Phase 1 - Assess Readiness
Phase 1 - Assess Readiness web_admin
The dosage probation implementation model consists of four sequential phases: (1) Assess Readiness, (2) Preparation, (3) Planning, and (4) Implementation and Evaluation. The readiness assessment phase ensures that probation agencies and jurisdictions interested in adopting the dosage probation model are well-positioned for successful implementation and sustainability.
Effective implementation of the dosage probation model requires the following:
A jurisdiction that has the legal/statutory authority to grant early termination from probation
A probation agency with deep knowledge and skill in the use of evidence-based practices and infrastructure to ensure fidelity and continuous quality improvement
System stakeholders—representing the judiciary, prosecution, defense, probation, law enforcement, people harmed by crime, and possibly other entities—who support implementation and engage in collaborative policymaking related to probation sentencing, supervision, and discharge
Community service providers with the capacity to partner around the delivery of high-fidelity, evidence-based interventions that reduce the likelihood of recidivism
The readiness assessment phase guides you through the steps and activities to determine whether your probation agency and jurisdiction are ready to implement the dosage probation model. Please begin by reviewing the information below.
Preparing for Your Readiness Assessment
Before you begin your readiness assessment, you and others who may be helping to spearhead, oversee, manage, or conduct the assessment (e.g., executives, directors, managers, supervisors, select line staff) should take several preliminary steps to ensure you are well-prepared.
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When preparing for your readiness assessment, be intentional about whom you enlist to help carry out the assessment's activities (e.g., reviewing statutes/local legal provisions, delivering formal orientations, etc.), which you will learn more about below. For example, you could recruit the assistance of all probation leadership to convey to line staff and system stakeholders the importance of your proposed dosage probation initiative. You could involve line staff members who are well-respected among their peers, knowledgeable or skilled in applying evidence-based practices, or enthusiastic about dosage probation. The readiness assessment is an opportune time to relay that collaboration—a team effort—is critical to successfully implementing dosage probation.
Get Comfortable with the Dosage Probation Literature
You and possibly others helping to spearhead, oversee, manage, or complete your readiness assessment are your jurisdiction's resident experts on dosage probation. Everyone should be well-read in the dosage probation literature and prepared to speak with others about the dosage probation model, whether through formal presentations, informal meetings, or other interactions with system stakeholders, probation staff, or community service providers. To prepare for these discussions, you and your resident experts will want to familiarize yourselves with the following publications and handouts:
Dosage Probation: Rethinking the Structure of Probation Sentences – This publication, written by the Center for Effective Public Policy (CEPP) and published by the National Institute of Corrections (NIC), summarizes the research supporting, and offers a conceptual model of, dosage probation.
Dosage Probation: A Prescription Based on Two Pilot Sites' Experiences – This publication, written by CEPP and published by NIC, reviews the research foundations of dosage probation, describes the dosage probation implementation process, and offers case studies from and lessons learned in two pilot sites.
Dosage Probation Model Fundamentals – This one-page handout describes the fundamental characteristics of the dosage probation model.
You should also familiarize yourselves with the readiness assessment documentation to be completed to assist you in determining your probation agency's and jurisdiction's preparedness to implement dosage probation (see “Completing Your Readiness Assessment,” below).
Understand the Readiness Assessment Process
You and possibly others helping to spearhead, oversee, manage, or complete your readiness assessment should also familiarize yourselves with the assessment's four steps. The four steps, each containing a set of activities, include the following:
Determine if Legal/Statutory Authority Permits Early Termination
This part of the assessment ensures that your jurisdiction has the legal authority to permit early termination from probation. The activities include reviewing your statutes and/or local legal provisions to determine whether and how you proceed with the readiness assessment.
Assess Your Probation Agency's Readiness to Implement the Dosage Probation Model
This part of the assessment determines whether your probation agency is well-positioned to implement and sustain the dosage probation model. The activities include conducting a formal orientation to dosage probation and assessing the agency's preparedness in critical areas, including leadership, departmental morale and organizational culture, evidence-based practices, continuous quality improvement, and data management.
Assess Stakeholder Interest in the Dosage Probation Model
This part of the assessment determines whether your system stakeholders are positioned to support implementation and engage in collaborative policymaking around probation sentencing, supervision, and discharge. The activities include conducting a formal orientation to dosage probation and interviewing stakeholders to assess their support for implementation.
Assess Service Provider Capacity to Deliver Evidence-Based Dosage Hours
This part of the assessment determines whether your community service providers have the interest and capacity to deliver dosage-eligible programs. The activities include conducting a formal orientation to dosage probation and gathering and assessing initial information about providers' organizations and programs.
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Dig deeper into the Dosage Probation Toolkit. The more you know about what's coming up in the readiness assessment, the more efficiently you can plan for and complete its activities. From start to finish, the readiness assessment typically spans 6–12 months, depending on resources and work pace.
Complete the first and second steps in order. The third and fourth steps may be completed at the same time. In other words, you will want to ensure your jurisdiction has the legal/statutory authority to permit early termination before you allocate time and resources to assessing your probation agency's readiness. Similarly, you will want to ensure your agency is well-positioned for implementation before you engage your system stakeholders' and community service providers' attention and time.
Gather Preliminary Support for Your Readiness Assessment
Before formally involving probation staff and system stakeholders in the readiness assessment, you will want to ensure they know about your agency's interest in, and generally support the concept of, dosage probation (i.e., discharging people from probation early through earnest engagement in recidivism-reduction interventions). You would not want to begin conducting formal orientations to dosage probation only to discover that probation staff or one or more stakeholders strongly oppose implementation. You also would not want them to feel surprised when they receive an invitation to a dosage probation orientation later in the readiness assessment process.
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Lessons learned in the dosage probation pilot sites demonstrate that, to effectively implement and sustain dosage probation, the initiative must be perceived as a jurisdiction-level, not a "probation-only," effort. Engaging stakeholders early in the process is a great way to convey that implementing dosage probation is a multidisciplinary, collaborative initiative.
How you engage probation leadership and line staff before they attend their respective orientation is at your discretion, based on your agency's dynamics and staff members' needs. For example, you may wish to discuss the prospect of implementation during a monthly staff meeting—but only after you have spoken collectively or individually with all leadership to ensure their support. You may also want to share one or more of the dosage probation publications and/or handouts listed above.
How you engage system stakeholders before formally inviting them to their respective orientation is also at your discretion, based on your jurisdiction's dynamics and stakeholders' needs. At a minimum, you will need to speak with your jurisdiction's policymakers whose support is necessary for implementation. They include, at a minimum, the following people:
Your local chief judge
Your local chief public defender
Your local elected district attorney
Your local chief of probation
Your local chief law enforcement officer (police and/or sheriff)
One or more local representatives of people harmed by crime
Where state officials have authority over local jurisdictions, support from state leadership is also necessary. You may wish to connect with these stakeholders by phone or in person and email or share a printed copy of one or more of the dosage probation publications and/or handouts listed above.
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"Resist the urge to first connect with stakeholders or probation staff via email. An email can be easily overlooked and generally does not impart the same importance as hearing someone's voice or seeing their face. Personal interaction packs a bigger punch. It signifies your dedicated interest in, and can be more effective in garnering support for, your dosage probation initiative." ––Jenna Mackey, dosage probation technical assistance provider, Center for Effective Public Policy
Completing Your Readiness Assessment
You and possibly others helping to spearhead, oversee, manage, or complete your readiness assessment may find it helpful to "skip to the end." Before beginning your readiness assessment, familiarize yourselves with the documentation and closeout activities that will assist you in determining your probation agency's and jurisdiction's preparedness to implement the dosage probation model.
Fill Out Your Readiness Assessment Documentation
Complete the Dosage Probation Implementation Checklist as or after you complete the four readiness assessment steps guided by the Dosage Probation Toolkit. The checklist describes the essential characteristics and conditions of all probation agencies and jurisdictions wishing to implement dosage probation. It answers the question: What must we have in place now (versus what can we put in place later) to know that we are in a good position for implementation? If all criteria are checked, your agency and jurisdiction meet the minimum requirements and can feel confident moving forward with implementation.
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Not all probation agencies or jurisdictions will be ready to implement dosage probation immediately. Don’t worry if this is the case for you. All it means is that your agency or jurisdiction has additional steps to take before implementation begins. Consider the barriers standing in the way and create an action plan to resolve them. Rest easy that implementation is a marathon, not a race. No matter how enthusiastic or eager we are to provide the best services for the people we work with, effective and sustainable implementation takes strategy and time.
Complete the Dosage Probation Readiness Assessment: Probation Agency Rating Form (.doc) as you complete the corresponding readiness assessment step guided by the Dosage Probation Toolkit: Assess Your Probation Agency's Readiness to Implement the Dosage Probation Model. The rating form assists in determining your probation agency's strengths, areas for improvement, and significant challenges relevant to implementing dosage probation. It answers the questions: What, if any, barriers must our agency resolve before implementation, and what improvements should we plan to make through implementation?
The Dosage Probation Readiness Assessment: Jurisdiction Rating Form (.doc) addresses three readiness assessment steps: Legal/Statutory Authority to Grant Early Termination, Stakeholder Interest in the Dosage Probation Model, and Community Service Provider Capacity to Deliver Evidence-Based Dosage Hours. Complete each part of the rating form as you complete each step guided by the Dosage Probation Toolkit. The rating form assists in determining the strengths, areas for improvement, and significant challenges outside of the probation agency relevant to implementing dosage probation. It answers the questions: What, if any, barriers must our jurisdiction resolve before implementation, and what dynamic forces in our jurisdiction should we be prepared to address during implementation?
Share Your Readiness Assessment Results
The successful implementation of dosage probation relies on strong collaboration, communication, and transparency in information sharing among all agencies and people involved. Once you have completed the readiness assessment documentation and determined whether your jurisdiction is ready to implement dosage probation, it is recommended that you share the totality of the assessment’s results with all probation staff and system stakeholders. Their understanding of the probation agency’s and jurisdiction’s areas of strength, opportunities for improvement, and barriers or challenges will prepare them to make collaborative policy decisions and engage in collective activities during implementation.
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If your probation agency or jurisdiction is still situating itself to be ready for implementation, consider still sharing your assessment results with those who participated. They will likely be interested in knowing the outcome of the assessment and how your agency or jurisdiction plans to resolve the barriers to begin implementation.
How you share the results with probation staff and key system stakeholders is at your discretion, depending on their needs and your jurisdiction’s dynamics. Some probation agencies prepare a written memo, while others coordinate in-person or virtual meetings or brown bag lunches to present the findings and address questions or concerns. When sharing your readiness assessment’s results, consider including the following information:
A brief description of dosage probation
A brief description of the readiness assessment’s purpose and four-step process
The probation agency’s and jurisdiction’s most notable strengths
The probation agency’s and jurisdiction’s most notable opportunities for improvement
The probation agency’s and jurisdiction’s challenges and how they will be addressed or resolved before or during implementation
Expectations for the next steps
Step 1 - Determine if Legal/Statutory Authority Permits Early Termination
Step 1 - Determine if Legal/Statutory Authority Permits Early Termination web_adminThe dosage probation model is predicated on people's ability to earn early termination from supervision through earnest engagement in interventions that reduce their likelihood of recidivism. In this way, the dosage probation model should be implemented only in jurisdictions with the legal authority to grant early termination from probation.
One of the first steps in conducting your dosage probation readiness assessment is to ensure that your jurisdiction has the statutory or local legal provisions to allow the probation agency, court, and/or another entity the authority to grant early discharge from probation. This section guides you through making such a determination and understanding its implications for implementing dosage probation.
TO DO
Review statutory/local legal provisions regarding early termination
Determine how to proceed with the readiness assessment
Complete the relevant portion of the readiness assessment rating form
Review Your Statutory/Local Legal Provisions
Agencies interested in implementing dosage probation should determine the exact, current state statutes and/or local provisions that stipulate the legal authority to grant or seek, with the court's permission, an early discharge from probation supervision.
Consider the following questions to help you examine your state statutes and local legal provisions. You may need to address other issues specific to your state or jurisdiction.
What do your current state statutes say about early termination from probation, if anything?
What do your current local legal provisions say about early termination from probation, if anything? How do they compare to your state statutes? If your statutory and local provisions conflict, which one supersedes the other?
What is the authority, if it exists, of your probation agency, the court, and/or another entity to grant early termination?
Determine How You Will Proceed
If your jurisdiction does not have the express authority to grant early termination, it is recommended that you not complete the readiness assessment or implement dosage probation. Agencies interested in implementing dosage probation should work within their agency, with local criminal justice system stakeholders, and with the legislature to consider adopting changes in statutory or local legal provisions to support early termination from probation.
If your jurisdiction has the express authority to grant early termination, proceed with your readiness assessment. Before moving on, however, begin to think critically about the impacts of your jurisdiction's legal authority on early discharge policies and practices you may adopt through dosage probation.
Many statutes do not permit probation agencies, the courts, and/or other entities unlimited discretionary power to discharge people from probation early. Instead, many statutory and/or local legal provisions stipulate specific eligibility criteria or restrictions to guide authorities in making this determination. For example, a statute or local provision may permit early termination from probation but only for people convicted of certain offenses, who serve half of their sentence, who remain violation-free for a certain period, or who meet other “earned time credit” criteria. In addition, some statutory or local legal provisions do not permit early termination for people with outstanding fines, fees, or restitution. From a dosage probation perspective, consider how these stipulations might impact someone who has worked hard to achieve their dosage target of 100, 200, or 300 hours and has earned an early discharge.
If specific criteria exist for early termination in your jurisdiction, it is essential to identify them upfront and consider how they might support or challenge early discharge through dosage probation. You may review the Dosage Probation Model Fundamentals to help you consider the possible impact of your jurisdiction's legal authority on early discharge as a core element of the dosage probation model.
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In addition to the statutory or local legal provisions available to you through your state or jurisdiction, you may find it helpful to review the National Conference of State Legislatures’ Community Supervision Significant Enactment Database, developed in partnership with Arnold Ventures. The database tracks significant law enactments related to community supervision and can be filtered by bills relating to “length of supervision” and “fines and fees impact on supervision.”
While you are not expected to solve potential early termination challenges at this point, you may wish to inquire about them further as you continue your readiness assessment. For example, when assessing stakeholder interest in the dosage probation model, you may want to speak with judges, prosecutors, or others about concerns they may have and about your statutory and/or local legal provisions regarding early discharge. During future implementation efforts, your jurisdiction's Dosage Probation Policy Team will grapple with developing specific policies related to early termination. The information you gather during the readiness assessment can help frame these future policy discussions and decisions.
Consider the following questions to help you understand the potential impacts of your jurisdiction's legal authority on early discharge policies and practices through dosage probation. You may need to address other issues specific to your probation agency or jurisdiction.
Does your jurisdiction currently exercise its authority to grant early termination from probation? If so, under what circumstances? How might the circumstances support or potentially challenge the implementation of dosage probation? How might early discharge policies or practices be impacted by implementation, and for whom (e.g., judges, prosecutors, defenders, probation, advocates of/people harmed by crime)?
If your jurisdiction has but does not currently exercise its authority, what needs to be done to make early discharge from probation possible? What early discharge policies or practices may need to be put in place, and for whom?
Does your state have pending or new legislation that impacts early probation termination (e.g., early discharge restrictions, caps on the length of probation terms, mandatory minimums)? How might the legislation support or potentially challenge implementation? How might early discharge policies or practices be impacted?
Who has the authority to amend your statutory and/or local legal provisions regarding early termination should your future policy team decide or need to make modifications?
Are there questions or issues about which you would like to gather more information during the readiness assessment? What concerns might you have about current early discharge policies or practices? Do you wish to speak with any stakeholders in particular about these questions, issues, or concerns?
Complete the Readiness Assessment Rating Form
Once the above-described activities have been accomplished, complete Part 1 of the Dosage Probation Readiness Assessment: Jurisdiction Rating Form. Use your assessment of the statutes/local legal provisions you reviewed to help you determine whether the legal/statutory authority to grant early termination from probation is an area of strength, an area for improvement, or a significant challenge to implementing dosage probation in your jurisdiction.
Step 2 - Assess Probation Department’s Readiness to Implement the Dosage Probation Model
Step 2 - Assess Probation Department’s Readiness to Implement the Dosage Probation Model web_adminThe dosage probation model requires a probation agency with deep knowledge and skill in implementing evidence-based practices (EBP). Exposure to EBP alone is insufficient. Strong, active leadership and an infrastructure that ensures fidelity and continuous quality improvement are crucial to implementing and sustaining evidence-based policies and practices.
A critical step in conducting your dosage probation readiness assessment is ensuring your probation agency is well-positioned to implement and sustain the dosage probation model effectively. This section guides you through assessing your probation agency's readiness for implementation.
TO DO:
Complete the probation agency readiness assessment rating form
Conduct a dosage probation orientation session
Complete the Readiness Assessment Rating Form for Your Probation Agency
You may begin completing the Dosage Probation Readiness Assessment: Probation Agency Rating Form (.doc) anytime. However, it is recommended that you ensure your jurisdiction has the express authority to grant early termination from probation before allocating the time and resources to fill out the form. The rating form consists of eight parts, each containing questions to help you assess your probation agency’s preparedness in critical implementation areas, including leadership, departmental morale and organizational culture, evidence-based practices, and data management.
As you complete the rating form, you may want to take additional information-gathering steps to fully answer the questions. For example, to accurately assess departmental morale and organizational culture, you may wish to conduct a staff survey to learn more about their EBP attitudes/beliefs or knowledge. You may want to complete random case file reviews to determine whether staff realistically integrate EBP into their daily work, such as administering risk/needs assessments according to policy or developing and updating case plans with the necessary components. You may also wish to observe how well staff apply EBP to their interactions with people on probation, such as using cognitive behavioral interventions, motivational interviewing, or effective responses to compliance or noncompliance. Additionally, you may need to meet with staff responsible for collecting and analyzing probation data (whether they are internal or external personnel) to learn more about their capacity to conduct data management and the capabilities of automated information systems to collect data related to the implementation of dosage probation.
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Look online to find inspiration for your staff survey, if you choose to conduct one. There are many organizational or cultural readiness surveys available. You may also reference the National Institute of Corrections' Evidence-Based Decision Making (EBDM) Starter Kit for more information about Conducting an EBP Knowledge Survey (.pdf) .
Prepare and Conduct Your Dosage Probation Orientation
Another step in assessing your probation agency's readiness is to conduct an orientation to dosage probation. Probation staff should have already received a preliminary introduction to dosage probation and expressed their initial support as you prepared for your readiness assessment.
The orientation serves several purposes. It is an opportunity for probation staff to learn about the dosage probation model and what to expect from the implementation process and readiness assessment. It is also an opportunity for your team to come together in one place and time to receive accurate and consistent information about dosage probation and why leadership is interested in implementing the model. It also prepares staff to engage in readiness assessment activities as may be needed, such as case file reviews or observations, as mentioned above.
Decide Whom to Invite
It is highly recommended that you invite all probation personnel to the orientation, including leadership, supervision staff regardless of caseload, intake or support staff, and others who may be responsible for in-house cognitive behavioral programming, coaching/staff development, and data collection and management. It is also recommended that agents who may supervise people on parole or supervised release, juveniles on probation, or people on pretrial release attend.
While not all attendees may ultimately supervise people eligible for early discharge through dosage probation, the orientation can help ensure everyone is unified in understanding and supporting your agency's vision for change. It can also make future cross-training and coaching in evidence-based practices much easier.
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Lessons Learned: Implement Dosage Probation Agencywide
An important lesson learned from the dosage probation pilot sites is that dosage probation is most effectively implemented as a probation-wide model of adult supervision for people with a moderate or higher likelihood of recidivism.
In other words, everyone on probation meeting those criteria, regardless of their eligibility for early discharge, should receive effective intervention and supervision according to the dosage probation model. Likewise, all adult probation supervision agents should deliver effective case management and intervention according to the dosage probation model, regardless of their caseload.
Establishing dosage-specific caseloads or units in the pilot sites had several unintended consequences:
Siloed implementation created division among staff. Those carrying a dosage probation caseload felt they were subject to greater expectations and more rigorous standards of practice. In contrast, those with a non-dosage caseload felt left behind and that their counterparts were favored by leadership.
As select staff members received specialized training and coaching in evidence-based practices, staff across the agency lacked a shared vision and language for delivering probation services.
Dosage-specific caseloads or units created inequities in service. People assigned to a non-dosage caseload were not consistently offered, and thus could not benefit from, the same behavior-change opportunities as people assigned to a dosage caseload.
Overall, the approach resulted in a counterproductive atmosphere among staff and leadership.
Review and Customize the Orientation Materials
You may start preparing for the orientation by reviewing the Dosage Probation Orientation for Probation Staff Agenda Template (.doc). It includes the recommended meeting goals, topics, and discussion points to be covered and the time frames for each, totaling two hours. You must customize the [bracketed] information and may make further adjustments to meet the needs of your probation agency.
You may also begin by reviewing the Dosage Probation Orientation for Probation Staff Presentation Template (.ppt). The presentation follows and expands on the information in the agenda and contains suggested talking points and approaches to discussions and activities. You must customize the slides with [bracketed] information and may make further adjustments to meet the needs of your probation agency. The modifications you make to the presentation may require changes to the agenda and vice versa.
The following handouts supplement the information in the agenda and presentation: Dosage Probation: Rethinking the Structure of Probation Sentences (.pdf) , Dosage Probation: A Prescription Based on Two Pilot Sites' Experiences (.pdf) , Dosage Probation Model Fundamentals (.pdf), and Dosage Probation Implementation Checklist (.pdf). Share these materials with staff to familiarize themselves with the information before the orientation.
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Consider creating a shared electronic folder to house all dosage probation information for easy reference. A centralized location for all dosage probation materials will come in handy during implementation.
Consider the following questions to help you complete a successful orientation. You may need to address other issues specific to your probation agency.
Who is best suited to deliver the orientation? Does it make sense to have co-presenters? Who best represents your agency (or other entity) spearheading the readiness assessment? Who is most knowledgeable about or skilled in applying evidence-based practices? Who is most enthusiastic about or supportive of dosage probation? Who can best field concerns and questions from staff?
If you have co-presenters, which sections will each person cover? What other responsibilities might each person have in preparing for or delivering the orientation (e.g., coordinating the orientation time and logistics, reaching out to participants, preparing materials)?
Do you anticipate hearing specific concerns or questions from staff? If so, how do you plan to address or resolve them? How will you ease potential anxiety about the change process? If you have particularly vocal staff, what strategies will you use to dissuade them from discouraging participation or morale among other staff? If you have particularly quiet staff, how will you engage their participation to convey the collaborative team effort needed for implementation?
How will you notify staff about the orientation to communicate its importance and ensure the best attendance? Would an email suffice? Would staff benefit from face-to-face interaction? Or, would it be best to notify staff in both ways?
How will you determine the orientation's date and time to ensure the best attendance? Are there weekdays that work best for staff? Are there calendar conflicts or common staff vacation times to avoid? Do you want to "poll" staff for their availability?
Will you record the orientation for future reference, such as for those unable to attend or to serve as a resource when onboarding new staff?
How will those unable to attend be caught up to speed to ensure they understand and have an opportunity to share concerns or questions about dosage probation? If several staff cannot participate, does it make sense to conduct another orientation?
Who from your agency will be the point(s) of contact to address staff members’ concerns or questions during the readiness assessment process? What other strategies might you use to ensure staff receive consistent information and messaging about dosage probation (e.g., regular staff meeting updates, email updates or reminders, FAQs)? To manage the “rumor mill”?
Step 3 - Assess Stakeholder Interest in the Dosage Probation Model
Step 3 - Assess Stakeholder Interest in the Dosage Probation Model web_adminFor many jurisdictions, the dosage probation model represents a significant shift away from often long-held policies, practices, and beliefs, such as how case settlements are negotiated, how probation sentences are comprised, or what stakeholders' expectations are regarding the goals and outcomes of probation supervision. Aligning stakeholders around such matters is crucial to implementing dosage probation and to sustaining and strengthening the model's policies and practices.
Effective implementation of the dosage probation model requires critical system stakeholders—policy leaders representing the judiciary, prosecution, defense, probation, law enforcement, people harmed by crime, and possibly other entities—to come together as dosage probation policymakers for the jurisdiction. Establishing and maintaining an effective policy team necessitates stakeholders' willingness and commitment to collaborate; develop policies that adhere to evidence-based standards of community supervision, recidivism reduction, and other successful outcomes; and manage the data-driven performance of the dosage probation model over time.
A critical step in conducting your dosage probation readiness assessment is determining whether system stakeholders are supportive of dosage probation and willing to engage as future members of your jurisdiction's Dosage Probation Policy Team. This section guides you in assessing the position of your stakeholders to implement the dosage probation model in your jurisdiction.
TO DO
Conduct a dosage probation orientation session
Interview stakeholders
Assess stakeholder support for implementation
Complete the relevant portion of the readiness assessment rating form
Prepare and Conduct Your Stakeholder Orientation
One of the first steps in assessing stakeholder interest is to conduct an orientation to dosage probation. The stakeholders critical to implementation should have already received a preliminary introduction to dosage probation and expressed their initial support as you prepared for your readiness assessment.
The orientation serves several purposes. It is an opportunity for stakeholders to learn about the dosage probation model and what to expect from the implementation process and readiness assessment. It is also an opportunity for stakeholders to come together in one place and time (in person or virtually) to receive accurate and consistent information about dosage probation and why your agency is interested in implementing the model. It also prepares stakeholders to engage in follow-up interviews regarding their support for implementing dosage probation.
Decide Whom to Invite
Invite all stakeholders whose support for your jurisdiction's implementation efforts is vital, who may be interested in learning about dosage probation, or whom you expect to interview as part of your readiness assessment. At a minimum, the following key stakeholders must be invited to the orientation:
Your local chief judge
Your local chief public defender
Your local elected district attorney
Your local chief of probation
Your local chief law enforcement officer (police and/or sheriff)
One or more local representatives of people harmed by crime
Their support for dosage probation and eventual membership on your jurisdiction's policy team are required for implementation; however, depending on your jurisdiction, you may also invite the full bench of judges, state leadership officials, county commissioners, city attorneys, or other local authorities. While not everyone attending the orientation may be involved in future policymaking, their knowledge of dosage probation can make future communication and implementation efforts much easier.
Review and Customize the Orientation Materials
You may start preparing for the orientation by reviewing the Dosage Probation Orientation for Stakeholders Invitation Template (.doc). The letter offers suggested language and resources to acquaint stakeholders with the concept of dosage probation and to invite them to the orientation. You must customize the [bracketed] information and may make further adjustments to best suit your needs.
You may also review the Dosage Probation Orientation for Stakeholders Agenda Template (.doc). It includes the recommended meeting goals, topics, and discussion points to be covered and the time frames for each, totaling 90 minutes. You must customize the [bracketed] information and may make further adjustments to meet your needs. For example, you may wish to skip introductions if participants already know each other, or you may need to hold the meeting over an hour-long session instead.
In addition, you may review the Dosage Probation Orientation for Stakeholders Presentation Template (.ppt). The presentation follows and expands on the information in the agenda and contains suggested talking points. You must customize the slides with [bracketed] information and may make further adjustments to meet your needs. The modifications you make to the presentation may require changes to the agenda and vice versa.
The following publications supplement the information in the invitation letter, agenda, and presentation: Dosage Probation: Rethinking the Structure of Probation Sentences (.pdf), Dosage Probation: A Prescription Based on Two Pilot Sites' Experiences (.pdf), Dosage Probation Model Fundamentals (.pdf), and Dosage Probation Implementation Checklist (.pdf). Attach these handouts to your invitation letter or otherwise share them with stakeholders so they can familiarize themselves with the information before the orientation.
Consider the following questions to help you complete a successful orientation. You may need to address other issues specific to your jurisdiction or stakeholders.
Who is best suited to deliver the orientation? Does it make sense to have copresenters? Who best represents the probation agency (or other entity) spearheading the readiness assessment? Who is best suited to field concerns and questions from stakeholders?
If you have copresenters, which sections will each person cover? What other responsibilities might each person have in preparing for or delivering the orientation (e.g., coordinating the orientation time and logistics, reaching out to participants, preparing materials)?
In addition to the required system stakeholders, are there other system stakeholders who may benefit from attending the orientation? Who else do you foresee needing to be involved in developing future dosage probation policies (e.g., representatives from the fiscal (budgeting) department, the criminal justice coordinating council, or another existing policy team, or those you believe might offer support for or challenge the implementation of dosage probation)?
How will you ensure the best attendance? Will you reach out to anyone by phone or in person to personally invite them to the orientation? What is the orientation's best format (in person or virtual) and timing? Do you want to offer a beverage or light snack if delivered in person? If virtual, will you record the orientation and, if so, do you want to advertise this information or share it only as needed to encourage live attendance? What days of the week work best for stakeholders? Are there any calendar conflicts to avoid? Do you want to "poll" stakeholders for their availability?
Who from your agency will be the point of contact to answer stakeholders' follow-up questions, coordinate interviews, and share additional dosage-related materials (e.g., the person(s) who delivered the orientation or someone else from your agency whom you expect will join your jurisdiction's Dosage Probation Policy Team in the following implementation phases)?
Interview Stakeholders
Following the orientation, you will want to schedule interviews with the stakeholders critical to dosage probation implementation. The interviews will offer insight into their level of support for dosage probation and, for those required (as noted above), their interest in serving on your jurisdiction's Dosage Probation Policy Team.
While individual interviews are recommended, depending on your jurisdiction, you may conduct interviews in small groups or a combination thereof. Personal meetings are advantageous for gathering candid information and perspectives and when speaking with elected officials, who may prefer meeting one-on-one. Small group interviews can be efficient for engaging multiple stakeholders of the same discipline (e.g., meeting with all judges), especially when individual meetings are hard to schedule. While the efficiency of small groups may sound appealing, they often come with natural trade-offs. For instance, small groups usually require participants to set aside more time than they would for individual interviews, can be dominated by a few people's perspectives, and could preclude participants from speaking honestly.
You may review the Readiness Assessment Stakeholder Interview Questions (.doc) to help you prepare for your individual or small group interviews. The document contains questions regarding stakeholders' interest in the dosage probation model, experience with collaborative policymaking, and commitment to implementation. You can add or adjust questions to best suit your jurisdiction's or stakeholders' needs.
Most individual interviews can be accomplished in 30–45 minutes, although you may wish to schedule them for longer, depending on the stakeholder. Small group interviews usually take more time as the number of participants increases. However, it is recommended that you schedule these for no more than 60 minutes to maintain participants' engagement and respect for their time.
Consider the following questions to help you approach and complete your stakeholder interviews successfully. You may need to address other issues specific to your jurisdiction or stakeholders.
Who will conduct the interviews? Will the same person conduct all the interviews, or will you divide them among two or more people? If you anticipate reluctance or daunting questions from specific stakeholders, who is best suited to field their concerns or questions?
Were any of the required stakeholders unable to attend? If so, how will you follow up with them to ensure they receive the information and to schedule an interview?
In addition to the required stakeholders, do you plan to interview other stakeholders? If so, why? Were they invited to the dosage probation orientation, and did they attend? If not, how will you follow up with them to ensure they receive the information and to schedule an interview?
How might you adjust the interview questions to fit your or your stakeholders' needs? Are there additional questions you believe are important to ask in general or to specific stakeholders? Did you receive questions or hear concerns during the orientation that you would like to follow up on with stakeholders? Do you want to ask about particular challenges to implementation that you foresee (e.g., issues related to your jurisdiction's legal/statutory authority to grant early termination from probation)?
Will you interview stakeholders individually, or does it make sense to interview some in small groups? How much time will you set aside? Do some stakeholders prefer to get right to the point or have more time for discussion?
Do you anticipate hearing specific concerns from stakeholders about the dosage probation model, committing to the policy team, or something else? If so, how do you plan to address, alleviate, or resolve those concerns during the interviews?
Where will you keep all interview notes for later reference? Where will you document any outstanding problems that stakeholders share to ensure they are addressed before and/or during implementation?
Assess Your Stakeholders' Support
Once you complete the stakeholder interviews, you will want to gather and review your notes to consider what you learned and what the implications are for your jurisdiction's Dosage Probation Policy Team and future implementation efforts. Use the questions below to help you assess the level of support for dosage probation and commitment to implementation that stakeholders demonstrated during the readiness assessment. You may need to follow up with stakeholders to address outstanding concerns, issues, or questions.
All key stakeholders are essential to successfully implementing dosage probation and must agree to serve on the policy team. If a critical stakeholder (e.g., chief judge, elected district attorney, etc.) expresses opposition to implementation or unwillingness to serve on the policy team, you will want to talk with them to understand the reason for their hesitation, address their concerns, and secure their support and commitment. It is strongly recommended that you implement dosage probation only if all key stakeholders agree to participate on the policy team.
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Some key stakeholders may wish to refrain from participating as policy team members and, instead, to appoint a designee. While using designees should not be considered a deal breaker, you will want to try to secure the participation of the stakeholders themselves to avoid the possible future backtracking of policy decisions and related confusion. Elected officials are strongly recommended to serve on the policy team themselves, given the nature of their position in the criminal justice system and the critical policy decisions made through implementation.
Consider the following questions to help you assess the position of stakeholders with respect to implementation of dosage probation. You may need to address other issues specific to your jurisdiction or stakeholders.
How was stakeholders’ attendance at the orientation? Who, if anyone, was missing and why? How would you describe the level of participation among those who attended? What do their attendance and participation say about their interest in dosage probation?
Do you get the sense that stakeholders understand the concept of dosage probation and its goals? If needed, how might you follow up with stakeholders to ensure they understand the essential elements?
Do all stakeholders (including state leadership officials, if applicable) support implementing dosage probation? If not, who is unsupportive and why? How will you gain their support? Might a respected stakeholder or another authority supportive of dosage probation speak to them?
Have all key stakeholders agreed to serve on your jurisdiction's policy team? If not, what is their hesitation? How will you follow up to secure their commitment? How might you impart the essential nature of their participation in moving forward your jurisdiction's dosage probation initiative? Might a respected stakeholder or another authority supporting dosage probation sway their mind? Can a key stakeholder in a Dosage Probation pilot site help ease the person’s hesitation or concern?
Do any stakeholders stand out as possible project champions and/or a policy team chair or co-chair? What do they bring to the table?
What areas of common ground do stakeholders have regarding the dosage probation model or implementation? What areas of difference are there? How might these areas support or challenge your jurisdiction's policy team or future implementation efforts?
Does your jurisdiction have experience leading or engaging in collaborative initiatives that result in policy and practice changes? How did stakeholders react to those initiatives and changes? What supports or challenges to collaborative policymaking did stakeholders identify in their interviews?
Are there particular strengths that key stakeholders bring to the policy team (e.g., knowledge or willingness to learn about evidence-based practices, open-mindedness to change policy and practice, enthusiasm for Dosage Probation)? How might these strengths be leveraged to address the potential challenges you identified above?
Complete the Readiness Assessment Rating Form
Once the above-described activities have been accomplished, complete Part 2 of the Dosage Probation Readiness Assessment: Jurisdiction Rating Form (.doc). Use your assessment of the information gathered during the stakeholder orientation and interviews to help you determine whether stakeholder support is an area of strength, an area for improvement, or a significant challenge to implementing dosage probation in your jurisdiction.
Step 4 - Assess Service Provider Capacity to Deliver Evidence-Based Dosage Hours
Step 4 - Assess Service Provider Capacity to Deliver Evidence-Based Dosage Hours web_adminPeople on probation accumulate dosage hours by participating in cognitive behavioral interventions that address their criminogenic needs and skill deficits. People can complete cognitive behavioral interventions in three ways: (1) during one-on-one interactions with their probation agent, (2) as take-home assignments, and (3) through programs delivered by the probation agency and/or community service providers.
In most jurisdictions, community-based programming contributes the largest portion of people's dosage hours. Many probation agencies operate with limited resources, hindering the delivery of sufficient dosage hours through one-on-one appointments, take-home assignments, and in-house programming. To fill the gap, agencies often depend on community service providers to offer the amount and type of programming needed to help people achieve their 100-, 200-, or 300-hour dosage targets and earn early discharge as efficiently as possible. For this reason, partnering with community service providers is considered essential to successfully implementing the dosage probation model.
A critical step in conducting the dosage probation readiness assessment is determining community service providers' interest in partnering around dosage probation and their capacity to deliver evidence-based dosage hours. This section guides you in assessing the position of your community service providers to support the implementation of dosage probation in your jurisdiction.
TO DO
Conduct a dosage probation orientation session
Gather and assess information from community service providers
Complete the relevant portion of the readiness assessment rating form
Prepare and Conduct Your Community Service Provider Orientation
The first step in assessing community service providers' interest is to conduct an orientation to dosage probation. The orientation serves several purposes. It is an opportunity for community providers to learn about the dosage probation model and what to expect from a dosage probation partnership. It brings together providers in one place and time (in person or virtually) to receive accurate and consistent information. It also outlines the next steps for providers interested in exploring a partnership.
Decide Whom to Invite
The community service providers you invite to the orientation are at your discretion. However, it is recommended that you invite, at a minimum, those whom you know deliver evidence-based programs; with whom your probation agency or jurisdiction has a good working relationship, memorandums of understanding, or established contracts; and to whom your agency regularly refers people for programs addressing the five most influential criminogenic needs.
Some probation agencies invite all community service providers, regardless of the criminogenic needs their programs address, to get the word out about the agency’s dosage probation initiative and to foster the potential for future partnership growth. For instance, providers delivering services primarily targeting employment, education, or leisure/recreation may be interested in partnering around dosage probation and willing to implement new programs that incorporate cognitive behavioral or structured skill building interventions addressing the underlying causes of problems in those need areas (i.e., one or more of the five most influential criminogenic needs). Agencies taking this approach may not prioritize partnering with these providers over those addressing the five most influential criminogenic needs upon implementation. Still, they can work with them over time to build the community’s capacity to deliver dosage-eligible programs.
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Regardless of your approach, it is recommended that you identify the criminogenic needs your community providers address before you send invitations to the orientation. This knowledge will help you begin thinking strategically about the landscape of dosage-eligible programs in your community and with whom your agency may or may not prioritize partnerships.
Review and Customize the Orientation Materials
You may start preparing for the orientation by reviewing the Dosage Probation Orientation for Community Service Providers Invitation Template (.doc). The letter offers suggested language and resources to acquaint community providers with the concept of dosage probation and to invite them to the orientation. You must customize the [bracketed] information and may make further adjustments to best suit your needs.
You might also review the Dosage Probation Orientation for Community Service Providers Agenda Template (.doc). It includes the recommended meeting goals, topics, and discussion points to be covered and the time frames for each, totaling 90 minutes. You must customize the [bracketed] information and may make further adjustments to meet your needs.
In addition, you might review the Dosage Probation Orientation for Community Service Providers Presentation Template (.ppt).The presentation follows and expands on the information in the agenda and contains suggested talking points. You must customize the [bracketed] information and may make further adjustments to meet your needs. In particular, you will need to insert specific information on the slide about the next steps for providers interested in further exploring a dosage probation partnership (see "Gather and Assess Information from Community Service Providers" below). The modifications you make to the presentation may require changes to the agenda and vice versa.
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Before you conduct the orientation, familiarize yourself with the community service provider information and activities presented in the Dosage Probation Toolkit. The more you know about how your probation agency will identify community service provider partners and align community-based services with the dosage probation model, the more comprehensively you can speak to these processes during the orientation.
The following handouts supplement the information in the invitation letter, agenda, and presentation: Dosage Probation: Rethinking the Structure of Probation Sentences (.pdf), Dosage Probation: A Prescription Based on Two Pilot Sites' Experiences (.pdf), and Dosage Probation Model Fundamentals (.pdf). Attach these handouts to your invitation letter so community service providers can familiarize themselves with the information before the orientation.
Consider the following questions to help you complete a successful orientation. You may need to address other issues specific to your jurisdiction or community service providers.
Who is best suited to deliver the orientation? Does it make sense to have copresenters? Who best represents the probation agency (or other entity) spearheading the readiness assessment? Is there anyone in particular with whom community service providers are most familiar or have a good working relationship? Who is best suited to field concerns and questions from providers?
If you have copresenters, which sections will each person cover? What other responsibilities might each person have in preparing for or delivering the orientation (e.g., coordinating the orientation time and logistics, reaching out to participants, preparing materials)?
Which community service providers will you invite to the orientation? Do probation agents suggest anyone in particular? Does your jurisdiction run a specialty court or other programs regularly referring people to or having contracts with specific providers? Are there any new providers serving your area? Who attends your locality's regular community service provider meetings?
How will you ensure the best attendance? Will you contact anyone by phone or in person to personally invite them to the orientation? What is the orientation's best format (in person or virtual) and timing? Do you want to offer a beverage or light snack if delivered in person? If virtual, will you record the orientation and, if so, do you want to advertise this information or share it only as needed to encourage live attendance? Are there days of the week that generally work best for providers? Do you want to "poll" providers for their availability?
Who from your agency will be the point of contact to answer providers' follow-up questions, coordinate next steps, and share additional dosage-related materials (e.g., someone you expect will chair or be involved in the community service provider subcommittee in the following implementation phases)?
Gather and Assess Information from Community Service Providers
In addition to reviewing and customizing the orientation materials above, you will want to prepare for the next steps that service providers interested in exploring a dosage probation partnership will follow. At the end of the orientation, interested providers will be asked to share specific information about their organizations and programs.
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"Further exploring" means that the providers who share information after the orientation express interest in a possible partnership and are not committing themselves or their organization to team up with your agency to implement dosage probation. During the next (preparation) phase of implementation, your agency will establish a community service provider subcommittee to continue engaging interested providers. By the end of the preparation phase, the subcommittee will identify those best positioned to partner around the delivery of evidence-based dosage hours depending on your agency's and dosage probation population's programming needs. In other words, your agency may initially partner with only some interested providers.
These next steps are an opportunity to (1) assess the level of interest in dosage probation among your community service providers and (2) gather preliminary information from interested providers to assess their willingness to engage in a partnership around dosage probation and to deliver—or build their capacity to deliver—evidence-based dosage hours. The questions below will help you assess these.
You may prepare by reviewing the Readiness Assessment Community Service Provider Information Template (.doc). The document contains instructions, introductory language, and questions for gathering information from interested providers about their organizations and programs. You must customize the [bracketed] information and may make further adjustments to meet your needs. For efficiency purposes, it is recommended that you transfer the template into an electronically accessible form or survey that automatically populates responses into one spreadsheet (e.g., Google Forms, SurveyMonkey, Smartsheet). Agencies that cannot access web-based programs like these may consider gathering information from providers via email or interview instead. Regardless of how information is collected, it should be compiled into one spreadsheet for easy reference—which your future community service provider subcommittee will also appreciate.
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You may wish to review the Community Service Provider Inventory Template (.xls) that your future community service provider subcommittee will complete for all interested providers. The spreadsheet contains the organizational and program elements valuable for understanding the landscape of programs in your community and for identifying the providers best positioned to partner with your agency around dosage probation. Some of the spreadsheet's items are also included in the above information template for the purpose of the readiness assessment.
Consider the following questions to help you gather and assess the information shared by community service providers about their organizations and programs. You may need to address other issues specific to your jurisdiction or community service providers.
By what date do you want to receive responses from interested providers? How much time is sufficient for them to gather the requested information? When do you plan to review it?
Who will follow up with providers who may have expressed interest but did not submit their information by the deadline? When and how will the follow-up occur?
How many providers are willing versus unwilling to collaborate with your probation agency around dosage probation, share information about a person's program participation, and participate in the fidelity assessment process? Do you need to follow up with any providers who may be unsure about one or more of these partnership elements? Overall, would you say providers are interested or uninterested in a dosage probation partnership?
Do any providers deliver programs addressing one or more criminogenic needs? One or more of the five most influential criminogenic needs? Do you notice any gaps between the need areas currently addressed and those your probation agency would likely need addressed? What data might you have to help identify potential gaps?
Do any providers use structured curricula? Are you or others familiar with the curricula? Is it considered evidence-based (i.e., research demonstrates that the curriculum/program reduces recidivism or the likelihood of recidivism)? Evidence-informed (i.e., no research exists on the outcomes of the curriculum/program itself, but it includes cognitive behavioral or structured skill building techniques demonstrated by the research to be effective)?
You may find it helpful to reference the National Institute of Justice's Crimesolutions.gov, a searchable database of criminal justice programs, interventions, and practices rated on a continuum of evidence ranging from effective to promising, inconclusive, or no effect.
Do you have any concerns related to the accessibility of programs (e.g., location, transportation, when and how frequently the program is offered, waitlists, funding to continue the program)?
What are the strengths of your community-based programs? What are areas for improvement? What, if anything, needs further exploration now or in the next implementation phase?
What might your probation agency need to do in future implementation phases to help providers build their capacity to deliver evidence-based dosage hours (e.g., consulting with or training providers on evidence-based curricula, helping to secure funding, conducting evidence-based practices education sessions)? Does your agency have, or could it acquire, the resources to carry out the possible strategies you identified?
Is it possible that your probation agency will need to implement new in-house cognitive behavioral programs to supplement gaps in community-based programs? Could your agency support the delivery of in-house programs if necessary?
Complete the Readiness Assessment Rating Form
Once the above-described activities have been accomplished, complete Part 3 of the Dosage Probation Readiness Assessment: Jurisdiction Rating Form (.doc). Use your assessment of the information gathered from community service providers to help you determine whether their interest and willingness to deliver or build their capacity to deliver dosage programming hours are an area of strength, are an area for improvement, or pose significant challenges to implementing dosage probation in your jurisdiction.
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A critical activity in the third (planning) implementation phase is conducting fidelity assessments to ensure community-based programs adhere to the known principles of effective intervention (i.e., are effective at reducing recidivism) and can be counted as dosage. The University of Cincinnati's Evidence-Based Correctional Program Checklist (CPC) is a well-known fidelity assessment with weighted scoring across five domains correlated with recidivism: (1) leadership and development, (2) staff characteristics, (3) quality assurance, (4) assessment, and (5) treatment characteristics. It is recommended that you begin familiarizing yourself with the CPC and planning for its training process and cost.
Other evidence-based practices correctional program fidelity assessments may be available. If you choose another fidelity assessment, give it your due diligence to ensure it is an empirically validated assessment.