Description
The Commissioner of the Department of Correction (DOC) established a working group to clearly articulate the strategy for managing offenders based on evidence based practices related to risk and needs assessments. The goal is to enhance public safety by implementing a system that assesses the risk and needs of each offender, assigns management and supervision requirements of offenders, and targets the needs of offenders through evidence based programs and interventions.
1
State of Connecticut
Criminal Justice Risk Assessment Strategy
Department of Correction
Judicial Branch-Court Support Services Division
Board of Pardons and Paroles
January 1, 2009
State of Connecticut
Risk Assessment Strategy
2
Table of Contents
Acknowledgements......................................................................................................................... 3
Executive Summary........................................................................................................................ 3
Introduction..................................................................................................................................... 4
History............................................................................................................................................ 4
The Assessment Process and Instruments....................................................................................... 5
The Assessment Process at the Board of Pardons and Paroles....................................................... 7
The Assessment Process in the Community................................................................................... 8
Next Steps..................................................................................................................................... 10
Summary....................................................................................................................................... 11
Appendix....................................................................................................................................... 12
State of Connecticut
Risk Assessment Strategy
3
Acknowledgements
The following staff is acknowledged for their significant contribution to the development of this
Risk Assessment Strategy report:
• Department of Correction
• Theresa Lantz, Commissioner
• Randy Braren, Director of Parole and Community Services
• Edward Kendall, Parole Manager
• Dennis Linder, Parole Manager
• Fred Levesque, Director of Offender Classification & Population Management
• Patrick Hynes, Director of Program Development
• Dan Bannish, Acting Director of Health Services
• Cheryl Cepelak, Director of Organizational Development
• J udicial Branch, Court Support Services Division
• Thomas White, Director of Operations
• Board of Pardons and Paroles
• Richard Sparaco, Parole Manager
Executive Summary
To meet compliance with PA08-01, the Commissioner of the Department of Correction (DOC)
established a working group to clearly articulate the strategy for managing offenders based on
evidence based practices related to risk and needs assessments. The goal is to enhance public
safety by implementing a system that assesses the risk and needs of each offender, assigns
management and supervision requirements of offenders, and targets the needs of offenders
through evidence based programs and interventions. This process is imbedded in the DOC
Offender Management Plan (OMP) (Appendix A), and the vehicle utilized with the offender is
the Offender Accountability Plan (OAP) (Appendix B). The intended result is a reduction in
recidivism and engagement of the offender in productive and responsible citizenship.
Other key areas identified as necessary components of the strategy include effective resources
allocation, offender reentry services, strategic planning, and strong collaboration among the
DOC, the J udicial Branch Court Support Services Division (CSSD) and the Board of Pardons
and Paroles (BOPP).
State of Connecticut
Risk Assessment Strategy
4
Introduction
The State of Connecticut recognizes the relevance of integrating a risk assessment strategy into
the process of guiding an offender through the criminal justice system. With the objective of
implementing a continuum of supervision and intervention model which transitions an offender
from incarceration through community reintegration, it is clear that points of contact through
assessments provides essential information on the offender for enhancing public safety and
reinforcing productive community membership.
History
Public Act 08-1 requires the DOC, CSSD and BOPP to collaborate on a risk assessment strategy
that will accomplish the following:
• Utilize a risk assessment that accurately rates an offender’s likelihood to recidivate
upon release from custody
• Identify the support programs that will best position the offender for successful re-
entry into the community
Through the Office of Policy and Management (OPM), Criminal J ustice Policy & Planning
Division (CJ PPD), this strategy will be regularly reviewed in conjunction with the Monthly
Indicators Report and recidivism studies.
State of Connecticut
Risk Assessment Strategy
5
The Assessment Process and Instruments
The following information highlights the assessment process in the DOC Classification Manual,
Assessment Manual (Appendix C), and the Offender Management Plan. When an offender is
sentenced to a term over 2 years, the male offender is admitted to the MacDougall-Walker
Correctional Institution to begin the 10-day assessment process. Female offenders are admitted
to the York Correctional Institution and undergo a gender responsive and trauma informed
assessment process at that facility. Male youths under the age of 18 have their youth specific
assessment process administered at the Manson Youth Institution. Those offenders sentenced to
less than two years are assessed and assigned programs as detailed in the OAP (Appendix B).
The following assessment instruments are utilized for purposes of risk, program needs and
interventions, classification, development of the Offender Accountability Plan, facility
assignment and discharge planning.
I. Target High Risk Offenders
To assess offender risk level and target offenders who pose the highest risk for re-offending, the
first assessment instrument administered to offenders is:
• Treatment and Programs Assessment Instrument (TPAI)
The TPAI purpose is to target high-risk offenders and provide a simple way to identify
offenders with different levels of risk to recidivate. It is anticipated that this will produce
a list of about 10-15% of the population with the lowest relative risk. The
recommendation would be that individuals in this group be considered presumptive
candidates for community release at the earliest time possible. Based on the risk
principle, they will not need to be assigned to core programs as detailed in the OAP
(Appendix B).
The assessment tool could have an immediate impact in that those with the lowest risk
scores would not be assigned to programs and services, thus efficiently allocating limited
resources to those with high risk and need for intervention. A retrospective study will be
conducted to test how well this instrument predicts recidivism.
II. Assess Criminogenic Needs
There are problem areas that drive an offender’s risk of recidivating. These problem areas are
identified through the administration of evidence-based assessment instruments, which target
substance abuse, criminal thinking, impulse control / violence, education and vocational needs,
problem sexual behaviors and mental health needs, among others.
The following assessments are administered at the MacDougall-Walker CI Assessment Unit and
are used to assign programs to address criminogenic needs:
State of Connecticut
Risk Assessment Strategy
6
• The Addiction Severity Index (ASI) is used to identify the severity of substance abuse
problems and determine the level of treatment required.
• The Criminal Sentiments Scale (CSS) is in the process of implementation and will
assess the extent of criminal thinking, and be the basis for assignment to the cognitive
behavioral Thinking for a Change program.
• In conjunction with the CSS, the Hostile Interpretations Questionnaire (HIQ) will be
implemented to assess the propensity for impulsivity and violence. This assessment will
be used to assign individuals to participate in the Anger Management program.
• Sex Offender screening is done with the Static-99 and Vermont Assessment of Sex
Offender Risk (VASOR) instruments. The Static-99 is used to measure the risk of
sexual behaviors. VASOR is used with high-risk offenders to identify the propensity for
violent sexual offending. Both assessments will determine the level of treatment needed.
• Unified School District #1 (USD#1), a state vested school district within the Department
of Correction (DOC), administers academic and vocational assessments to include: an
educational interview, a screening of general intelligence, assessment of academic
proficiency levels, and aptitude and work skill levels. In addition to being used for
appropriate educational placement, these assessments serve as a foundation for
determining an individual’s education and literacy proficiency to enhance further
program participation.
III. Develop Offender Accountability Plan
The Offender Accountability Plan (OAP) is a prescribed and formal intervention process based
on moderate to high need areas identified through assessment results. This process drives the
development of a plan that follows an offender through the incarceration period and into the
community. It includes both behavioral and programmatic expectations of the offender.
State of Connecticut
Risk Assessment Strategy
7
The Assessment Process at the Board of Pardons and Paroles
Statutory Guidance
Sec. 54-125a. (a) “A person…may be allowed to go at large on parole in the discretion of the
panel of the Board of Parole…if (1) it appears…that there is reasonable probability the such
inmate will live and remain at liberty without violating the law, and (2) such release is not
incompatible with the welfare of society.”
Board Mission
The Connecticut Board of Parole is committed to protecting the public by making responsible
decisions. Decisions are based primarily on the likelihood that offenders will remain at liberty,
under supervision, without violating the law.
Connecticut Salient Factor Score (CTSFS99).
The CTSFS is an objective risk assessment instrument based on a review of available
information relative to recidivism. It was designed to assist then Board of Parole (now the Board
of Pardons and Paroles) in predicting an offender’s likelihood of violent or other serious
recidivism. This behavior is defined as any of the following actions during a three-year follow-
up period:
• A new conviction for a violent offense
• A new conviction for any offense that results in a sentence of imprisonment of more than one
year
• Any return of an offender from the community for a period of 60 days or more
The original Salient Factor Score was developed and validated by the U.S. Parole Commission in
1972. This tool estimated “group probabilities” of recidivism. The Connecticut Board of Parole
began the Salient Factor Score in 1998 after validating the federal model on the Connecticut
population. This sample consisted of inmates released from Connecticut’s prisons in 1991. The
findings of this study were used as the foundation for the creation of the CTSFS. In 1999 a fifth
factor was added, violence, resulting in the creation of the CTSFS99. The current risk
assessment consists of:
• Prior Commitments of 60 Days or More
• Age at Commencement of Current Offense
• Recent Commitment Free Period
• Prior Court-Imposed Terms of Imprisonment of More than One Year
• Violence
Central Connecticut State University Department of Criminology and Criminal J ustice Center
(SAC) conducted a re-validation of the CTSFS in April of 2007. Their findings supported the
earlier conclusion that the CTSFS99 is predictive of recidivism, but are limited. They
recommend scoring changes to the CTSFS99 and also strongly recommend that the Connecticut
Board of Pardons and Paroles look at more recent trends in risk assessment instruments in order
State of Connecticut
Risk Assessment Strategy
8
to have an instrument that may better suit its needs. The following excerpt is taken from that
2007 study:
The Salient Factor Scores (SFS) are an example of a second-generation risk assessment. The
SFS is primarily composed of criminal (e.g. number of convictions) type variables with only one
socio-demographic variable (age at time of current offense). These types of risk assessments can
be useful for classification purposes but have very limited availability in assisting in effective
treatment planning and ongoing evaluation of offenders (Simourd, 2004).
Lastly, it was recommended that Board of Pardons and Paroles consider looking into empirical
based instruments that include both static and dynamic factors such as The Level of Service
Inventory – Revised (LSI-R).
After passage of PA 08-01, the Board began to look into the feasibility of utilizing the LSI-R at
the front end of the system in place of the Salient Factor Score. This was primarily based on the
fact that the Court Support Services Division of the J udicial Branch currently used the LSI-R and
had validated it on the Connecticut probation population. Additionally, the Parole and
Community Services Division of the DOC began implementation of the LSI-R in determining
appropriate levels of supervision for parolees.
BOPP was involved with the DOC workgroup for the implementation of the TPAI. The Board is
currently awaiting the results of the retrospective study of the TPAI as a measure of recidivism.
Additionally, the Board is looking into the possibility of using the static factors of the LSI-R for
the decision-making process. It is believed that the latter may offer optimal results given that
data already gathered by CSSD could be updated on clients who subsequently are committed to
the DOC and apply for parole. Information could then be then passed along to the DOC Parole
and Community Services Division for update. Since the goal is to utilize a risk assessment tool
that accurately rates an offender’s likelihood to recidivate upon release from custody, a modified
version of the LSI-R may be a viable solution for consideration.
The Assessment Process in the Community
Selection and Description
Following consultation with experts from the National Institute of Corrections, the DOC selected
the Level of Service Inventory-Revised (LSI-R) and the Adult Substance Use Survey-Revised
(ASUS-R) as the principle assessment tools for the Parole and Community Services Division.
The LSI-R is a comprehensive, evidence-based tool used in many community corrections
systems throughout the United States and Canada. CSSD and many contracted non-profit
providers also use it in Connecticut.
The LSI-R, used in conjunction with the ASUS-R, will provide parole officers with a more
accurate assessment of not only risk to re-offend, but also how to mitigate that risk by identifying
and addressing an individual’s primary criminogenic needs.
State of Connecticut
Risk Assessment Strategy
9
Policy and Implementation
Utilization of these new assessment tools has required policy development and revisions in the
following areas of the Division’s Field Operations Manual:
• Release Planning
• Levels of Supervision
• Case Management Plans
These assessment tools (LSI-R and ASUS-R) are now being conducted by parole officers on all
new releases who will have at least six months of community supervision, with case plans that
incorporate parole conditions, targeted interventions and appropriate levels of supervision.
System Coordination
DOC is committed to sharing results of these assessments with key system partners:
• Service Providers
• As offenders are referred to various community-based services (substance abuse,
family counseling, etc.)
• CSSD
• As offenders complete DOC supervision and transition to probation
• BOPP
• In the event that offenders are returned to custody for revocation and further release
consideration
State of Connecticut
Risk Assessment Strategy
10
Next Steps
I. Assessments
1. Implement the Criminal Sentiments Scale (CSS) and the Hostile Interpretation
Questionnaire (HIQ) assessments
2. Enhance trauma informed, gender responsive and youth specific assessments and
programs at York Correctional Institution and Manson Youth Institution
II. Vocational Training / Employment
1. Implement a strategic plan for Unified School District #1 (USD1) regarding vocational
training to employment services
2. Continue collaborative efforts with the Department of Labor (DOL) through the CT
Works sites, further enhancing the efforts to guide the offender population toward gainful
and stable employment
3. Establish relationships with the Chambers of Commerce to target employment efforts
III. Collaborations
1. Build necessary linkages between DOC, BOPP and CSSD to ensure information sharing
through the assessment process
IV. Research and Evaluation
1. Develop an overall evaluation and quality assurance component that assesses the
effectiveness of this Risk Assessment Strategy in collaboration with CJ PPD
State of Connecticut
Risk Assessment Strategy
11
Summary
The Department of Correction, Board of Pardons and Paroles and the J udicial Court Support
Services Division are committed to the successful application, integration and evaluation of the
components of this strategy. As outlined in this report, the agencies are administering risk
assessments and addressing criminogenic needs. By appropriately addressing both, public safety
is enhanced and recidivism reduced.
State of Connecticut
Risk Assessment Strategy
12
Appendix
A. Department of Correction, Offender Management Plan; Administrative Directive 10.7http://www.ct.gov/doc/lib/doc/pdf/offendermanagementplan.pdf
B. Department of Correction, Offender Accountability Plan Manualhttp://www.ct.gov/doc/lib/doc/pdf/offenderAccountabilityplan.pdf
C. Department of Correction, Offender Classification & Population Management, Assessment
Manualhttp://www.ct.gov/doc/lib/doc/PDF/PDFReport/AssessmentManual.pdf
D. Department of Correction, Offender Classification Manualhttp://www.ct.gov/doc/lib/doc/PDF/PDFReport/ClassificationManualLibraryCopy.pdf
E. “Adult Male Assessment & Offender Accountability Model” (document attached)
F. York Correctional Institution Assessment Process (page 13)
G. Manson Youth Institution Assessment Process (page 16)
State of Connecticut
Risk Assessment Strategy
13
York Correctional Institution Assessment Process
Inmate Orientation
The J anet S. York Correctional Institution is a Direct Intake Facility for all women (as young as
age 14) incarcerated in the state of Connecticut. Inmate Orientation is conducted daily at YCI for
all offenders that have been received. (Youthful Offenders are referred to the facility’s
multidisciplinary team specializing in the unique needs of adolescent women). YCI is in
compliance with the requirements in AD 10.12. (Inmate Orientation) We show all of the videos
to include a new PREA video for women. Procedurally, it is notable that female correction
officers conduct all strip searches and all correctional staff are annually trained in gender specific
mental health information with particular regard to the orientation process.
Additionally, Department of Children and Family contacts are made, as are necessary referrals
for the care of children. A DCF Ombudsman is on site and reviews all new admissions to ensure
continuity of care for incarcerated youth as well as children of incarcerated mothers.
The J anet S. York Correctional Institution provides gender-specific, trauma-informed
comprehensive care for the offenders housed at YCI. Female offenders have different needs in
adapting to prison. The care that is provided at YCI reflects the unique, intrinsically different
needs of female offenders. The following services and procedures are in place upon intake to
address these needs.
Components of the Inmate Orientation/Assessment also include participation from several other
Departments at YCI. A committee has also been recently formed to explore the implementation
of a Gender Responsive Classification System. Below is a summary of the Assessment Tools
that are utilized at YCII for our unique population:
Education Department
General Education Testing:
• TABE (Test of Adult Basic Education) ~Assessment, placement & Promotion
o 9/10 Survey - Level M (moderate) or E (easy) Assessment & Placement
o 9/10 Survey Full Battery Level E, M or D (difficult) level appropriates
• ECS (Employability Competency System) ~Required component for CARS public
school information database
• Pre-GED ~GED readiness
• GED ~HS Diploma based Standardized Test (National)
State of Connecticut
Risk Assessment Strategy
14
Special Education Students Only:
• WISC (Wechsler Intelligence Scale for Children) ~IQ Score
• WIAT (Wechsler Individual Achievement Test) ~Academic skills
• Woodcock-J ohnson ~IQ & Achievement testing
• BASC (Behavioral Assessment System for children) ~Questionnaire distributed to
specific member of the Team including student
Vocational Assessment:
• Career Scope
Mental Health
The Mental Health Unit administers the following assessment tools in order to vet the women’s
needs and ensure they are engaged in the most appropriate programs:
a. Wechsler Adult Intelligence Scale 3rd edition (WAIS-III)
b. Visual Motor Gestalt Test
c. The Neurobehavioral Cognitive Status Examination (COGNISTAT)
d. Slosson Oral Reading Test (SORT-R3)
e. Trail Making Test
f. Beck Depression Inventory (BDI)
g. Thematic Apperception Test(TAT)
h. Minnesota Multiphasic Personality Inventory 2 (MMPI-2)
i. Structured Interview of Reported Symptoms(SIRS)
j. Rorschach Test
k. Vineland Adaptive Rating Scale
l. Traumatic Events Screening Inventory-Adult Screening(TESIA-Adult
m. Version)
n. PTSD Checklist - Civilian Interview (PCL-C)
o. Stress Reactions Checklist for DESNOS
Referrals are then made upon intake to gender specific programs to include:
• TARGET
• Parenting Groups
• Survivors of Sexual Assault
Additionally, all reports of sexual assault include referrals to medical and mental health services;
Brief individual counseling is provided by Clinical Social Workers to address adjustment needs;
Assessment Units provide gender specific, relational-oriented adjustment groups (“Sisters
State of Connecticut
Risk Assessment Strategy
15
Standing Strong”) facilitated by a Clinical Social Worker and selected peer mentors and psycho-
educational handouts reflective of female needs are provided.
Medical
The medical intake process/assessment includes the requisite intake physical, and public health
screening provided to the adult male population, however, the YCI medical staff also provides
Obstetrics and Gynecology services; pregnancy testing, a SAMSHA Accredited Methadone
Maintenance program for pregnant women as well as continuity of care for individuals involved
in Methadone Maintenance programs in the community who are maintained for appropriate
tapering of doses. YCI also acquires consent to treat from the legal guardian for those under the
age of 17.
Addiction Services
At YCI we utilize the A.S.I. (Addiction Severity Index) to assess the appropriate treatment score
for the initial assessment.
In Addition, YCI incorporates trauma sensitive, gender responsive, developmentally appropriate
programs such as Covington and Bloom’s “Beyond Trauma” and “Young Women’s Lives” to its
addiction services program components.
Initial Assessment (Classification)
No unique instruments utilized for the IN process.
State of Connecticut
Risk Assessment Strategy
16
Manson Youth Institution Assessment Process
Inmate Orientation
Manson Youth Institution (MYI) is a Direct Intake Facility for male offenders ages 14-20.
Inmate Orientation is conducted daily at MYI for all offenders that have been admitted. MYI is
in compliance with the requirements in Administrative Directive 10.12 Inmate Orientation
(www.ct.gov/doc). An additional orientation video presented is the new Prison Rape Elimination
Act (PREA) video for J uvenile Dentition facilities called ‘Keeping our Kids Safe”. MYI has
also introduced a facility specific video in “kid language” to review important information that
those who are non-readers may not be able to learn from the Inmate Handbook. In addition, great
care is taken when assessing the offender’s readiness to enter general population through an
assessment interview after the 14 days in the Orientation Unit.
Components of the Inmate Orientation/Assessment also include participation from several other
program areas and services at MYI. Below is a summary of the Assessment Tools that are
utilized at MYI for this special population:
Education Department
General Education Testing:
• TABE (Test of Adult Basic Education) ~Assessment, placement & Promotion
o 9/10 Survey - Level M (moderate) or E (easy) Assessment & Placement
o 9/10 Survey Full Battery Level E, M or D (difficult) level appropriates
• ECS (Employability Competency System) ~Required component for CARS public
school information database
• Pre-GED ~GED readiness
• GED ~HS Diploma based Standardized Test (National)
Special Education Students Only:
• WISC (Wechsler Intelligence Scale for Children) ~IQ Score
• WIAT (Wechsler Individual Achievement Test) ~Academic skills
• Woodcock-J ohnson ~IQ & Achievement testing
• BASC (Behavioral Assessment System for children) ~Questionnaire distributed to
specific member of the Team including student.
State of Connecticut
Risk Assessment Strategy
17
Vocational Assessment:
• Career Scope
Mental Health
Great emphasis is spent on obtaining collateral information from multiple and potential sources
of information including parents/caregivers, previous community treatment providers,
Department of Children and Families, past and present school involvement, etc.
a. ADHD Rating Scale-IV
b. Inventory of Callous and Undifferent (ICU) re: Conduct Disorder
c. Mood Disorder Questionnaire (MDQ) Bipolar Disorder Screen
d. Quick Inventory of Depressive Symptoms (QIDS)
e. Beck Depression Inventory (BDI)
f. Dissociate Experiences Scale-Adolescent Version
g. Hamilton Anxiety Rating Scale
h. Overt Aggression Rating Scale-Modified
i. Minnesota Multiphasic Personality Inventory-Adolescent (MMPI-A)
Medical
The medical intake process/assessment is no different than the process we use with the adult
population, with the exception of requesting consent to treat from the legal guardian for those
under the age of 17. Otherwise, screening questions may be tailored to accommodate age
appropriate, gender responsive, and culturally sensitive issues.
Addiction Services
• The T.A.S.I. (Teen Addiction Severity Index) is used to assess the appropriate treatment
score for the initial assessment.
• In Addition, MYI has recently introduced the ‘matrix” program as part of a revised youth
specific Evidence Based Curriculum to address teenage substance abuse.
doc_780578594.pdf
The Commissioner of the Department of Correction (DOC) established a working group to clearly articulate the strategy for managing offenders based on evidence based practices related to risk and needs assessments. The goal is to enhance public safety by implementing a system that assesses the risk and needs of each offender, assigns management and supervision requirements of offenders, and targets the needs of offenders through evidence based programs and interventions.
1
State of Connecticut
Criminal Justice Risk Assessment Strategy
Department of Correction
Judicial Branch-Court Support Services Division
Board of Pardons and Paroles
January 1, 2009
State of Connecticut
Risk Assessment Strategy
2
Table of Contents
Acknowledgements......................................................................................................................... 3
Executive Summary........................................................................................................................ 3
Introduction..................................................................................................................................... 4
History............................................................................................................................................ 4
The Assessment Process and Instruments....................................................................................... 5
The Assessment Process at the Board of Pardons and Paroles....................................................... 7
The Assessment Process in the Community................................................................................... 8
Next Steps..................................................................................................................................... 10
Summary....................................................................................................................................... 11
Appendix....................................................................................................................................... 12
State of Connecticut
Risk Assessment Strategy
3
Acknowledgements
The following staff is acknowledged for their significant contribution to the development of this
Risk Assessment Strategy report:
• Department of Correction
• Theresa Lantz, Commissioner
• Randy Braren, Director of Parole and Community Services
• Edward Kendall, Parole Manager
• Dennis Linder, Parole Manager
• Fred Levesque, Director of Offender Classification & Population Management
• Patrick Hynes, Director of Program Development
• Dan Bannish, Acting Director of Health Services
• Cheryl Cepelak, Director of Organizational Development
• J udicial Branch, Court Support Services Division
• Thomas White, Director of Operations
• Board of Pardons and Paroles
• Richard Sparaco, Parole Manager
Executive Summary
To meet compliance with PA08-01, the Commissioner of the Department of Correction (DOC)
established a working group to clearly articulate the strategy for managing offenders based on
evidence based practices related to risk and needs assessments. The goal is to enhance public
safety by implementing a system that assesses the risk and needs of each offender, assigns
management and supervision requirements of offenders, and targets the needs of offenders
through evidence based programs and interventions. This process is imbedded in the DOC
Offender Management Plan (OMP) (Appendix A), and the vehicle utilized with the offender is
the Offender Accountability Plan (OAP) (Appendix B). The intended result is a reduction in
recidivism and engagement of the offender in productive and responsible citizenship.
Other key areas identified as necessary components of the strategy include effective resources
allocation, offender reentry services, strategic planning, and strong collaboration among the
DOC, the J udicial Branch Court Support Services Division (CSSD) and the Board of Pardons
and Paroles (BOPP).
State of Connecticut
Risk Assessment Strategy
4
Introduction
The State of Connecticut recognizes the relevance of integrating a risk assessment strategy into
the process of guiding an offender through the criminal justice system. With the objective of
implementing a continuum of supervision and intervention model which transitions an offender
from incarceration through community reintegration, it is clear that points of contact through
assessments provides essential information on the offender for enhancing public safety and
reinforcing productive community membership.
History
Public Act 08-1 requires the DOC, CSSD and BOPP to collaborate on a risk assessment strategy
that will accomplish the following:
• Utilize a risk assessment that accurately rates an offender’s likelihood to recidivate
upon release from custody
• Identify the support programs that will best position the offender for successful re-
entry into the community
Through the Office of Policy and Management (OPM), Criminal J ustice Policy & Planning
Division (CJ PPD), this strategy will be regularly reviewed in conjunction with the Monthly
Indicators Report and recidivism studies.
State of Connecticut
Risk Assessment Strategy
5
The Assessment Process and Instruments
The following information highlights the assessment process in the DOC Classification Manual,
Assessment Manual (Appendix C), and the Offender Management Plan. When an offender is
sentenced to a term over 2 years, the male offender is admitted to the MacDougall-Walker
Correctional Institution to begin the 10-day assessment process. Female offenders are admitted
to the York Correctional Institution and undergo a gender responsive and trauma informed
assessment process at that facility. Male youths under the age of 18 have their youth specific
assessment process administered at the Manson Youth Institution. Those offenders sentenced to
less than two years are assessed and assigned programs as detailed in the OAP (Appendix B).
The following assessment instruments are utilized for purposes of risk, program needs and
interventions, classification, development of the Offender Accountability Plan, facility
assignment and discharge planning.
I. Target High Risk Offenders
To assess offender risk level and target offenders who pose the highest risk for re-offending, the
first assessment instrument administered to offenders is:
• Treatment and Programs Assessment Instrument (TPAI)
The TPAI purpose is to target high-risk offenders and provide a simple way to identify
offenders with different levels of risk to recidivate. It is anticipated that this will produce
a list of about 10-15% of the population with the lowest relative risk. The
recommendation would be that individuals in this group be considered presumptive
candidates for community release at the earliest time possible. Based on the risk
principle, they will not need to be assigned to core programs as detailed in the OAP
(Appendix B).
The assessment tool could have an immediate impact in that those with the lowest risk
scores would not be assigned to programs and services, thus efficiently allocating limited
resources to those with high risk and need for intervention. A retrospective study will be
conducted to test how well this instrument predicts recidivism.
II. Assess Criminogenic Needs
There are problem areas that drive an offender’s risk of recidivating. These problem areas are
identified through the administration of evidence-based assessment instruments, which target
substance abuse, criminal thinking, impulse control / violence, education and vocational needs,
problem sexual behaviors and mental health needs, among others.
The following assessments are administered at the MacDougall-Walker CI Assessment Unit and
are used to assign programs to address criminogenic needs:
State of Connecticut
Risk Assessment Strategy
6
• The Addiction Severity Index (ASI) is used to identify the severity of substance abuse
problems and determine the level of treatment required.
• The Criminal Sentiments Scale (CSS) is in the process of implementation and will
assess the extent of criminal thinking, and be the basis for assignment to the cognitive
behavioral Thinking for a Change program.
• In conjunction with the CSS, the Hostile Interpretations Questionnaire (HIQ) will be
implemented to assess the propensity for impulsivity and violence. This assessment will
be used to assign individuals to participate in the Anger Management program.
• Sex Offender screening is done with the Static-99 and Vermont Assessment of Sex
Offender Risk (VASOR) instruments. The Static-99 is used to measure the risk of
sexual behaviors. VASOR is used with high-risk offenders to identify the propensity for
violent sexual offending. Both assessments will determine the level of treatment needed.
• Unified School District #1 (USD#1), a state vested school district within the Department
of Correction (DOC), administers academic and vocational assessments to include: an
educational interview, a screening of general intelligence, assessment of academic
proficiency levels, and aptitude and work skill levels. In addition to being used for
appropriate educational placement, these assessments serve as a foundation for
determining an individual’s education and literacy proficiency to enhance further
program participation.
III. Develop Offender Accountability Plan
The Offender Accountability Plan (OAP) is a prescribed and formal intervention process based
on moderate to high need areas identified through assessment results. This process drives the
development of a plan that follows an offender through the incarceration period and into the
community. It includes both behavioral and programmatic expectations of the offender.
State of Connecticut
Risk Assessment Strategy
7
The Assessment Process at the Board of Pardons and Paroles
Statutory Guidance
Sec. 54-125a. (a) “A person…may be allowed to go at large on parole in the discretion of the
panel of the Board of Parole…if (1) it appears…that there is reasonable probability the such
inmate will live and remain at liberty without violating the law, and (2) such release is not
incompatible with the welfare of society.”
Board Mission
The Connecticut Board of Parole is committed to protecting the public by making responsible
decisions. Decisions are based primarily on the likelihood that offenders will remain at liberty,
under supervision, without violating the law.
Connecticut Salient Factor Score (CTSFS99).
The CTSFS is an objective risk assessment instrument based on a review of available
information relative to recidivism. It was designed to assist then Board of Parole (now the Board
of Pardons and Paroles) in predicting an offender’s likelihood of violent or other serious
recidivism. This behavior is defined as any of the following actions during a three-year follow-
up period:
• A new conviction for a violent offense
• A new conviction for any offense that results in a sentence of imprisonment of more than one
year
• Any return of an offender from the community for a period of 60 days or more
The original Salient Factor Score was developed and validated by the U.S. Parole Commission in
1972. This tool estimated “group probabilities” of recidivism. The Connecticut Board of Parole
began the Salient Factor Score in 1998 after validating the federal model on the Connecticut
population. This sample consisted of inmates released from Connecticut’s prisons in 1991. The
findings of this study were used as the foundation for the creation of the CTSFS. In 1999 a fifth
factor was added, violence, resulting in the creation of the CTSFS99. The current risk
assessment consists of:
• Prior Commitments of 60 Days or More
• Age at Commencement of Current Offense
• Recent Commitment Free Period
• Prior Court-Imposed Terms of Imprisonment of More than One Year
• Violence
Central Connecticut State University Department of Criminology and Criminal J ustice Center
(SAC) conducted a re-validation of the CTSFS in April of 2007. Their findings supported the
earlier conclusion that the CTSFS99 is predictive of recidivism, but are limited. They
recommend scoring changes to the CTSFS99 and also strongly recommend that the Connecticut
Board of Pardons and Paroles look at more recent trends in risk assessment instruments in order
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to have an instrument that may better suit its needs. The following excerpt is taken from that
2007 study:
The Salient Factor Scores (SFS) are an example of a second-generation risk assessment. The
SFS is primarily composed of criminal (e.g. number of convictions) type variables with only one
socio-demographic variable (age at time of current offense). These types of risk assessments can
be useful for classification purposes but have very limited availability in assisting in effective
treatment planning and ongoing evaluation of offenders (Simourd, 2004).
Lastly, it was recommended that Board of Pardons and Paroles consider looking into empirical
based instruments that include both static and dynamic factors such as The Level of Service
Inventory – Revised (LSI-R).
After passage of PA 08-01, the Board began to look into the feasibility of utilizing the LSI-R at
the front end of the system in place of the Salient Factor Score. This was primarily based on the
fact that the Court Support Services Division of the J udicial Branch currently used the LSI-R and
had validated it on the Connecticut probation population. Additionally, the Parole and
Community Services Division of the DOC began implementation of the LSI-R in determining
appropriate levels of supervision for parolees.
BOPP was involved with the DOC workgroup for the implementation of the TPAI. The Board is
currently awaiting the results of the retrospective study of the TPAI as a measure of recidivism.
Additionally, the Board is looking into the possibility of using the static factors of the LSI-R for
the decision-making process. It is believed that the latter may offer optimal results given that
data already gathered by CSSD could be updated on clients who subsequently are committed to
the DOC and apply for parole. Information could then be then passed along to the DOC Parole
and Community Services Division for update. Since the goal is to utilize a risk assessment tool
that accurately rates an offender’s likelihood to recidivate upon release from custody, a modified
version of the LSI-R may be a viable solution for consideration.
The Assessment Process in the Community
Selection and Description
Following consultation with experts from the National Institute of Corrections, the DOC selected
the Level of Service Inventory-Revised (LSI-R) and the Adult Substance Use Survey-Revised
(ASUS-R) as the principle assessment tools for the Parole and Community Services Division.
The LSI-R is a comprehensive, evidence-based tool used in many community corrections
systems throughout the United States and Canada. CSSD and many contracted non-profit
providers also use it in Connecticut.
The LSI-R, used in conjunction with the ASUS-R, will provide parole officers with a more
accurate assessment of not only risk to re-offend, but also how to mitigate that risk by identifying
and addressing an individual’s primary criminogenic needs.
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Policy and Implementation
Utilization of these new assessment tools has required policy development and revisions in the
following areas of the Division’s Field Operations Manual:
• Release Planning
• Levels of Supervision
• Case Management Plans
These assessment tools (LSI-R and ASUS-R) are now being conducted by parole officers on all
new releases who will have at least six months of community supervision, with case plans that
incorporate parole conditions, targeted interventions and appropriate levels of supervision.
System Coordination
DOC is committed to sharing results of these assessments with key system partners:
• Service Providers
• As offenders are referred to various community-based services (substance abuse,
family counseling, etc.)
• CSSD
• As offenders complete DOC supervision and transition to probation
• BOPP
• In the event that offenders are returned to custody for revocation and further release
consideration
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Next Steps
I. Assessments
1. Implement the Criminal Sentiments Scale (CSS) and the Hostile Interpretation
Questionnaire (HIQ) assessments
2. Enhance trauma informed, gender responsive and youth specific assessments and
programs at York Correctional Institution and Manson Youth Institution
II. Vocational Training / Employment
1. Implement a strategic plan for Unified School District #1 (USD1) regarding vocational
training to employment services
2. Continue collaborative efforts with the Department of Labor (DOL) through the CT
Works sites, further enhancing the efforts to guide the offender population toward gainful
and stable employment
3. Establish relationships with the Chambers of Commerce to target employment efforts
III. Collaborations
1. Build necessary linkages between DOC, BOPP and CSSD to ensure information sharing
through the assessment process
IV. Research and Evaluation
1. Develop an overall evaluation and quality assurance component that assesses the
effectiveness of this Risk Assessment Strategy in collaboration with CJ PPD
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Summary
The Department of Correction, Board of Pardons and Paroles and the J udicial Court Support
Services Division are committed to the successful application, integration and evaluation of the
components of this strategy. As outlined in this report, the agencies are administering risk
assessments and addressing criminogenic needs. By appropriately addressing both, public safety
is enhanced and recidivism reduced.
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Appendix
A. Department of Correction, Offender Management Plan; Administrative Directive 10.7http://www.ct.gov/doc/lib/doc/pdf/offendermanagementplan.pdf
B. Department of Correction, Offender Accountability Plan Manualhttp://www.ct.gov/doc/lib/doc/pdf/offenderAccountabilityplan.pdf
C. Department of Correction, Offender Classification & Population Management, Assessment
Manualhttp://www.ct.gov/doc/lib/doc/PDF/PDFReport/AssessmentManual.pdf
D. Department of Correction, Offender Classification Manualhttp://www.ct.gov/doc/lib/doc/PDF/PDFReport/ClassificationManualLibraryCopy.pdf
E. “Adult Male Assessment & Offender Accountability Model” (document attached)
F. York Correctional Institution Assessment Process (page 13)
G. Manson Youth Institution Assessment Process (page 16)
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York Correctional Institution Assessment Process
Inmate Orientation
The J anet S. York Correctional Institution is a Direct Intake Facility for all women (as young as
age 14) incarcerated in the state of Connecticut. Inmate Orientation is conducted daily at YCI for
all offenders that have been received. (Youthful Offenders are referred to the facility’s
multidisciplinary team specializing in the unique needs of adolescent women). YCI is in
compliance with the requirements in AD 10.12. (Inmate Orientation) We show all of the videos
to include a new PREA video for women. Procedurally, it is notable that female correction
officers conduct all strip searches and all correctional staff are annually trained in gender specific
mental health information with particular regard to the orientation process.
Additionally, Department of Children and Family contacts are made, as are necessary referrals
for the care of children. A DCF Ombudsman is on site and reviews all new admissions to ensure
continuity of care for incarcerated youth as well as children of incarcerated mothers.
The J anet S. York Correctional Institution provides gender-specific, trauma-informed
comprehensive care for the offenders housed at YCI. Female offenders have different needs in
adapting to prison. The care that is provided at YCI reflects the unique, intrinsically different
needs of female offenders. The following services and procedures are in place upon intake to
address these needs.
Components of the Inmate Orientation/Assessment also include participation from several other
Departments at YCI. A committee has also been recently formed to explore the implementation
of a Gender Responsive Classification System. Below is a summary of the Assessment Tools
that are utilized at YCII for our unique population:
Education Department
General Education Testing:
• TABE (Test of Adult Basic Education) ~Assessment, placement & Promotion
o 9/10 Survey - Level M (moderate) or E (easy) Assessment & Placement
o 9/10 Survey Full Battery Level E, M or D (difficult) level appropriates
• ECS (Employability Competency System) ~Required component for CARS public
school information database
• Pre-GED ~GED readiness
• GED ~HS Diploma based Standardized Test (National)
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Special Education Students Only:
• WISC (Wechsler Intelligence Scale for Children) ~IQ Score
• WIAT (Wechsler Individual Achievement Test) ~Academic skills
• Woodcock-J ohnson ~IQ & Achievement testing
• BASC (Behavioral Assessment System for children) ~Questionnaire distributed to
specific member of the Team including student
Vocational Assessment:
• Career Scope
Mental Health
The Mental Health Unit administers the following assessment tools in order to vet the women’s
needs and ensure they are engaged in the most appropriate programs:
a. Wechsler Adult Intelligence Scale 3rd edition (WAIS-III)
b. Visual Motor Gestalt Test
c. The Neurobehavioral Cognitive Status Examination (COGNISTAT)
d. Slosson Oral Reading Test (SORT-R3)
e. Trail Making Test
f. Beck Depression Inventory (BDI)
g. Thematic Apperception Test(TAT)
h. Minnesota Multiphasic Personality Inventory 2 (MMPI-2)
i. Structured Interview of Reported Symptoms(SIRS)
j. Rorschach Test
k. Vineland Adaptive Rating Scale
l. Traumatic Events Screening Inventory-Adult Screening(TESIA-Adult
m. Version)
n. PTSD Checklist - Civilian Interview (PCL-C)
o. Stress Reactions Checklist for DESNOS
Referrals are then made upon intake to gender specific programs to include:
• TARGET
• Parenting Groups
• Survivors of Sexual Assault
Additionally, all reports of sexual assault include referrals to medical and mental health services;
Brief individual counseling is provided by Clinical Social Workers to address adjustment needs;
Assessment Units provide gender specific, relational-oriented adjustment groups (“Sisters
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Standing Strong”) facilitated by a Clinical Social Worker and selected peer mentors and psycho-
educational handouts reflective of female needs are provided.
Medical
The medical intake process/assessment includes the requisite intake physical, and public health
screening provided to the adult male population, however, the YCI medical staff also provides
Obstetrics and Gynecology services; pregnancy testing, a SAMSHA Accredited Methadone
Maintenance program for pregnant women as well as continuity of care for individuals involved
in Methadone Maintenance programs in the community who are maintained for appropriate
tapering of doses. YCI also acquires consent to treat from the legal guardian for those under the
age of 17.
Addiction Services
At YCI we utilize the A.S.I. (Addiction Severity Index) to assess the appropriate treatment score
for the initial assessment.
In Addition, YCI incorporates trauma sensitive, gender responsive, developmentally appropriate
programs such as Covington and Bloom’s “Beyond Trauma” and “Young Women’s Lives” to its
addiction services program components.
Initial Assessment (Classification)
No unique instruments utilized for the IN process.
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Manson Youth Institution Assessment Process
Inmate Orientation
Manson Youth Institution (MYI) is a Direct Intake Facility for male offenders ages 14-20.
Inmate Orientation is conducted daily at MYI for all offenders that have been admitted. MYI is
in compliance with the requirements in Administrative Directive 10.12 Inmate Orientation
(www.ct.gov/doc). An additional orientation video presented is the new Prison Rape Elimination
Act (PREA) video for J uvenile Dentition facilities called ‘Keeping our Kids Safe”. MYI has
also introduced a facility specific video in “kid language” to review important information that
those who are non-readers may not be able to learn from the Inmate Handbook. In addition, great
care is taken when assessing the offender’s readiness to enter general population through an
assessment interview after the 14 days in the Orientation Unit.
Components of the Inmate Orientation/Assessment also include participation from several other
program areas and services at MYI. Below is a summary of the Assessment Tools that are
utilized at MYI for this special population:
Education Department
General Education Testing:
• TABE (Test of Adult Basic Education) ~Assessment, placement & Promotion
o 9/10 Survey - Level M (moderate) or E (easy) Assessment & Placement
o 9/10 Survey Full Battery Level E, M or D (difficult) level appropriates
• ECS (Employability Competency System) ~Required component for CARS public
school information database
• Pre-GED ~GED readiness
• GED ~HS Diploma based Standardized Test (National)
Special Education Students Only:
• WISC (Wechsler Intelligence Scale for Children) ~IQ Score
• WIAT (Wechsler Individual Achievement Test) ~Academic skills
• Woodcock-J ohnson ~IQ & Achievement testing
• BASC (Behavioral Assessment System for children) ~Questionnaire distributed to
specific member of the Team including student.
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Vocational Assessment:
• Career Scope
Mental Health
Great emphasis is spent on obtaining collateral information from multiple and potential sources
of information including parents/caregivers, previous community treatment providers,
Department of Children and Families, past and present school involvement, etc.
a. ADHD Rating Scale-IV
b. Inventory of Callous and Undifferent (ICU) re: Conduct Disorder
c. Mood Disorder Questionnaire (MDQ) Bipolar Disorder Screen
d. Quick Inventory of Depressive Symptoms (QIDS)
e. Beck Depression Inventory (BDI)
f. Dissociate Experiences Scale-Adolescent Version
g. Hamilton Anxiety Rating Scale
h. Overt Aggression Rating Scale-Modified
i. Minnesota Multiphasic Personality Inventory-Adolescent (MMPI-A)
Medical
The medical intake process/assessment is no different than the process we use with the adult
population, with the exception of requesting consent to treat from the legal guardian for those
under the age of 17. Otherwise, screening questions may be tailored to accommodate age
appropriate, gender responsive, and culturally sensitive issues.
Addiction Services
• The T.A.S.I. (Teen Addiction Severity Index) is used to assess the appropriate treatment
score for the initial assessment.
• In Addition, MYI has recently introduced the ‘matrix” program as part of a revised youth
specific Evidence Based Curriculum to address teenage substance abuse.
doc_780578594.pdf