RESPONSE & INCENTIVE MATRIX (Established by the 2015 Sentencing Guidelines)

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1 RESPONSE & INCENTIVE MATRIX (Established by the 2015 Sentencing Guidelines) STATE OF UTAH Adult Probation & Parole EFFECTIVE OCTOBER 1, 2015 SUMMARY The mission of the Utah Department of Corrections is to ensure public safety by effectively managing offenders while maintaining close collaboration with partner agencies and the community. The Utah Department of Corrections provides maximum opportunities for offenders to make lasting changes through accountability, treatment, education, and positive reinforcement within a safe environment. This document provides an overview of the key procedures for the application of a violation response and incentive model for Adult Probation & Parole (AP&P). New criminal matters continue to be addressed directly by the court. The response and incentive matrix does not create any right, expectation, or liberty interest, but rather, a guideline for potential responses to behaviors of those on community supervision. Orientation Those on supervision should be oriented to the terms of the response and incentive guidelines at the time of sentencing or parole release and as part of the supervision requirements of Adult Probation & Parole. Offenders should understand that level three responses may result in short periods of incarceration to address specific violations of supervision. Progressive Response & Incentive Model The response and incentive model is applied to those under the supervision of AP&P effective October 1, The model is based on research that swift, certain and proportional responses to behavior is effective in producing positive change, improved public safety, and reduced recidivism. Incentives for positive behavior should occur four times as often as sanctions when appropriate and should be applied consistently throughout the state. The incentives for success depend, in part, on the individual assessment scores based on the results of validated instruments. The risk and assessment scores are also a factor in progressively sanctioning and responding to technical violations. Those supervised by AP&P are classified into one of three subcategories: Low, Moderate, and High/Intensive Risk. Accomplishments (Table 1 & 2) Progressive incentives are applied when certain benchmarks in supervision are accomplished. Based on risk assessment levels, these incentives are designed to recognize accomplishments for positive life adjustments. Tables 1, 2 and 3 should be used together. Incentives (Table 3) Based on the individual s assessment score and behavior, Table 1, Accomplishments, assigns a level on a 1 to 3 scale. Each level identifies incentives to be applied. Incentives should relate to the accomplishments and individuals under supervision should be given a choice to help select the most motivating incentive within the appropriate options. 1

2 Violations (Table 4 & 5) The violations correspond to the assessment scores and ordered conditions of supervision. Violations are generally listed from least to most severe. Tables 4, 5 and 6 should be used together. Violations may only be applied where specific conditions of supervision apply to the specific individual. Each condition of supervision must be ordered by the court or BOPP as a standard or special condition for the individual under supervision. Sanctions (Table 6 & 7) Where a single event results in multiple condition violations, the probation or parole officer should administer a single sanction based on the most severe violation. Jail use for a matrix sanction shall not exceed 5 days in a 30 day period exclusive of time spent in jail for any 72 hour hold, sanction or orders. All jail time requires prior approval from the court or BOPP. A. Violation Reports: If circumstances indicate an immediate or potential threat to public safety the sanctions matrix should not be used. The case must be immediately staffed with a supervisor and a violation report should be filed with the court or BOPP. The probation or parole officer must clearly and specifically articulate the rationale for deviating from the matrix. Examples: Domestic violence offenders who violate GPS exclusion zones of the victim. DUI offenders who are reportedly drinking and driving. B. Matrix Deviation: If the circumstances of a particular violation are not appropriately addressed by the matrix, the probation or parole officer must staff the case with a supervisor. Upon approval from a supervisor, the probation or parole officer may file a violation report with the court or BOPP. The probation or parole officer must clearly and specifically articulate the rationale for deviating from the matrix. Considerations Research suggests that offenders are more likely to succeed when their individual needs and differences are considered. High/Intensive risk offenders require more intensive services while low risk populations require few to none. When selecting responses or treatment options, it is important to consider factors that may present barriers for the offender s ability to successfully move forward. This concept is referred to as responsivity. For example, it does little good to impose sanctions that jeopardize an individual s employment or child care arrangements. Adult probation and parole officers should consider the factors that strengthen or weaken the likelihood of offender success. 2

3 STEP BY STEP INSTRUCTIONS Step One: Step Two: Step Three: Identify the nature of the offender s conduct (accomplishment or violation). Evaluate the significance of the accomplishment or the severity of the violation to determine if review with a supervisor and the court/bopp is required. Consider the specific situation of the offender and evidence based strategies as you begin to select an appropriate incentive or sanction: Who are they (risk/need)? Where are they (stage of change)? What are the behaviors we are responding to (proximal or distal/ accomplishment or violation)? What is the response choice? (incentive or sanction) What magnitude should the response be? (high/intensive, moderate, low) How do we deliver the response? Step Four: Identify any potential barriers that may need to be considered when identifying a response to best match the offender s needs. Review the Case Action Plan for potential adjustments. Antisocial Attitudes Antisocial Peers Antisocial Personality Patterns History of Antisocial Behavior Family & Marital Factors Lack of Achievement in Education & Employment Lack of Pro Social Leisure Activities Substance Abuse Step Five: Step Six: Step Seven: Complete Table 1/2 or 4/5 to determine the accomplishment or violation rating. Utilize Table 3 or 6/7 to determine the appropriate response. Implement and document the selected incentive or sanction. 3

4 Accomplishments (Table 1 & 2) (Table 1) SUPERVISION ACCOMPLISHMENT LEVEL (Sentencing Guidelines, Addendum H) Nature of Accomplishment Level Accomplishment Platinum Success Plate (20% Improvement/Risk Reduction) High Reduction of Criminal Risk RISK & RESPONSE LEVEL (Sentencing Guidelines, Form 7) Hig Mod Low h /Int Gold Success Plate (15% Improvement/Risk Reduction) High Silver Success Plate (10% Improvement/Risk Reduction) High Factors Bronze Success Plate (5% Improvement/Risk Reduction) High Completion of All Special Conditions of Probation/Parole High Completion of All Special and Standard Conditions of Probation/Parole High Earned Compliance Credits (if maxed?) High Active Participation in Programming/Aftercare for big 4 90 days+ Medium Evidence Based Active Participation in Programming/Aftercare for big 4 60 days Medium Programming Active Participation in Programming/Aftercare for big 4 30 days Medium Targets Active Participation in Programming/Aftercare for mod 4 90 days+ Medium Active Participation in Programming/Aftercare for mod 4 60 days Medium Active Participation in Programming/Aftercare for mod 4 30 days Medium Negative Test Result for 90+ days (controlled substance/alcohol) Medium Negative Test Result for 60 days (controlled substance/alcohol) Medium Negative Test Result for 30 days (controlled substance/alcohol) Medium Enrollment in Programming/Aftercare for identified Criminal Risk Factors Medium Progress on Dynamic Responsivity (Risk?) Factors Medium Compliant with Medical Orders/Medication Medium Compliant with Structured Living, Residence, Travel or Reporting Medium Compliant with Testing Requirements Medium Responsive to PO Contacts Despite Lack of Full Compliance Medium Prioritization of short and long term goals (max of 3 short term goals) Low Accountability Development of Case Action Plan/Success Plan Low Targets No Violations/Compliant with Standard Conditions for 90+ days Low No Violations/Compliant with Standard Conditions for 60 days Low No Violations/Compliant with Standard Conditions for 30 days Low Compliance with Community Service Low Compliance with Financial Conditions Low Offender Risk & Response Level (not including lvl 3) High/Moderate & Lvl 1 or 2 - Low & Lvl 1 or 2- (Table 2) RESPONSE & MAGNITUDE / PROPORTIONALITY (Sentencing Guidelines, Form 8) Offender Need (Criminogenic Risk Factors) High/Moderate - Relation to Risk/Need Goal (CAP) Proximal = Short Term Distal = Long Term Proximal Distal Response Magnitude/Proportionality Lower Incentive (may decrease response lvl) F Higher Incentive (may increase response lvl) Low - No Distinction - Moderate High/Moderate - Proximal Distal Low - None - None (resources not generally used) Lower Incentive (may decrease response lvl) F Higher Incentive (may increase response lvl) 4

5 Accomplishments (Table 3) A progress report is not required to go to the court and/or Board of Pardons unless the response is level 3 or otherwise designated. Level 1 : Selected by probation or parole officer Level 2 : Selected by P.O. w/supervisor approval Level 3 : Selected by P.O. w/supervisor approval AND court/bopp approval (Table 3) GRADUATED INCENTIVES (Sentencing Guidelines, Form 9) Level 1 Level 2 Level 3 Up to 40% Community Service Reduction Up to 50% Community Service 402 Reduction Eliminate Curfew Reduction $$ Voucher Early Termination Accomplishment Certificate/Medal? Recommend Fine Reduction Fine Reduction $ Voucher Approval to Serve as Peer Mentor Transfer to Court/Lower Probation $ Awards Reduce Substance/Alcohol Screening Any Lower Level Incentive Reduce Curfew Length Redeem 5 Success Chips Public Recognition Positive Reports 2 Success Chips 1 Success Chip Written Recognition Verbal Recognition Any Lower Level Incentive The three most important things to improve the likelihood of long term success are: Thoughts and Choices Practicing New Skills and Behaviors Progress on the Case Action Plan Progress on the Case Action Plan, will impact the assessment score and reduce the likelihood of returning to the criminal justice system. The Success Medals recognizes individuals who reach important benchmark achievements and demonstrate a commitment to changing their lives. Success Medals Bronze: Silver: Gold: Platinum: 5% Improvement 10% Improvement 15% Improvement 20% Improvement Earned Compliance Credits: Every month of supervision without any violations will result in 30 days earned compliance credit. The Utah Department of Corrections will maintain an Earned Compliance Calculator within the database that will track the Potential Earned Compliance Termination Date. Essentially, there are three ways to complete supervision early: (1) avoid violations of supervision in order to earn compliance credits, (2) actively participate in evidence based programs to meet the treatment dosage recommendations, (3) and reduce risk factors by actively engaging in the Case Action Plan. 5

6 Violations (Table 4 & 5) RISK & (Table 4) SUPERVISION VIOLATION SEVERITY RESPONSE LEVEL (Sentencing Guidelines, Addendum G) (Sentencing Guidelines, Form 7) Violation Severity Nature of High Violation /Int Mod Low Felony Person Crime Conduct (see Sentencing Guidelines Addendum B) High Public Safety Misdemeanor Person Crime or DUI Conduct High Conditions Unauthorized Contact or Location High Violations Fail to Report for Commitment High Absconding: Residence, Travel or Reporting PO Contact Unsuccessful High Special Conditions Violations: Sex, Gang, DV, DUI, ICE High Possession of Dangerous Weapon Firearm High Damaging/Tampering/Removing GPS High Public Safety Conduct: Substantial and Immediate Threat High Felony Non Person Crime Conduct Medium Risk Reduction Misdemeanor Conviction (Non Person/Non DUI) Medium Conditions Tampering with Device or Testing (controlled substance/alcohol) Medium Violations Possession of Dangerous Weapon Non Firearm Medium Fail to Submit to Testing (controlled substance/alcohol) Medium Unauthorized Electronic Access Medium Fail to Enroll or Participate in Treatment Medium Positive Test Result (controlled substance/alcohol) Medium Fail to Comply with Employment Conditions Medium Fail to Comply with Financial Conditions Medium Fail to Comply with Residence, Travel or Reporting (with PO Contact) Medium Fail to Comply with Structured Living Medium Noncompliant with Medical Orders/Medication Medium Infraction Conviction Low Accountability Fail to Comply During Field Visit Low Conditions Fail to Comply with Curfew Low Violations Fail to Notify of Police Contact Low Fail to Participate in CAB Low Fail to Pay Restitution Low Fail to Complete Community Service Low Fail to Pay Fees Low Offender Risk & Response Level (not including lvl 3) High/Moderate & Lvl 1 or 2 - Low & Lvl 1 or 2- (Table 5) RESPONSE & MAGNITUDE / PROPORTIONALITY (Sentencing Guidelines, Form 8) Offender Need (Criminogenic Risk Factors) High/Moderate - Relation to Risk/Need Goal (CAP) Proximal = Short Term Distal = Long Term Proximal Distal Response Magnitude/Proportionality F Higher Sanction (may increase response lvl) Lower Sanction (may decrease response lvl) Low - No Distinction - Moderate High/Moderate - Proximal Distal Low - None - None (resources not generally used) F Higher Sanction (may increase response lvl) Lower Sanction (may decrease response lvl) 6

7 Violations (Table 6 & 7) A violation report is not required to go to the court and/or Board of Pardons unless the response is level 3 or a violation hearing request. If aggravating or mitigating circumstances exist to warrant a violation report the case shall be reviewed and approved by the supervisor. Level 1 : Selected by probation or parole officer Level 2 : Selected by P.O. w/supervisor approval Level 3 : Selected by P.O. w/supervisor approval AND court/bopp approval (13 day jail commitment request or violation hearing request via standard violation report) *JAIL STAYS REQUIRE AN APPROVED ORDER FROM THE COURT/BOPP PRIOR TO ADMINISTERING THE SANCTION Placement in any CCC programs requires a special condition of supervision approved by the court/bopp (may include waiver of personal appearance signed by the offender). Where appropriate, treatment issues should be addressed before a sanction is selected. Imposing or increasing treatment should never be used as a sanction, but rather, an opportunity to address legitimate needs. (Table 6) GRADUATED SANCTIONS (Sentencing Guidelines, Form 10) Level 1 Level 2 Level 3 Up to 60 Day Curfew Request Court/BOPP Sanction 13 Days Jail Sanction (max 5 days/30 days) Travel Restrictions Up to 90 Day Curfew Hearing Before Court/BOPP Structured Living Up to 72 Hours Home Restriction Community Correctional Center Increased Supervision Treatment Resource Center GPS Electronic Monitoring Require Change in Residence Up to 16 Hours Community Service Revision of Case Action Plan Increased Reporting/Testing Community Accountability Board Workshops Assignments Family Meeting Problem Solving Report Mentoring Program Develop Risk Avoidance Plan Letter of Apology Thinking Report Payment Schedule Adjustment Verbal Warning (Table 7) GRADUATED SANCTIONS / VIOLATION HEARINGS (Sentencing Guidelines, Form 10) Graduated Incarceration Caps with Hearing Before Court/BOPP Probation # Viol. Hearing s Parole 0 90 days (45 midpoint) days (90 midpoint) 0 60 days (30 midpoint) days (60 midpoint) 0 30 days (15 midpoint) days (30 midpoint) 7

8 FREQUENTLY ASKED QUESTIONS REGARDING RISK BASED PROGRESSIVE SANCTIONS FOR TECHNICAL VIOLATIONS I. When Will It Be Used? The sanctions matrix will be used for all violations of supervision conditions. Level 3 violations, including criminal conduct, are addressed through a standard violation report to the court or Board of Pardons and Parole, or a 1 3 day jail request. II. Does It Address New Offenses? Yes. New criminal offenses are a Level 3 response. Appropriate charges shall be filed and the probation or parole officer must submit a standard violation report in accordance with department policy. III. How Does It Take Into Consideration The Circumstances of the Case? The Guidelines for Progressive Sanctions identify the appropriate sanction level for the violation. The level determines the menu of options that may be selected. Violation sanction responses at level 1 do not require supervisory approval. This allows for swift actions in addressing a violation. Level 2 sanctions require review and approval of the probation or parole officer s supervisor. Level 3 sanctions require completion of a violation report and notification to the court or Board of Pardons and Parole. V. What About Subsequent Violations of the Same Condition? When an offender commits subsequent violation(s) of the same condition, the officer may continue to request response options for the designated level. Officers may complete a violation report with approval of the supervisor where exigent circumstances exist or where this action is determined to be more reasonable. Recommendations for violation hearings before the court/bopp must comply with incarceration caps as established by the Sentencing Commission, outlined in Table 7. If there is an incident resulting in multiple related violations, the officer should choose the most severe violation as the response category. VII. What About an Offender That Is Doing Well? The model provides incentives (Table 1, 2 and 3) for offenders that have reached identified benchmarks in their supervision. Incentives are a cornerstone of effective supervision and offender success. 8

9 Sentencing Commission Probation and Parole Committee Guidelines for Designing Responses for Community Supervision Matrix Responses should be: 1. Protect the public. 2. Consistent with evidence based principles of Risk, Need, Responsivity, and Fidelity. 3. Capable of being administered with swiftness and certainty, and proportionality. 4. Selected from a wide range of options on a continuum based on offender s risk level, the nature and level of the behavior, and the goals identified in the case management plan. 5. Capable of being tailored to the individual probationer s or parolee s risk level and criminogenic needs. 6. Offer a choice that is meaningful to the individual probationer or parolee. 7. Focus on behavior that correlates to the dynamic or changeable risk factors (the big four and the 1 moderate four ) for recidivism. 8. Graduated according to the frequency of the behavior. 9. Designed to allow rewards to equal or outnumber sanctions. 10. Communicated to the probationer or parolee at or immediately following the behavior. 11. Bring objectivity and consistency to the implementation of supervision incentives and violations. 12. Designed to consider level of motivation of supervisee to change problematic behaviors. 13. Designed to enhance the supervisee s intrinsic motivation to change problematic behavior, moving from extrinsic to intrinsic motivation. 14. Encourage probation and parole officers to acknowledge or reward demonstrated changes in criminal attitudes, thinking and behaviors. 15. Reduce recidivism. 16. Increase efficiency and reduce workload. 17. Reduce overall use of jail beds for probationers convicted of Class A offenses and above. 18. Maintain due process rights of offenders. 19. Maintain core judicial functions. 1 The big four dynamic risk factors are: (1) history of antisocial behavior, (2) antisocial personality pattern, (3) antisocial cognition, and (4) antisocial associates. The moderate four static factors are: (1) marital/family circumstances, (2) school/work, (3) leisure/recreation, and (4) substance abuse. Risk and Criminogenic Needs, Utah Criminal Justice Center, Program Improvement Resource Materials (2012). 9