portion of the training); Phase II is 2 days of classroom instruction, which focuses on scoring of the LSI-R; Phase III is an online scoring exercise (1.5 training credit hours are received for this portion of the training). All Phases must be successfully completed, participants should verify completion of Phase before moving on to next Phase, and Phases should follow each other without undue separation. Read Psychology of Criminal Conduct 3 rd Edition, Chapters 1, 2 & 6. Take MI training before LSI-R training, and take ECM training after LSI-R training. Participants are expected to attend a 3-4 hr. refresher training 6 months after the initial training, and annually thereafter, or more often depending on agency policy. statewide quarterly ORAN (Offender Risk Assessment Network) meetings to advance and promote the use of actuarial assessment tools. FFI: ORAN link: mn.us/ebp/oran/default.aspx Secure funding for training, etc. 1. Adopt policies 2. Train managers & supervisors 3. Train trainers 4. Provide user training 5. Implement research program 6. Identify utilization within the agency or facility & support with consistent policies and practice. 7. Have representatives from various jurisdictions attend the statewide quarterly ORAN (Offender Risk Assessment Network) meetings to advance and promote the use of actuarial assessment tools. FFI: ORAN link: mn.us/ebp/oran/default.aspx opportunities for feedback, coaching, additional training and reassessment, if necessary. Maintaining inter-rater reliability ensures that assessment interview and scoring is the same for all offenders, regardless of the interviewer. Consider supervisors, lead agents, & peer review team s involvement in QA, including posting, training, observing staff interviews & scheduling boosters. Random sample of interviews selected on a monthly or quarterly basis (cross-section of interviews) for review. Alternately, all officers could be assessed when they first begin administering the assessment (either once or multiple times), and then on a yearly basis thereafter. Regardless of the sampling methodology, the officers should receive the results of the assessment, and have opportunities for feedback, coaching, additional training and reassessment, if necessary. Maintaining inter-rater reliability ensures that assessment interview and scoring is the same for all Participants will: 1) Observe an interview, read a case history and complete all sections of the Interview Guide 2) Accurately complete and score the LSI-R, using the Scoring Guide (+ or 2 points); 3) Write a case plan based on the LSI-R; 4) Describe the principles and theories underlying the LSI-R; 5) Name and describe the 3 principles of effective correctional intervention. Agency policy should address acceptable levels of performance. 4

5 Risk Assessment Instruments: Adult Female Offenders Two separate assessment tools for women offenders are currently being developed by the NIC Classification of Women Project: an LSI-R trailer assessment for women, developed by Dr. P. Van Voorhis and the University of Cincinnati, and a separate assessment titled SPIn-W, developed by Dr. M. Van Dieten and Orbis Partners, Inc. Neither tool is publicly available in January, FFI: see Achieving Accurate Pictures of Risk and Identifying Gender Responsive Needs: Two New Assessments for Women Offenders on the EBP Home page at ebp/shared%20documents/f EMALE%20OFFENDERS/ NIC%20Summary- Classification%20of%20Wo men%20offenders% pdf offenders, regardless of the interviewer. Effective Case One day original training on the Female Offender Case Planning & Case Management (Nov. 2006). That document is available at: mn.us/fo/reports/female%2 0Offender%20Case%20Man agement.pdf Current ECM Curriculum most utilized in MN was Participants must have knowledge and experience Staff should have basic understanding of how and Case plan reviews or audits should be considered; skilled Successful participants should be able to write effective case 5

6 Management (ECM) Female Offender Case Planning developed by Marilyn Van Dieten, Ph.D, with approved modifications by the MN ECM trainers. ECM requires 2 days of classroom instruction, and a detailed participant manual is utilized. MN trainers must be certified by author. ECM provides an overview of MI & Stages of Change model but this is not a pure MI training. Conceptualizing offender risk & needs and targeted and collaborative case plan development are primary goals. ECM Training is hands-on, utilizes small group and individual exercises, and is limited to groups of participants. The MN DOC Advisory Task Force on Female Offenders has developed recommendations in this area. See the Female Offender Case Planning & Case Management (Nov. 2006) document available at: with offender risk assessment tools (YLS or LSI-R). Case plans are derived from researchbased assessment data. Order of training: MI training, then risk/needs assessment tool training, then ECM training. Boosters should be at least annual, and 3-4 hrs. long Half-day annual booster presented with the understanding that ECM and MI techniques will be used. why this training is necessary; value and benefits of application in supervision, and how it supports conditions of supervision, etc. Policy around assessment and case plan requirements needs to be addressed and clear - who (i.e. high-risk), when, how many targeted goals & how often are case plans revised and/or reviewed? To provide parity for females offenders and to enable staff to be fully effective with female offenders, staff should have basic understanding of theory and practice, including why this training is necessary, specific internal staff, or external mentors can help to monitor quality; contract services for review of skills and plans may be needed; model case plans should be available for review by staff for additional training. A process of case file reviews should be tailored to the size and needs of the agency, following these basic steps: 1. A standardized case file review form is adapted or created, taking into consideration the range of cases that will be reviewed. 2. A peer review team is recruited and trained. 3. A sampling plan is developed: How often will reviews take place? How many files should be reviewed? Etc. 4. Case review is completed, and the data is compiled and compared to benchmarks (i.e. 80% of offenders referred to sex offender treatment will complete the treatment) Peer review team works with management to address trends and deviations. Use of Female Offender assessment tool(s) as they become available. of Task Force s recommendations. Continued coaching by supervisors and QA of assessments and case plans, plans w/smart goals and action steps; better understand use of assessment tools and essential targets for change; identify basic MI principles and strategies; Use a PMI, decisional balance, scaling methods, and other techniques to enhance motivation and confidence; be able to apply specific strategies related to the Stages of Change model, etc. Outcomes from training: Explore the role of the Correctional Practitioner as an agent of change Understand a model for effective case management. Understanding of the process of change. Identify the stages of change. Understanding of brief intervention strategies to engage, motivate and enhance behavioral change among offenders. Apply what we know about change to the case management process. Participants will be able to develop in collaboration with the female offender effective case plans based on relational theory, the 8 guiding principles in Task Force recommendations, and criminogenic needs and risks 6

7 Cognitive Skills Facilitator Training mn.us/fo/reports/female%2 0Offender%20Case%20Man agement.pdf Advisory Task Force on Female Offenders: mn.us/fo/default.aspx Additional information may also be obtained from two articles in the Appendix of Female Offender Case Planning & Case Management : the U.S. Dept. of Justice, NIC s publication entitled, Gender-Responsive Strategies: Research, Practice, and Guiding Principles for Women Offenders (July, 2003)(also available on There are many different curricula available. Agencies must choose curriculum that fits the agency or facility s needs. Basic criteria for program are as follows: 1) research-based, 2) multimodal design (restructuring, skills, behavioral principles), 3) targets criminogenic need areas (anti-social attitudes, personality, peers), 4) outcome studies completed (pre/post test, recidivism), and 5) easily implemented (manual, recommended length and dosage, aftercare component, etc.). Training in basic cognitive approaches (Cog 101, for example) and some training or consultation regarding the implementation of a cognitive skills curriculum. Also, basic group facilitator training is helpful. Boosters on specific curricula are critical Basic Foundation Skills training should be considered a prerequisite. Identify essential facilitator/trainer qualities challenges of working with female offenders, approaches that increase agent/case manager effectiveness and job satisfaction in working with this population, and the need for local, genderresponsive resource identification. Policy written for implementation of Task Force s recommendations. Curricula should have components cited previously; consider open vs. closed group, dosage, court-ordered condition vs. supervision level; co-facilitation of groups is recommended if possible; consider alleviation of other duties for facilitators; consider attendance policy for offender groups; program fees to offset basic costs; etc. A process of case file reviews should be tailored to the size and needs of the agency, following these basic steps: including observing staff interviews and scheduling boosters. Develop infrastructure that supports cog programming (all the way up hierarchical chain); use tools to appropriately target offenders for groups; use research-based, sound curricula; use specialized programs for specific needs (responsivity- culture, gender, etc.); recruit skilled facilitators who want to run programs; cofacilitation provides peer evaluation ; participate in support networks (Minnesota Cognitive Behavioral Network); pre- and posttesting; participant satisfaction survey and/or semi-structured interview post completion; of female offenders. Participants will comprehend the unique needs and risks of female offenders and be able to refer offenders to appropriate community resources. Outcomes will vary based on type of training (facilitation, Cog 101, or curriculum training). Group facilitation training will enable a participant to effectively facilitate a group from an adult learning perspective, and manage challenging clients (juveniles or adults) in a group setting. Cog 101 will provide basic knowledge of cognitive behavioral approaches. Specific curricula training will provide modeling and practice of cog sessions. Each cognitive behavioral program should have 7

8 Choosing a curriculum look for: 1) Foundation = SLT and cognitive principles 2) Instructor s manual and student workbooks 3) Targeted population (age, gender, culture ) 4) Targeted behavior (aggression, DWI, theft.) 5) Modeling, role-play, skill practice and homework 6) Self-talk & self-reward 7) Aftercare & evaluation components 8) Duration: long-term vs. short-term, frequency of sessions. Additional information and program comparisons can be found in the NIC article entitled: Cognitive- Behavioral Treatment: A Review and Discussion for Corrections Professionals, May 2007, Pub. # See directory of programs by going to the Minnesota Cognitive Behavioral Network website: nder_programs/mn_cog_ne t/mn_cog_behavior_net.ht m must be identified and screened for appropriateness (some type of application process?): Empathetic Effective problem solving skills Above average social skills Well-developed Communications skills Logical reasoning abilities Open-minded & nonjudgmental Ability to motivate offenders Practitioners and administrators who work with cognitive-behavioral interventions can also can addition insights and resources by attending local or statewide network meetings, such as quarterly meetings with the Minnesota Cognitive- Behavioral Network. More network info can be found at the following website: (click on Offender Programs; and Cognitive- Behavioral Net) 1. A standardized case file review form is adapted or created, taking into consideration the range of cases that will be reviewed. 2. A peer review team is recruited and trained. 3. A sampling plan is developed: How often will reviews take place? How many files should be reviewed? Etc. 4. Case review is completed, and the data is compiled and compared to benchmarks (i.e. 80% of offenders referred to sex offender treatment will complete the treatment) Peer review team works with management to address trends and deviations. Quality implementation is critical for program success: Other considerations: assessing needs (agency, client, systems); cost and availability (initial & ongoing); facilitator training; agency overview training; quality control (program integrity & outcome evaluation); matches agency philosophy (vision, mission, values); identify key stakeholder support (probation, correctional agencies/institutions, placement/program providers, social services, collect data and evaluate program Quality Assurance: 1. Ongoing staff training 2. Observation: monitoring of facilitator skill 3. Avoiding program drift and tweaking 4. Periodically assess cost/resource availability 5. Develop measurable outcomes 6. Continual program evaluation. Support for Facilitators (cofacilitation; internal/external networking; encourage ongoing training opportunities; caseload relief; set realistic expectations; delegate authority for programmatic decisionmaking; rewards & incentives ( increased pay, flexible schedule, etc) identified training outcomes. 8

9 Offender Reentry Training with EBP Practices List of EBP Trainers* & Resources See several documents on this topic listed at Reentry Articles under Documents on the following webpage: ebp. A list of trainers for some of the listed curricula will be posted on the DOC s EBP webpage; click on Training Resources under Lists on the following webpage: ebp That listing is not intended to be an endorsement of specific trainers or organizations, but a reference of potential resources that could be contacted for more information. See, also, listing of current EBP training opportunities on that webpage and by going to clicking on Training Opportunities, and then on Evidence-Based Practices. chemical/mental health, education/schools, and judicial system.); management support = a must.; address staff concerns; provide EBP and basic cog overview training to staff at all levels and all positions. * Trainers and instructors of EBP curricula should complete a recognized training foundation skills course, have experience with the subject area they will teach, certified in the curriculum where applicable, competent in the curriculum s underlying theoretical model, and also be able to apply specific skills and strategies such as those based on Motivational Interviewing approaches and the Stages of Change model, as appropriate. 9

10 EBP CURRICULA: RECOMMENDED PRACTICES, PRINCIPLES, AND GUIDELINES January, 2008 APPENDIX: MI Introduction to MI Approximate length: 2 hours to one day To experience the basics of MI and decide level of interest in learning more. To be familiar with the fundamental spirit and principles of MI. To be acquainted with the relevant evidence of efficacy. To directly experience the MI approach and contrast it with others. Application of MI 1 hour to one day To learn one or more specific applications of MI. To be acquainted with the fundamental spirit of MI. To learn practical guidelines for a specific application in the spirit of MI. To have direct practice in and experience of this particular application. Clinical Training 2-3 days To learn the basic clinical style of MI, and how to continue learning it in practice. To understand the fundamental spirit and principles of MI. To strengthen empathic counseling skills. To understand and practice the directive aspects of MI. To experience and practice an MI style for meeting resistance. To learn the fundamental client language cues (change talk and resistance) that allow continued feedback and learning in practice. Advanced Clinical Training 2 3 days To move from basic competence to more advanced clinical skillfulness in MI. To have intensive observed practice in advanced MI skills. To receive individual feedback regarding MI practice. To update knowledge of MI (recent research and developments). Supervisor Training 2 3 days To be prepared to guide an ongoing group in learning MI. To understand the sequence of skills for acquiring MI proficiency. To learn observational/analytic methods for evaluating MI. To learn methods for facilitating practice improvement over time. To be prepared to certify MI practitioners and maintain quality control. Training for Trainers 3 4 days To learn a flexible range of skills and methods for helping others learn MI. To learn and practice an array of MI training methods. To enhance confidence in training and demonstrating MI. To assess the specific needs and context of trainees, and to design and adapt training approaches appropriately. To update knowledge of MI and training (recent research and developments). To participate in the international MI Network of Trainers* *The Motivational Interviewing Network of Trainers (MINT) is an international collective of trainers sharing an interest in improving the quality and effectiveness of counseling and consultations given to clients about behavior change. MINT members are enrolled through participating in a formal training of trainers program and share an active private listserv through which they consult with one another in order to improve the quality of their workshops and consultations. Most MINT trainers share in the belief that ongoing on-site consultation is the best method to facilitate improvement in the practice of motivational interviewing and brief behavior consultations, and most MINT training is provided through private contracts of this nature. However, MINT recognizes that off-site introductory and advanced workshops and coursework provide another useful forum for improving practice, and that, for many individuals, these represent an important source of learning. The MINT has no current mechanism to monitor or evaluate MI workshops or the trainers who provide them. The MI website offers descriptive information to help website visitors determine if MI offerings are likely to meet their needs and interests.