Chapter 5Classification and

Supervision: Techniques of Evidence-Based Practices

Introduction This chapter discusses the classification and

supervisory functions of probation and parole officers as they pertain to management of offenders in the community.

Supervision is an officer’s oversight of clients committed to his or her custody.

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Classification: The First Step in Supervision

Classification consists of the supervising officer using an objective assessment scale to compute the risks posed by the offender, identifying offender needs requiring intervention, and selecting the appropriate supervision and treatment strategies.

Highest priority is placed on identifying risks that would likely jeopardize public safety if not addressed.

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Risk Assessment Risk assessment provides a measure of the probationer or

parolee’s degree of dangerousness to the public and also measures the offender’s propensity to engage in future criminal activity.

The first generation assessments relied on interviewing the offender and using case-by-case anecdotal information to make the decision about risk.

The second generation assessments primarily use static questions about previous behavior, which has already happened and cannot be altered.

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Risk Assessment, Con’t. Third generation assessments include both static

and dynamic factors, which aid in measuring both negative and positive offender change over time.

Dynamic factors include family relations, friends, emotional health, housing, leisure, and financial situation.

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Risk Assessment, Con’t. Third generation assessments are the Offender

Inventory Assessment (OIA) and the Level of Service Inventory-Revised (LSI-R).

A meta-analysis of 47 different studies of the LSI-R shows that it accurately targets high-risk clients who are at greatest need of intervention, but that it more accurately predicts adult men and is less accurate at predicting recidivism for women offenders (Vose, Cullen, and Smith, 2008). LO:

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Identifying Treatment Needs The officer identifies those characteristics,

conditions, or behaviors that limit motivation and may lead to criminal behavior.

Treatment activities are defined as actions taken by the supervising officer intended to bring about rehabilitation and reintegration into the law-abiding community.

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Identifying Treatment Needs, Con’t.

Treatment needs include drug or alcohol abuse, mental illness, anger management or education or vocational deficiencies.

Sources of information that may be used to identify treatment needs include the presentence report, prison disciplinary records and the prerelease plan, physical or medical health evaluations, records of drug or alcohol abuse and other related criminal conduct, financial history, and residential history.

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The Supervision Case Plan

Developing the Case Plan Supervision issues addressed in the plan may

involve: Conditions imposed by the court Risk control Treatment

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Implementing the Case Plan: Surveillance

Surveillance means ascertaining that the offenders are meeting the conditions of supervision imposed by the court or parole board.

The most common form of surveillance is maintaining contact through face-to-face meetings with each client in the office setting.

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Levels of Supervision Most classification systems use the traditional categories

of maximum, medium and minimum. The categories specify the smallest amount of contact

requirements. Factors of contacts include:

Type of contact Location of contact Frequency of contact

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Caseload Management Caseload and Workload Standards

A caseload is the number of individuals or cases one officer can effectively supervise

The more intensive the supervision, the lower the caseload The APPA recommends a workload standard of 120 hours

per month The workload standard concept is preferable to allow for

comparison, research and interpreting work to legislators and others

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Principles of Effective Correctional Intervention

Paul Gendreau (1996) published the principles of effective intervention, which is currently considered the basis by which correctional treatment programs should operate.

There are a total of 8 principles, which are that treatment services should:

1. Be intensive, occupying 40 to 70% of each day for 3 to 9 months

2. Contain cognitive-behavioral components to prepare the mind for the behavioral change

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Principles of Effective Correctional Intervention, Con’t.

3. Match the program level with client abilities or what the client can relate to according to gender, age, cultural background and risk level. Higher risk level clients will make greater strides.

4. Have positive reinforcements that should exceed punishments by a ratio of 4:1

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Principles of Effective Correctional Intervention, Con’t.

6. Teach clients to replace criminal networks with prosocial ones

7. Provide relapse prevention and aftercare

8. Evaluate the program and assess the compliance of programs to the previous 7 principles by using the Correctional Program Assessment Inventory (CPAI)

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Cognitive-Behavioral Therapy (CBT)

CBT is an effective method of helping a person change, and it is a blend of 2 different types of therapies: cognitive therapy that prepares the mind, and behavioral change that conditions the body.

CBT is used to overcome phobias, quit habitual behaviors such as smoking, drinking, or drug use, and to change old thinking patterns such as those linked to criminality.

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Motivational Interviewing Think of community supervision as a two-way

relationship between the officer and the offender that is affected by the offender’s motivation to change, coupled with the way the officer responds to and encourages that change.

An honest, direct relationship, along with good communication skills, is an effective means of promoting change and ensuring successful completion of the term of probation. LO: 3

Employment Assistance Employment is likely the single most important

element in preventing recidivism for probationers and parolees (Petersilia 2003).

Offenders are often the last to be hired and the first to be terminated.

Some offenders are barred from employment in their chosen fields as a result of regulatory and licensing laws that preclude people with a criminal conviction.

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Evaluation of Neighborhood-Based vs. Traditional Probation

In neighborhood-based supervision (NBS), the probation officers conduct the supervision and implement the case plan by being more visible and having a strong community presence.

Cases are assigned to officers according to geographic beat areas in a community

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Specialized Caseloads Specialized Caseloads have proven to be effective

for: Drug offenders Gang members Sex offenders Offenders with mental illness

About 5-10% of probationers and parolees are classified in a specialized caseload

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Sex Offender Treatment Sex offenders are typically court mandated to

attend intensive treatment specific to the type of sex offense.

Aggressive rapists have an entirely different treatment approach than do more passive pedophiles.

They receive more frequent contacts and more frequent searches

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Supervising Known Gang Members

Most gang members are young offenders, either juveniles between 12 and 17 years, or young adults in their early to mid-20s.

Gang members are significantly more likely than non–gang members to be rearrested for drug and violent crimes.

They have more extensive criminal histories and associate with other people who are or were involved in criminal activity. LO:

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Working with Women Offenders Most supervision techniques and treatment programs

were developed to serve characteristics of men.

Women on community supervision have typically entered the system because of a crime they committed alongside a male partner (boyfriend, husband, or brother) or they acted alone out of financial need. LO:

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