[MUSIC PLAYING][Evidence-Based Practices in Community Corrections]

DR. SHANNON BARTON: Hi, my name is Dr. Shannon Barton.[Dr. Shannon Barton, Professor] I'mfrom Indiana State University, the Department of Criminologyand Criminal Justice.And I'll be speaking with you todayabout evidence-based practices in community corrections.I'm going to be going over several different things,including what the definition is of evidence-based practices,what the eight principles are of evidence-based practices,

DR. SHANNON BARTON [continued]: the key relationships in evidence-based practices,implementation, the effective programgradients in terms of how we assess whether or nota program would qualify as an appropriate evidence-basedpractice program, and then, the challengesof evidence-based practices.Hopefully, by the end of today, and by the end of this segment,you will be able to understand what they are,

DR. SHANNON BARTON [continued]: what the importance is of evidence-based practices,and how they should be implemented.[What are evidence-based practices?]In terms of what are evidence-based practices,and how did we come about utilizing them in corrections,they're modeled after the medical profession

DR. SHANNON BARTON [continued]: and social sciences.If you look back in history, oftentimes,with the medical profession, we wouldlook at what worked best in termsof looking at scientific understandingand how we would cure an individual.In terms of corrections itself, wewanted to look at how we could incorporate programs that

DR. SHANNON BARTON [continued]: were working, at a time when we are lookingat diminished resources-- and how politiciansare trying to look at how we might effectively reincorporateor return individuals into the community--it's so important that we look at how we can effectivelyreduce recidivism, while also enhancing public safety.And so evidence-based practices are one way to do that.

DR. SHANNON BARTON [continued]: So how do we define that?The Crime and Justice Institute at Community Resourcesfor Justice defines it as the objective, balanced, andresponsible use of current researchand the best available data to guide policy and practicedecisions, such that outcomes for consumers are improved.So who are our consumers?The consumers are the victims.

DR. SHANNON BARTON [continued]: They're the offenders.They're the community and the stakeholders.And our stakeholders include government officials,or anyone that might be actively involved in implementingprograms in the community.So our evidence-based practices reallymean that we have a stated outcome,that the outcome is measured for success and achievement,

DR. SHANNON BARTON [continued]: and that they are defined by practical realities.So what are practical realities?So I often think about it in terms of,am I living in a very large city or communitywhere we have all kinds of resources available to us.So if I'm in a large city, like Indianapolis, since I'm herein Indiana, I might have different types

DR. SHANNON BARTON [continued]: of private vendors.I might have different public types of programsthat might be available.I may have a multitude of resourcesthat are out there that I could take advantage of.But if I live in a rural county, where maybe I'mresponsible for the entire county itself,and I only have one or two probationofficers or parole officers, or I don't even

DR. SHANNON BARTON [continued]: have my own community-based correctionfacility in my county, then I mayhave very limited resources.And this can become very frustrating,particularly when I'm trying to say,hey, I want to take advantage of utilizing programsthat are evidence-based.And so we have to look at what those practical realities are.So if I am in this rural community and I say,

DR. SHANNON BARTON [continued]: yeah, I want to assess every offender thatcomes through the program.I want to make sure that they get the best drug treatmentprogram that's available, that they are going through a drugcourt, that they are dealing with anger management,and none of these programs exist in my community,then that's not reality.So I have to look at what's there, what's available,and what we can do.So using these evidence-based practices

DR. SHANNON BARTON [continued]: means that not only do I have to buy into it and believe it,but I also have to look at what my reality is.So keep that in mind as we're going through this.The other thing with evidence-based practicesis that we have to utilize an integrated model.So what does that mean?That means that we have evidence-based principlesor the content that would be involved in that.

DR. SHANNON BARTON [continued]: We have to look at organizational developmentand what our internal strategy would be.And then, we have to look at the collaboration model,or what we can use externally, to takeadvantage of what's there and whatwe might be able to utilize.So from the evidence-based principles model,this is where we're looking at, again,those programs that have been proven to be effective,

DR. SHANNON BARTON [continued]: that we might be able to implementand that we might have stated outcomes and objectives thatare measurable.From the organizational perspective,we have to look at, from an internal strategy,whether or not we have individuals that are buying itfrom the top down.And so one of the things I'm goingto talk about here in a minute is the importance of leadershipand the leadership role.

DR. SHANNON BARTON [continued]: Because if you don't have a leader thatwants to buy into this, how can youpossibly get others that are wanting to follow alongto buy into it as well?So that's very important.So you have to look at, from an internal perspective,again, going back to those realities, what can we do?And what makes the most sense?Then from a collaboration perspective,

DR. SHANNON BARTON [continued]: we want to make sure that we are takingthe most advantage of all of the resources that are available.So about 10 or 20 years ago, one of the buzzwordsthat was out there was this idea of cross-training.[cross-training]And so this really comes into effect here, too.So we need to cross-train.We need to bring individuals into say, hey, look,this is what we're trying to do.

DR. SHANNON BARTON [continued]: How can you assist us?So from a social service perspective, for example,what do you have available?We're always fighting over the resources that are limitedand that are there.So how can we pool in together and say, yes,let's collaborate.Let's try to take advantage of what's there.And let's make a better person once they'vecome through our program.So, hopefully, they're not recidivating.

DR. SHANNON BARTON [continued]: [Eight Evidence-Based Principles for Effective Intervention]So in thinking about those, and keepingthat in mind, that integrative perspective, whatare the eight evidence-based principlesfor effective intervention?These eight principles should guideany evidence-based program.They are based on scientifically supportedevidence and research.

DR. SHANNON BARTON [continued]: And so we know, based upon what wehave seen, that these should be effective at reducingrecidivism in your community.Does it mean that it's going to be 100% effective?No.No program is 100% effective.But if we can achieve a reduction in recidivism that'sover 20%, which is really that stated baseline, then

DR. SHANNON BARTON [continued]: we're very pleased with that.So what are those eight principles?The first principle is to assess the actuarial risk and needs.And so within this concept, we needto think about the risk needs and responsivity.Now, again, one of the other principles,our third principle, will go into more detail with that.But in thinking about this, we haveto look at what those dynamic and static factors are

DR. SHANNON BARTON [continued]: that we're dealing with.So the static factors are those things that we can't change,things like your age.All of us would like to change our age,but we can't-- or your criminal history--we can't go back and redo that.So those things are some of our risk factorsthat we can look at for re-offending.We know those are stable.We know that those don't change.

DR. SHANNON BARTON [continued]: Our dynamic factors, on the other hand,really fall within some of those criminogenic needs.The dynamic factors such as employment, housing, residents,those are things that we can change.And we can address.So we want to look at what those actuarial risk and needs are.We want to make sure, too, that whenwe are assessing these, that we're using validated tools.

DR. SHANNON BARTON [continued]: And so there are a multitude of tools that are available.Here in Indiana, when we're looking at assessing the riskand needs, we use the IRAS.[Indiana Risk Assessment System (IRAS)]There's also the PSIR.[Presentence Investigation Report (PSIR)]There are many that are available that individualscan use.We also want to make sure that we'reusing both formal and informal assessment tools.

DR. SHANNON BARTON [continued]: We don't want to dismiss the idea of history,that people who have been working in the fielddo have some idea of what best practices are.Now, one of the things I didn't mentionis, sometimes, we use those terms interchangeably,best practices with what works, and evidence-based practices.Best practices are those things that we inherently know work.

DR. SHANNON BARTON [continued]: So, again, these ideas of informal assessment toolsfall under that realm.So what have we done?What are the best practices that we'veused that seem to be effective for us?Each of us use that in our daily lives,how we communicate with one another, the things that we do.The formal assessments, on the other hand,are those that-- like I say-- are those tools that

DR. SHANNON BARTON [continued]: are validated, that have proven to actually predict recidivismor success or failure.The other thing under this actuarial risk and needsassessment principle is that we haveto look at formally training our personnel.So we don't want to just throw someone in thereand say, hey, go ahead and assess them.And then, they're not sure what they're doing.

DR. SHANNON BARTON [continued]: Or they go through the assessment tool,and they do a very nice job with it.But they don't know how to interpret the results.And what does that mean?Because one of the worst things that we can do is wecan assess someone and then either assess them at high riskand they're low risk, or we assess them at low riskand they're high risk.And they go out and they re-offend.So we want to make sure that we are formally

DR. SHANNON BARTON [continued]: training our personnel in terms of the assessment toolthat they're going to be using and howthat should be implemented.So that's our principle number one.The second principle is to enhance intrinsic motivation.And so the intrinsic motivation, as we know, comes from within.And so one of the things that we often have done in the past--

DR. SHANNON BARTON [continued]: and again, I'll talk about this a little bitmore later on in the presentation-- is that we have,really, looked for deficits and what individuals are doingwrong instead of looking at ways that we can become,in essence, a partner as a correctional officer, a personthat is involved in the community with an individual--whether, again, it's a community-based corrections,

DR. SHANNON BARTON [continued]: a work release center, or it's on probation or parole-- wewant to look at ways that we can elicit as much informationas we can and have a positive outcome.So we do that through motivational interviewing.If you're not familiar with motivational interviewing,I highly recommend that you use some of the resources thatare available online.So you can look that up, and get some more information

DR. SHANNON BARTON [continued]: about that.But, again, motivational interviewingis one technique or way that we can show empathyto the individual, and that we cantry to positively reward them with thingsthat they are doing correctly.We want to make sure, also, that by enhancingthis intrinsic motivation, that they are realistic in terms

DR. SHANNON BARTON [continued]: of seeing the disparity in how they behaveand what they want out of their future or their treatmentgoals.And so if you're saying-- we oftentimeslook at this-- so many kids want to be professional basketballplayers.How many people actually become professional basketballplayers?So while your goal may be to be a professional basketballplayer, what's the realistic outcome for your future?

DR. SHANNON BARTON [continued]: Maybe you play high school basketball,or maybe you become a college athleteand get a scholarship to do that.But what is realistic?So it's the same kind of analogy and thinkingabout treatment goals and outcomes.I want to live in a mansion.Well, drug dealing might get you into a mansion,but that's not pro-social behavior.So what can we do to make that a reality?

DR. SHANNON BARTON [continued]: Our third principle is to target interventions.And this is where we see more rolesin terms of the risk principles, the needs, responsivity,dosage, and treatment.And so with this, we have to think about-- with the riskprinciple, in particular-- how do weprioritize supervision and our treatment resourcesfor higher risk offenders?

DR. SHANNON BARTON [continued]: And so we want to identify those individuals whoare at the highest risk for re-offendingand give them the needed treatment or, actually,the tools to reduce their risk.Again, in thinking about identifying someoneas high risk that's low risk, we might actually make them worse.So that's worst case scenario.We don't want that to happen.

DR. SHANNON BARTON [continued]: So we want to make sure that we target our interventionsin terms of the principle.The second thing under targeting interventionsis looking at the need principle.And so with this, we want to lookat those basic criminogenic needs.And those include things like antisocial behavior,antisocial personality, criminal thinking, criminal associates,

DR. SHANNON BARTON [continued]: whether or not they come from a dysfunctional family.Are they employed?And do they have the appropriate education?We want to look at their leisure and recreation time,and whether or not they are addicted to a substanceor what type of substance abuse they may have had in the past.So as we look at those ideas of the criminogenic need,we need to target those.And so, again, the literature shows us,

DR. SHANNON BARTON [continued]: and the research demonstrates, that if wecan target those criminogenic needs,we can reduce recidivism.In terms of responsivity, we wantto make sure that we're tailoringthe treatment to the offender.Everyone learns differently.I always think of this in terms of,when I was studying in college and a lot of my friendscould use flash cards.Flash cards were useless for me.

DR. SHANNON BARTON [continued]: I could read them 100 times and it didn't make any sense.I had to write things down.And so the same thing occurs in terms of individualsand responsivity.Not everyone will respond the same wayto a program that has even proven effective.So you have to look at matching that to that offender.So we know that, for example, cognitive behavior programs

DR. SHANNON BARTON [continued]: seem to work the best in terms of reducing recidivism.But, again, not every person willgo through the same program the same way.So, again, keep that in mind.What are the particular needs, and how might we tailorthat program to the offender?The other thing is, we have to think of is dosage.How much programming should they get?And what should the extent of it be?

DR. SHANNON BARTON [continued]: One of the things that the literature shows usis, that if we have a program that has good stated goalsand objectives, and it's outlinedin terms of the amount of time youshould be involved in a program, if that's not being met,there's no reason for that program to work.So dosage is very important.So we have to have a structured program where 40% to 70%

DR. SHANNON BARTON [continued]: of our high risk offenders are getting programmingfor at least three to nine months.So dosage is very important.So if the program says you have to meet once a week,then we have to ensure that the offender is meeting oncea week.And if they're not doing that, then that programshould be extended, or we need to lookat how we might put that offender into a better program.

DR. SHANNON BARTON [continued]: The last part of the target interventionsis the treatment principle.And this is where treatment should actually be incorporatedinto the sanction.And states vary in terms of how they allow agenciesto incorporate treatment.The law and the statutes also varyin terms of how they allow treatment

DR. SHANNON BARTON [continued]: to be part of that particular sanction.But to the best extent possible, weneed to make sure that treatment is part of that.And it can be something as basic as what your requirements arewhile you're on probationPrinciple number four deals with skill trainingand directed practice.This is, again, where I just mentioned previously,that we might use cognitive behavioral treatment methods.

DR. SHANNON BARTON [continued]: Again, we know that this is one of the mostproven and effective tools for reducing criminal behavior.There are a multitude of different programsthat are available out there.One of the most popular is Thinking for a Change.[Thinking for a Change]There are some shortcomings of utilizing that.But we do know that it seems to be very effective.So agencies need to look at how they might incorporate

DR. SHANNON BARTON [continued]: cognitive behavioral treatment methods in that programming.The other thing with this is that our employeesneed to understand what antisocial thinking is.And, sometimes, when you look at training,it requires a re-evaluation of the employee themselves.Because we know that, sometimes, wehave our own thinking errors.But we have to look at whether or not people--

DR. SHANNON BARTON [continued]: even when they have thinking errors-- whether or not they'reable to cope with those.Because if we have someone who has some criminal thinkingerrors or patterns and they can still cope with them,if we try to change them too much,then it might work in the reverse.And they might recidivate.We also need to make sure that the skills aretaught and practiced to the offender by the employ.

DR. SHANNON BARTON [continued]: The other thing is, under this, is that the employ reallybecomes a role model.So they have to demonstrate that not only arethey trying to teach this to you,but they are practicing it themselves.Principle five includes increasingthe positive reinforcement.One of the things that we have to make surewhen we're doing positive reinforcementis that when someone does mess up,

DR. SHANNON BARTON [continued]: or when they violate the rules-- whichmust be very clear as they're stated so that we understandthem, that the punishment, itself, should be swift,severe, and real, not in terms of the just desserts sense--but the idea that when you violate the rules,there are punishments that are associated with it.So if I tell you I'm going to revoke your probation,

DR. SHANNON BARTON [continued]: if you do this, then that needs to be real.You can't do something, like, hey, I'm going to do that,and then you choose to overlook it.So make sure that we focus on this ideathat we need more positive reinforcement, that when we dohave to use negative reinforcement,that it comes quickly, and that it's enforced,and they know what to expect.The sixth principle is to engage ongoing support

DR. SHANNON BARTON [continued]: in your natural communities.So one of the ideas here is to use the community reinforcementapproach.[Community Reinforcement Approach (CRA)]And this is where we think of the community as a village,in essence.To think of one of the statements thatwas made previously, we want to lookat how we can use the offender's family, howwe can use religious groups-- if that's something you want

DR. SHANNON BARTON [continued]: to target-- how we can use individuals whoare pro-social to ensure that they have a good supportgroup when they go out.Because one of the scariest things for someone,especially, those that are comingfrom a prison or an institution, isgoing back into that community and beingsurrounded by the same people that theygot in trouble with before.So you want to look at ways that you can say,

DR. SHANNON BARTON [continued]: OK, this is your reality.This is where you find employment.This is where you find housing.How might we then say, let's work within those constraintsand look towards more pro-social people.And so this whole idea of community reinforcementapproach is to say, let's reinforce whatworks in our natural community.The seventh principle is to measure relevant processes

DR. SHANNON BARTON [continued]: and practices.And so one of the things that we have to dois to assess both the offender on an ongoing basis,and, also, our employees.And so we want to make sure that our employees arelooking at the program appropriately and ensuringthat program fidelity is being met.So are we implementing the program correctly?

DR. SHANNON BARTON [continued]: Are we utilizing the program design?Are we looking at service delivery principles?And are we measuring the outcomes?And so if we don't do this on a continual basis,we can't ensure that we are making progresstowards reducing recidivism, or making surethat the programs are still accomplishing the goals that wehad originally hoped they would accomplish,which is reducing recidivism and enhancing public safety.

DR. SHANNON BARTON [continued]: The last principle is to provide measurement feedback.And in providing measurement feedback,we are ensuring accountability, accountability to the offender,accountability to the stakeholders,accountability to our community.And so we want to hold the offenderaccountable for achieving the goals that have been stated.

DR. SHANNON BARTON [continued]: But we also want to make sure that weare held accountable to doing what we say we're going to.And so by doing this, we are also enhancing the motivationto change.We know that if an offender is motivated to change,and that they have a positive outlook or motivation, thenthey're more likely to be successful in their program.If they don't, and they're not motivated to change,

DR. SHANNON BARTON [continued]: then we are, oftentimes, seeing negative outcomes.We also know that when we provide measurement feedbackto the offender and hold them accountable,it lowers the treatment attrition.So they're more likely to successfully completethat program.And we also know that when we're providing this feedback,that it improves our outcome.And so, again, we are hoping to reduce recidivism,

DR. SHANNON BARTON [continued]: and we're hoping to increase public safety.And so that when we are doing these feedbacks,periodically, throughout the offender supervision,then we know that we see successful outcome.[Effective Relationships]One of the things that we have to keep in mind,

DR. SHANNON BARTON [continued]: as well, is that we want to maintaineffective relationships.And those effective relationshipsare those that we see between correctional personneland offenders.And when I say effective relationships,I'm talking about a few different keysthat you have to think about.One of the keys is to demonstrate respect.If you show respect to that offender,they're more apt to show respect to you.

DR. SHANNON BARTON [continued]: You want to build a rapport.And so you want them to feel like they are open,and they're able to be honest with you about the thingsthat they are confronting in their everyday lives.If they're coming in and they are lying to you continually,then that's no way to be successful in your outcome.So you want to build that rapport.You also want to balance enforcement with treatment.

DR. SHANNON BARTON [continued]: And so we know that individuals thatgo through treatment, especially drug treatment,if they are addicted to a substance,they're going to fail.And so when they fail, how do you respond to that?Now, they may fail once.They may fail twice.You may say, OK, three times is enough.But you have to define what constitutes proper enforcement.You don't necessarily tell them at the get-go,

DR. SHANNON BARTON [continued]: that we're going to give you a free pass.But how do you deal with that?And then, the last thing that youhave to think about with those effective relationships,is that you want to maintain your focuson those criminogenic needs that I mentioned before.So if you are still having issueswith a dysfunctional family, for example,how might we get the whole familyinto a particular treatment program?

DR. SHANNON BARTON [continued]: The other thing that we have to think aboutis pro-social modeling.And this is, again, from the employee perspective.So we want to think about role clarification.So we want to make sure that thereare open discussions about the rules and expectations of boththe employee and the offender.What do I expect out of you?And what should you expect out of me?

DR. SHANNON BARTON [continued]: If that's clear and it's clarified at the beginning,you reduce the number of problems that you have.Again, we want pro-social modeling and reinforcement.So you are being the person that you want them to be.So if you are going out and doing thingsthat you're telling them that they shouldn't be doing,that is not pro-social modeling.If they see you in the community-- then it should be--

DR. SHANNON BARTON [continued]: you should be acting the way that you want them to act.We want to do problem solving.So you want to make sure that you developthe goals and the strategy to achievethose goals with that offender.Again, they need to be realistic,and how they might be achieved.So if you don't have a high school diploma,for example, how might you get a high school diploma?

DR. SHANNON BARTON [continued]: You say you want to work in accounting,but you don't have that high school degree.What steps do you have to take in order to do that?So problem solving is part of that.And then you have to develop that relationship,where you as the worker, show empathy to that offender.You don't have to show sympathy, but understandingis very important.[Implementing Evidence-Based Practices]

DR. SHANNON BARTON [continued]: So how are they implemented?We have to make sure that we understandthe components of the correctional intervention,to start with.And so, what are we doing?How might we translate those principles into practice?So if we have those eight different principles,what does that mean?And one of the first ways that we have to do thatis on an organizational or systems level.

DR. SHANNON BARTON [continued]: Where do we start?So we have to have a strong leader.If you don't have a strong leaderfor evidence-based practices, then havingbuy-in from everyone underneath you will be very difficult.And even if you have buy-in from thosebelow, if you don't have strong leadership saying,hey, I want to do this, then, it may not ever get accomplished.

DR. SHANNON BARTON [continued]: Because we have to think about the waysthat we're going to administer our resourcesand our programming.So the leadership must lead by example.And, sometimes, that leading by example means that you come inand you actually run a program.If you tell your officers, for example,that you want them doing a cognitive-based program,but you never get involved in it,then they may not buy into that.

DR. SHANNON BARTON [continued]: So leadership needs to be very actively involved.You, also, in terms of leadership,have to be able to identify the key stakeholdersand to create those partnerships that I talked about earlier.Now, one of the things in terms of assessing whether or nota program is effective, is that we look at different waysthat we monitor them.And we do that in terms of medals.

DR. SHANNON BARTON [continued]: And so a gold program are the onethat is considered the highest effective program that'sout there, is one that is assessed based upon havinga true experimental design-- and so that experimental design isput into place where we have control and treatment groups--and they're randomly assigned.And it's proven to be effective at reducing recidivism.

DR. SHANNON BARTON [continued]: A silver program is one that's also demonstrated success,but has utilized a quasi-experimental design.So we do that after the fact.A bronze program is one that's promising,but it doesn't incorporate, maybe, a rigorous methodology.An iron program is considered to be inconclusive.And one that's labeled as dirt is one that doesn't work.

DR. SHANNON BARTON [continued]: And so we don't want to incorporate,really, those programs that particularlyare at the iron or the dirt level.We are trying to incorporate programs that areat the gold or silver standard.[Challenges]So what are some of the challenges?You've probably seen some of those in going

DR. SHANNON BARTON [continued]: through this presentation here.But the first one is, you have to assess an organization'sreadiness for change.And so when we talk about evidence-based practices--and as I mentioned before, best practices-- peopleare set in their ways, in essence.So you have to look at whether or not an organization isready to change.

DR. SHANNON BARTON [continued]: And so when you go in there, you can't justcome in guns ablazing and say, hey, you'regoing to do this or else.You can't do that.You have to say, what are the toolsin the mechanisms for change.And so it starts with that strong leadership.And so if we don't have that strong leadership,that can be a challenge from the get-go.The other thing, or another challenge,

DR. SHANNON BARTON [continued]: is that we have to look at programming basedon risk factors.And so if we're not identifying, initially,what those risks and those needs are,then it will be a challenge to tryto have an effective program basedupon evidence-based practices.And then, finally, our evaluatorsmust communicate effectively with practitioners.There is some reluctance at times

DR. SHANNON BARTON [continued]: for practitioners to accept what evaluators or academics aredoing.And so evaluators have to be mindful of thatand go in and speak in a languagethat everyone can understand, that is, putin terms of phrases that you can understand.And, oftentimes, that's a matter of lookingat how community safety and public safety

DR. SHANNON BARTON [continued]: becomes the most important goal in terms of whatwe're trying to accomplish.So these can be challenges of evidence-based practices.[Conclusion]So to summarize or to conclude here,evidence-based practices are usedin a multitude of professions.We see it in the medical field.Again, we modeled after that, and in social sciences.

DR. SHANNON BARTON [continued]: These practices can be effective at reducingrecidivism and cost, while ensuring public safety.Some of those key elements, though,are that we have to make sure that the principles arefollowed, that you have to understandwhat those principles are, not just at their face value,but what they mean.And so evidence-based practices can be an effective toolat reducing recidivism.

DR. SHANNON BARTON [continued]: So as we conclude, I have five reflective questions or thingsthat you might want to think about in going backthrough this presentation.The first one is, what is evidence-based practices?The second is, how are evidence-based practicesimplemented in your community?The third question is, what role does leadershipplay in ensuring the effective implementation

DR. SHANNON BARTON [continued]: of evidence-based practices?Fourth, what role does successful communicationplay in ensuring the success of evidence-based practicesand programs?And, finally, who are the stakeholdersin evidence-based practices?And why is it important to obtain the buy-inof these stakeholders?