The Principles of Effective Interventions: Results and Lessons Learned From Ohio

Effective Interventions…Lessons Learned
The Principles of Effective Interventions

Results and Lessons Learned from Ohio
Slide 2
Credits
About the UCCI About the Authors
The University of Cincinnati This training was developed by
Corrections Institute (UCCI) is Christopher T. Lowenkamp,
affiliated with the Division of Ph.D., assistant director,
Criminal Justice at the University University of Cincinnati
of Cincinnati. Corrections Institute.
Copyright © 2004 University of Cincinnati Corrections Institutute. All Rights Reserved.

Slide 3
Sections of Presentation
1. Overview of effective interventions
2. Risk Principle
3. Need Principle
4. Treatment Principle
5. Program Integrity
6. What we found in Ohio
7. Summary
Effective
EffectiveInterventions…Lessons
Interventions…LessonsLearned
Learned
Slide 4
Section 1
Principles of Effective Interventions
Slide 5
Principles of Effective Interventions

= Risk Principle (Who)—Higher risk offenders
= Need Principle (What)—Criminogenic needs
= Treatment Principle (How)—Use behavioral approaches
= Specific Responsivity (How)—Matching
=Program Integrity(All of the above and then some)—Quality

Effective
Interventions…Lessons
Learned
Learned
Slide 6
Section 2
Risk Principle
Slide 7
The Risk Principle
1. Target those offenders with a higher probability of recidivism
2. Provide most intensive treatment to higher risk offenders
3. Intensive treatment for lower risk offenders can increase

recidivism
Play Audio:
Slide 8
Risk Factors and What It Means To Be High

Risk—How to Target High Risk
1. Attitudes, values, and beliefs
2. Friends
3. History of antisocial behavior
4. Personality
5. Employment
6. Family
7. Substance abuse
Slide 9
The Risk Principle and Correctional Intervention

25
19
Change In Recidivism Rates

20
15
10
5
-4
0
-5
High Risk Low Risk
Dowden & Andrews, 1999

Slide 10
The Risk Principle and Community Supervision
50 47
40
33
Recidivism Rates
30 25
19
20
10
0
High Risk Low Risk
ISP Regular
Hanley, 2003
Learned
Slide 11
Section 3
Need Principle
Slide 12
The Need Principle
1. Assess and identify criminogenic needs
2. Target criminogenic needs.
3. Must be focused intervention.
4. If this is followed recidivism rates can be lowered.

Slide 13
Criminogenic Needs
1. Family 6. Prosocial modeling
2. Vocational skills and 7. Antisocial attitudes

employment
8. Substance abuse
3. Anger treatment
4.Self control 9. Reducing antisocial

peer contacts
5. Self management skills
10. Relapse prevention
Andrews and Dowden, 1999

Slide 14
Non-Criminogenic Needs
1. Stress and/or anxiety 1. Vague emotional
problems
2. Self-esteem
6. Fear of official
3. Cohesiveness of peer punishment
group
7. Physical activity
4. Discipline
8. Creativity
Andrews and Dowden, 1999

Slide 15
The Need Principle Seems Straightforward,

but…
1. Look at the targets of programs from around the country
1. Offenders lack creativity
2. Offenders need to get back to nature
3. It worked for me
4. Offenders lack discipline
5. Offenders lack organization skills
6. We just want them to be happy
7. Treat offenders like babies and dress them in diapers
8. Offenders need to have a pet in prison
9. Offenders need acupuncture
10. Offenders need a better diet
11. Offenders need to learn how to put on makeup and dress
better
12. Male offenders need to get in touch with their feminine
side
Latessa, Cullen, Gendreau, 2002
Slide 16
The Need Principle Seems Straightforward,

but…
1. Look at “creative sentences” judges are coming up with around
the country
1. Yoga
2. Tai Chi
3. Writing “I will not do stupid things” 2500 times
4. Dressing up like victim (in a dress) and being forced to
walk around downtown
5. Jogging for an hour for trying to run from police
6. Listening to music or reading
7. Carrying a photograph of the victim in wallet
USA Today, February 23, 2004

Slide 17
The Need Principle and Correctional

Intervention
35
31

30
25
20
15
10
5
0
0
-5
Target 1- 3 more Target at least 4-6 more

criminogenic needs criminogenic needs
Gendreau, French, and Taylor, 2002

Learned
Slide 18
Section 4
Treatment Principle
Slide 19
The Treatment Principle
1. The most effective interventions are behavioral
1. Focus on current factors that influence behavior
2. Action oriented
3. Offender behaviors are appropriately reinforced
2. The most effective behavioral models are
1. Social learning—practice new skills and behaviors
2. Cognitive behavioral approaches that target criminogenic

needs
Slide 20
Key Concepts of Cognitive Theories

– Thinking affects behavior
– Antisocial, distorted, unproductive irrational thinking causes

antisocial and unproductive behavior
– Thinking can be influenced and changed
– We can change how we feel and behave by changing what we

think
Slide 21
Implications of Theories to Treatment

Slide 22
Ineffective Approaches
1. Talking cures
2. Drug education
3. Bibliotherapy
4. Self-help programs
5. Medical model
6. Self esteem
7. Punishing smarter programs

Slide 23
The Treatment Principle and Correctional

Intervention
30
24

25
20
15
10
4
5
-5
Non-Behavioral Behavioral
Dowden and Andrews, 2000

Learned
Slide 24
Section 5
Program Integrity
Slide 25
Program Integrity
1. Includes principles discussed and more
1. Staff, assessment practices, evaluation
2. Can be measured using the Correctional Program

Assessment Inventory
1. Instrument measures implementation, assessment,

treatment, staff, evaluation, and other miscellaneous
factors related to program integrity
Slide 26
Program Integrity
1. Some research has been done linking the degree of program

integrity (as measured by a CPAI based measure) to the
program’s ability to reduce recidivism
2. Studies with juvenile programs and adult programs

Slide 27
ART Program Integrity and Program Effects

30 27
25
Adjusted Recidivism Rates

25
20 19
15
10
-5
Control ART ART Not
Competently Competently
Delivered Delivered
Barnoski and Aos 2004

Slide 28
FFT Program Integrity and Program Effects

35 32
Adjusted Recidivism Rates

30 27
25
20 17
15
10
5
0
-5
Control FFT FFT Not

Competently Competently
Delivered Delivered
Barnoski and Aos 2004

Effective Interventions…LessonsLearned
Learned
Slide 29
Section 6
Findings From Ohio
Slide 30
Ohio’s CBCF/HWH Study
1. Largest study of community based correctional treatment

programs ever done
2. Total of 13,221 offenders—38 HWH and 15 CBCF
3. Two year follow up on all offenders
4. Recidivism measures included any new arrest and

incarceration in a state prison
5. Also examined program characteristics

Slide 31
Experimental and Comparison Groups
1. Parole with HWH
2. Parole violators with HWH
3. Transitional Control with HWH
4. Furlough with HWH
5. CBCF Probation
6. Comparison group parole without HWH placement

Slide 32
Measure of Risk
1. Risk score based on 14 factors
2. Age, education, marital status, psychological problems,

drug/alcohol problems, employment, criminal history, and
current offense
3. Recidivism rate for low risk 18%, for high risk 58%
Learned
Slide 33
Section 6a
What Did We Find With Regard to the Risk
Principle?
Slide 34
The Risk Principle—All Offenders

30
25
21
20
17 17
16
15
12 12 12
11 11
10 10
9 9
10 8
7 7 7
6
5 5
Probability of Reincarceration
3 3 3
2
0
0
-1
-5 -5 -5 -5
-10
-10-10
-11
-16
-20
-20
-24
-30 -29
-40
Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr
og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og
ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra
m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m
A B F D J E I C G P W U K M H K R N A O L X BB Q S V Z M FF II CC D JJ G A Y EE H LL
K ll M D G A H
Slide 35
The Risk Principle—Low Risk

10 9
8
6
5
4 4
3 3
2
1 1 1
0
0
-1
-2 -2 -2
-4 -4 -4
-5
-6
-7 -7
-10
-11 -11 -11
-15
-16
-20
-21 -21 -21 -21
-30 -29 -29
-32
-36
-40
Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr Pr
og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og og
ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra ra
m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m
B CC F K A D J W G U E X JJ R M I FF P M A O S II D V N Z G K BB Q L LL H Y EE A
K M ll D G H A
Slide 36
The Risk Principle—Low/Moderate Risk
20
13
11 11
10 10
10 9 9
8
7
6
5 5 5
4 4
3 3
2
1
0
0
-1 -1 -1
-3
-4
-6
-7
-10
-10-10
-11-11
-12
-14-14
-20 -19
-23-23
-30
-34
-36
-40
B F A D J K W U G P E JJ I M X R M A O FF V N S BB D L Z G Q II K C CC EE H Y A H LL
K M ll D G H A
Slide 37
LL
m
ra H
og H
Pr ram II
26
og
Pr ram AA
19
og
Pr ram Y
18
og
Pr ram G
13 13 13
og G
Pr ram DD
og
Pr ram FF
og
Pr ram CC
12
og
Pr ram
10
og Z
Pr ram KK
9 9 9
og
Pr ram H
og
Pr gram JJ
The Risk Principle—Moderate Risk
o
Pr ram Q
8 8
og
Pr ram
og S
Pr ram MM
6 6 6
og
Pr ram BB
og
Pr ram V
og
Pr ram
5 5
og L
Pr ram X
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Pr ram All
4 4
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Pr ram R
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Pr gram N
3 3
o
Pr ram EE
og
Pr gram K
2
o
Pr ram
1 1 1
og M
Pr ram O
og
Pr ram
og W
Pr ram U
0
og
Pr gram G
-1
o
Pr ram I
-2
og
Pr ram
-3
og C
-6 Pr gram P
o
Pr ram J
-7 -7
og
Pr ram E
og
-13
Pr ram
og F
-14
Pr ram D
og
-17
Pr ram
og B
-20
Pr ram A
og
-26
Pr ram
og
-28
Pr
-10
-20
-30
-40
0
30
20
10
Slide 38
The Risk Principle—High Risk

40
34
32 33
30
30 27
24 25 25
21 22
19
20
15
12 12 12 13 13
10 10
10 7 8 8 8
5
2 3 3 3
0
-2 -2
-6 -5
-10 -8
-10
-15 -14
-20 -18 -17
-30
-34
-40
A B C D E F G H I J K L O M N P Q R A S U V W X Y Z A BB CC D EE FF G H II JJ K LL M
ll A D G H K M
Slide 39
Why Did This Happen?
1. Think about what it means to be low risk
2. Who else is in the HWH/CBCF programs around the state?
3. What happens to low risk offenders risk level?

Learned
Slide 40
Section 6b
What Did We Find With Regard to the Need
Principle?
Slide 41
The Need Principle
Change in Recidivism Rates

7
8
5
2
-2
-3 0 to 3 4 to 6 7 or more
Number of Criminogenic Services
Negative numbers indicate increases in recidivism. Overall correlations between the number of programs
offered and treatment effect is 0.13, while the correlation between the number of criminogenic services
offered and treatment effect is 0.23
Learned
Slide 42
Section 6c
What Did We Find With Regard to the Treatment
Principle?
Slide 43
10

5 9
-5 -9
-10
Other Cognitive
Behavioral
Slide 44

15

10
13
5
6
2
0
-4
-5
Role Play Practice
Learned
Slide 45
Section 6d
What Did We Find With Regard to Program
Integrity?
Slide 46
Measure of Program Integrity
1. Measures based on CPAI
2. Measures based on staff surveys
3. Measures based on data from offender database
4. A total of 157 items on program integrity

Slide 47
Program Implementation
1. Director education and experience
2. Director being involved in training and delivering the

program
3. Program valued by community
4. Program valued by the CJ community
5. Sustainable funding
Slide 48
Assessment
1. Receive appropriate clients
2. Assess risk factors
3. Assess need factors
4. Use standardized methods
5. Define risk and need levels
6. Reassess before termination with a standardized

instrument
Slide 49
Treatment
1. Cognitive behavioral programming and targeting criminogenic
needs
2. Role playing
3. Practice new skills
4. Supervised during treatment and in community
5. Varied service and length of stay by risk
6. Kept occupied 40-70% of time
7. Standard completion criteria
8. Provided aftercare
Slide 50
Staff Characteristics
1. Area of study
2. Program input
3. Personal qualities
4. Ongoing training
5. Percent with college degree

Slide 51
Evaluation
1. Recidivism follow-up
2. Outcome evaluations
3. External quality assurance
4. File reviews
5. Pre/post testing
Slide 52
Miscellaneous
1. Mixed facilities
2. Years in operation
3. Program capacity
4. Average age of offenders
5. All female facilities

Slide 53
Program Integrity—Relationship Between

Program Integrity Score And Treatment Effect
25
20
Change In Recidivism Rates 15
10 22
5 10
5
0
-5
-10 -19
-15
-20
0-30(2) 31-59(25) 60-69(10) 70+(1)
Learned
Slide 54
Section 7
Summary
Slide 55
Risk
1. Assessment should be done as early on in the CJ process as

possible
2. Assessment should be conducted using a standard risk and

need assessment
3. Sentences should be based on that assessment
4. Supervision should be based on that assessment
5. Referrals for service should be based on that assessment
6. Should be targeting HIGH RISK OFFENDERS for most

intensive services
Slide 56
Need
1. Supervision and programming should focus on targeting

criminogenic needs
2. Sentences should focus on the need principle whenever

possible
3. Needs to be targeted should be identified by risk/need

assessment—not a one size fits all approach
Slide 57
Treatment
1. Programming should be behavioral, cognitive-

behavioral, or based on social learning
2. Should use role playing and practice
3. Should provide supervision during sessions
4. Probation departments around the country are now

delivering cognitive-behavioral interventions on their
own rather than relying on external resource providers
Slide 58
Program Integrity
1. IT MATTERS
2. It can be measured
3. It can be changed
4. Good programs (based on sound theory) can

substantially reduce recidivism, however, the same
program poorly implemented can actually increase
recidivism!
Learned
Slide 59
Section 7
How Does Community Supervision Fit?
Specific Responsivity
Easiest to think of as “barriers” to treatment
Motivation is becoming one of the more important

considerations
Motivational enhancement, motivation interviewing, or pre-

treatment programming
Stages Of Change
Termination
Pre-
Relapse Contemplation
Maintenance
Contemplation
Action
Preparation
Prochaska’s “Stages of Change” Taken from: Miller, Duncan and Hubble (1999), “The Heart
& Soul of Change”, American Psychological Association.
Agency Response
Pre-contemplation Raise doubts, examine
discrepancies
Contemplation Tip decisional balance toward

change
Preparation Clarify goals, TX plan, reduce

barriers, enlist support
Engage in TX, support change,

Action new reinforcers
Support lifestyle changes, relapse

Maintenance
prevention
Motivational Enhancement
Motivation to change can be increased through
– Assessment
– Case planning
– Or other early meeting
– Offenders in jail are probably pretty motivated to
change
Assessment
• Good assessment needs to be conducted to
effectively sentence, supervise, and intervene with
offenders
• Pretrial programs that offer services to reduce risk of

reoffending need to survey criminogenic risk factors
Community Supervision
• Assessment
• Motivational enhancement
• Provision of treatment services
• System approach
– Responsibility for some but not all
– Takes into account what other agencies in process need
and do with offenders
– Takes into account what needs to be done by the
system to reduce offending behavior and increase public
safety
Learned
Slide 66
Section 8
Implementation?
Implementing a New Idea

• Consider how dramatic a shift these ideas are
• Need to consider organizational attributes
• There are assessments for this
• Research suggests that dealing with these issues assists in
technology transfer
• Integrating research with practice
• Exposure
• Adoption
• Implementation
• Practice
D. Dwayne Simpson. 2002. Organizational readiness for treatment innovations. Texas

Christian University. www.ibr.tcu.edu.
Exposure
• Accomplished through training
• Involves
• Staff
• Lecture
• Self study
• Workshop
• Consultant
• Must have motivation to change and resources
• Convenience (time and place) also an issue

Adoption
• Reception and perception of perceived utility
• Decision to go with it
• Adequacy of training
• Perceived ease of use
• How well it fits with other roles, agency, and staff
abilities

Implementation
• Adequate resources and appropriate atmosphere for change
• Climate for change
• Clarity of mission and goals
• Staff cohesion
• Communication
• Openness to change
• Institutional supports
• Monitoring
• Feedback
• Rewards that reinforce positive change

Practice
• Long term use
• Staff attributes
• Professional growth
• Efficacy
• Influence
• Adaptability

Assessments
• Organizational Readiness for Change
• Motivation for Change
• Resources
• Staff Attributes
• Organizational Climate
• Program Training Needs
• Training Areas
• Barriers to Training
• Available Resources

Organizational Readiness for Change

•Motivation for Change •Staff Attributes
•Program Needs •Growth
•Training Needs •Efficacy
•Pressures for Change •Influence
•Orientation
•Adaptability
•Resources •Organizational Climate

•Offices •Mission
•Staffing •Cohesion
•Training •Autonomy
•Computer Access •Communication
•e-Communications •Stress
•Change

Summary
• Have a pretty good idea of what works and what doesn’t to
reduce criminal recidivism
• Should be implemented across all aspects of the corrections
system
• Agencies should collaborate and take a systems approach
• Prior to moving forward assess staff and agency before
jumping in
• Assess and overcome barriers
• Have a plan and let staff guide that plan to some degree
• Share the plan
• Realistic
• What will change
• Evaluate what has been accomplished
• Quality assurance
• Evaluate impacts
• Outcomes
Always Remember……….
As Max Planck the physicist lamented:
“….a new scientific truth does not triumph by convincing its

opponents and making them see the light, but rather
because its opponents eventually die, and a new generation
grows up that is familiar with it.”
Even with the most resistant staff and agencies there is still
hope

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Effective Interventions…Lessons Learned

The Principles of Effective Interventions

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6. What we found in Ohio

Principles of Effective Interventions

= Need Principle (What)—Criminogenic needs

= Treatment Principle (How)—Use behavioral approaches

= Specific Responsivity (How)—Matching

=Program Integrity(All of the above and then some)—Quality

The Risk Principle

1. Target those offenders with a higher probability of recidivism

2. Provide most intensive treatment to higher risk offenders

3. Intensive treatment for lower risk offenders can increase

Risk Factors and What It Means To Be High

3. History of antisocial behavior

The Risk Principle and Correctional Intervention

Change In Recidivism Rates

Dowden & Andrews, 1999

The Risk Principle and Community Supervision

The Need Principle

1. Assess and identify criminogenic needs

2. Target criminogenic needs.

3. Must be focused intervention.

4. If this is followed recidivism rates can be lowered.

2. Vocational skills and 7. Antisocial attitudes

4.Self control 9. Reducing antisocial

Andrews and Dowden, 1999

Andrews and Dowden, 1999

The Need Principle Seems Straightforward,

The Need Principle Seems Straightforward,

USA Today, February 23, 2004

The Need Principle and Correctional

Change In Recidivism Rates

Target 1- 3 more Target at least 4-6 more

Gendreau, French, and Taylor, 2002

The Treatment Principle

1. The most effective interventions are behavioral

1. Focus on current factors that influence behavior

3. Offender behaviors are appropriately reinforced

2. The most effective behavioral models are

1. Social learning—practice new skills and behaviors

2. Cognitive behavioral approaches that target criminogenic

Key Concepts of Cognitive Theories

– Antisocial, distorted, unproductive irrational thinking causes

– Thinking can be influenced and changed

– We can change how we feel and behave by changing what we

Implications of Theories to Treatment

7. Punishing smarter programs

The Treatment Principle and Correctional

Change In Recidivism Rates

Dowden and Andrews, 2000

1. Includes principles discussed and more

1. Staff, assessment practices, evaluation

2. Can be measured using the Correctional Program

1. Instrument measures implementation, assessment,

1. Some research has been done linking the degree of program

2. Studies with juvenile programs and adult programs

ART Program Integrity and Program Effects

Adjusted Recidivism Rates

Barnoski and Aos 2004

FFT Program Integrity and Program Effects

Adjusted Recidivism Rates

Control FFT FFT Not