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Practice Guidelines for Community Supervision

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Introduction

  • Introduction
  • How to Use This Guide to Benefit Your Agency
  • Section I: How to Use the Appropriateness Statements to Develop Practice Guidelines
  • Appropriateness Statement Outline
  • Section II: Implementing Practice Guidelines
  • Section III: Building the Working Alliance
  • Section IV: Appropriateness Statements

Contacts

  • Contacts
  • Contacts: Implementation Considerations
  • Types of Contacts
  • Frequency of Contact

Compliance-Based Practices

  • Compliance-Based Practices
  • Overall Compliance-Based Practice Implementation Considerations
  • Collateral and Employer Contacts
  • Drug Testing
  • Electronic Monitoring
  • Financial Restrictions
  • House Arrest
  • Phone-Based Monitoring
  • Restraining Orders

Treatments

  • Treatments
  • Treatment Implementation Considerations
  • Anger Management
  • In-Patient & Out-Patient Treatment
  • Mental Health Screening and Evaluation
  • Substance Use Screening and Evaluation
  • Alcohol and Drug Use Education
  • Cognitive Behavioral Techniques

Motivation Techniques

  • Motivation Techniques
  • Motivational Techniques Implementation Considerations
  • Incentives
  • Prosocial Modeling
  • Sanctions

Additional Components

  • Additional Components
  • Additional Components Implementation Considerations
  • Environmental Restructuring
  • Transportation Resources

Additional Resources

  • Additional Resources
  • Additional Information on Practices
  • References

Glossary

  • Glossary
  • ACE!
  • Appropriateness Statement Package
  • Introduction

Introduction

Community supervision agencies are responsible for managing diverse populations with a range of offending behaviors such as shoplifting, violence or intimate partner violence, drug use, or involvement with street gangs. Complicating the picture are characteristics of the clients themselves. For instance, people under supervision have four to nine times higher rates of mental health and substance use disorders than the general population (Crilly et al., 2009; Fearn et al., 2016). Effectively supervising such a diverse range of people requires attention to the socio-economic/health needs that may drive offending behaviors and/or interfere with an individual’s ability to meet their probation or parole conditions. This in turn requires careful consideration of which conditions of supervision are appropriate for individuals with different needs. Too many conditions can undermine the success of individuals on supervision—especially by weakening their ability to meet requirements. Too many conditions can overburden an individual on supervision, which contributes to perceptions of procedural injustice. Too many conditions can also overburden the staff working to monitor conditions that might be less relevant to the individual’s success on supervision and in life.

This report presents 20 appropriateness statements on common supervision practices. While some conditions and practices¹ are evidence-based and associated with positive supervision outcomes (e.g., desistance from crime or substance abuse, as well as employment, education, and other quality of life outcomes), others have little evidence to show a positive effect. Some supervision practices that are commonly used are even associated with negative outcomes. To promote consistent, effective, and procedurally just supervision practices, these appropriateness statements highlight the benefits and drawbacks of these practices. In many cases, practices are neither entirely effective or entirely harmful—much depends on how and with whom they are used.

The statements synthesize research evidence with perspectives from the field to detail which practices are appropriate under different circumstances. To do this, this project used a modified RAND/UCLA Appropriateness Method (RAM; see Fitch et al., 2001). The RAM defines an appropriate practice as one where the benefits exceed the consequences, with benefits and consequences determined by combining research and practice expertise. To appraise the current research evidence, the project team conducted a systematic search of meta-analyses and studies of high-impact interventions and treatments. A framing document that summarizes the research can be found by contacting the study team (see Lee et al., 2021). Practice expertise was solicited from stakeholders in the supervision field (131 individuals in the supervision field) and individuals who have been involved in the criminal justice system (244 formerly or currently justice-system-involved individuals [JSI]). Respondents rated the appropriateness (i.e., never appropriate, sometimes appropriate, or always appropriate) of common conditions used in community supervision separately for Gang-Involved, General Violence, Intimate Partner Violence, Serious Mental Illness, and Substance Use Disorder populations. In addition, four focus groups were conducted with supervision staff and two with JSI to obtain practical insights on the use and effects of different practices.

 

Table 1

Supervision Practices with Level of Support from Research and Field Perspectives for Low and Medium/High Risk Populations

Practice

Research Support

Field Support: Low Risk

Field Support: Med/High Risk

Probation

JSI

Probation

JSI

Contacts

In-Person Contacts
Telephone Contacts
Kiosk Contacts

Evidence-Based*
Promising
Promising

Moderate
Moderate
Moderate

Moderate
Moderate
Moderate

Wide
Moderate
Minimal

Moderate
Moderate
Moderate

Compliance-Based Practices

Employer Contacts
Collateral Contacts
Drug Testing
Electronic Monitoring
Phone-Based Monitoring
House Arrest
Restraining Orders
Financial Restrictions

Inconclusive
Inconclusive
Evidence-Based*
Inconclusive
Promising
Promising
Inconclusive
Inconclusive

Minimal
Moderate
N/A
Minimal
Moderate
Minimal
Moderate
Moderatea

Minimal
Minimal
Minimalb
Minimal
Minimal
Minimal
Minimal
Minimal

Moderate
Wide
N/A
Moderate
Moderate
Moderate
Moderate
Moderatea

Moderate
Moderate
Moderate
Moderate
Moderate
Moderate
Moderate
Moderate

Treatments

Substance Use Evaluation
Mental Health Evaluation
Cognitive-Behavioral Therapy
Alcohol & Drug Use Education
In- or Out-Patient Treatment

Evidence-Based*
Evidence-Based*
Evidence-Based
Not Evidence-Based
Evidence-Based

Moderate
Moderate
Moderate
Moderate
Moderate

Moderate
Moderate
Moderate
Moderate
Moderate

Wide
Wide
Wide
Moderate
Wide

Moderate
Moderate
Moderate
Moderate
Moderate

Motivation Techniques

Sanctions
Incentives
Pro-Social Modeling

Not Evidence-Based
Evidence-Based
Evidence-Based

Minimal
Moderate
Moderate

Minimal
Moderate
Moderate

Moderate
Wide
Wide

Moderate
Moderate
Moderate

Additional Components

Transportation Resources
Environmental Restructuring

Promising
Evidence-Based

Moderate
Moderate

Moderate
Moderate

Wide
Wide

Moderate
Moderate

* = Evidence-based with qualifications
a Probation respondents reported moderate support for fines and fees but wide support for restitution
b JSI respondents reported minimal support for scheduled drug testing but moderate support for random drug testing for low risk

 

Table 1 presents the overall findings from this project. The table shows the level of support for common supervision practices both from empirical research and the field (probation staff and JSI). Several common supervision components (particularly those in the “Treatments” domain) have empirical support. However, some common supervision conditions (particularly compliance-based techniques, such as restraining orders, house arrest, and fines/fees) did not have empirical support for reducing recidivism, improving individuals’ quality of life, or promoting other positive supervision outcomes (see Table 2 for definitions of the different levels of empirical support).

However, empirical support is only one piece of the puzzle. To determine how the field perceives different supervision components, the project also collected perspectives from the field. For low-risk individuals, probation staff and JSI were cautious with the use of supervision practices. With the exception of restitution (part of the Financial Restrictions practice domain), neither probation staff nor JSI expressed wide support for any one particular supervision practice2. Additionally, probation staff and JSI reported minimal support for several practices (four for probation staff; nine for JSI), primarily in the Compliance-Based Practices domain.

For medium- and high-risk individuals, both groups were more supportive of various supervision practices. (Note: The study combined medium and high risk in the survey process.) With the exception of kiosk contacts (a low-intensity form of contact for which probation staff reported minimal support), stakeholder groups did not report minimal support for any practice. Instead, probation staff reported wide support for 10 practices (primarily evidence-based practices in the Treatment, Motivation Techniques, and Additional Components domains) and JSI reported moderate support for all practices. Notably, many of the components for which probation staff reported wide support for medium- and high-risk individuals are also evidence-based. This suggests an awareness of and appreciation for evidence-based practices in the field—at least when used with medium-/high-risk individuals. There is more uncertainty regarding how to supervise low-risk individuals.

As shown in Table 1, many practices are perceived to be appropriate only under certain circumstances. The attached appropriateness statements help clarify when different conditions are appropriate and how they can be used appropriately with different individuals. These statements can be used to help agencies develop practice guidelines that are specific to and considerate of the organizational culture in which they are implemented. That is, they can help to establish practice guidelines that are attentive to the diverse socio-economic/health needs of individuals under community supervision.

Table 2

Definitions of Levels of Empirical Support

Level of Empirical Support

Definition

Evidence-Based

There is strong research evidence for the effectiveness of this practice in reducing recidivism and/or promoting other positive supervision outcomes

Promising

There is some research evidence for the effectiveness of this practice, but more research is necessary for confirmation

Inconclusive

There is insufficient research evidence to determine if this practice is effective

Not Evidence-Based

There is research evidence to suggest that this practice can be ineffective and/or harmful

 

1 The terms “condition” and “practice” are used interchangeably in this Guide.
2 Wide support indicates that a stakeholder group reported, on average, that a practice was “always appropriate.” Moderate and minimal support respectively indicate that a stakeholder group reported that a practice was “sometimes” or “never” appropriate.

 

Similar Topics

Appropriateness Statement Outline

How to Use This Guide to Benefit Your Agency

Section I: How to Use the Appropriateness Statements to Develop Practice Guidelines

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How to Use This Guide to Benefit Your Agency

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