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

i

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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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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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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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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


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


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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


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


Data Integrity

Consistent Reporting Establish definitions Reporting mechanisms Quarterly & Annual reports Incident reporting

Ongoing

FY ‘09


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


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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Documents

2008-2012 STRATEGIC PLAN - Iowa