DEFENDER SERVICES BRANCH ALTERNATIVE SENTENCING WORKER PROGRAM

Sarah G. Johnson Defender Services Branch Manager

LEADERSHIP

Sarah G. Johnson returned to the DPA Alternative Sentencing Program she helped create. Sarah holds a

BSW from Morehead State University and a Masters of Social Work with a mental health concentration from

the University of Kentucky. Mrs. Johnson started her career as a mental health and substance abuse treatment

provider. She was one of the three original social workers hired for the DPA Social Work Pilot Project in 2006

and worked five years in that capacity. During her previous time with DPA, Sarah was instrumental in

establishing our social work program. Sarah excelled in leadership by helping to show the value of the

program. In August 2011, Mrs. Johnson was appointed to the Kentucky Parole Board. She returned to DPA in

December 2015 and is excited to be back to help lead our program as the Defender Services Branch Manager.

Cara Lane Cape is the Alternative Sentencing Program Supervisor at the Department of Public Advocacy (DPA).

Ms. Cape received both a BSW and a Masters of Social Work from Campbellsville University. Ms. Cape began her

career at Protection and Permanency in Grayson County, where she was chief investigator. In 2010, Ms. Cape

began working at DPA, where she held an administrative position in the Bowling Green Trial Office while

completing her graduate degree. In 2011, Ms. Cape transferred to DPA’s main Frankfort Office, where she held

positions in the Appeals Branch and Post-Trial Division Director’s Office, until finally ending up in the Office of

Public Advocate in 2013 as a policy analyst. While working in the Office of Public Advocate, Ms. Cape was an

instrumental part of the JustWare Case Management Team. Through this role, Ms. Cape was directly involved in

the implementation, customizing, and maintaining of DPA’s case management system – JustWare, as well as

provided training to all employees statewide. Ms. Cape assisted in streamlining data points within JustWare to be

used in the Kentucky DPA Outcome Study through the Center for Drug and Alcohol Research at the University

of Kentucky, in addition to providing ongoing data validation for the study.

DPA’S ALTERNATIVE SENTENCING

WORKERS

ALTERNATIVE SENTENCING WORKER

PROGRAM

OFFICE LOCATIONS

ROLE OF ALTERNATIVE SENTENCING WORKER

Works as an agent of the defense attorney

Conducts comprehensive assessments

Makes referrals

Collaborates with clients to create individualized Alternative

Sentencing Plans

Builds rapport and gains clients’ active decisions to participate

Provides crisis intervention strategies

Educates families

Collects data

Conducts baseline and 12 month follow up interviews

Facilitates collaboration between agencies

Creates and updates community resource guides

Provides more detailed information about community resources,

services, and programs

Uses Evidence-Based Motivational Interviewing

ROLE OF ALTERNATIVE SENTENCING WORKER

MOTIVATIONAL INTERVERIEWING

Evidence Based

Used in Substance Abuse, Mental Health, & Physical Health

treatment

Increases treatment engagement

Improves treatment compliance

Used for adolescents and adults

Effective with diverse cultures

Versatile, scientific approach

ALTERNATIVE SENTENCING WORKER

PROGRAM HISTORY

Started in 2006 as a pilot project

Placed in Covington, Owensboro, and Morehead

By 2008 there were 8 Social Workers placed in offices across the

state

The 2014 General Assembly approved 15 more DPA social

workers

Currently there are 45 Alternative Sentencing Workers positions

across the state

National Criminal Justice Association Outstanding

Criminal Justice Program Award, 2011

Harvard University’s John F. Kennedy School of

Government and its’ Ash Center for Democratic

Governance and Innovation named program as a

Top 25 Innovation in Government, 2013.

ALTERNATIVE SENTENCING WORKER

PROGRAM AWARDS

Why judges like the ASW Program?

“There is seldom a criminal motion day that we are not depending on a mental health resource identified and scheduled by the DPA social worker to deal with one or more cases involving a severely mentally ill defendant who should not be in jail, but is also not safe for a general release. In these cases we need a supervised setting where mental health services are available. When we hear of the tragic cases across the country where a severely mentally ill person has harmed innocent people everyone asks why aren’t we doing something about these people. Fortunately in Kentucky you are. Thank you for your continuing support of this appropriation.”

Comment from former Judge Dan Kelly:

Van Ingram

KY Justice Cabinet’s Executive

Director for the Kentucky Office of

Drug Control Policy

provides much needed

individual sentencing options

to prosecutors and judges; and

is a proven way to help

defendants change behavior

and not re-offend, saving the

state significant incarceration

costs.

DPA Alternative Sentencing Worker Program

SFY 2014 Evaluation Report Kentucky Department of Public

Advocacy Alternative Sentencing Worker Program

Robert Walker, M.S.W., L.C.S.W.,

and Jaime Miller, B.A. University of Kentucky Center on

Drug and Alcohol Research

$5.66 RETURN FOR EVERY $1

INVESTMENT IN DPA’S ALTERNATIVE

SENTENCING WORKER PROGRAM

SFY 2014

PROGRAM FINDINGS

For every $1 spent on the ASW Program, there was a $5.66

return on investment

Clients served 1,595 days out of the11,292 days they would have

served in the 12 months following initial plan approval, for a

reduction on 85%

8 ASWs served 324 clients

86.1% of clients served had substance abuse treatment as their

primary service need, with another 5.6% having it as a secondary

service need

34.4% of clients served had mental health treatment as their

primary service need, with another 28.4% having it as a secondary

service need

SFY 2014 Alternative Sentencing Worker Program Evaluation

conducted by University of Kentucky Center for Drug and

Alcohol Research.

SFY 2014

PROGRAM FINDINGS

79% were unemployed at the time of their arrest on current

charges

18.5% reported having a brain injury

The clients had a lifetime average of 8.4 previous incarceration

episodes

Almost 35% of clients had less than a high school diploma or

GED and 7.1% had even less than 9 years of education

34.9% were at risk for being homeless if no alternative

sentencing plan was in place

39.6% were victims of physical abuse, 29.6% were victims of

sexual abuse, and 41.1% were victims of psychological abuse

SFY 2014 Alternative Sentencing Worker Program Evaluation

conducted by University of Kentucky Center for Drug and

Alcohol Research.

SFY 2014 PROGRAM FINDINGS

Comparison of sentences imposed by the courts and actual days served in the 12 months following disposition (n=100)

ASW

sample

(n = 50)

Comparison

Group

(n = 50)

Average sentence (in days)*** 798.0 1773.8

Average number of days incarcerated in the 12 months after court disposition*** 43.49 260.88

Total misdemeanors before the court at the time plan was presented 48 57

Total felonies before the court at the time plan was presented ** 66 111

Total violations before the court at the time plan was presented 7

Total revocations before the court at the time plan was presented ** 19 41

Total all charges before the court at the time plan was presented **** 140 216

** p<.01,***p<.001, ****p<.0001

SFY 2014 Alternative Sentencing Worker Program Evaluation

conducted by University of Kentucky Center for Drug and

Alcohol Research.

SFY 2014 PROGRAM FINDINGS

Comparison of the costs of incarceration for ASW clients and individuals whose plans were denied by the court

Actual incarceration

within the 12-month

period

Number of

Days Per diem rate

Total cost

(Days X Per

diem)

Average per

client cost of

incarceration

ASW Client Sample 2,131 $37.42 $79,742 $1,595

Comparison Sample –

ASW plans denied by the

court 13,044 $37.42 $488,106 $9,762

SFY 2014 Alternative Sentencing Worker Program Evaluation

conducted by University of Kentucky Center for Drug and

Alcohol Research.

ASW

sample

(n = 50) Percentage of clients with granted plans who

recidivated in the 12 months following court

disposition 12%

Percentage of clients with granted plans who

recidivated in the 24 months following court

disposition 22%

RECIDIVISM

The same random sample of 50, which was pulled from the 324 clients with granted plans in

the SFY 2014 Outcome Study, was examined to determine the recidivism percentages listed

below. For the follow-up sample of 50, only 6 clients (12%) returned to serve their sentence

within the 12 months following court disposition, and an additional 5 clients (22%) returned

to serve their sentence within 24 months post anchor.

ACCOUNTABILITY & EFFICACY

ALTERNATIVE SENTENCING WORKER PROGRAM

Office Visits

Assessment of Training Needs

Coordination of Trainings for ASWs

Facilitation of Training for Attorneys on How to Utilize ASWs Effectively

JustWare Audits and Caseload Reports

Collaboration with Trial & Post Trial Division

Outcome Study with University of Kentucky

Center for Drug and Alcohol Research

COLLABORATION WITH OTHER

AGENCIES

DOC Re-entry

DOC Substance Abuse Program

Contracts

Recovery Kentucky Programs

Commonwealth Attorneys’ Association

National Center for State Courts

Study on Holistic Defense

ALTERNATIVE SENTENCING Provides judges

• relevant mitigating information about defendant’s physical and mental health, social history

• resources available in the community

• positive alternatives to incarceration

Diverts persons

• services and treatment to successfully transition into their communities and become productive citizens

Saves incarceration costs

• diverting persons with addiction, mental illness and juveniles to community-based treatment

Increases client’s economic self-sufficiency

working, paying taxes, providing child support, restitution, court costs

Reduces recidivism; Promotes Public Safety

SUCCESS STORY “Mary” was sentenced to 5 years’ probation in 2011. She completed 3 years before being revoked on a felony violation to serve the whole 5 years in December 2014. She found out she was pregnant while incarcerated. An Alternative Sentencing Plan was submitted 3/2/2015 for Shock Probation and was granted on the condition that she completes Drug Court following long-term rehab. ASW secured bed at Bethany Hall in Roanoke, VA. She was switched to Virginia Medicaid, which paid for the rehab. Client delivered a healthy, drug free baby girl while there. She completed rehab and entered their aftercare program in January, 2016. She has a job and child care. ASW sought letters from the aftercare counselor about the program and mandatory drug testing. ASW demonstrated the higher accountability and support that client is receiving from the program to the Circuit judge in Bell County. He issued an order and released client from the need to come back and do Drug Court. Staff member told ASW that client came to rehab a girl and is now a woman who is a great mom.

Client’s name has been changed to protect identity, but

permission to use photo was given by client.