2008-2012 STRATEGIC PLAN - Iowa
Transcript of 2008-2012 STRATEGIC PLAN - Iowa
IOWA DEPARTMENT OF CORRECTIONSIOWA DEPARTMENT OF CORRECTIONS
2008-20122008-2012STRATEGIC PLANSTRATEGIC PLAN
October 2008
TABLE OF CONTENTS
Preface to the Strategic Plan....................................................................... i
Vision Statement........................................................................................ 1
Mission Statement......................................................................................1
Values Statement........................................................................................2
Strategic Priorities at a Glance...................................................................3
Strategies.................................................................................................... 4
Appendix
Strategy Action Plan.................................................................................. 7
Charts & Statistics....................................................................................15
The Department of Corrections is a public safety agency within the Safe, Just, & Inclusive Communities enterprise of the executive branch of state government. The Department is charged with the supervision, custody, and correctional programming of convicted adult offenders who are sentenced by the state courts for a period of incarceration in state prisons.
The Department has funding and oversight responsibilities for the state’s eight Judicial District Departments of Correctional Services, which provide the community supervision and correctional services component of Iowa’s adult correctional system. The legislatively appropriated budget is administered and allocated by the Department of Corrections. The Department oversees the Districts’ compliance with requirements of the Iowa Administrative Code through an annual purchase of service agreement with the Department of Corrections, which sets forth programming, administrative, financial, and operational requirements.
The Iowa Prisons Industry program, operated by DOC oversees work and farming programs at Iowa’s correctional facilities. These programs build work skills and attitudes that will advance an offender’s employment potential upon release. Work has been shown to significantly increase an offender’s ability to avoid returning to prison after release. IPI programs operate without General Fund support.
The Department of Corrections 2008 Strategic Plan outlines the Departments’ key focus areas for the next three to five years. Key strategic goals will include:
• Developing the culture of a learning organization • Impacting recidivism through provision of evidence based programs, interventions, case
planning, and offender re entry.• Providing adequate human and financial resources and processes to maintain the
infrastructure and delivery of services.• Reinvention of operations based on best practices to manage resources in the most cost
effective and productive manner.
Iowa’s adult correctional system carries out its charge of protecting the public through a continuum of institution and community evidence based services and interventions. This continuum is designed with recognition of the ultimate release of most offenders. The effective and efficient management of offenders in accordance with their risk and criminogenic need (those needs that contribute to criminality) is accomplished though targeted programming, release preparation, and transition services. Success in these endeavors assists offenders to become productive members of the community makes it less likely that they will re offend, and results in lowered rates of recidivism.
In FY 2008 The Department will continue system wide implementation of the Offender Re-Entry Case Plan that uses validated assessment instruments to assess risk and criminogenic need and, upon entry into the system, structures a plan and timeline for the programs and interventions appropriate for each offender. Correctional resources can then be deployed in the most efficient
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PREFACE TO THE STRATEGIC PLAN
and effective manner. Community resources can be linked to the offender’s release in a manner that improves the offender’s chance of successful reentry into the community. Special focus can be given to those offenders who present special challenges due to ageing, medical needs, substance abuse, mental health needs, or high-risk behaviors such as sex offenses.
The Department will continue its focus on excellence and scrutiny of operations and programs in order to transform the agency to capture efficiencies, enhance productivity, and increase services to customers. Doing the “smart thing” in the “smart way” can reduce correctional costs and increase societal benefits. Utilizing Charter agency flexibilities to transform operations produce savings and the ability to realign critical resources The Department is moving its cultural paradigm toward those correctional and operational practices shown by research, data, or results to be the most effective best practice in various areas of the organization. Limited resources will be directed to those strategies that produce the desired result. Striving toward professional standards and workforce investment establishes the foundation for employee empowerment and the continued deployment of sustainable solutions to ongoing challenges.
The collection, analysis, and research evaluation of data and programs provides substantive information to all organization levels. Focus on “Score Card” performance measurement and improvement helps the department align resources and focus activities toward the mission. The Department is committed to improving its ability to provide sound outcome data to policymakers that make legislative and funding decisions.
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An Iowa with No More Victims
We Protect the Public, the Employees, and the Offenders from Victimization
Public
Prevent escapes and maintain accountability of offenders in the community Increase community safety in support of a vital economy Reduce recidivism and increase the self responsibility of offenders Keep citizens informed about corrections issues and activities Make responsible decisions about the use of taxpayer dollars Attend to the needs and concerns of victims Treat members of the public with respect
Employees
Provide current equipment and staffing to insure employee safety Provide for a safe working environment Attend to the emotional needs and well being of employees Maintain high levels and standards for training Insure policies are sound, current, and consistently and fairly enforced Treat employees with respect
Offenders
Provide a physically and mentally safe and healthy environment for offenders Manage offenders in a firm, fair and consistent manner Provide programming, training and education to encourage good work habits and pro-social
interaction Promote pro-social thinking with contemporary programming Keep offenders informed about current corrections policies and procedures Develop community support and partnerships that foster reintegration Treat offenders with respect
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MISSION OF THE IOWA DEPARTMENT OF CORRECTIONS
VISION STATEMENT OF THE IOWA DEPARTMENTOF CORRECTIONS
Value and Beliefs
People can change
Every person should be treated with dignity and respect
Our efforts help make people safer
We must work as a team if we are to succeed
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VALUES OF THE DEPARTMENT OF CORRECTIONS
Strategic Priorities: At A Glance
Offender Management: Best Practice Re Entry Model Re-entry Case Plan EBP Implementation Plans Responsivity & Social learning behavior focus Re- Entry Treatment Capacities Collaborative Partnerships
Population Management Population Master Plan
Information Best Practices Data Based Decisions / Practices Data Systems Research Performance Measurement Return on Investment Data Integrity
Workforce Investment Diversity Composition Culture Change Workload Well Being / Morale Knowledge/ Skill Health Safety Leadership Development / Succession Planning Use of Technology
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OFFENDER MANAGEMENT: BEST PRACTICES RE-ENTRY MODEL
STRATEGIC GOALS
1. Deploy offender management through Evidence Based Practices
2. Impact recidivism through provision of evidence based programs, interventions, case planning and re-entry initiatives
3. Operational effectiveness through utilization of “best practices”
DESIRED OUTCOMES
• Public safety and crime reduction
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STRATEGIC PRIORITY #1
REFERENCE: Core Function: Offender supervision, custody and treatment servicesService, product or activity for Core Function: Risk Identification, Risk Management and Risk Reduction
POPULATION MANAGEMENT
STRATEGIC GOALS
1. Offender Classification/Risk Assessment (Risk/Needs Identification)Systemic gathering, recording and communication of information regarding the level of risk to public safety posed by individual offenders. By utilizing validated risk and needs assessment instruments, offenders can be classified and assigned to programs and interventions that correspond to their individual custody and criminogenic needs.
2. Offender Supervision (Supervision and Custody)Supervision and management of offenders in institutions or under community supervision at levels that correspond to their level of risk. The establishment of expectations and application of sanctions expected to increase accountability and modify behavior.
3. Offender Programming and Accountability (Risk Reduction – Criminality Issues/Treatment/Education and Work)Activities designed to hold offenders accountable to society and victims of their criminal behavior. Programming and research based strategies designed to develop pro-social skills, restructure attitudes and reduce the likelihood of an offender becoming involved in future criminal behavior.
4. Basic Life Care (Basic Needs/Medical)Provisions of housing, food, daily needs, medical and other services required to maintain offenders in a healthy, safe and constitutional manner.
DESIRED OUTCOMES
• Improved population master plan• Enhanced public and staff safety, and crime reduction• Payment of debt to victims and society by offenders• Offender accountability• Constitutional system
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STRATEGIC PRIORITY #2
REFERENCE: Core Function: Offender supervision, custody and treatment servicesService, product or activity for Core Function: Risk Identification, Risk Management and Risk Reduction
INFORMATION BEST PRACTICES
STRATEGIC GOALS
1. Sustain and improve best practice data and information Data based program and decision making practices Data systems: ICON/Data Warehouse Research Performance measurement: “Score Card” Return on investment budgeting Data integrity
2. Information Systems/Records/CommunicationProvision of records, management information and communication systems to provide internal and external customers with timely, relevant and accurate information needed for daily decision making, offender management and organization management.
3. Use data and evidence to make fiscally responsible decisions
DESIRED OUTCOMES
• Provision of information, technology and information analysis to ensure access to complete, accurate, timely and useful information
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STRATEGIC PRIORITY #3
REFERENCE: Core Function: Offender supervision, custody and treatment servicesService, product or activity for Core Function: Risk Identification, Risk Management and Risk Reduction
WORKFORCE INVESTMENT
STRATEGIC GOALS
1. Diversity through recruitment, selection and retention
2. Cultural change
3. Workload analysis and management
4. Well being/morale/health/safety focus
5. Knowledge and skill development
6. Leadership development and succession planning
7. Use of technology and utilization of critical data and transformation of current processes to enhance staff productivity
DESIRED OUTCOMES
• Quality services; value for tax dollar investment; timely, accurate and accessible service delivery
• Meaningful collaboration with community stakeholders to facilitate public safety
• Clarity of vision and mission• Continuous improvement in the delivery of services to the people of Iowa
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STRATEGIC PRIORITY #4
REFERENCE: Core Function: Offender supervision, custody and treatment servicesService, product or activity for Core Function: Risk Identification, Risk Management and Risk Reduction
APPENDIX2008 - 2012 Action Plan
IMPACT AREA / ACTION FY RESPONSIBLE PERSON(S)
Offender Management: Best Practices – Re-entry ModelRe- entry Case Plan
Policy review/ changes / deployment
Core Assessments & Alignment
Classification tool - Evaluate / Select- Gender responsive - Validity / cost effective- Standardized across facilities- Non static tool
Risk, Need, Responsivity - Adjust LSI-R as risk measurement
tool for prisons
- Align criminogenic risk, need & responsivity assessments and institution program assignment
- Risk reduction review link to release decision process
Other Assessments- Identify uniform tools (substance level of service assessment)- Sex offender assessment – Explore options
Jessness - Standardize utilization
Quality Assurance processes - Hire institution & district QA staff
Release Coordination
Pre-Release & Release Transition planning
Intake Counselors & Re-entry Coordinators
Case plan implementation
DOC Recommended Release Date
Monitor impact on releases
5/08
1/08
7/09
1/10
3/08
2011
2011
2008
2008
2008
Deputy Director for Offender Services
Re Entry Coordinator
Deputy Director for Offender Services
Re EntryCoordinator
Offender services staff/ focus groups
Re Entry Coordinator
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District & Institution EBP plans
Policy development
Plan implementation
Share best practices across system
2008 – Ongoing
2008 – Ongoing
2008 - Ongoing
Deputy Directors for Operations/ Offender Services
Disciplinary sanction: Responsivity & social learning alignment
Align A.L.J. / process with EBP culture deployment
Incorporate into classification system revision
FY ‘08
General Counsel / Deputy Directors for Operations & Offender Services
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Re-entry Treatment Capacities/ Deployment
Assessment driven offender programming (LSI / top needs & responsivity)
Continuum capacity aligned with need:
Top four Criminogenic Needs Stages of Change
Flow through continuum of services
Right offender Intervention Place Time Dosage Mental Health Responsivity - System wide continuum capacity - Assessment - Acute care - Dual diagnosis
Gender responsive/ responsivity
Capacity
GED - Track CBC completions
Sex Offender - Special needs/ non compliant - Evaluate length of treatment programs Life Skills classes Family component Victim restoration: Pilot site for assessment & programming
Pre release programming Motivational interviewing Cognitive behavioral components Prison industry work opportunity expansion Substance abuse
- Assessments- SAMHSA model treatment continuum capacity
Visiting policy
- Family relationship sustainability support
7/09
7/09
7/09
2012
2012
FY ‘08 – Ongoing
FY ‘08 – Ongoing5/08
FY ‘08
FY ‘09FY ‘09Ongoing
3/08
FY ‘08
Deputy Director for Offender Programs / Deputy Directors for Operations
Sex Offender Focus Group
Restorative Justice Coord.
IPI Director
Deputy Diretrs.Operat.
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Multidisciplinary case management teams
Policy review & deployment
2010
FY ‘08 - Ongoing
Deputy Dir. Operation/ Offender Services/ Mental Health
Collaborative Partnerships
Leadership maintains collaborative relationships
Statewide steering committee Victims Other state & community agencies Ombudsman’s task force Parole Board/ EBP Training
OngoingDirector/ Executive Team
Population Management
Population Master Plan
Facilities construction / re-use master plan development/ implementation
Use of CBC beds evaluation
Risk appropriate capacity alignment (new classification system): Risk Classification/ institution assignment alignment Institution/ offender alignment with risk level Risk appropriate community supervision
Special population capacity Sex offenders - Evaluate appropriate community release beds for sex offenders Mentally Ill Female offenders / capacity & location - Reception for females High risk
Ageing / medically challenged
FY ‘08 – ‘13
FY ‘08
7/097/092012
20122012
2012FY ‘08
Director / Executive Team
Deputy Directors for Operations
Deputy Directors for Operations
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Information Best Practices
Data Based Programs/ Decisions/ Practices
EBP intervention designation / Improvement
Quality Assurance
Develop EBP process evaluation capacity
FY ‘08
2012
2012
Deputy Director for Offender Services
Data systems (ICON, Data Warehouse, Data mining etc.)
ICON reconfigurationFY ‘10
Deputy Director for Administration
Research
Iowa validation of assessments: implementation & programs
Validation of classification instruments
Directory & broad distribution of reports/ statistics & research findings quarterly
Research Prevalence of mental illness in CBC offenders LSI-R appropriate cut offs for women Factors contributing to offender behavior problems in prison
Develop research partnership to study employment & recidivism
FY ‘08
FY ‘08FY ‘09FY ‘09 –‘10
FY ‘09 –‘10
Deputy Directors Offender Program/ Operations/ Research Unit
Performance Measurement
Executive leadership monthly measure review
Performance improvement Core Team
Mid managers performance reporting system
Deploy score card results quarterly
Develop local score card capacity
Align Score Card with performance evaluation / recognition
Select Targets for FY 08
Develop institution quality indicator measures
MonthlyOngoing
Annually
Quarterly
Ongoing
Ongoing
12/ 07
FY ‘08
Deputy Director Admin. / Performance Measurement Director
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Budget / Return on investment
Lean Quality- Value – Delivery: Projects
Structure budget decisions in accordance with “results”
Standardize budget practices, cost accounting etc.
Establish ranking criteria
Link budget dollars to programs / staff
Expenditures accountability
Transformation initiative reporting
EBP funding support
Centralized pharmacy
Procurement warehouse
Renewable energy / E85
FY ‘09
FY ‘10
FY ‘09
FY ‘10
FY ‘09
Ongoing
FY ‘08
FY ‘10
FY ‘08
FY ‘10
FY ‘08
Deputy Director for Administration
Data Integrity
Consistent Reporting Establish definitions Reporting mechanisms Quarterly & Annual reports Incident reporting
Ongoing
FY ‘09
Deputy Director for Administration
Workforce Investment
Diversity Composition
Interview/ selection / retention process improvements
Minorities/ females / disabled: Increase hires
FY ’08 - Ongoing
General Counsel / Human Resources
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Culture change
NIC Culture assessment
Mid Management buy in / communication plan
Explore AFSME contract transfer issues to support EBP
2012
Ongoing
Ongoing
Director/ Deputies for Admin. / Operations/ Department Leadership
Workload
Institution staffing analysis / include EBP consideration
Clinical supervisor positions
Nursing –’08All -FY ‘09
2011
Deputy Directors for Operations
Well Being / Morale
Survey
Employee recognition policy and practice linked to best practices FY ‘08
Executive Team / Leadership
Knowledge & Skills
Job analysis-job description review
Selection and Performance Evaluation revisions to include EBP principles / traits / skills
Training: Fund training plan EBP Principles familiarization Classification system: standardized utilization ASSiSST Jesness Utilization Motivational Interviewing Mental illness Supervisor training
- Motivational interviewing- Modeling/coaching
EBP principle EBP hard skills Data Based decision making How to interpret and use data
Trainee follow up survey to supervisor and employee
Ongoing
Ongoing
FY ‘08
Deputy Directors for Admin. & Operations
Training Director
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Health & Safety
Interoperable communication
Data analysis
Training
Audits/ inspections
FY ’08 / Ongoing
Chief Security/ Safety Officer
Leadership Development/ Succession Planning
Identify leadership competencies/ Staff leadership assessment LPI
Training First line Manager level Executive leadership
Succession planning
FY ‘09
OngoingFY ‘09FY ‘09
FY ‘09
Director / Executive Team
Use of Technology
Transformation project evaluation to redirect staff resourcesOngoing
Executive Team
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System Program Assessment Status
14%
12%
74%
3%
16%
81%
0% 20% 40% 60% 80% 100%
Excellent
Promising
NeedsImprovement
%
Ins titution
CBC
Final District TotalsJuly 2007
16 14
86116
0
50
100
150
Excellent Promising NeedsImprovement
Total # Programs:
Program Assessment Status
Num
ber o
f Pro
gram
s
Final Institution TotalsJuly 2007
420
102126
0
50
100
150
Excellent Promising NeedsImprovement
Total # Programs:
Program Assessment Status
Num
ber o
f Pro
gram
s
One Successful Interventions for Case Plan Needs 1 - 4
55%45%
Successful Interventions Unsuccessful
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New Convictions 3 Years After Discharge
0.34 0.35
16% 16%
0%
5%
10%
15%
20%
25%
30%
35%
40%
FY 06 FY 07
High Risk New Conviction Rate Total New Conviction Rate
44.7
36.833.5 33.3
35.434.9
0
5
10
15
20
25
30
35
40
45
FY 93 FY 99 FY 01 FY 03 FY 06 FY 07
% Return to Prison Historical
Ending Prison Populations, Iowa
0100020003000400050006000700080009000
10000
FY1990
FY1991
FY1992
FY1993
FY1994
FY1995
FY1996
FY1997
FY1998
FY1999
FY2000
FY2001
FY2002
FY2003
FY2004
FY2005
FY2005
FY2006
FY2007
N In
mat
es
Population Capacity
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101.00%126.00%
121.00%
0%
50%
100%
150%
Residential Field Institution
% Capacity
Parole Board Recommendation Agreement Rate
0.66
0.34
Agree Did Not Agree
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% of Residential Capacity
105% 99% 100%85%
111% 111%97%
0%20%40%60%80%
100%120%
1st 2nd 3rd 4th 5th 6th 7th 8th
% Capacity Institutions
1.1 0.931.4 1.24
21.57
1.221.331.05
00.5
11.5
22.5
ASP ISPCCF
FDCFIC
IWNCF
NCCFIM
CCMPCF
Bed
spa
ceC
lass
ifica
tion
Cur
rent
Pop
ulat
ion
Pro
file
Alig
nmen
t of C
usto
dyA
ssig
nmen
t to
Sco
re
FY 0
6 A
lignm
ent o
fC
usto
dy A
ssig
nmen
t to
Sco
re
Max
Med
Min0.130.28 0.57 0.62
0.64 0.60.79 0.75
0.23 0.12 0.91 0.89
Alignment of Beds / Custody
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LSI Scores by Supervision Status
0 10 20 30 40 50
Unknown
Extreme Low
Low
Medium
Medium High
High
Percent of Offenders
Institution
Field
Residential
Residential Legal Status
0.0 10.0 20.0 30.0 40.0 50.0
Federal
OWI Continuum
Probation
Special Sentence
Pre Trial
Sta
tus
Percent
Residential LSI-R Risk Level
Low20%
Extreme Low1%
Medium50%
Medium High29%
0%
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System Incidents52
1 0 0 0
58
0 4 0 0 0
45
3 0 0 0 0
32
0 0 0 0 0
48
010203040506070
Assault
s on s
taff
Asault
s on
offend
ers
Escape
s
Suicide
s
Homicides
Disturb
ance
s
Conditio
ns S
uits
FY 04 FY 05 FY 06 FY 07
Residential Facilities
6% 4% 3% 5%9%
12%
3%8%
105%99% 100%
85%
111% 111%
97%
105%5.7
4.54.2
3.95
4.5
3.84 4.1
0%
20%
40%
60%
80%
100%
120%
District 1 District 2 District 3 District 4 District 5 District 6 District 7 District 80
1
2
3
4
5
6
Escape Rate Capacity Population Turnover
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Cause of Injury : CBC
0
5 4
16
02468
1012141618
Serious injuryto staff :OffenderAssault
Serious injuryto staff : Work/Enviornment
Serious injuryto offender :Self / Assault
Serious injuryto offender :
Work /Environment
Cause of Injury : Institution
3293
44
209
050
100150200250
Serious injury tostaff : Offender
Assault
Serious injury tostaff : Work/Enviornment
Serious injury tooffender : Self /
Assault
Serious injury tooffender : Work /
Environment
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0.07%
99.30%
0.00%
20.00%
40.00%
60.00%
80.00%
100.00%
Received Did not receive
Interventions to High Risk Offenders
6.60%
93.40%
0.00%
20.00%
40.00%
60.00%
80.00%
100.00%
Received Interventions Did Not Receive Interventions
Interventions to Low Risk Offenders
Average Daily Cost in $ Per Inmate FY 07
118.00
62.14
110.80
63.3269.02
53.35
70.07 72.12 70.5376.65
0
20
40
60
80
100
120
140
ISP ASP IMCC NCF MPCF NCCF CCF ICIW FDCF Total
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Probation $ Daily Cost
2.14
3.99
3.03
5.22
3.29
3.7
2.38
3.59
5.92
$0
$1
$2
$3
$4
$5
$6
$7
1st 2nd 3rd 4th 5th 6th 7th 8th
Average
Residential $ Daily Cost
56.5
69.16
53.12
66.25
54.54
62.6165.59
60.2654.28
$0
$10
$20
$30
$40
$50
$60
$70
$80
1st
2nd 3rd 4th 5th 6th 7th 8th
Averag
re
Probation Technical Violation Rate
19.00%
17.20%
16%
17%
17%
18%
18%
19%
19%
20%
FY 06 FY 07
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C.O. Overtime
1.572.11
4.85
0.62
3.03
1.31
3.844.61 4.57
1.5 1.5 1.5 1.5 1.5 1.5 1.5 1.5 1.5
0
1
2
3
4
5
6
ICIW ASP
IMCC
NCCFCCF
FDCFISP
MPCFNCF
% o
f Wag
es
ActualTarget
% Available Field FTE as % of Need
72.485.3 86.5 92
103
71 75
95
79
0
20
40
60
80
100
120
Statewide
1st2nd
3rd 4th 5th 6th 7th 8th
%
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Iowa Department of CorrectionsInstitution Budget Function Breakdown
Resource Management
9%
Risk Management49%Risk Reduction
12%
Risk Identification0%
Basic Life Care30%
August 31, 2007
% Budget Redirected Due To Transformation
0.50%
0.40%
0.00%
0.10%
0.20%
0.30%
0.40%
0.50%
0.60%
Target Achieved
102 96.5
133
14 840
-6
1947
-500
50100150
% of Budget Expended % Increase FY 06 to 07 % Increase FY 05 to 06
% Change in Expenditures
FOOD FUEL PHARMACY
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% Staff Turnover
8.56.2
9.8
6.45.3
7.3 6.9 79.2
02468
1012
ICIW ASPIMCC
NCCFCCF
FDCF ISPMPCF
NCF
%
Monthly Average Sick Leave Days
5.3
8.6
0123456789
10
CBC Institution
# D
ays
7%
33%
45%
11%
0%5%
10%15%20%25%30%35%40%45%
WorkingConditions
Disciplinary/Personnel
Policy/Operations
Other
Staff Grievance Issues
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