Report Ten Steps Corrections Dir Can Take to Strengthen Performance, May, Pew, 2008
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MAY 2008 10 Ten Steps Corrections Directors Can Take to Strengthen Performance EXECUTIVE SUMMARY As part of its assessment of overall state government performance, the Pew Center on the States conducted hundreds of hours of interviews with a wide cross section of officials from 45 state corrections departments in an effort to spotlight the most effective management practices. Across the country, innovative policy makers and corrections managers are joining forces to improve correctional systems’ performance, transparency Better Information Leads to Better Outcomes and accountability. We offer the following 2. Develop performance measures that matter. management practices as a menu of the strategies A number of states have begun implementing currently under way that can be employed to the uniform performance measures strengthen prison operations and, ultimately, to cut developed by the Association of State crime and tame spiraling prison costs. Correctional Administrators, which has standardized the definitions of key Get the Agency Mission Right performance measures. More innovative 1. Reevaluate agency mission to include focus states are now using outcome measures that on reducing recidivism. Leading states have judge the effect of policies on inmates in completely reevaluated the missions of their order to inform funding decisions. corrections departments to include recidivism reduction alongside other crucial In this brief: 3. Make better use of technology systems. objectives such as keeping dangerous Cutting-edge states are using modern Web- offenders off the streets and maintaining safe based applications that feature readily and secure institutions. accessible key “dashboard” indicators to track 5: Get the Agency Mission Right 6: Better Information Leads to Better Outcomes 8: Corrections Infrastructure Matters 9: Re-think the Money Equation 13: Focus People on Performance EXECUTIVE SUMMARY, CONTINUED performance and adjust management practices. As a lower-cost stopgap measure, Focus People on Performance 7. Hold facility managers accountable. other states have boosted information access The leading correctional systems are by grafting a Web-based interface onto their reviewing detailed data at the facility level to mainframe servers. monitor trends and hold key managers accountable for progress toward targeted Corrections Infrastructure Matters goals. Some states are going so far as to 4. Build smarter. Some states are targeting new provide financial incentives for facility construction for certain populations that need performance, based in some cases on facility- more intensive services, whether by building a level inmate recidivism rates. new stand-alone facility or an addition to an existing institution. Adding to existing 8. Pay for security staff on the front end. facilities can often be more cost-effective than Leading states are addressing correctional building expensive new facilities—and can officers’ compensation inequities and help achieve other goals as well. developing career path strategies that can save money in the long run. Re-think the Money Equation 5. Seek alternative forms of funding. Some 9. Find nonfinancial ways to improve employee states are forgoing new prison construction morale. Cash-strapped states are carefully by allocating resources to substance abuse examining and following up on employee programs, mental health treatment and morale and quality of life issues to boost community-based services that ultimately pay performance and reduce turnover. Some for themselves in cost-avoidance. Creative states have addressed matters ranging from collaborations with other state agencies and the immediate work environment to housing other jurisdictions also are streamlining and child care. services and saving scarce dollars. 10. Develop new leaders. Even in states 6. Develop partners to cut down on medical costs. with interagency leadership academies, State corrections systems are using a variety of it’s important that corrections agencies new partnerships—including contracting with develop their own programs to tackle public university hospitals and other entities—to the unique challenges of managing and provide cost-effective services, quality control motivating employees in the high-stress oversight and group purchasing arrangements. prison environment. ■ ACKNOWLEDGEMENTS This issue brief was reported and written by Michael Blanding, who served as a consulting editor to the Government Performance Project focusing on the functioning of state departments of corrections as part of the Project’s Grading the States 2008 report card on state management. Jake Horowitz, senior associate with the Public Safety Performance Project, was an integral member of the issue brief review team. The project’s creative direction and communications efforts were guided by Pew Center on the States’ (PCS) Carla Uriona and Janet Lane, and Jessica Riordan of Pew’s Communications office. We would like to thank 202design for their design and production assistance, and PCS associate Melissa Maynard for her copy editing skills. 2 Ten Steps Corrections Directors Can Take to Strengthen Performance FOREWORD These are challenging times for state departments of corrections. Truth-in-sentencing initiatives, tougher laws for violent offenders and increased rates of incarceration for drug crimes and female lawbreakers have sent prison populations soaring. The number of prisoners nationwide has nearly tripled over the past two decades—from 585,000 to nearly 1.6 million—and many states are still facing projections of double-digit percentage growth rates well into the future. (See Figure 1 on page 7.) North Carolina is planning for an additional 1,000 prisoners a year. Pennsylvania is projecting 1,500, Arizona is expecting 2,000 and Florida is looking at an eye-popping 3,000 extra prisoners or more annually. Overall, corrections costs have grown even faster, spiking 315 percent in nominal dollars since 1987. (See Figure 2 on page 12.) Many states have been hard-pressed to keep up with those increases. Legislatures have been right to complain that budgets for corrections have been soaring; at the same time, corrections agency directors often have even less money per prisoner to manage their growing populations. With state budgets stretched especially thin in today’s volatile economic climate, the prospect of spending millions for new prisons—or, as some see it, money for programs to educate and rehabilitate “bad guys”—can be a tough sell. As a result, many systems are pushed to the bursting point, with institutions at 125 or 150 percent of capacity—Alabama is the highest at 200 percent—and less money than ever for corrections officers, who arguably have one of the toughest jobs in the country. Fortunately, the stories from the cellblock aren’t all gloom and doom. In fact, precisely because of these challenges, corrections directors have a rare opportunity to bring about substantial change. Prison budgets have reached a point where they can’t be ignored. Many governors—and an increasing number of state legislators—are beginning to take a leadership role in addressing the problem. The tired old debate about coddling prisoners with programs versus locking them up and throwing away the key is finally taking a backseat. In its place are discussions of more pragmatic approaches for dealing with the problem underlying behind both overcrowding and soaring budgets: the increase in the number of prisoners. By investing in forward-looking programming, training and motivating effective staff, and seeking out community and private partners for help, many states are starting to make a determined effort at cutting recidivism. The overall size of the prison population is more under the control of the legislature, judges and parole boards—those who make sentencing and release laws and decisions—than those who manage prisons. But by reducing the chances that a prisoner will commit another crime after release, corrections agencies are not only improving public safety, they are also helping drive down their prison populations and, with them, the bill that taxpayers must pay for prison construction and operation. In the past eight months, as part of its assessment of overall state government performance, the Pew Center on the States conducted hundreds of hours of interviews with a wide cross section of officials from 45 state corrections departments in an effort to spotlight the most effective management practices. What we found is that success is not simply a product of money or other resources. Rather, it depends upon adoption of Ten Steps Corrections Directors Can Take to Strengthen Performance 3 FOREWORD, CONTINUED innovative solutions by corrections management, transparency and accountability to determine what works, and a willingness to transcend finger-pointing politics to invest in those policies and practices. In all of these areas, corrections department directors are uniquely positioned to have a real impact through management of the people, money, information and infrastructure that comprise their agencies. They may also provide invaluable feedback to their governors and legislators to determine the states’ broader lawand-order policies. Through our interviews and analysis of department documents, we identified 10 practical steps that creative corrections executives are taking to improve their effectiveness. If emulated by their colleagues, these practices could go a long way toward cutting crime and the spiraling cost of prisons. This report focuses on state departments of corrections, agencies that play an extremely important role in providing public safety. Ten Steps Corrections Directors Can Take to Strengthen Performance is the result of a collaboration between two initiatives of the Pew Center on the States. In 2008, as part of its 50-state report card on state government, Grading the States, the Government Performance Project partnered with the Public Safety Performance Project to conduct an in-depth examination of the management systems undergirding corrections departments. The result is a compelling picture of how leading states are redefining the missions of their correctional systems and using performance information to make smarter policy, budget, human resource and facilities decisions. This report also suggests ways that governors and legislatures can be better stewards of public safety, supporting their corrections executives with the tools they need to create safer institutions and communities. To be clear: We did not “grade” state correctional systems. Rather, we used the information that we gathered to help inform our analysis of state management systems as a whole. In the analysis, we focused on the domains of information, infrastructure, people and money to shine a spotlight on emerging and promising practices in the states. We confined our review to prison operations because all corrections departments manage prisons but only some include probation and parole functions. Pew’s leadership in fostering meaningful change through data-driven research and partnership provides a road map for high performance in all 50 states. Visit www.pewcenteronthestates.org to learn more about your state’s performance through the Grading the States 2008 report, and the work of the Public Safety Performance Project. Neal C. Johnson Director Government Performance Project 4 Adam Gelb Director Public Safety Performance Project Ten Steps Corrections Directors Can Take to Strengthen Performance in 2003 at eight sites; the initiative is now active at Get the Agency Mission Right 18, and will be implemented departmentwide by 2010. “In terms of significant budget savings, we Defining a public organization’s mission is one of the most important and challenging foundations to improving performance. Understandably, employees can lose focus when they are caught in a web of sometimes conflicting organizational purposes that have accumulated over years or even decades. can fool around with a lot of little things, but the only big savings we have left is reducing the population appropriately and closing prisons,” says Michigan Department of Corrections (MDOC) Director Patricia Caruso. To that end, the initiative has funded “re-entry centers” that collaborate with community organizations to help prisoners find job Nowhere is this more true than in the corrections policy field. A growing body of evidence and practice suggests that the states that are reexamining the balance between reducing recidivism, protecting the public, maintaining safe and secure institutions and other crucial objectives are getting it right. Without a doubt, one of the most effective ways to improve public safety and reduce prison populations is to marshal resources toward a primary goal: Once offenders leave state institutions, they don’t come back. and program placement to better transition them to the outside world. It has also completely changed the way corrections officers are trained, with an increased focus on preparing prisoners for life beyond bars. The department continues to work hard at implementation with participating countries but, as a result of MPRI and other efforts, the prison population trend was a flat line last year. Kansas, too, has led the way in this new trend with a recent shift in its strategic plan to emphasize proactively managing inmates to reduce the 1 likelihood of recidivism upon release. Using a Reevaluate agency mission to include a focus on reducing recidivism. comprehensive risk-assessment instrument, inmates are given individualized case plans upon entering “Re-entry” has fast become the hottest prison to ensure they get adequate and buzzword in prison management, with nearly appropriate programming. Then, a year prior to every state corrections department now placing release, the department begins working with case some focus on the concept. However, agencies managers, parole officers and family members to vary widely in the comprehensiveness and ensure a smooth transition. Both Kansas and effectiveness of implementation. The best states Michigan have received substantial assistance in in this regard have completely reevaluated the their re-entry efforts from the JEHT Foundation and missions of departments to include recidivism the National Institute of Corrections. reduction alongside other crucial objectives such as protecting the public and maintaining Similarly, Georgia has developed a forward-looking safe and secure institutions. 20-year “Transformational Campaign” that includes a strong emphasis on re-entry. For nonviolent Michigan, for example, rolled out its Michigan offenders, the Georgia Department of Corrections Prisoner Re-Entry Initiative (MPRI) as a pilot project incorporates the use of minimum security detention Ten Steps Corrections Directors Can Take to Strengthen Performance 5 centers, diversion centers (in which inmates work in corrections managers and policy makers the community and report back at night), and make better decisions. transition centers. All of these options are less expensive than traditional prisons and have A number of states have begun implementing additional programming to prepare offenders to the uniform performance measures developed rejoin the community. Eventually, Commissioner Jim by the Association of State Corrections Donald hopes to house 50 percent of offenders in Administrators (ASCA), which has standardized these kinds of lower-cost arrangements. “We need the definitions of key measures. Begun with just to differentiate between those offenders we are six states (Washington, Ohio, Iowa, Louisiana, ‘afraid of’ and those we are just ‘mad at,’” he says. South Carolina and Pennsylvania), this effort For that second group, he continues, “We need to now includes reporting from 36 jurisdictions on a see what we can do to manage that population variety of output and outcome measures. without putting them in prison beds.” Uniform measures help the field define its standards of performance, compare among jurisdictions and track progress. Measures gauge Better Information Leads to Better Outcomes In both the public and private sectors, advances in information technology are shaping the organizations of the future. In the corrections field, the Government Performance Project team found that the best efforts in improving performance depend on transparent results that show progress toward specific goals, such as cutting recidivism rates, decreasing prisoner assaults on corrections officers and reducing staff turnover. Accurate performance measures—and the technology to assemble comprehensive databases and analyze them—are critical to help managers better allocate funds and staff, and secure funding increases to expand programs that reduce recidivism or increase agency efficiency. institutional and public safety, through variables such as assaults on staff and recidivism; substance abuse; mental health and academic assistance, through variables such as needs assessment, programming, and participation and completion rates; and contextual information, including offender profiles. More innovative states have begun to use outcome measures that judge the effect of policies on inmates in order to inform funding decisions. Nebraska’s corrections agency, for example, is a leader in measuring not only overall recidivism but also recidivism of inmates who have completed different types of risk-reduction programs. More importantly, the state has used the measure to influence budget decisions. In one instance, the state scrapped plans to build a stand-alone substance abuse treatment center 2 6 Develop performance measures that matter. when evaluations showed the money would be more effectively spent on hiring 40 new Meaningful performance measures, including substance abuse counselors and integrating them authentic outcome data, are helping state into separate wings at existing facilities. Ten Steps Corrections Directors Can Take to Strengthen Performance Other states—including Washington, Nebraska, Ohio, Alaska, Wyoming and Iowa—are producing their own corrections-specific measurement systems. One of the most sophisticated is Oregon Accountability Model, a system currently being developed by Oregon. The strategic plan has a multi-step process for evaluating and improving every aspect of the department through performance measures, including some mandated by the legislature and others developed by the department. The department’s measures are among the most sophisticated of any state at tracking the factors that are most likely to lead an offender to recidivate. For example, rather than just tracking the recidivism rate, the agency tracks the percentage of offenders employed 180 days after trends and adjust management is particularly risky release. Rather than just tracking the percentage in an environment where managers make daily of inmates completing programs, it tracks the decisions concerning a potentially dangerous percentage who enter and complete the population. Yet many states are stuck in the 1980s programs recommended for them in an intake or even 1970s, with mainframe legacy systems assessment. While the agency is still establishing employing DOS or “green screen” interfaces. baselines for many of these measures, it hopes to Often this means that wardens and other managers reap future benefits in reducing recidivism. “We must submit time-consuming requests to their took a look at the body of research out there and research departments for data reports. are saying what are the major contributing factors to an offender’s criminality and focusing all of our States on the cutting edge of technology have efforts on that,” says Assistant Director of replaced their old systems with modern Web-based General Services John Koreski. applications with a “dashboard” application that allows managers to pull up information instantly. 3 States that have been unable to secure necessary Develop modern information technology systems. funding for such upgrades have compromised with a Web-based interface grafted onto their mainframe You can’t track performance without having servers, which nonetheless increases the accessibility technology to support it. While corrections of information. As the emphasis on re-entry and departments are not the only areas of state community corrections expands, some states that government with outdated information technology, are upgrading technology are integrating their the absence of easily accessible data to identify offender management systems for institutions with Ten Steps Corrections Directors Can Take to Strengthen Performance 7 their systems for probation and parole. This creates The technology is not only used for staff meetings a seamless network that follows offenders from but also for telemedicine and telepsychiatry for intake through post-release supervision. inmates and for parole hearings and communications with family, saving the department Improving technology doesn’t necessarily mean transportation costs and strengthening prisoners’ spending big bucks on proprietary software. community bonds in preparation for release. Several years ago, a coalition of Western states led by Utah, New Mexico and Alaska began developing an open source management system that would be free to any state that wanted to use it—as long as that state allows any other state to take advantage of any upgrades it made to the software. Now, a second phase of the software is being developed by the corrections agency in Idaho. By creating new modules to coordinate offender tracking in institutions as well as Corrections Infrastructure Matters Inevitably, prisons are expensive. For decades, the country has been on a prison-building boom, spending tens of billions of dollars for new institutions to house a rapidly growing population. But states have not always received the expected return from their investments. probation and parole, Idaho is producing one of the most state-of-the-art systems in the industry. In addition to upgrading the backbone offender management database, several states have pioneered truly innovative technologies that are making their agencies more efficient. Indiana has developed so-called “smart phones:” small, handheld devices that shift supervisors can carry to quickly input information about incidents. The devices are directly tied to the incident reporting systems which allows officials miles away to get a real-time view of what is going on in institutions Because of political or economic considerations, institutions sometimes are sited in rural areas where it’s hard to find adequate staff or contractors for services, and transportation costs can skyrocket. In the heart of cities or thriving population centers, prisons can have difficulty competing with the private sector for employees. In the corrections field, the Government Performance Project team uncovered especially promising new approaches to making decisions about new construction and facility expansion. and displays “hot spots” of violence or gang activity. Other states are pioneering a similar 4 Build prisons smarter. concept for probation officers, outfitting them with 8 computers in their cars that allow them to input Changes in sentencing and release laws and a focus information on the go—rather than waiting until on community corrections and re-entry have slowed the end of the day when they are back in their inmate population growth in some states. But the offices. And New Mexico, among many other fact remains that many states still will have to build states, has conquered the vast distances of its state prisons in the upcoming years. While no one can with regular use of videoconferencing technology. undo past mistakes, corrections departments can Ten Steps Corrections Directors Can Take to Strengthen Performance ensure that future facilities help manage prison populations in the most effective way possible. One approach states are using is targeting new construction for certain populations that need more intensive services—whether as a new stand-alone Re-think the Money Equation Financial resources are a critical ingredient of any state policy, whether the area is environmental protection, education and health or corrections. State fiscal systems are especially important in navigating today’s uncertain economic climate. facility or as additions to current institutions. Adding to existing facilities can often be more cost-effective than building expensive new facilities—and can help achieve other goals as well. For years, Alaska has had on the drawing board a new “mega-prison” that would house 2,250 prisoners in a remote, rural area. Incoming Director Joe Schmidt, however, performed an evaluation upon entering office last year and concluded that it would be more cost-efficient to build a smaller 1,250-bed prison while expanding several regional prisons. By spreading out the construction, the new The Government Performance Project team found that leading state corrections systems are creatively leveraging alternative revenue streams—then using the results to make better-informed state investment decisions. State corrections leaders are also developing new relationships with other public agencies and the private sector to get the most bang for the buck. plan increased the agency’s ability to hire adequate 5 Seek alternative forms of funding. staff—and house prisoners close to their families and communities, aiding in their eventual transition back to society. Similar concerns drove the With the increase in prison populations and the selection of a location for a new prison in South emphasis on new programming to aid re-entry Dakota. There, prison officials pushed to site a efforts, prison budgets continue to climb. At the prison in Rapid City because 30 percent of the same time, the national economic picture shows the state’s inmates came from that area, and the country sliding into recession, squeezing the states’ majority of the state’s jobs are there as well, thus ability to fund corrections and other essential increasing the future employment prospects for services. Some states, such as Kansas and Texas, returning offenders. By working with the city’s have found money for substance abuse programs, mayor, the agency was able to secure a free parcel mental health treatment and community-based of land in an agreement to co-locate a county sanctions—services that have ultimately paid for facility and share costs for inmate transportation, themselves by avoiding the need to build costly new food service and other joint services. prisons. Despite such savings, these programs cost money up front that not all governors or legislatures have been willing to provide. In some cases, states have been successful in obtaining initial funding from alternative sources, continued on page 12 Ten Steps Corrections Directors Can Take to Strengthen Performance 9 How Governors and Legislators Can Help Strengthen Corrections Performance Governors and legislators are key players in setting corrections policy, investing in the right strategies, and overseeing agency performance. From establishing the right sentencing and release laws to aligning fiscal incentives and demanding accountability for performance, these elected officials can help shape the right framework to foster a high-performing correctional system. Here’s how. ■ Reevaluate Sentencing Laws. Prison populations in the past two decades have spiked for several reasons, but more stringent state sentencing and release laws are chief of among them. Mandatory minimums, truth-in-sentencing requirements and ■ Coordinate Agencies on Reducing Recidivism. tougher enforcement of parole and probation Corrections doesn’t exist in a vacuum. The best orders have made it more likely that felons will go strategies for reducing recidivism—and helping to to prison and stay there longer. Some states, such drive down victimization and prison costs—require a as Mississippi, Nevada and Maryland, have in the collaborative effort among multiple agencies. past year modified their laws to ensure that prison Leadership by a governor or legislature can make a cells are available for violent offenders while tremendous difference in persuading agencies to higher-quality supervision and services are available work together, especially those with different philosophies and cultures, such as law enforcement to lower-risk offenders in the community. and social service providers. Changing sentencing laws does not necessarily Oregon has established a “re-entry council” with mean cutting terms of incarceration; it can also mean reconsidering the types of commitment, representatives from corrections as well as especially for nonviolent offenders. Missouri, for employment, housing, law enforcement and the example, has recorded a 3 percent drop in its legislature to review policies on returning prisoners prison population, in part by mandating and coordinate services to cut the state’s 33 presentencing reports that may suggest that percent recidivism rate. Tennessee has established judges consider nonprison sanctions in low-risk the Tennessee Re-Entry Collaborative (TREC), with cases. At the same time, the state’s corrections representatives of a dozen state agencies and a department implemented community supervision similar number of nonprofits, coordinating services centers with drug treatment and education for released inmates. programs to help manage the diverted cases. ■ Align Local Fiscal Incentives with State Policy. Many states want to keep low-risk offenders out of expensive state-funded prison cells, but local courts often put these offenders in prison because they believe that probation and community corrections programs don’t provide sufficient supervision and 10 Ten Steps Corrections Directors Can Take to Strengthen Performance How Governors and Legislators Can Help Strengthen Corrections Performance services. When courts do put offenders on ■ Weigh the Cost/Benefit of Prison Construction. probation, caseloads grow but resources to manage Policy makers increasingly are recognizing that they them usually don’t keep pace. This further weakens can’t build their way to public safety. Before the courts’ confidence in community supervision and authorizing construction bonds for new prisons, they leads to even more imprisonment, both for new are taking a hard look at other options to hold crimes and technical violations of probation. offenders accountable and reduce crime. These Some states have found a way to get policy and who pose a real threat to public safety; that the include ensuring that prisons are holding offenders fiscal incentives in sync through Community parole release valve isn’t clogged by a lack of in- Corrections Acts and other state-local partnerships prison risk-reduction programs; and that lower-risk that award additional funding to counties to manage probation and parole violators face a graduated set low-risk offenders in the community. A recent of sanctions before being sent to prison cells. example is found in Kansas, where the state offered $4 million in grants to local community corrections Recently in Texas, for example, legislators worked programs that agreed to reduce their probation together with state auditors, corrections officials revocations by 20 percent. and the governor’s office to increase funding for drug treatment and diversion programs by over ■ Analyze Salary Structure for Corrections $200 million while also increasing the parole grant Officers. There is no question that some rate. Together, the steps cut an anticipated shortfall corrections officers are paid well, often because of 14,000-17,000 prison beds over the next five of the influence of powerful unions or ample years to a current projection of zero. overtime. On the whole, however, officers are woefully underpaid relative to their counterparts ■ Demand Accountability For Performance. in other state and county law enforcement Many states are developing sophisticated agencies—a factor that helps account for the performance measurement systems to hold agencies exceptionally high rates of vacancy and turnovers accountable and track the results of programs. States in the prison system. serious about getting a handle on their prison populations must look beyond simply measuring the To maximize retention of corrections officers, and safety of institutions, or even monitoring recidivism cut down on the expense and inefficiency of a rates, to pinpoint what really works. revolving door of new recruits, some states have undertaken comprehensive analysis of their salary States such as Maryland, Oregon and Washington structure. Georgia, for example, recently brought in are pioneering performance measures that track a private management consultant to evaluate specific positive outcomes such as inmates who salaries across state government to ensure that earn education certificates, get jobs upon release, corrections officers’ pay is in line with competing or overcome substance abuse. As part of their positions. The legislature also has given the statewide performance management systems, department authority to offer retention bonuses for these states also are evaluating the impact of positions in regions experiencing particularly high specific programs on recidivism rates. ■ rates of turnover because of competition from county corrections. Ten Steps Corrections Directors Can Take to Strengthen Performance 11 such as the federal government or grants from for example, the corrections department agreed to a private foundations. The trick is being able to budget cut in order to give funds to social service then show the effectiveness of programs in ways agencies to aid in community corrections efforts. that lead to ongoing funding from the state. Under the governor’s leadership, corrections gave Illinois, like many states, has been hard hit by an up funds to the Department of Health and Human increase in offenders incarcerated for Services for substance abuse treatment, and to the methamphetamine-related crimes. The state used Department of Public Safety to build more halfway a federal grant to implement a methamphetamine houses. The result benefitted all of those agencies— treatment program that state officials cite as one and was a departure from the usual approach of of the main contributors to a drop in recidivism for competing over a limited piece of the pie. “We are the first time in a decade. Because of its success, not interested in building an empire,” says the state began funding the program this year corrections CFO Karl Spiecker. “If we can fund despite a difficult financial climate. programs in other agencies that reduce our inmate population, that’s just good policy.” In another Federal and private dollars aren’t the only places to example, Iowa’s department has partnered with look to leverage money for programs. county jails to fund an in-jail substance abuse Collaborations among different agencies within a treatment program. It addresses the big increase in state also can help provide efficiencies. In Colorado, inmates sentenced for methamphetamine offenses (many of whom are females with non-violent histories), relieves overcrowding in the prisons, provides a revenue stream for underutilized county jails, and costs the state half as much per inmate ($30 per day compared to $60). 6 Develop partners to cut down on medical costs. Medical care is a leading contributor to rising inmate costs, and some prison systems have been slapped with lawsuits and resulting consent decrees because of the poor care they provide prisoners. While all state agencies face budget increases due to the increase in health insurance premiums, corrections departments are particularly hard hit because they provide care to thousands of offenders. Many inmates did not have adequate medical care before prison, or have special needs such as mental illness. And 12 Ten Steps Corrections Directors Can Take to Strengthen Performance with an increase in the length of sentences, the prison population has been aging, causing even Focus People on Performance greater increases in medical treatment costs. Thankfully, corrections departments don’t have to exist in a vacuum. Some states have been very successful at leveraging state-funded hospitals to help provide medical care. Kentucky and Connecticut, for example, have contracted out inmate medical services to their state universities, enabling them to get all of the benefits of a university hospital system while leveraging costs on medical procedures and taking advantage of purchasing power to cut the cost of drugs. Rhode Island, similarly, has been working on a mental health screening partnership with a local hospital. Even in corrections agencies that contract out for medical services, states can play a role. In Delaware, for example, the department has been working to overcome poor medical care that led to People form the living core of any organization, and nowhere is that more true than in state correctional systems. Given the challenges of an aging workforce, new expectations of younger workers and competition for top performers with the private and not-for-profit sectors, how a state deals with its employees is crucial to how well that state serves the public. During this year’s “Grading the States” analysis, the Government Performance Project team found a wealth of creative new approaches to helping public safety systems meet their goals. They ranged from performance incentives for facility managers to data-based reviews of compensation scales for corrections officers, as well as nonfinancial morale-boosters and comprehensive approaches to leadership development. a consent decree in 2006. One of the ways it has improved services is by partnering with the 7 Hold facility managers accountable. Delaware Medical Society to perform regular quality review of contractor services. “It’s a The 1990s-era turnaround in New York City’s fight significant benefit to the state,” says Commissioner on crime arguably began with the implementation Carl Danberg. “They provide a high level of of the Compstat system, a process by which expertise, and it is not costing the state a penny.” officials kept meticulous track of statistics, identified trends and held precinct captains In addition to working with other agencies within responsible in departmentwide meetings, where a state, some states are banding together to they were publicly called to account for their leverage the economies of scale that come with progress. Some corrections officials have led the strength in numbers. North Carolina and way in applying a similar approach to prison Minnesota, for example, have banded together management. After all, the best system of in a multi-state consortium to make bulk performance measurement is useless without purchases of pharmaceuticals, negotiating lower some mechanism to ensure that managers are costs for drugs and positively impacting the held accountable for progress toward the set bottom line of each state. goals. While many agency officials will say they Ten Steps Corrections Directors Can Take to Strengthen Performance 13 hold meetings with facility managers, there is a Because offenders often move through several big difference between doing so on an ad-hoc institutions while in the prison system, it’s not basis and implementing a more formal, regularly easy to tie recidivism rates to one institution— scheduled process. much less one manager. Even so, some corrections directors are working toward pay for The best example is in Maryland, where the state performance systems that tie facility managers’ recently has implemented a StateStat system that is performance back to their annual reviews. Iowa directly inspired by Compstat. The crux of the has instituted performance evaluations for system consists of small StateStat teams that have wardens that include several factors that affect been systematically analyzing performance recidivism rates, including the percentage of information from state agencies. Several times, the medium- and high-risk offenders receiving agency has had live audits in which officials from evidence-based interventions, the percentage across the state identify trends and come up with whose risk-assessment levels drop significantly strategies to improve performance. and the percentage who return to prison within three years. “Our focus is not just on Where no statewide system is in place, some recidivism,” says Human Resources Director corrections agencies are developing their own Mary Murray, “but also on how we can help internal methods to keep managers accountable. offenders while we have them.” After collating the data from its “smart phone” incident reporting system, Indiana conducts quarterly meetings at each facility to review 8 Pay for security staff on the front end. incident trends face to face. In South Dakota, There is no question that corrections officers have the department holds monthly “metrics very difficult jobs. In some states they are fairly well meetings,” in which data is compiled into a compensated for the daily risks they face at work. briefing report given by the director and key Still, in far too many cases, they are paid much less managers, and managers are held accountable than other state and local law enforcement officers for progress toward targeted goals. Georgia and private security guards. The low pay can lead produces a monthly report that has to crippling rates of vacancy and turnover for comprehensive statistics for each facility on corrections officers, impairing all agency functions. incidents as well as program completion rates, so top managers can hold wardens accountable by For these reasons, Michigan has consistently paid name for their progress. corrections officers at a higher rate than many states, including some neighboring states, despite 14 Some states are going beyond holding facility facing severe budget problems. In spite of managers accountable at meetings providing increasing pressure from some legislators, the financial incentives based on the performance agency has held fast on salaries and defended the of their institutions and the recidivism rates for union that is responsible for negotiating the inmates who leave them. The practice is tricky: salaries and benefits of its officers. Ten Steps Corrections Directors Can Take to Strengthen Performance Says MDOC Director Patricia Caruso, who is unapologetic about the pay scale for her officers: “I need to have corrections officers who look at this as a career, who have been here long enough to see pretty much anything that can happen and know how to respond to it. That saves lives. When you pay corrections officers as if they work at the local fast food joint you don’t get that. You get a revolving door of inexperienced staff and a dangerous prison system where the prisoners are in control.” And if she gets any pushback, she points to the example of a former private prison in the state that didn’t compensate officers well. Turnover ranged as high as 75 percent, even in one of the poorest counties in the state. used that study to secure a commitment from the legislature for a $5,000 raise over the next three In past years several other states, including years. (As it turns out, only $2,000 of it went Delaware, Louisiana, North Dakota, Vermont, through this year, and it did not cover the most Virginia and West Virginia, have pushed through recent, most underpaid hires, a situation that the raises for corrections officers to bring them more in department hopes to rectify in the future.) line with the private sector and other law enforcement agencies. Delaware, for example, pushed through an 18 percent raise for corrections 9 Find nonfinancial ways to improve employee morale. officers in 2006. Since then, the vacancy rate has fallen to its lowest level in five years. Despite the importance of salary to employees, money isn’t everything. The flip side of the In some states, corrections department directors compensation debate is that corrections officials have played a role in demonstrating to the sometimes miss the other quality-of-life factors that legislature how shortchanging officers is “penny can go a long way toward increasing employee wise, and pound foolish.” Their argument is that happiness and decreasing turnover. States such as high vacancy rates can lead to increased spending Virginia, Pennsylvania, Connecticut and on overtime, while high turnover can boost Arkansas are formalizing this process with recruiting and training costs. systematic culture assessments in institutions to identify the little things that can make a big In West Virginia, for example, the agency difference in employee satisfaction. “We believe produced a salary study that demonstrated the that money, while important, is not a satisfier,” says real costs of high turnover, which it estimated at Virginia Department of Corrections’ (VDOC) $20,000 per new hire for recruiting and training. It Human Resources Director Paul Broughton. Ten Steps Corrections Directors Can Take to Strengthen Performance 15 “People connect with their jobs because they find address morale at that institution by offering real them a rewarding place to work.” perks that are important to employees. These range from tuition benefits for higher education to prime During the past several years, a team from parking spaces for employees of the month. In VDOC’s HR staff has gone to facilities to pick addition, the department has subsidized employee employees’ brains about changes that could housing to tackle high housing costs—and has even improve their workplace. In one facility, for entered the day care business, subsidizing local example, the team received information that the child care centers in exchange for lower fees for radios were constantly on the blink, causing employees. Most importantly, it has formed a untold frustrations for staff. Replacing radios was committee to monitor employee satisfaction. relatively easy. Crucially, however, the team went Recent results are encouraging. On a recent survey back a year later for a follow-up visit, and found with a scale of 0 to 7, most employees rated their that staff were again unhappy—this time because work experience between 5 and 6. the radios were working too well, and there was too much cross-chatter on the system. New protocols were developed to deal with the issue and morale improved. 10 Develop new leaders. State governments face a deluge of retirements by baby boomers over the next several years. In As that example shows, follow-ups to an initial corrections, this is already happening. Upper assessment are vital. Pennsylvania has changed its managers who were hired during the prison employee assessment program to include follow- building boom in the 1980s and 1990s are starting ups, and the state also has guaranteed anonymity to retire, encouraged by a lower retirement age to staff to ensure that they speak up. than officials in other state agencies. For that reason, every state corrections agency must make This focus on morale boosting is even more preparing the next generation of leaders a high essential in states where tight budgets prohibit priority. Even lower-level managers can benefit from adequate raises. For example, in some states the an increased focus on leadership development. In employee benefit structure is so costly that the exit surveys, employees often cite their relationship legislature may balk at raising salaries because of with their supervisor as the number one reason that the long-term costs to the state. In others, they leave, suggesting that a good leader can competing industries may pay so much that it’s mitigate problems an employee might have with impossible for corrections to keep pace. Such is the compensation or work environment. case in Wyoming, where entry-level jobs in the oil 16 and gas industry pay workers $60,000, compared to Although corrections departments often have $30,000 for a corrections officer at its main prison— rigorous training academies for officers and other which is located near the oil and gas fields. To employees, one area rarely emphasized is tackle the issue head on, Wyoming’s Department of leadership development. One outgoing Corrections has produced a “master plan” to corrections director affectionately refers to his Ten Steps Corrections Directors Can Take to Strengthen Performance agency’s leadership development program as National Institute of Corrections (NIC). Delaware’s “promote and pray.” Another says, “We either corrections department recently reached out to NIC sink or swim on our own. We either survive or we for help designing a supervisor training program for don’t.” Even in states with interagency leadership 30 middle managers. The department also enrolled academies, it’s important that agencies develop four senior managers in the program so that they their own programs to tackle the unique could institutionalize it within the department. challenges of managing and motivating employees in the high-stress prison environment. While leadership development is part of the solution to succession planning, it’s not the only Some states are developing excellent programs element. Some states are doing even more to that address all levels of agency management. prepare employees for future leadership. In Arkansas, for example, recently implemented Louisiana, for example, some positions are individualized development plans for each double-booked for a period of time before the employee, a career blueprint that includes financial current manager retires, so that the incoming incentives for meeting requirements for manager can learn on the job while the outgoing promotions. The crux of the system is a four-level boss is still in place. In Connecticut, the management training program with myriad corrections department has collaborated with elements to groom future leaders, including job other state agencies to develop a true shadowing, mentoring and educational incentives; knowledge management system. Departing manager candidates must also tackle a real, officials are invited to record videotapes pressing issue in the department. Programs in explaining their jobs and accumulated other states such as Oklahoma and Connecticut experience, which are then archived on the include a 360-degree assessment of managers to company intranet system to serve as a training determine gaps in their competencies, which are tool and resource for future employees. then addressed through formal classes and mentoring. In Nebraska, the leadership development program has a strong job shadowing component, where leadership candidates spend several hours a week working alongside superiors to learn the ins and outs of their jobs. Oregon offers job rotations to allow employees to work six months to a year in another department or even another state agency to gain additional experience. While the best leadership development programs have at least some elements in-house, some agencies also have benefited from programs run by national corrections organizations, such as the Ten Steps Corrections Directors Can Take to Strengthen Performance 17 Better Management, Stronger Institutions, Safer Communities In the end, there is no magic bullet for fixing the nation’s burgeoning prison crisis, which has been decades in the making. Each state has unique challenges and must develop its own strategy to best address its prison system in accordance with its particular political and criminal justice landscape. These 10 action steps, however, are not only rooted in sound management theory, they have been proven effective by states that have used them in a real-world corrections environment. By following the examples set by pioneering states and adapting these practices to their own circumstances, states can build upon the successes of others. What are the potential results? Better-run and more cost-efficient institutions, a more satisfied workforce and safer communities. 18 Ten Steps Corrections Directors Can Take to Strengthen Performance How We Graded the States: Inside the Government Performance Project The Government Performance Project’s Grading the States 2008 report, developed in partnership with Governing magazine, is a vital component of Pew’s efforts to foster effective solutions to some of America’s most pressing challenges—including corrections policy, which was a particular focus of the 2008 analysis. The report examines and measures four key areas—people, information, money and infrastructure—that are critical to ensuring that states deliver results. This year, the report’s findings were drawn from extensive interviews and surveys of state-level managers and opinion leaders. To evaluate state performance in information management, the Government Performance Project team examined how well state officials deploy technology and the information it produces. The team examined how information is used to measure the resource effectiveness and results produced by state programs, make budget and other management decisions, and communicate with one another as well as with the public. To assess how well a state is managing its infrastructure, the Government Performance Project Team factored in the degree to which a state has transparent and effective capital planning and project monitoring processes, maintains its assets, and coordinates this work within the state and with other jurisdictions. To gauge how well a state is functioning in the money category, the Government Performance Project team evaluated the degree to which a state takes a long-term perspective on fiscal matters, the timeliness and transparency of the budget process, the balance between revenues and expenditures, and the effectiveness of a state’s contracting, purchasing, financial controls and reporting mechanisms. To assess state performance in the category on people, the Government Performance Project team examined how well a state manages its employees. Among many other factors, the team reviewed how state human resource systems handle hiring, retaining, developing and rewarding highperforming employees. Ten Steps Corrections Directors Can Take to Strengthen Performance 19 The Pew Charitable Trusts applies the power of knowledge to solve today’s most challenging problems. Pew’s Center on the States identifies and advances effective policy approaches to critical issues facing states. The Public Safety Performance Project and the Government Performance Projects are initiatives of the Center. The Public Safety Performance Project helps states advance fiscally sound, data-driven policies and practices in sentencing and corrections that protect public safety, hold offenders accountable, and control corrections costs. The Government Performance Project improves service to the public by strengthening government policy and performance. The Project evaluates how well states manage employees, budgets and finance, information and infrastructure. A focus on these critical areas helps ensure that states’ policy decisions and practices actually deliver their intended outcomes. www.pewcenteronthestates.org