Phase 3 - Planning

Phase 3 - Planning web_admin
Dosage Probation Planning

The planning phase is the third of the dosage probation implementation model’s four phases. This phase’s steps and activities ensure the jurisdiction is ready for the fourth and final implementation and evaluation phase.

The Dosage Probation Policy Team may begin this phase after completing its kickoff activities and sharing with the Dosage Probation Workgroup initial feedback on the desired impacts and contextual conditions affecting implementation to be added to the dosage probation logic model.

The Dosage Probation Workgroup may begin this phase after completing its kickoff activities and the jurisdiction’s dosage probation logic model, and after establishing the logic model’s subcommittees. In addition, the subcommittees should have finished creating their action plans to drive the activities needed to complete their assigned portions of the logic model during this (planning) phase of implementation.

The steps in this phase include the following:

  1. Train and Coach Staff in Evidence-Based Supervision Skills

    The subcommittee (and/or others, such as the probation chief or supervisors) responsible for ensuring probation staff receive sufficient training and coaching in evidence-based supervision practices before implementation should review this section in the Dosage Probation Toolkit. It is recommended that the workgroup’s chairperson(s) also review this section to help oversee the completion of the activities needed to reach implementation successfully.

  2. Develop Dosage Probation Policies and Procedures

    In this step, the policy team and workgroup must work independently and collaboratively to put into place dosage probation policies and procedures that reflect mutual understanding, input, and agreement. The policy team’s and workgroup’s chairpersons (and others, as applicable) should review this section in the Dosage Probation Toolkit.

  3. Align Community-Based Services Model with Dosage Probation Model

    The subcommittee responsible for partnering with community-based service providers should review this section in the Dosage Probation Toolkit. It is recommended that the workgroup’s chairperson(s) also review this section to help oversee the completion of the activities needed to reach implementation successfully.

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Step 9 - Train and Coach Staff in Evidence-Based Supervision Skills

Step 9 - Train and Coach Staff in Evidence-Based Supervision Skills web_admin

The research on evidence-based supervision indicates that the knowledge, skills, and abilities of dosage probation officers—and of their supervisors and coaches—are integral to the success of the dosage probation model. A high degree of competence in each of the following areas is critical: understanding “what works” in reducing risk; building and sustaining professional alliance; administering, interpreting, and applying risk/needs assessments; employing core correctional practices; effectively using cognitive-behavioral intervention tools; implementing effective case planning and management; and following a sequenced approach to risk reduction. In addition, staff require a strong grounding in the principles and practices of the dosage probation model.

Essential Skills

Dosage probation officers demonstrate a high degree of competency in each of the following essential skills:

1.    Make clear that the goal of dosage probation is to help probationers succeed.
2.    Provide probationers with choices rather than directing their actions.
3.    Engage in nonjudgmental discussion.
4.    Focus on probationers’ behavior (rather than on their history or personality).
5.    Use conversational dialogue and tone.
6.    Listen more, talk less.
7.    Strictly adhere to assessment scoring guidelines and techniques.
8.    Share assessment results with probationers.
9.    Identify the driver (the criminogenic need most likely driving the others).
10.    Engage probationers in the case planning process.
11.    Develop SMART case plans that address probationers’ most influential criminogenic needs.
12.    Limit case plan goals to the most significant criminogenic and stabilization needs.
13.    Identify specific activities that address case plan goals and that count toward dosage.
14.    Build upon probationers’ strengths when developing case plans.
15.    Address responsivity needs in case plans.
16.    Review and update case plans frequently. 
17.    Structure appointments intentionally.
18.    Conduct appointments of at least 20 minutes.
19.    Focus the majority of appointment time on skill building associated with assessed criminogenic needs.
20.    Teach concrete skills.
21.    Demonstrate skills for probationers.
22.    Use structured tools (worksheets, journals, lesson plans) to teach skills.
23.    Have probationers practice skills; provide feedback.
24.    Provide appropriate take-home assignments.
25.    Effectively review previous take-home assignments.
26.    Increase the difficulty of skill practice over time.
27.    Identify prosocial attitudes and behaviors.
28.    Effectively respond to prosocial attitudes and behaviors through the use of affirmations and rewards.
29.    Identify harmful attitudes and behaviors.
30.    Effectively respond to harmful attitudes and behaviors through the use of sanctions and by linking harmful choices to goals.

Training

The following reflects the recommended sequence of training and skill building for dosage probation officers.

  • Evidence-Based Practices Overview
    Dosage probation officers learn about four principles that are key to recidivism reduction—risk, need, responsivity, and intervention—and about strategies for responding to prosocial and noncompliant behavior.
  • Professional Alliance
    This training introduces dosage probation officers to traits that contribute to effective professional alliance, or rapport—for example, being people-oriented, authentic, strength-based, and respectful—and to strategies, such as motivational interviewing, to increase probationers’ engagement and follow-through with skill-building and risk reduction activities.
  • Risk/Needs Assessment
    In this training, dosage probation officers explore the importance of effectively conducting risk/needs assessments; they practice interpreting and sharing assessment results with probationers; and they examine how to use the results to guide case planning and management.
  • Core Correctional Practices
    This training provides dosage probation officers with an overview of four core correctional practices that are key to recidivism reduction: developing professional alliance, effective case planning and management, engaging in skill practice to address probationers’ criminogenic needs, and appropriately using rewards and responses to noncompliance.
  • Cognitive-Behavioral Interventions Tools
    After discussing the importance of using a cognitive-behavioral approach to help probationers change their behavior, dosage probation officers are introduced to, and practice using, an array of risk reduction tools to address probationers’ criminogenic needs and help them build skills in clear, specific, and structured ways.
  • Effective Case Planning and Management
    This training builds upon the introduction to effective case planning and management included in the Core Correctional Practices training. It gives dosage probation officers the opportunity to develop a case plan that addresses a probationer’s risk, criminogenic needs, responsivity factors, strengths, and triggers; helps the probationer build skills that will contribute to their success; meets the SMART criteria; and appropriately targets dosage levels.
  • Sequential Steps of Risk Reduction
    In this training, participants are introduced to steps they can follow to help probationers reduce their risk of recidivism—from establishing expectations for success to preparing people for a successful discharge—and to cognitive-behavioral tools they can use to help them achieve each step.
  • Dosage Probation
    Training specifically focused on dosage probation is crucial for the success of the model. During Phase 1, the entire staff should be provided with an orientation to dosage probation. Following the orientation, staff should work closely with the Dosage Probation Workgroup to ensure they fully understand the model. Then, when the department is preparing for implementation and knows which officers and supervisors will be participating in dosage probation, these staff members should explore more deeply the model and the department’s policies around dosage.

Coaching and Continuous Quality Improvement
Agencies interested in improving outcomes must commit to an implementation process that ensures that staff receive adequate initial training as well as ongoing encouragement, feedback, coaching, and booster training designed to improve knowledge, skills, confidence, and competency. In fact, research suggests that the amount of time devoted to the change process is an indicator of whether or not superior results will be derived.

The primary goal of a CQI process is to improve outcomes by:

  • creating and nurturing an environment characterized by an ongoing desire to learn and improve,
  • identifying practices that are working well and those in need of attention, and
  • determining the specific enhancements that are needed to support improvements in the quality of service delivery and in outcomes.

For more information on coaching and continuous quality improvement, see the Continuous Quality Improvement and Coaching Guide.
 

Step 10 - Develop Dosage Probation Policies and Procedures

Step 10 - Develop Dosage Probation Policies and Procedures web_admin

An essential step in preparing to implement dosage probation is making evidence-based and data-informed policy decisions regarding the sentencing, supervision, and early discharge of people on probation. Your jurisdiction’s Dosage Probation Policy Team and Dosage Probation Workgroup will engage independently and collaboratively to create new and revise existing policies and procedures, including education and communication strategies, that align with evidence-based dosage probation practices.

The policy team typically begins making policy decisions after providing the workgroup with input on the dosage probation logic model during the second (preparation) phase of implementation. The workgroup usually starts policymaking during the third phase (planning) after developing the dosage probation logic model. While the policy team and workgroup initiate their own policy discussions and activities, they must also collaborate by sharing policy recommendations, decisions, and other relevant information, such as data. Mutual understanding, input, and agreement are essential to successful and sustainable implementation.

From start to finish, the policymaking process spans the second and third phases of implementation, typically continuing into the fourth (implementation and evaluation) as the jurisdiction prepares to launch dosage probation. In preparing to launch, jurisdictions often encounter unresolved or unforeseen policy issues or other concerns, which may or may not be fully addressed upon implementation. It is, therefore, crucial to prioritize the policy decisions in the second and third phases to help ensure smooth implementation from the start.

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Policies are not intended to be “set in stone.” To ensure the effectiveness and sustainability of the dosage probation model, the policy team and workgroup should remain flexible and adapt their decisions as implementation progresses based on their assessments of data and other information (e.g., lessons learned, and feedback from the workgroup, policy team members, probation staff, other system stakeholders, or people on probation). Reminding the policy team and workgroup that the decisions they reach today may change after implementation is often helpful when working through particularly contentious or difficult policy decisions.

This section guides you in the dosage probation policymaking process and preparing for the next steps in the implementation process.

TO DO

  • Facilitate policymaking with the policy team 

  • Facilitate policymaking with the workgroup 

  • Get ready for the next steps

Facilitate the Policymaking Process

The Dosage Probation Policy Team and Dosage Probation Workgroup chairpersons will facilitate policy discussions and decisions with their team or group members. As a chairperson, you can anticipate the following responsibilities:

  • Plan and facilitate the policy team’s or workgroup’s meetings to address specific dosage probation policy questions and other issues relevant to your jurisdiction
  • Ensure the team or group receives up-to-date information about and understands evidence-based supervision practices to make informed policy decisions
  • Ensure the team or group reviews current sentencing, supervision, and early discharge policies and practices and related data (as available) to make informed policy decisions
  • Ensure the team or group gathers input from each other on policy discussions, recommendations, or decisions
  • Ensure the team or group stays informed about each other’s policy decisions and addresses the corresponding agency policies and procedures as appropriate
  • Delegate ad hoc subcommittees or tasks as needed to ensure the team or group makes informed policy decisions, and the work progresses at a steady pace
  • Ensure the team or group adheres to its agreed-upon decision making/voting process when making policy decisions
  • Ensure the team or group memorializes its policy decisions in a written document (as suggested below)

Developing dosage probation policies and procedures should be a collaborative effort. Consider enlisting support from the policy team’s or workgroup’s meeting coordinator and other members with knowledge or skills beneficial to the policymaking process, such as a strong command of or the ability to gather and present evidence-based practices, local probation policies and procedures, and relevant data, or to write policy.

NOTE

Helpful Policymaking Resources
The following publications and handouts can support the policy team and workgroup in developing evidence-based dosage probation policies and procedures. Feel free to search for additional resources as desired or needed.

Dosage Probation Resources 

Evidence-Based Practices Resources

Communications Resources

To ensure productive meetings, the policy team and workgroup must prioritize and prepare to discuss the Dosage Probation Policy Questions (.pdf), briefly reviewed during their kickoff meetings. In discussions throughout their policymaking meetings, the policy team and workgroup will likely identify other policy concerns, issues, or questions specific to your probation agency or jurisdiction that must be addressed. Common examples include the following: reassessing who gets placed on probation; reconsidering judicial responses to violations; making court processes more efficient; revisiting existing policies and procedures regarding probation sentencing, intake, supervision, or early discharge; or reviewing how expectations are communicated with people before or after they are sentenced.

Sharing agendas and other necessary information—such as current statutes, policies, procedures, data, or reading materials regarding evidence-based or best practices—ahead of time with members will help facilitate meaningful discussions (see below for more guidance on preparing for policy team and workgroup meetings). You may also invite others to deliver presentations on particular topics, such as risk/needs assessment, effective probation sentencing, condition setting, behavior management, or best practices regarding fines, fees, and restitution. Additionally, you may ask other stakeholders to attend meetings when necessary to lend their expertise or share their perspectives on a specific matter (e.g., data analysts, communications staff, state leadership officials, or people on probation).

You can use the Dosage Probation Policy Meeting Checklist (.doc) to help you effectively prepare, facilitate, and follow up on meetings with the policy team or workgroup.

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Not every policy team or workgroup meeting will result in a policy decision. Certain topics may require further analysis and discussion through ad hoc subcommittees or multiple meetings before reaching an agreement. Remember to follow the decision making or voting process described in your policy team’s or workgroup’s approved charter.

Prepare and Facilitate Policy Team Meetings

You may start by reviewing the Dosage Probation Policy Team Meeting Agenda Template (.doc). It includes the recommended meeting goals and structure for holding productive policy discussions over 90 minutes. It may be adapted for all policymaking meetings prior to implementation. You must customize the [bracketed] information and may make further adjustments to meet the policy team’s or jurisdiction’s needs. For example, you may hold some meetings over a shorter or longer period or delete headings that are not relevant or as time does not allow. Once the policy team finalizes its vision, mission, and values statements, you can reallocate that time to other meeting activities. You may also add headings to address related activities, such as learning about evidence-based practices, gathering updates from the team’s ad hoc subcommittees, or reviewing and approving new or revised policy language.

In addition, you will want to familiarize yourself with the Dosage Probation Policy Team Decisions Template (.doc). It includes recommended information and guidance for memorializing the team’s policy decisions. You must customize the [bracketed] information and may make further adjustments to meet your policy team's and jurisdiction's needs. For each decision the policy team makes (with input from the workgroup), it is recommended that you or a designated team member use the template to draft the corresponding policy language for review and approval by the policy team.

Prepare and Facilitate Workgroup Meetings

You may start by reviewing the Dosage Probation Workgroup Policy Meeting Agenda Template (.doc). It includes the recommended meeting goals and structure for holding productive policy discussions over two hours. It may be adapted for all policymaking meetings prior to implementation. You must customize the [bracketed] information and may make further adjustments to meet the workgroup’s or jurisdiction’s needs. For example, you may hold some meetings over a shorter or longer period or delete headings that are not relevant or as time does not allow. Regarding the latter, for instance, the workgroup may want to focus on the subcommittees’ concerns or questions during its meetings and gather general updates using an alternative strategy, such as separate meetings or email check-ins. You may also add headings to address related activities, such as learning about evidence-based practices or reviewing and approving new or revised policy language.

In addition, you will want to familiarize yourself with the following dosage probation manuals: Dosage Probation Staff Manual (.pdf), Counting Dosage Manual (.pdf), and Behavioral Indicators Assessment Manual (.pdf). The manuals are roadmaps for developing evidence-based dosage probation policies and procedures. Your dosage probation logic model should include, if it does not already, the development of a Dosage Probation Staff Manual and a Counting Dosage Manual. The Behavioral Indicators Assessment Manual is available should the workgroup want to measure behavioral change as evidence of a person’s reduced likelihood of recidivism beyond using an empirically based risk/needs assessment tool. You may share the manuals with workgroup members, subcommittees assigned to the relevant logic model activities, and other interested stakeholders. As policy decisions are made (with input from the policy team), it is recommended that you or designated members of the workgroup or subcommittees use the manuals to draft the corresponding policy language for review and approval by the workgroup.

Get Ready for Next Steps

Your jurisdiction’s implementation and evaluation of the dosage probation model is right around the corner. Congratulations!

Now is an excellent time to celebrate the policy team’s and workgroup’s accomplishments and honor the contributions of others (such as state leadership, if applicable) since the dosage probation readiness assessment. Consider bringing the policy team, workgroup, and possibly others together for a special luncheon, sending a meaningful email to everyone involved, creating a celebratory video with cameos from the policy team and workgroup members, sharing a PowerPoint presentation complete with animations and music, or releasing a media statement. Be as creative as you want.

Change can be challenging. Now is also an opportune time to check in with workgroup members and other probation staff to monitor for change fatigue. The workgroup has undertaken a marathon—or several—to align your agency’s culture and operational thinking with evidence-based dosage probation practices. Consider how management can strengthen and sustain your agency’s environment of support, celebration, and recognition to help staff feel resilient during times of change. Some strategies include dedicating time during staff meetings or offering one-on-one sessions to check in on how people are feeling and ask them what they need to perform their jobs well, clearly communicating expectations no matter how big or small, integrating mental health breaks into the workday, or planning a fun retreat day to reenergize everyone.

Additionally, the policy team and workgroup should take stock of loose ends—for example, policies that have yet to be decided, adjusted, or written; informational sessions that have yet to be conducted to ensure all probation staff and stakeholders understand and are ready to use the new dosage probation policies and procedures; or outstanding subcommittee work—and create a plan to address them before implementation or as soon as possible after that. Be sure to communicate this information to all probation leadership, staff, the policy team, and the workgroup as appropriate.

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Step 11 - Align Community-Based Services Model with Dosage Probation Model

Step 11 - Align Community-Based Services Model with Dosage Probation Model web_admin

The dosage probation model may result in significant changes in the way clients are referred to risk-reducing treatment services; the relationship between service providers and clients; and the relationship between providers and probation staff. This modified model of service delivery can result in greater alignment between probation, provider, and client; increased client motivation; and enhanced likelihood that client dosage targets will be attained.