U.S. Department of Justice

National Institute of Corrections
U.S. Department of Justice

National Institute of Corrections

320 First Street, NW

Washington, DC 20534

Morris L. Thigpen

Director

Thomas J. Beauclair

Deputy Director

George M. Keiser

Chief, Community Corrections Division

Dot Faust

Project Manager

National Institute of Corrections

www.nicic.gov
March 2011

NIC Accession Number 024394
This manual was developed under a cooperative agreement award from the National Institute of Corrections, 

Community Corrections Division, and the U.S. Department of Justice. Points of view in this document are those of 

the authors and do not necessarily represent the official position of the U.S. Department of Justice.

©2010 by the Crime and Justice Institute at Community Resources for Justice. The National Institute of 

Corrections reserves the right to reproduce, publish, translate, or otherwise use and to authorize others to 

publish and use all or any part of the copyrighted material contained in this publication.

Suggested Citation:

Crime and Justice Institute and Meghan Guevara et al. (2010), Putting the Pieces Together: Practical Strategies 

for Implementing Evidence Based Practices. Washington, DC: National Institute of Corrections.
Contents iii

C o N T E N T S

Foreword ...................................................................................................................................................... vii

Preface .......................................................................................................................................................... ix

Acknowledgments ........................................................................................................................................ xi

Dedication ................................................................................................................................................... xiii

Introduction .................................................................................................................................................. xv

Chapter one: Creating evidence-Based Community Corrections systems ..............................................1

What Does an Evidence-Based organization Look Like? ...............................................................................1

What Is the Evidence? ....................................................................................................................................2

Evidence-Based Principles ..............................................................................................................................2

How Do We Take a Comprehensive Approach? ............................................................................................3

What Are the Essential Steps? ........................................................................................................................4

Where Do We Start? .......................................................................................................................................4

Chapter two: Getting started .....................................................................................................................9

Getting Started Checklist ...............................................................................................................................9

Four Steps to an Evidence-Based organization .............................................................................................9

Chapter three: organizational Assessment: to Know Where You’re Going, 

You need to Know Where You Are ...........................................................................................................13

Assessment: Why? ........................................................................................................................................13

Assessment: Who? .......................................................................................................................................13

Assessment: How? ........................................................................................................................................14

Six Steps to Assessment ...............................................................................................................................14

Align the Assessment Results and Prepare for Strategic Planning ...............................................................22

Chapter Four: strategic Planning: Choosing Your Destination ...............................................................23

Strategic Planning: Why? ..............................................................................................................................25

Strategic Planning: Who? .............................................................................................................................25

Strategic Planning: How? .............................................................................................................................26

Developing a Strategic Plan .........................................................................................................................26

Chapter Five: Mapping the Route: Developing a Workplan ...................................................................39

Develop a Workplan: Why? ..........................................................................................................................39

Develop a Workplan: Who? .........................................................................................................................39
iv P U T T I N G T H E P I E C E S T O G E T H E R

Develop a Workplan: How? ..........................................................................................................................40

Six Steps to Workplanning ...........................................................................................................................40

Chapter six: Are We there Yet? ongoing Quality Improvement ...........................................................51

Quality Improvement: Why? .........................................................................................................................51

What Is Quality Improvement? ......................................................................................................................51

Quality Improvement: Who? ........................................................................................................................52

Quality Improvement: How? ........................................................................................................................52

Plan, Do, Study, Act ......................................................................................................................................53

Bringing It All Together ................................................................................................................................56

Creating a Culture of Quality .......................................................................................................................56

Conclusion ...................................................................................................................................................61

network of Practitioners ............................................................................................................................63

Resources and References ..........................................................................................................................65

Appendixes

Appendix A. Evidence-Based Practice Employee Tip Sheets ......................................................................69

Appendix B. Preparing Data for Analysis .....................................................................................................75

Appendix C. Communication Plan ...............................................................................................................77
Exhibits v

E x H I B I T S
vi P U T T I N G T H E P I E C E S T O G E T H E R
Foreword vii

F o R E W o R D

Now that the term “evidence-based practice” (EBP) has become part of the professional dialogue about corrections across the country, it seems that many jurisdictions have gone beyond merely disseminating knowledge 

about EBP to actually applying evidence-based principles in the field. Knowing about existing research is one 

thing, and successfully obtaining measureable outcomes on the basis of that research is something else.

Throughout the years, beginning with the joint Core Papers on the Principles of Effective Intervention in 2002, 

the National Institute of Corrections and the Crime and Justice Institute at Community Resources for Justice have 

recorded, observed, and assessed the efforts of numerous jurisdictions of various sizes and organizational structures in implementing EBP. The analysis of countless lessons learned has led to the development of this manual by 

the Crime and Justice Institute and other professionals involved in these efforts over the past several years. This 

manual is for jurisdiction administrators who understand the research and recognize the importance of implementing it with fidelity.

The original integrated implementation model presented in the Core Papers stressed solid management through 

the use of organizational development. Since inception of this work focused on EBP, administrators have begun to 

recognize its importance. The significance of paying attention to the basics of managing an organization for results 

has become more prominent as agencies strive for increasingly better recidivism outcomes.

The National Institute of Corrections hopes this manual will serve both as a checklist of key management concepts 

and as a reminder of important organizational issues that need to be addressed to achieve positive public safety 

outcomes in an evidence-based environment.

Morris L. thigpen

Director

National Institute of Corrections
Preface ix

P R E F A C E

Dear Colleagues:

The Crime and Justice Institute (CJI) at Community Resources for Justice (CRJ) and the National Institute of 

Corrections (NIC) are pleased to publish this Implementation Manual on Evidence-based Practices (EBP) in Adult 

Community Supervision. The manual’s content was substantially influenced by cooperative agreements with community corrections agencies in Illinois, Maine, Maricopa County, Arizona and orange County, California, as well as 

the “learning sites” of oregon and Iowa. These agencies enthusiastically stepped forward to adopt all elements 

of EBP with assistance and with a commitment to evaluation and transparency. They have been the nation’s EBP 

learning labs. 

In addition, there are many other agencies that contributed to the manual’s content in indirect but important ways. 

These courageous agencies launched bold efforts to incorporate scientifically proven methods and measurement 

into their supervision practices in order to produce better outcomes for victims, offenders and the general public. 

Some of these agencies’ efforts were groundbreaking and produced impressive reductions in criminal activity. 

Some may not have produced the hoped-for results, but nonetheless help to inform and strengthen the EBP body 

of the knowledge. If EBP is to help us to reduce crime and its wide swath of damage, we must remain on the cutting edge of innovation and research. 

The seeds of EBP were first planted in other fields of behavioral study, but this implementation manual represents 

the latest harvest from the cooperative tending and nurturing by CJI and NIC. Beginning in 2002 with an agreement entitled Implementing Effective Correctional Management of Offenders in the Community, this initiative 

aimed to reduce the occurrence of repeat offences through systematic and systemic integration of EBP in adult 

community corrections. The initiative’s equal focus on effective supervision practices, organizational development 

and collaboration recognizes the swift changes taking place in the community corrections workforce as well as the 

compelling need for the community at-large to be engaged in community supervision. More information about 

the implementation sites and related EBP efforts is available on the web sites of CJI (www.cjinstitute.org) and NIC 

(www.nicic.org). 

CJI is a division of Community Resources for Justice (CRJ), a nonpartisan nonprofit organization that aims to make 

criminal justice systems more efficient and cost-effective to promote accountability for achieving better outcomes. 

Through consulting, research, and policy analysis services, CJI strives to improve public safety throughout the 
x P U T T I N G T H E P I E C E S T O G E T H E R

country. CJI is a national leader in developing results-oriented strategies and in empowering agencies and communities to implement successful systemic change. Its parent corporation, Community Resources for Justice, has 

been providing direct care and supportive services to society’s most challenged citizens for over 130 years. CRJ’s 

direct service programs range from residential homes for developmentally disabled adults to programs serving 

troubled youth and adults returning home from prison. Information on CRJ’s programs can be found at 

www.crjustice.org.

Sincerely, 

John Larivee

Community Resources for Justice

Chief Executive officer
Acknowledgments xi

A C K N o W L E D G M E N T S

The Crime and Justice Institute at Community Resources for Justice would like to acknowledge the following 

individuals for their contributions to this manual:

Authors

Meghan Guevara, M.P.h.

Community Resources for Justice, Senior Project Manager, Crime and Justice Institute 

Jennifer Loeffler-Cobia, M.s.

Community Resources for Justice, Assistant Project Manager, Crime and Justice Institute 

Charlene Rhyne, Ph.D.

Multnomah County Department of Community Justice 

Judith sachwald

Community Resources for Justice, Senior Policy Analyst, Crime and Justice Institute 

Contributors

Jennifer Carlson, M.A.

Administrative office of the Illinois Court

Dara Glass

Community Resources for Justice, Assistant Project Manager, Crime and Justice Institute 

enver solomon

Reviewers

ernest eley, Jr.

Deputy Director, Special Programs

Division of Parole and Probation

Maryland Department of Public Safety and Correctional Services

Dorothy Faust

Correctional Programs Specialist

National Institute of Corrections
xii P U T T I N G T H E P I E C E S T O G E T H E R

Martin Krizay

Chief Probation officer

Imperial County, CA

steve Liday

Community Corrections Manager

Multnomah County, oregon

Ingrid sharos

Deputy Director Adult Services, Retired

DuPage County, Illinois

thomas F. White 

Corrections Consultant
Dedication xiii

D E D I C A T I o N

This manual is dedicated to the memory of: 

Cheryl Marie Barrett

Assistant Director of the Probation Services Division, Administrative office of the Illinois Courts.

A champion of evidence-based practice in Illinois, Cheryl approached her work and her life with grace, courage, 

compassion and determination. She will be greatly missed by everyone who had the pleasure of knowing her.
Introduction xv

I N T R o D U C T I o N

Congratulations on your courage and pioneering spirit! If you have started reading this manual, you are most likely 

a dedicated and hardworking community corrections leader. You probably believe community corrections agencies 

could do a better job in a number of areas: 

• Protecting victims from further harm

• Preventing crimes that create new victims

• Identifying offenders who cannot become responsible and productive without intervention and supervision

• Serving as a vehicle for the prompt removal of offenders who are endangering the public

• Improving public safety 

You also probably believe that community corrections agencies can serve as the catalyst for change. That’s great; 

you are well on your way to being an outspoken advocate for evidence-based policy and practice (EBP). Be sure to 

remember that long lasting successful reform will bring other public agencies, private and non-profit organizations 

as well as community activists and volunteers to the table to discuss the issues and approve the plan of action.

For some time, you may have wanted your organization to be more of a leader in reducing recidivism and more 

responsive to victims’ concerns, or you may already be familiar with evidence-based policies and practices of supervision and be engaged in planning or training activities to implement EBP in your organization. Either way, this 

manual was written to help you organize and focus your organization’s efforts on the activities that will optimize 

success, hold offenders accountable to victims and the community, engage the broader community in this extensive undertaking, and ultimately restore communities to safe and healthy places to work, live and raise a family. 

As you gauge how to get started, you should acknowledge that there are some anomalies in the traditional and 

current operations of community supervision. Most professions interested in modifying human behavior rely on 

research in their own and related fields to guide their daily practices. These committed professionals look for high 

quality studies with experimental and comparison groups as well as findings that have been reproduced in similar 

studies. They attempt to make new practices universal. For example, a doctor in one part of the U.S. would not 

advise a patient with high cholesterol and a family history of heart disease to watch her diet and exercise more frequently while a doctor hundreds of miles away advised the patient not to change anything but come back in five 

years for another screening. Doctors have standards of practice. These are not dictates that eliminate professional 

judgment, but general standards to guide patient care. 

In community corrections, there is often no standard of care, national guideline or even a generally accepted 

method. often in community corrections, policy or practice is changed because of the most recent case that went 

awry, the latest good or bad headlines, anecdotes from the person in the office with the most experience, advice 

from vendors at the last conference we attended, a presentation made by a dynamic speaker whose stories may 

be imprecise, or instructions from well-meaning appointed or elected officials who may or may not know what’s 

been proven effective. How can appointed or elected officials know what is right when there are such extreme 
 

variations in practice among our community corrections agencies? EBP gives us the opportunity to simultaneously 

strengthen public safety, develop reliable supervision methods and transform our profession. 

This manual describes a generalized process for adopting and implementing principles that underlie evidencebased practice. The evidence-based policies and practices discussed in this manual are derived from highquality research and have been embraced by criminologists, other social scientists and respected practitioners. 

The research and the theoretical underpinnings of EBP are described in a companion document, Implementing 

Evidence-Based Policy and Practice in Community Corrections. This manual is intended to offer a practical guide 

to their application. The principles and the activities for implementation described in this manual are not intended 

to squelch creative thinking, enthusiasm or innovation. Your innovations will inspire the hypotheses that lead to further research, more effective implementation strategies and perhaps even additional principles. EBP is an evolving 

body of knowledge and practice. It is less like a roadmap and more like the table of elements many of us studied 

in high school. First introduced by Dmitri Ivanovich Mendeleev in 1869, the table had just sixty elements. As of 

July 2009, there are 118 elements on the table and more are likely to be discovered. 

We have recognized that no program or strategy, however effective, can be expected to forever meet all 

the challenges of community supervision. We cannot turn back now from an awareness that the stability and 

comfort of tradition is an unacceptable justification for continuing along paths that do not lead us toward our 

goals. Our needs, and those of the communities we serve, are constantly shifting and evolving and we must 

evolve as well. We must constantly monitor and analyze our efforts to confirm their continued effectiveness. 

We must always remain flexible and open to refining our policies and procedures on the basis of our growing 

knowledge and experience. 

(Sachwald and Eley, “Proactive Community Supervision: A Second Chance for Community Corrections and 

Supervisees,” American Probation and Parole Association, Perspectives, Summer 2007.) 

As a community corrections leader, it will be your role to craft a vision of an evidence-based system, and to serve 

as a champion within and outside your organization. As you start talking to colleagues and community partners, 

you may need to emphasize that the adoption of EBP is not an indication that your organization is “soft” on crime. 

In fact, evidence-based policy and practice provides more assurance that professionals are using proven strategies 

and approaches, which will result in reduced misconduct and enhanced safety for all. often, requiring an offender 

to confront and change criminal behavior is far more intimidating than allowing the offender to “do time” or coast 

through traditional community supervision. It is difficult to admit that our behavior is flawed and even more difficult to learn alternate methods for coping and to practice those methods often enough that they become second 

nature. 

Finally, it is important not to oversell what can be achieved by assuming that any specific evidence-based intervention or strategy is guaranteed, failsafe, or a “magic bullet”. Reducing recidivism is a complex process that depends 

on a number of variables. In addition, evidence-based policy and practice must be implemented with strict attention to the details of the original approach, or the participants may not benefit from the intervention or could even 

be made worse. A commitment to quality improvement is needed both to ensure that interventions are replicated 

accurately and that new evidence is incorporated as it becomes available. 

In many ways, the implementation of evidence-based policy and practice focuses on the attitudes and behavior 

of human beings. The one on which we generally focus attention is offender attitudes and behavior. But, equally 

important are the attitudes and behaviors of an organization’s employees at all levels, as well as the countless 

service and treatment providers in our communities. For this reason, you will see parallels throughout this manual 

between steps to follow for planning and carrying out effective offender supervision and those recommended for 

diagnosing your organization’s strengths and opportunities and identifying the actions needed to maximize your 

outcomes. Whenever individuals are asked to change habits, they progress through stages. They need to consider 

xvi P U T T I N G T H E P I E C E S T o G E T H E R 
Introduction xvii

the change, decide to change, prepare, and take action; and even then, there is still the chance to lapse back to 

the old ways of doing things.1

 To bring an organization through change, you must be prepared to lead your colleagues through this process.

Implementing evidence-based practices requires a shared vision throughout the organization and the tenacity to 

keep making adjustments until the outcomes are satisfactory. While the dedication of many people is needed to 

achieve this vision, strong visionary leadership is a keystone of this effort. This manual will help you get organized 

for one of the most challenging, high stakes initiatives of your career.

1

James O. Prochaska and Carlo C. Diclemente, Changing for Good (Published by arrangement with William Morrow & Company, 1994).
Chapter 1: Creating Evidence-Based Community Corrections Systems 1

C H A P T E R O N E

Creating evidence-Based 

Community Corrections Systems 

Leaders and employees of evidence-based organizations continually ask themselves, “I know we 

are doing good work, but how can we do better?” 

Fortunately, there is a growing body of research on 

effective corrections practice, and new information 

frequently emerges on how to do this work more 

effectively. Unfortunately, changing the way corrections does business is not as simple as reading an article. The path from exposure to new information to 

on-the-ground application of effective new practices 

is long and complex, and it repeats itself over and 

over as agencies move toward an evidence-based 

approach. If you are considering taking that path, 

you may be wondering if it’s worth the effort and 

where to begin. This chapter depicts the evidencebased organization you can become, as well as an 

overview of the principles and approaches that can 

get you there. 

What Does an Evidence-Based 

Organization Look Like? 

• Everyone Shares a Common Mission and Vision.

In many organizations, the mission and vision statements are just something that hangs on the wall. In 

an evidence-based organization, they are part of 

daily work, and all employees from the receptionist to chief knows how their work helps to achieve 

that mission. How do they know? Because they 

talk about it. It only takes a few minutes to ask 

the question, “How does this support our organization’s mission?” The answers to this question 

helps weed out work that is not proven to achieve 

the organization’s primary function.

• Resources Are Used Effectively and Efficiently.

When scarce dollars are put towards proven practices, and when innovations are evaluated and 

only continued if they work, taxpayers can feel 

confident they are reaping the maximum benefit 

for the funds they invest in community corrections.

• Offenders Are Held Accountable. Evidencebased organizations are not soft on crime. They 

expect offenders to be active participants in 

treatment and work to reduce risk. They respond 

swiftly, certainly and appropriately to violations 

and incarcerate offenders when necessary. However, they also reinforce and reward positive 

behavior change to increase the likelihood that the 

new behavior will continue. 

• Data Drives Decisions. Another common question in evidence-based organizations is, “What 

does the data say?” Rather than making decisions 

blindly or based on gut feelings or anecdotes, the 

organizations look at the hard facts. Data is used 

as a learning tool and key data elements are condensed to easy-to-follow data reports for regular 

review.

• Learning and Innovation Are Welcome.

Evidence-based organizations don’t just replicate 

what has been done elsewhere. They use the 

research to develop innovative approaches to 

changing offender behavior and maintaining public safety, and then they measure their outcomes. 

Employees are encouraged to develop new approaches. If it works, they keep doing it and share 

it with others. If it doesn’t work, they change or 

stop it, even if it is popular.

• System Players Communicate and Collaborate.

Very often, the corrections system is not actually 

a system; it is more a network of independent 

players who interact on a case-by-case basis. In 

evidence-based systems, everyone needs to be on 

the same page about the role of the system and 

work together to integrate policies and practices 

in the way that best promotes public safety. That 
2 P U T T I N G T H E P I E C E S T O G E T H E R

requires a lot of talking, finding common ground 

and making decisions together. It does not mean 

that due process or the court’s adversarial system 

is compromised. It does mean that everyone works 

together to ensure that offenders on supervision are held accountable for their crimes and 

violations and supervised in a way that promotes 

prosocial lifestyles.

At the end of the day, evidence-based organizations stay focused on the big picture and make sure 

they have the information they need to keep driving 

toward their mission. If that sounds like the type of 

organization you want to build, keep reading.

What Is the Evidence? 

Evidence-based policy and practice is focused on 

reducing offender risk, which in turn reduces new 

crime and improves public safety. Of the many 

available approaches to community supervision, a 

few core principles stand out as proven risk reduction strategies. Though not all of the principles are 

supported by the same weight of evidence, each has 

been proven to influence positive behavior change. 

To organize the research, these core principles have 

been compiled by CJI/NIC into the eight principles 

of evidence-based practice in corrections described 

below. (See Exhibit 1-1: Eight Guiding Principles for 

Risk/Recidivism Reduction.)

Evidence-Based Principles 

1. assess actuarial risk/Needs: Use research-based 

tools to determine an individual’s likelihood of reoffense and to identify factors that are amenable 

to treatment and risk reduction.

2. enhance Intrinsic Motivation: Apply specific communication techniques to identify an offender’s 

own reasons for change and to engage offenders 

as partners in their treatment.

3. target Interventions: Structure treatment, supervision and responses to offender behavior based 

on their risk level, needs and personal characteristics. This includes:

• Risk Principle: Prioritize supervision and treatment resources for higher risk offenders;

• Need Principle: Target interventions to criminogenic needs, which are behaviors correlated 

to crime;

• Responsivity Principle: Be responsive to temperament, learning style, motivation, culture 

and gender when assigning programs;

• Dosage: Structure 40-70% of high-risk offenders’ 

time for three to nine months; and

• Treatment Principle: Integrate treatment into 

the full sentence/sanction requirements.

4. Skill train With Directed practice: Use cognitive 

behavioral treatment methods to disrupt criminal 

thinking and provide offenders with the opportunity to practice and apply pro-social behaviors.

5. Increase positive reinforcement: Emphasize, 

affirm and reward compliant behavior to promote 

pro-social behavior change. While offenders are 

still sanctioned for non-compliant behavior, a 

greater focus is placed on recognizing and rewarding the positive.

6. engage Ongoing Support in Natural 

Communities: Connect offenders to pro-social 

family, friends and activities in the community 
Chapter 1: Creating Evidence-Based Community Corrections Systems 3

so their time is structured positively during and 

beyond the period of supervision.

7. Measure relevant processes/practices: Collect 

data on the effectiveness of your work to answer 

the questions: (1) Are we doing evidence-based 

work? (2) Are we doing it well? and (3) Is it leading 

to desired outcomes? 

8. provide Measurement Feedback: Use data 

to provide feedback to systems, organizations, 

teams and individuals with the goal of improving 

practice.

This is a cursory overview of the principles. For more 

information on the principles of evidence-based 

practice, as well as the Integrated Model described 

in the next section, please read the companion 

document Implementing Evidence-Based Policy and 

Practice in Community Corrections, second edition,

available through the Crime and Justice Institute and 

the National Institute of Corrections. 

How Do We Take a Comprehensive 

Approach? 

Some organizations have been able to use research 

to create sustainable change, while others have 

made attempts only to see their efforts die on the 

vine. It was clear that more than research was needed to change the way corrections does business, and 

in 2002, NIC and CJI set out to identify and describe 

the elements that need to be in place to create 

an evidence-based organization. An expert team 

of researchers, practitioners and consultants was 

assembled to create a model for evidence-based 

change, and the result was the Integrated Model. 

(See Exhibit 1-2: The Integrated Model.)

The Integrated Model incorporates research and 

theory from criminal justice, business and behavioral 

sciences and considers not just what needs to be 

changed in community corrections, but how to bring 

about the change and ensure that it is sustainable. It 

considers individual organizations, broader systems 

and the political context in which they function. 

The model is composed of three equal components: 

evidence-based principles, organizational development and collaboration. EBP focuses on the principles described above. Organizational development 

considers the organizational culture and climate and 

its ability to sustain change. It includes elements 

such as:

• Mission, vision, and strategic plan

• Leadership

• Communication and decision-making structures

• Policies and practices

Fundamentally, if the organization is healthy, and if 

everyone is on the same page about the organization’s purpose and direction, change will be easier to 

sustain. 

Collaboration applies within and across organizations. Community corrections employees and partners are most effective when there is a shared sense 

of purpose, shared authority and shared decisionmaking when possible. 

The three components of the model each need to 

be addressed in your EBP implementation process, 

but they are not mutually exclusive. For example, 

implementing a graduated responses grid is evidence-based, but it also requires collaboration with 

the judiciary and other officers of the court. Putting 

in place state-level EBP guidelines requires collaboration among state and local agencies, organizational development within each organization, and the 
4 P U T T I N G T H E P I E C E S T O G E T H E R

from scratch. After nearly two decades of efforts in 

the field, many lessons learned are available from 

corrections practitioners, as well as in the literature. 

Following are some of the “key ingredients” for 

implementation. You can choose when and how to 

implement these steps, but each of them will bring 

you closer to the goal of being an evidence-based 

organization. 

Where Do We Start? 

Becoming an evidence-based organization is a 

long-term commitment. While your organization can 

accomplish a great deal in the first year or two, there 

will still be much left to do. It is a new way of doing 

business rather than a project with a start or end 

date. If you are ready to get started, turn to Chapter 

Two for the first steps. As you move forward, you 

will:

• Choose the right person to manage your initiative.

• Begin a process of education, communication, and 

engagement. Provide information on EBP, both 

the big picture and the details. Let all stakeholders know what their role will be and how applying 

evidence-based approaches will help them to 

contribute to public safety.

• Assess your organization and/or system to determine priority areas of change.

• Develop a strategic plan that includes annual efforts on approximately 4-6 major change initiatives, which will likely each contain many smaller 

pieces.

• Create a workplan and work teams to achieve your 

goals.

• Track your progress, celebrate success and continue to improve.

Becoming an evidence-based organization takes a 

great deal of effort, but is highly rewarding. An investment in evidence-based practice not only makes 

the community safer, but it also allows all community 

corrections employees to know that they are personally making a difference in their community.

A Note on Size and Structure

Community corrections systems vary widely 

throughout the country, so the organization of 

EBP implementation will vary as well. There is 

no “ideal” structure for success at EBP. Smaller 

jurisdictions often benefit from close, informal 

relationships with stakeholders, though employees are required to be jacks- or jills-of-all-trades 

in evidence-based supervision. Larger jurisdictions are able to spread the responsibility for 

evidence-based expertise, but require longer 

timeframes to roll out major change initiatives. 

State-level oversight agencies can offer support, 

guidance and standardization, but EBP will still 

need to be tailored to each jurisdiction. In each 

case, there are examples of agencies that have 

made EBP work.

The processes described in this manual should 

serve only as guidelines to be modified as 

needed to fit your jurisdiction. When in doubt, 

seek out colleagues in similarly situated jurisdictions for ideas and advice. The community of 

evidence-based practitioners is continuously 

growing, and many valuable resources are available. (See the Network of Practitioners at the 

end of this manual.)

evidence-based principles themselves. A comprehensive implementation plan requires goals related 

to each element of the model, as well as strategies 

for connecting the dots between them. The next 

section provides more detail on how the model 

translates into practice.

What Are the Essential Steps? 

Every organization is different in terms of culture, 

context, and priorities, so the steps needed to 

become an evidence-based organization differ 

across jurisdictions. There is not one “right” way to 

do this work. For that reason, this manual does not 

dictate rigid steps for implementation. However, it 

is not necessary to create an implementation plan 
Chapter 1: Creating Evidence-Based Community Corrections Systems 5

Key Ingredients: The Big Picture

It is easy to get caught up in the details of evidence-based practice and lose sight of why you’re here and where you’re 

going. The steps below are ongoing and will help to keep your organization and your system focused on your goals.

• Craft a Vision

With input from employees and partners, paint a picture of what your organization or system will look like 

when it is evidence-based. Connect all activities to the vision and how each step brings the vision closer 

to reality. Post it in your offices. Reinforce it at meetings. It is the role of the leader to consistently promote 

the vision.

• Create a Sense of Urgency

If everything seems fine, there is usually little desire to change. Find the reasons for change that will motivate your system to move, such as high re-offense rates, budget cuts or prison overcrowding. 

• Connect the Dots (Ongoing education)

As new pieces of EBP are introduced, describe how they are connected to other pieces and how they help 

to achieve organizational and systemic goals.

• Consider policy as Well as practice

Community corrections practice is influenced by state statute, county and municipal regulations and 

judicial guidelines as well as organization policy and procedure. Consider how all levels of public policy 

support or inhibit evidence-based approaches and include short- and long-term strategies for needed 

policy change in your strategic plan.

• Communicate, Communicate, Communicate

To get and remain engaged, internal and external stakeholders need initial briefings, to be kept up to 

date on progress, and have opportunities for input. Create a communication plan to get the message out 

in a variety of ways.

• as You add Work, take Work Off the table and prioritize What Is Left

EBP provides guidance on what to do and what not to do. As you add new evidence-based policies and 

practices, discontinue ineffective ones. Invite suggestions from frontline employees, and offer concrete 

guidelines.

• Stay Focused on Mission and Strategic Goals

Your strategic plan should have cross-outs and coffee stains. Refer back to it constantly, make changes as 

needed, and as you go about your daily work, ask, “Is this helping to achieve our mission?”

• Use Data to Drive Decisions

When making decisions about business practices, ask for the data about effectiveness. Eventually, this 

becomes a habit, and people will demand data before making decisions. Distribute data widely and promote transparency.
6 P U T T I N G T H E P I E C E S T O G E T H E R

Key Ingredients: Organizational Development 

• Give Your Organization a physical 

Conduct regular formal and informal assessments to “take the temperature” of your organization. 

Consider your progress to date on EBP, organizational climate, statutory authority, budget, and other 

internal and external factors that affect the way you do business. (See Chapter Three for more details.) 

• Develop Leaders at all Levels

Creating evidence-based organizations is a daunting challenge for all leaders, from directors of state 

oversight agencies to frontline supervisors in local community corrections offices. Offer leaders the 

opportunity for self assessment and ongoing professional development, including not only the “hard 

skills” of EBP but also the critical “soft skills” of managing change.

• align Business practices

Evidence-based practice goes beyond supervision strategies to all aspects of your business. Ensure that:

• The organization’s mission, vision, and strategic plan reflect EBP.

• Policies and procedures are revised to include EBP.

• You have the technological infrastructure to support data-driven decision making.

• Your budget supports evidence-based interventions and de-funds ineffective practices.

• Your human resource practices reflect the new way of doing business (see next bullet).

• plan for the Future Workforce

EBP leads to a fundamental shift in the way employees are expected to do their jobs. Revise human 

resources policy and practice to ensure that current employees have the skills they need and newly hired 

and promoted employees are the right fit for the job and successfully complete robust entry-level training.

• engage employees and external Stakeholders as partners

Ongoing communication, training and collaborative decision-making among internal and external 

partners increases buy-in to the change process.

• Manage the Change process 

The process of change is challenging at the individual and organizational level. Planning for it and 

acknowledging its stages makes it easier for everyone to work through it. Leaders can begin by 

exploring their own ability to change.

• Celebrate Successes

Positive reinforcement is a strong motivator. When your organization reaches important milestones in 

EBP implementation, be sure to celebrate!
Chapter 1: Creating Evidence-Based Community Corrections Systems 7

Key Ingredients: Evidence-Based Practice 

• Implement a risk/Need tool and Supervision plan

Accurate assessment of risk, need and strengths in concert with appropriate treatment and supervision 

is the foundation of evidence-based community corrections. Ensure that employees have the skills they 

need to implement effectively.

• Supervise Cases Based on risk

Focus time and resources on medium- and high-risk offenders while providing minimal supervision to lowrisk offenders. Establish evidence-based treatment.

• Create Quality Interactions With Offenders

Rapport between employees and offenders is crucial to successful supervision. Provide training and feedback on motivational techniques and communication skills for balancing accountability with support.

• Develop and Implement an eBp-aligned training plan

Ensure that employees have the training they need to implement EBP, including chances to refresh skills. 

Periodically assess understanding and application. Provide supervisors and/or peer trainers with advanced 

training so they can serve as coaches.

• Implement a System of Graduated responses

Provide officers with a framework of options of incentives for responding to pro-social behaviors and 

graduated sanctions for anti-social behaviors based on risk level and severity of behavior. Clarify options 

for administrative sanctions versus return to court. Monitor and report usage at the individual, unit and 

department level.

• Create a Data Dashboard

Data can easily get overwhelming, both in volume and in detail. Select a few key process and outcome 

measures that tell you how well your organization is running, and review those measures weekly or 

monthly. If concerns pop up, dig deeper into the data.

• Focus on Quality

Collect data to ensure that practices are implemented with fidelity and are effective. Partner with evaluators, universities or graduate students to develop measurement processes.

• partner With providers to align treatment

Risk assessment and supervision planning are only useful if they lead to effective, responsive treatment. 

Work together to align provider treatment modalities with the evidence, measure outcomes and provide 

feedback, and establish clear performance measures in contracts, where applicable.
8 P U T T I N G T H E P I E C E S T O G E T H E R

Key Ingredients: Collaboration 

• Develop Internal Collaboration

Collaboration needs to include all organization employees. The EBP implementation structure should 

encourage cross-functional interactions through training, working groups, etc. Internal collaboration encourages a shared vision throughout the organization and cohesion among employees as well as 

buy-in across functional units.

• Develop external Collaboration

Bring together system stakeholders, ideally in a formal structure like a Criminal Justice Coordinating 

Council, to encourage corrections to work as a system.

• Develop Shared Vision, purpose, and plan

To get work done, members of collaboratives need to be on the same page about their mission and goals 

as public safety agencies and the vision of what they have come together to accomplish. Once everyone 

is on the same page, it is easier to decide on action steps for system improvement.

• Charter Working Groups

At their best, collaborative teams foster engagement and commitment. At their worst, they are a series 

of pointless meetings. Provide working groups with detailed charters and a skilled chairperson to establish 

clear goals and keep work on track.

• engage in Group problem Solving

Use a structured decision making process (ideally, consensus) to address systemic issues, generate 

policy and practice recommendations and implement systemic change. Respond with a single point of 

contact when use of EBP is questioned, such as during a crisis when a significant probation violation 

makes headlines. Develop and put in place a formal review process that can provide critical feedback for 

improvement.

• Create transparency

Communicate about current policy and practice in each organization and share data about outcomes. 

EBP champions will likely have to model transparency to encourage others to get on board.
Chapter 2: Getting Started 9

C H A P T E R T W O

Getting Started 

This section will provide you with some guidance on 

how to get started on the process of becoming an 

evidence-based organization, as well as more detail 

on how to use this manual.

As you explore the manual, please remember that 

the Integrated Model looks different in every jurisdiction, and yours will not be an exception. Please modify the approach to make it your own. Though there 

are some essential ingredients, like risk assessment 

and using data, you select the elements that are 

key to making EBP work in your organization. Also, 

the manual describes a process for implementation, 

but it is only the tip of the iceberg on EBP, organizational development and collaboration. Plan to do 

additional reading and have many conversations 

with colleagues in the field to keep up on the lastest 

research and how it applies to your system.

Getting Started Checklist 

As you begin, or continue, your system change efforts, the following elements will help to establish 

a strong and enduring foundation. As an executive, 

you set the tone for change; without strong leadership, none of this work will be possible. At the 

same time, much of the day-to-day work must be 

delegated to committed, knowledgeable, organized 

employees who can translate a plan into action. The 

checklist below identifies some key elements to 

consider for organizations embarking on evidencebased system change, as well as those in the process 

of change that are looking to enhance their efforts.

While some of the items on the checklist reflect 

one-time events, many are ongoing efforts that will 

support your implementation, such as education, 

communication, and data driven decision making. 

Once you have begun those efforts, though, your 

organization will soon be ready for more. The 

remainder of this manual prepares you to launch your 

EBP initiative, and offers a step-by-step description of 

that process. The manual is geared toward the project 

manager and the working group, but can be useful to anyone who wants to know what comes next. 

Ultimately, implementation needs to be a priority and 

shared responsibility at all levels of the organization. 

(See Exhibit 2-1: Getting Started Checklist.)

Four Steps to an Evidence-Based 

Organization 

The Four Steps to an Evidence-Based Organization

are designed to assist your organization with putting 

research into practice. The four steps, Assessment, 

Strategic Planning, Workplan Development, and 

Implementation and Quality Improvement, provide 

a broad framework to plan for change, make change 

and ensure that the change is sustained. The steps 

also stress both quality and quantity of new practices. As changes are implemented, they should 

contribute to improved outcomes for victims, offenders and the community. These four steps apply to 

each of the three domains of the Integrated Model: 

Evidence-Based Practice, Organizational Development and Collaboration. This process is outlined 

below. (See Exhibit 2-2: Four Steps to an EvidenceBased Organization.)

Within each of the four steps is a menu of options 

and your organization can tailor the approach that 

works best for you. For example, “Assessment” can 

include review of a wide range of data, from budget 

allocations to employee satisfaction to annual prison 

commitments. You determine which information is 

most critical for you to understand how your system 

currently functions identify priorities for change. 

“Workplan Development” offers dozens of activities 

that could move your organization toward becoming 
 

exhibit 2–1: Getting Started Checklist 

For Executives 

• Be a Champion, and recruit Others 

Implementing evidence-based policies and practices is a collaborative effort, but a courageous and charismatic leader 

can be integral in getting and keeping the ball rolling. You may be the champion in your jurisdiction, though it is 

helpful to find another credible authority figure, such as a judge, who is willing to be a “face” of the work and share 

the vision throughout the system. If you are initiating this work at the state level, then local champions are essential. 

• Model the Way 

Model the new behaviors that are expected from employees. Engage in open communication, dialogue, and 

debate, and provide support and positive reinforcement as employees take action. 

• Identify a project Manager 

This work is time-consuming and complex, so a talented person is needed to keep the effort organized 

and moving forward. The ideal project manager has authority and credibility within the department and the 

system, can maintain productive relationships, and has the ability to coordinate the many projects that are 

part of EBP implementation. The project manager will also be the go-to person on EBP, so will hopefully 

be well versed in the literature and excited about the work. Most importantly, the project manager needs 

the time to do this work. It should be part of his or her job responsibilities, not a supplement to full-time 

responsibilities. 

For Project Managers 

• assemble a Working Group 

This effort can’t rest on the shoulders of one to two people, so bring together a team. Use the working group 

to discuss opportunities and barriers to EBP, brainstorm next steps, and begin the process of education 

and communication. Try to include representatives from across the organization. (This group may stay intact 

through implementation or membership may evolve over time.) 

• Learn about evidence-Based policy and practice 

The project manager, executive team and working group members will need a strong knowledge of the 

EBP basics in order to plan next steps and be the “go-to” people for their colleagues. Start reading articles, 

attending conferences and training, and talking to colleagues in other jurisdictions about their experience 

with EBP. There is a lot of information out there, and it will take some time to absorb. 

• talk about evidence-Based practice 

Led by the champion, working group members will be the ambassadors for EBP. Start talking with staff about 

EBP and the Integrated Model and what it means. Begin with a basic introduction to the EBP principles and 

what they would mean for the organization. Start making the case for EBP and sharing the vision of what this 

will mean for the system. 

• Keep talking about evidence-Based practice 

Hearing about EBP once is not enough. Find different opportunities to talk about it with colleagues: 

share articles, have discussion groups at staff meetings, provide trainings, hold a conference, etc. Diverse 

opportunities for discussion will encourage learning, as well as send the message that EBP is here to stay. 

• explore and Discover 

Just reading about EBP is often not enough to get a real sense of what it looks like in practice, so members 

of the working group may want to do some reconnaissance. Make a site visit to a jurisdiction that is farther 

down the road with EBP. Send a few scouts to training on motivational interviewing, cognitive-behavioral 

training or other evidence-based programming. Talk with experts about what an assessment package for your 

organization might look like or what the costs might be. Try to preview implementation. 

10 P U T T I N G T H E P I E C E S T O G E T H E R 
Chapter 2: Getting Started 11

evidence-based, but you choose what you would 

like to tackle given your goals and your resources. 

Throughout the manual, you will also read quotations from colleagues in their field, sharing their 

perspectives on the process.

And finally, if you are feeling overwhelmed at any 

time throughout this process, remember:

rome Wasn’t Built in a Day...

And neither are evidence-based organizations. A 

comprehensive approach takes years to implement, 

and evidence-based practice is a philosophy and a 

new way of doing business. Focus on doing a few 

things well so that they can be sustained.

Don’t Let perfection Be the enemy of progress 

Whenever you change practice to improve outcomes, you’re being evidence-based. Incremental 

improvement is okay, as long as you’re moving in the 

right direction. If you can’t develop case plans for 

all medium- and high-risk offenders, start with the 

high-risk. If you don’t have the resources to train all 

of your employees, start with some high-performing 

offices. It’s a step in the right direction, as long as 

you keep moving toward excellence.

You Can’t please all of the people all of the time

(Lincoln)

No matter how good of a job you do making the 

case for EBP, some employees and partners are still 

going to resist the change, and that’s ok. As long as 

a “critical mass” of people is moving forward, you 

can achieve change. Don’t dedicate too much energy to winning over resisters and ignore those who 

are already on board.

plans are Useless, But planning Is Indispensible 

(MacArthur)

Your EBP plan will not survive intact. Changing 

circumstances will require your plan to evolve. 

However, don’t give up on the planning! The planning process establishes a vision for the work and 
12 P U T T I N G T H E P I E C E S T O G E T H E R

long-term goals, so that even when circumstances 

and plans change, you can stay focused on the goal 

and hold employees and partners accountable for 

desired outcomes.

remember the Carrots as Well as the Sticks

As a learning organization, you will always find 

things that you could be doing better. Don’t forget 

to pause regularly to celebrate what you have 

accomplished!

Luck has Nothing to Do With It

If you follow the data, your community will be safer, 

and you’ll have the numbers to prove it. Some offenders will still commit new crimes, and some will 

put your department on the front page of the newspaper. That doesn’t detract from the overall improvement in public safety that results from EBP. Make 

sure you have that message ready when you need it.
CHAPTER 3: Organizational Assessment 13

C H A P T E R T H R E E

Organizational Assessment

To Know Where You’re Going, You Need to Know Where You Are

Assessment: Why?

When you commit to becoming an evidence-based 

organization, you commit to changing the way your 

organization does business. Based on your experience, you probably have some ideas about what 

needs to change—policies that need to be updated, 

or new practices that need to be implemented. You 

also probably have ideas of the barriers to be overcome—employees who are skeptical about this new 

process or outdated performance expectations. You 

may also have questions: Are most employees ready 

to do this? Do we have the training resources we 

need to prepare everyone? Are employees engaged 

in this process? 

In order to develop a plan for achieving your desired 

change, you need to get the full picture of where 

your organization is now. The assessment process 

combines professional experience, objective data 

and input from employees and stakeholders to 

paint a picture of the current organization, identify strengths and guide what needs to change. In 

general, the purpose of assessment is to understand 

and respond to areas of need, which is not unlike the 

principles of risk, need and responsivity that you are 

applying to clients.

The assessment of an organization is similar to your 

annual physical. Your doctor checks on your overall 

health, follows up on any outstanding health issues 

and works with you to resolve any problems or 

improve your health in general. The doctor uses your 

observations, her professional expertise, and objective data, like blood tests, to identify issues and create 

a treatment plan. When you give your organization a 

physical, you can uncover problems that are affecting your productivity and ability to change and 

develop improvement plans.

Assessing your organization for the purpose of 

decision-making will drive and inform the change 

process through strategic planning, work planning 

and quality improvement. To achieve change, you 

must assess where you are in all three areas of the 

Integrated Model: Organizational Development, 

Evidence-Based Practices and Collaboration. As with 

your health, without accurate and empirically derived 

information you won’t unable to apply the correct 

treatment.

Assessment: Who?

Assessments can be conducted by individuals within 

or outside your organization. The choice of who will 

perform the assessment will depend on the expertise 

Lessons Learned From the Field:

• “This took more time than we anticipated; however, it was the key for where we went and where 

we ended up.”

• “This phase can be exhausting—just when you think you have a handle on things, something 

changes and you must go back and re-adjust, but it’s worth it.”

• “This required honest organizational self-reflection, which was extremely difficult when ways in 

which we were operating needed to change.”
14 P U T T I N G T H E P I E C E S T O G E T H E R

needed, the complexity of the assessment and the 

level of anonymity desired. Internal administrators 

offer detailed knowledge of the department, while 

external administrators are able to offer a broader 

view of the assessments and their implications. There 

also may be circumstances, such as demanding data 

collection requirements or the need for advanced 

statistical analysis, in which targeted outside expertise may be needed even though most of the work is 

done in-house. 

Assessment: How?

Two types of information will be useful to your assessment process: formal and informal. Formal assessments will include organizational surveys and review 

of data, such as caseload sizes, revocation rates, and 

recidivism. Most of this chapter focuses on the collection of formal data, because that is often the most 

complex part of the process. However, informal data is 

also very valuable for “taking the temperature” of the 

organization. Informal discussions and focus groups 

with employees can bring key issues to light and can 

provide context for formal assessments. The six-step 

process described below can guide your data collection and presentation. At the end of the process, you 

will have a picture of your organization’s health and 

readiness for EBP implementation. The information 

you gather will supply you with all the tools you need 

to move into the strategic planning, work planning and 

ongoing quality improvement. 

Six Steps to Assessment

Step 1: Decide What You Want to Know

A comprehensive organizational assessment requires 

the commitment to collect information from all employees (i.e. probation officers, administrative and 

SIx StepS to

 ASSESSMENT

1. Decide What You Want To Know

2. Find the Right Tools

3. Develop a Plan to Get the Data

4. Prepare Data for Analysis

5. Analyze Data

6. Present Your Results

support staff, supervisors, management, executive 

management) to measure attitudes; beliefs; knowledge and views regarding organizational health and 

dynamics, correctional research and evidence-based 

practices; and the state of collaboration within the 

organization and across other stakeholder agencies. 

By collecting this data, you can analyze the climate 

within the organization as a whole, across different 

staffing levels and divisions and across partner 

agencies (e.g. substance abuse, mental health, 

health, etc).

The first step of this process is for the working group 

to brainstorm what you want to know about the organizational climate and the state of evidence-based 

policies and practices and collaboration in your 

organization. This may include questions like:

• Have our prison revocations been increasing 

over the past several years?

• Are the treatment programs that we fund 

evidence-based?

• Are our judges familiar with evidence-based policy 

and practice, and do they support it?

• What is the risk profile of our offender population?

• Is our executive team ready to take this on?

Lessons Learned From the Field:

• “At this point of the initiative we really needed some formal assistance to move us forward. 

We were primed but a little stale.”

• “In some organizations it was the senior management staff who solicited technical assistance. 

Once it was obtained, they began the process of educating up and down the organization about 

the benefits of this approach.”
CHAPTER 3: Organizational Assessment 15

Once you have created this list, you will need to 

prioritize those questions that must be answered to 

further the implementation process, questions that 

would be nice to have answered and questions that 

are the least important in terms of furthering the 

initiative. This pruning process will make the assessment phase more manageable, timely and costeffective. (If you are unsure about the right questions 

to ask, review available assessment instruments for 

ideas.)

The questions that must be answered will form the 

core of the assessment content. The next step is 

to clearly define what you mean when you ask the 

question. For example, “collaboration” means different things to different people, so the question, “How 

well do we collaborate?” may need to be clarified as, 

“Do the members of our coordinating council share 

resources to meet common goals?” You will need to 

make further decisions regarding what information is 

needed from various assessment participants. While 

questions about organizational communication are 

relevant to everyone, supervisors will have different 

needs for management assessment than executives.

Without clearly defining what you mean when you 

say something (e.g., recidivism), you run the risk of 

not having sufficient data to answer your questions. 

With a clear definition you have converted a concept 

that can be defined multiple ways into a concept 

with a common definition that all participants share. 

Documenting these decisions will be helpful in selecting the right assessment tools, which is discussed 

in the next section. 

Let’s consider the example of recidivism. You could 

measure recidivism as violations while under supervision, new arrests within one year after terminating 

supervision, new convictions up to three years after 

termination, etc. Maybe you want multiple measures. There is not necessarily a “right” definition of 

recidivism; what is important is that everyone in your 

organization is on the same page about what is being measured. 

Lesson Learned From the Field:

• “We did not do a good enough job of operationalizing (putting into practice) everything we did: 

written protocols, definitions, policies, etc. We ended up backtracking and doing this anyway. 

Makes a big difference when everyone is working on the same page.”

Once you have determined your questions, you 

need to consider how you are going to collect the 

information. Some of your questions will likely pertain to the organization as a whole, and will require 

the collection of information from all employees, or a 

sample of employees. The remainder of this chapter 

is focused on answering these types of questions. 

Questions on other topics, such as revocations, 

recidivism rates, budget allocations, etc. are equally 

as important to the planning process. Individuals or 

groups with the proper expertise should be assigned 

to find the information needed to answer those 

questions, and bring those answers to the strategic 

planning process (see Chapter 4). 

Step 2: Find the Right Assessment Tool(s)

In selecting assessment methods, you want to 

consider formal and informal methods that will get 

your questions answered and also the methods that 

will encourage participants to be forthcoming. In 

general, a variety of approaches is best. Some participants will appreciate the anonymity of an online 

survey, while some will be more comfortable with the 

informality of a focus group.

You can find a range of assessment tools in academic 

literature, via the Internet, through consultation with 

other organizations or you may have tools that you 

have used in the past and are interested in using 

again to measure change. Chances are that there 

will be many tools available for your use. Look first 

for tools that will answer your questions and secondly for the tools that have the best research supporting them. If a research-based tool is not available, 

use the tool that is best able to offer the information 

you need.

Other factors to consider include: 

• Is the tool too long and complicated for ease of 

administration?

• Will the instrument answer your questions?
16 P U T T I N G T H E P I E C E S T O G E T H E R

• Is the instrument designed to measure change 

over time?

• Does the instrument apply to the organization as 

well as individual respondents?

• Have these tools been used by other correctional 

agencies for similar purposes?2

You may administer more than one instrument 

depending on your area of assessment interest. (See 

exhibit 3-1: example Assessment tool for organizational Development, Collaboration, eBp Knowledge, 

Skills, and Attitudes.)

If your list of potential instruments is too extensive, 

this is another point at which you can prioritize. In 

addition to not wanting to over-survey employees, 

it is only possible to respond to a limited amount of 

survey information in any given year. Consider the 

information that is truly necessary given your stage 

of EBP implementation. For example, if EBP is a new 

concept, it may be more important to measure employee support for offender behavior change rather 

than evidence-based supervision skills. Make it easy 

for employees to respond. Help them find time to 

complete the survey. Make computers available to 

employees who may not have easy access.

Step 3: Develop Data Collection Methods 

and Timelines

After finding the right tool(s) to assess your organization, develop a survey plan that includes who 

will be surveyed and how the results will be shared 

with your organization. If your organization has the 

resources, it is best to assess every employee and/

or collaborative member. However, some organizations may not have the resources to assess everyone. 

Sampling may be an easier way to identify who to 

assess. A simple method of sampling can be done 

in-house by selecting the number of employees you 

would like to survey, creating a list of employees 

and selecting every nth employee from the list. For 

example, in an organization of 1,000 employees that 

would like to survey 25 percent, every 4th employee 

would be selected from a list. Alternately, a research 

partner can assist with random sampling.

Once you have identified the sample to be surveyed, you need to determine the method of survey 

administration. Many options are available, each with 

benefits and drawbacks. You can select the method 

that is most feasible for you to implement and that 

offers employees a comfortable level of confidentiality. Options include: 

• Paper or electronic surveys

• In-person administration (such as at a staff 

meeting) or distributing surveys for return

• Administering the survey internally or hiring a 

third party

The next step in this process is to establish a timeline 

for data collection. Timelines are heavily influenced 

by the length of the assessment, the workload of 

respondents, organizational culture and the level 

of investment staff have in the assessment process. 

The amount of time that is reasonable for assessment administration and return is a discussion for the 

working group. Generally, two to three weeks is an 

appropriate amount of time to complete surveys by 

mail or online. 

Regardless of how the survey is administered, you 

should prepare an introductory letter, email or video 

explaining why your organization is conducting these 

surveys, what surveys are included and when they 

should be completed, along with assurances of confidentiality. This is also a chance to remind invitees 

that participation is voluntary, and if they choose not 

to respond, there will be no negative consequences. 

A sample invitation letter is provided below. (See 

exhibit 3-2: Sample Invitation for Data Collection.) 

This can also be combined with other engagement 

activities, such as presentations or videos from the 

chief or director, or an assessment kickoff activity. 

No one likes to complete a survey or provide any 

other type of feedback if his/her perspectives will be 

ignored, or if there could be retaliation for expressing reservations. To reassure potential participants, 

decide in advance how the assessment results will be 

used and shared, how confidentiality will be protected and how respondents will learn the results of their 

input. Thinking through the next steps, communicating them to employees and following through on the 

plan will encourage respondents to trust the process.

2 How to Choose Tools, Instruments, & Questionnaires for Intervention Research & Evaluation, 

http:wilder.dom.com/tools/toolshowchoose.html
CHAPTER 3: Organizational Assessment 17

Exhibit 3–1. Example Assessment Tool for Organizational Development, Collaboration, EBP Knowledge, 

Skills, and Attitudes 

Tool Purpose of Tool Who Is Surveyed

ORgAnizATiOnAl DevelOpMenT

Likert Survey of Organizational 

Climate

(Rensis Likert, modified by Crime and 

Justice Institute)

Validated

The assessment measures key group 

dynamics, organizational climate and 

productivity

All employees

Survey of Organizational 

Functioning, Criminal Justice Version

(texas Christian University)

Validated

Measures organizational readiness 

for change, job attitudes, workplace 

practices, motivational factors, 

program resources, staff attributes, and 

organizational climate

All employees, or those employees 

currently applying evidence-based 

practices

360° Management and 

Leadership Assessments

(Various)

Level of validation varies by tool

Measures management and leadership 

competencies; specific competencies 

vary by tool selected

Supervisors, mid-managers, and 

executives

Team Health Report Card

(Campbell and Mctavish)

Validation in Progress

Measures how your traits, habits, 

personality, experience, etc., impact 

your team

Executives or other internal teams

COllAbORATiOn

Working Together: A Profile 

of Collaboration

(Larson and Chrislip)

Validated

Measure staff perceptions regarding 

the effectiveness of your collaborative 

group

Formal collaborative committees

eviDenCe-bASeD pRACTiCe

Evidence-Based Practice Skills 

Assessment (EBPSA)

(Crime and Justice Institute)

Validated

Measures line staffs skills in the areas of 

communication, interviewing, problemsolving, analytical thinking, critical 

thinking, attitudes of EBP, change 

behavior, positive reinforcements and 

ethics

Employees currently applying 

evidence-based practices

Case Assessment Vignette

(University of Cincinnati)

Validated, though jurisdictions may 

opt to use tailored vignettes

Measures EBP-aligned case planning 

skills

Employees currently applying 

evidence-based practices

iMpleMenTATiOn OF The inTegRATeD MODel

Implementation Checklist Subjectively reviews current organization 

(Crime and Justice Institute) policy and practice to determine 

alignment with EBP and target areas for This is not a validated instrument; it is development a management tool to gauge EBP 

alignment and priorities for change.

Executive team and/or a crosssection of organization employees
18 P U T T I N G T H E P I E C E S T O G E T H E R

Exhibit 3–2: Sample Invitation for Data Collection 

SAMPLE INVITATION LETTER

Sample Sergeant 

Department of Corrections 

2277 Anywhere Boulevard 

Anywhere, USA 21215

Friends of the Department 

2518 Anywhere Avenue 

Anywhere, USA 20784

Month, Day, Year

Dear Friends,

WE WANT TO KNOW WHAT YOU THINK!

Our organization is participating in an initiative to support the implementation of Evidence-based Practices 

(EBP).We are developing a three-year plan for how to move forward, and we want you to have a voice in the 

process. 

To include as many perspectives as possible, employees are being asked to complete a series of online 

assessments. The purposes of these assessments are to record your perceptions regarding organizational 

climate, organizational change, job-related tasks, and characteristics of managers and employees that relate 

to EBP. The assessments will be completed on-line (i.e., web-based) through a secure site that is password 

protected and located on our server. Only research staff will have access to the data you provide as part 

of these assessments. The summary information gathered from these assessments will be used to inform 

and prioritize our organizational development efforts (communication and information sharing, decisionmaking strategies, and leadership). Your responses, along with the responses of others, will be statistically 

summarized and displayed in an aggregate form without identifying you individually; this is completely 

CONFIDENTIAL. No one outside of the research unit will see your individual responses. The results will be 

used to identify areas for improvement in the way the department functions overall, and the way EBP is being 

implemented. 

You will receive and email from the research team on [date] providing you with instructions on the assessment 

process and asking for your participation in three confidential assessments. We understand that you are very 

busy, but this feedback is essential for providing direction to this department. Our hope is this process will 

help us meet your expectations and improve our services and outcomes. 

Look for results of the survey in Probation News in January, and the opportunity to discuss the results with 

the Chief during an all-staff meeting.

Thank you,

Sample Sergeant 

Department of Corrections

Step 4: prepare the Data for Analysis

Before you analyze your data, you need to create 

a data file to help you organize the information 

you collected. This step can be completed by your 

organization’s research staff, university partners or 

external consultants. This is also a suitable project for 

graduate students who have some experience with 

research methodology. If your organization does not 

have access to one of these resources, this section is 

designed to provide you with the basics of preparing 

your data for analysis. For more information, please 

see Appendix B.
CHAPTER 3: Organizational Assessment 19

Step 5: breaking Down the Results

Once the data are entered and checked for accuracy 

they are ready to be analyzed. This is another step 

where a graduate student or university partner can 

be valuable. In deciding how to analyze and present 

data, the most important question to ask is: How can 

I make this data useful to the target audience and 

facilitate the implementation of EBP? The answer to 

this question can determine the level of detail in the 

analysis and the format of your presentation.

The first step in analyzing the assessment data is to 

examine the responses to each question. A commonly used method of calculating responses is to 

look at the percentage of participants who chose 

each response. For example, if the question asked 

about level of satisfaction and the responses were 

very satisfied, satisfied, neutral, unsatisfied, very 

unsatisfied you could examine the data to present 

the number or percentage of respondents who were 

very satisfied, etc. (See exhibit 3-3: Response Distribution Graph.)

Another way to look at this type of response is to 

combine categories into very satisfied and satisfied; neutral; and unsatisfied and very unsatisfied to 

reduce responses to three. Often it is easier for the 

reader to digest and understand patterns of response when they are fewer categories. (See exhibit 

3-4: Collapsed Response Distribution Graph.)

Finally, this type of response set can be reviewed by 

assigning a number to each response, for example 

very satisfied = 5, etc., which allows you to present 

averages and other measures of trends toward high 

or low responses. You can use this strategy in any 

response set in which a hierarchy is implied. (See 

exhibit 3-5: Average Response Graph.)

Exhibit 3–3: Response Distribution Graph

0

20

40

60

80

100

120

140

160

180

200

Very

Satisfied

Neutral Satisfied

How satisfied are you with communication within the department?

(N=565)

Very Unsatisfied

Unsatisfied

190

100

25

50

75

Number of Responses in Category

Exhibit 3–4: Collapsed Response Distribution 

Graph

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

125 = 21% 100 = 18% 340 = 61%

My supervisor is available to discuss my work performance

(N=565)

Very Unsatisfied

or Unsatisfied Neutral Very Satisfied

or Satisfied

Exhibit 3–5: Average Response Graph

0

1

2

3

4

5

q1 q2 q3

1= Very Unsatisfied to 5= Very Satisfied

q4 q5

Overall Average = 3.6

3.2

2.9

4.1

3.4

4.4
20 P U T T I N G T H E P I E C E S T O G E T H E R

Exhibit 3–6: Average Response by Gender Graph

0.0

0.5

1.0

1.5

2.0

2.5

3.0

3.5

4.0

4.5

5.0

q1 q2 q3

1= Very Unsatisfied to 5= Very Satisfied

q4 q5

Men Women

3.2

2.9 2.9

3.4

4.1

3.6

3.4 3.4

4.4 4.4

Lesson Learned From the Field:

• Assessment study reports provided an insightful and balanced look at the information, and were 

user-friendly for all levels of staff.”

After analyzing questions for the overall sample, data 

are broken out by demographics such as male vs. female, management vs. line staff, etc. to begin to explore differences between and among groups. (See 

exhibit 3-6: Average Response by Gender Graph.)

The following is an example of demographic questions that could be asked to differentiate your 

results. Note: when selecting demographic questions, be sure that the answers will not allow you to 

identify individual staff members. For example, if 

there is only one African American male working in 

your department, then that individual would have a 

legitimate concern that he could be identified based 

on answers to these questions. (See exhibit 3-7: 

Sample Demographic Information.)

Once the data have been analyzed across all groups 

of interest, a more robust pattern of analysis can 

begin. This is the comparison of responses to one 

question with the responses to another, either 

overall as represented by the organization or by 

certain demographic groups. Are supervisors more 

comfortable with change than line officers? Are employees dissatisfied with training in general or with 

certain areas specifically? Asking probing questions 

about what the data mean will help you to define areas for improvement and shape your strategic goals. 

If possible, provide everyone in the organization with 

the opportunity to ask questions and receive answers 

(within reason); this will make the data more accessible and trustworthy.

Step 6: Summarize Your Results With 

a presentation 

Once you have analyzed the assessment results, the 

final step of the process is to summarize the results 

in a presentation your audience can easily review 

and understand. This is particularly true during the 

early stages of the implementation process. Providing clear and simple data results will reduce the 

likelihood of overwhelming or confusing the audience. While some people may have experience 

understanding and interpreting results, others may 

not. Keeping the results straightforward is your best 

approach.

After your audience has been identified, you need to 

consider the most appropriate visual format to present your data results. The goal of your visual aids is 

to present answers to your assessment questions and 

to provide guidance as you move toward strategic 

planning. Graphing and/or charting are very useful methods to help present the data you collect. A 

graph can highlight certain aspects of the data more 

clearly and meaningfully by showing patterns, trends 

and/or summaries. (See exhibit 3-8: Sample Graphical Representation of Summary Data.)

In some circumstances, a table is the most appropriate means of displaying data. This is often the case 

when you have more complex data with multiple 

levels that you want to present to your audience. 

(See exhibit 3-9: Sample tabular Representation of 

Summary Data.)
CHAPTER 3: Organizational Assessment 21

Exhibit 3–8: Sample Graphical Representation of 

Summary Data

0

5

10

15

20

25

30

35

40

Change Stress Communication Autonomy Cohesion Mission

30.6

36.7

26.5

31.6

33.7 33.2

Exhibit 3–9: Sample Tabular Representation of 

Summary Data

ORgANIzATIONAL 

CLIMATE DATA

Category

Response 

Rate

Mission 33.2

Cohesion 33.7

Autonomy 31.6

Comm 26.5

Stress 36.7

Change 30.6

Exhibit 3–7. Sample Demographic Information

Are you: Male Female 

Do you consider yourself Hispanic or Latino? No Yes

Are you: [MARK ONE]

American Indian/Alaska Native White

Asian More than one race

Native Hawaiian or Other Pacific Islander Other (specify): ___________________________________

Black or African American

Highest Degree Status: [MARK ONE]

No high school diploma or equivalent Bachelor’s degree

High school diploma or equivalent Master’s degree

Some college, but no degree Doctoral degree or equivalent

Associate’s degree Other

Position:

Manager Field Supervisor Field Officer

Facility Supervisor Facility Officer Clerical/Support Worker

Other

How many years of experience do you have in |___|___| YEARS |___|___| MONTHS 

this field?

How long have you been working at this |___|___| YEARS |___|___| MONTHS 

organization?

How many clients do you directly supervise currently (i.e., your caseload)? |___|___|___|
22 P U T T I N G T H E P I E C E S T O G E T H E R

Once the data have been formatted for presentation, 

it is time to disseminate the findings throughout the 

organization and, in some cases, to external stakeholders as well. This is one of many opportunities 

to emphasize communication. Because it is easy for 

information to fall through the cracks, it is important 

to develop a communication plan and monitor that 

plan to ensure needed information is getting out to 

all who have been designated to receive it. Communication among all stakeholders is an opportunity 

to consider who needs information, what they need 

and how to best convey the information. 

Align the Assessment Results and 

Prepare for Strategic Planning 

When you develop a comprehensive assessment 

package that will guide your strategic planning process, you should assess all three components 

of the Integrated Model: organizational development, evidence-based practices and collaboration. 

You can assess these components sequentially 

when simultaneous assessment is not necessary or 

feasible. The following excerpt is from a comprehensive assessment report which focused primarily on 

organizational development and EBP. (See exhibit 

3-10: Sample organization Assessment Findings and 

Recommendations.)
Exhibit 3–10: Sample Organization Assessment Findings and Recommendations 

Findings and Recommendations 

This document summarizes the findings of the Example County Probation Department organizational assessments, along with 

recommendations for next steps from the project team at the Crime and Justice Institute (CJI). The assessment data includes: 

Likert survey data from executives, supervisors and line staff (all levels); Texas Christian University Survey of Organizational 

Functioning data from all levels; case vignette data from supervisors and line staff; focus group data from supervisors; and 

aggregate 360° management assessment data from supervisors. This data addresses primarily organizational factors, due to 

the content of the assessments. It does not comprehensively address issues of evidence-based practices implementation or 

collaboration, which also need to be considered in the Department’s workplan. 

The data is organized under headings (goals) that were identified by Example County Adult Probation as key themes. Under 

each heading, three informational groupings are offered: highlights from the survey findings; recommendations for how to 

address those survey findings based on CJI’s experience; and specific references to the example workplan and how it might 

be impacted by these recommendations. 

goal One: Improve Multidirectional Communication 

FinDingS 

• Forty-five percent of line staff is satisfied with communication channels, while 50% of executives and 41% of supervisors are 

not. 

• Fifty percent of executives feel that staff is kept well informed, while 64% of supervisors and 51% of line staff do not. 

• Executives and supervisors saw top-down communication as a developmental area, according to the Likert Survey. 

• Staff at all levels feel that more communication is needed about organization issues. 

• Staff at all levels feel that they communicate accurately to management, and that being involved in decision making 

contributes to their motivation. 

• Fifty-one percent of line staff feels free to ask questions and express concerns in this organization, while supervisors and 

executives were divided on this issue. 

• Focus group participants felt that communication on policy change was ineffective. Staff was unsure how their feedback 

on draft policies was being used. Participants also felt that management forums could be used more effectively to discuss 

upcoming departmental changes. 

• According to aggregate 360° assessment scores, communicating information and ideas is one of the most important skills 

for supervisors. In addition, making a point to a resistant audience, public speaking, and handling confrontation were 

overall developmental needs for supervisors. 

ReCOMMenDATiOnS 

• Use management forums, division meetings, and unit meetings as an opportunity for true conversations about organization 

issues, goals, and performance. 

• Utilize multiple communication pathways for key information, including meetings, trainings, intranet, newsletter, videos, 

emails, memos, and word of mouth. 

• When presenting information and soliciting feedback, be clear on how the information will be used at the outset, and 

provide feedback on how input was used. 

• Identify informal communication structures, and involve key communicators in reform activities. 

• Once communication pathways have been identified, provide coaching for individuals responsible for communication and 

opportunities for practice. This also includes clarifying the roles of committee members, i.e. that they are representing 

constituents in the organization and need to communicate about the work of the committee. 

• Conduct regular communication surveys to explore what information is being conveyed to staff and what formats are 

successful. 

CHAPTER 3: Organizational Assessment 23
24 P U T T I N G T H E P I E C E S T O G E T H E R

Executives Supervisors Line Staff

Agree 

Strongly 0% 0% 2%

Agree 38% 28% 43%

Uncertain 13% 32% 28%

Disagree 50% 37% 23%

Disagree 

Strongly 0% 4% 4%

0%

10%

20%

30%

40%

50%

60%

Agree 

Strongly

Executive

Management Supervisors Line Staff

Agree Uncertain Disagree Disagree 

Strongly

SuppORTing DATA

Exhibit 3–10: Sample Organization Assessment Findings and Recommendations (continued)
CHAPTER 4: Choosing Your Destination 25

C H A P T E R F O U R

Strategic Planning 

Choosing Your Destination 

Strategic Planning: Why? 

If you’ve reached the point of asking the question, 

“Where do we go from here?” or “What is this going 

to look like in a few years?”, then you are ready for 

strategic planning. A strategic plan provides the 

direction for an organization or collaborative and 

links its role in the community with the steps that will 

be taken to fulfill that role. The process of strategic 

planning creates an opportunity for colleagues to 

come together, reflect on the goals and direction of 

their work and reach consensus on how the organization or collaborative will move forward. 

The strategic planning process is important, if:

• Your organization does not currently have a 

strategic plan.

• A strategic plan is in place, but it does not incorporate goals related to evidence-based practice.

• EBP implementation is a collaborative effort 

among several agencies, and a plan is needed 

to guide the collective work.

If the strategic plan is being developed for an entire 

organization, then it is likely the plan will contain a 

variety of important goals unrelated or tangentially 

related to EBP, such as safety issues or maintenance 

of physical plant. The process described below is 

applicable to all strategic goals. If a strategic plan is 

already in place, it may not be necessary to restart 

the process from scratch; a review and modification 

of the current plan may suffice. 

Strategic planning also provides an opportunity for 

education on evidence-based practice and the Integrated Model. Planning team members must have a 

working knowledge of the model and how it is put 

into effect in an organization in order to proceed. 

NINE STEPS TO

 STRATEGIC PLANNING

1. Decide on a Planning Structure

2. Select a Planning Team

3. Provide Background Information

4. Develop Vision and Mission Statements

5. Environmental Scan and Gap Analysis 

6. Develop Strategic Goals 

7. Develop Objectives 

8. Document and Disseminate

9. Go To Work 

This can occur through formal training, review of 

documentation from other jurisdictions and consultation with EBP experts or practitioners with implementation experience. 

Strategic Planning: Who? 

Strategic planning should include representatives 

from a cross section of the organization or agencies participating in EBP implementation. Executive 

management must be at the table, and mid-level 

managers, supervisors, and line staff can be represented in a variety of ways. The team should also be 

cross-functional; for example, if your organization 

includes field and facility functions, both should be 

represented. The team that develops the plan will 

be deciding the organization’s direction for the next 

several years, so the group must have the authority 

and operational knowledge to complete the task. 

In addition, the strategic plan will be a guide for all 

employees, and a well-respected planning group 
26 P U T T I N G T H E P I E C E S T O G E T H E R

that seeks input from constituents is an important 

first step.

In addition to the planners, a neutral facilitator can 

help you with the process. The facilitator can be 

someone from inside your organization who is not 

part of the planning team and is willing to focus solely on managing the process, or someone brought 

in from outside who has little or no knowledge of 

your group and no stake in the outcome. It is also 

possible to assign a person from the planning team 

to be the facilitator or to rotate facilitation responsibilities, though that makes it more difficult for the 

facilitator to participate in the discussions. Advisors 

from private business or university business schools 

can also help you structure the process.

When developing a strategic planning team, size 

is an important consideration. There is no magic 

number; the group should be large enough to represent diverse constituencies in the organization or 

collaborative, but small enough to be productive. If 

more than twenty or thirty people want to be directly 

involved in the process, a tiered approach may be 

needed. For example, a small planning team may 

draft goals and objectives and bring them to a larger 

group for feedback, or once objectives are selected, 

more inclusive working teams may be formed to 

develop tasks and timelines.

If evidence-based practices are new to the organization or collaborative, then you can engage employees in EBP by including them in the strategic 

planning process and provide some education on 

how implementation will unfold. This is an opportunity to include those who are knowledgeable proponents of EBP implementation and also those who 

are skeptical and oppositional. Including naysayers 

allows concerns to be aired and addressed at this 

early phase in the process and encourages the development of a plan that will be palatable to a larger 

segment of the organization. 

When individuals are selected to participate in a 

planning committee, they often represent a group of 

their peers. It is important that committee members 

are clear on their role at the table. The Maryland 

Department of Public Safety and Correctional Services, Professional Development and Training Division, 

for example, developed a description of the expectations of committee members, so that committee 

members could fulfill expectations. (See Exhibit 

4-1: Guidelines for Being an Effective Committee 

Member.) 

Strategic Planning: How? 

There are many documented approaches to strategic 

planning, but they all follow the same basic regimen: 

• Determine the purpose of the organization.

• Assess the current climate.

• Defining goals and action steps for future 

business activity. 

If your organization has a functioning process in 

place for strategic planning, EBP can be infused 

into that approach. If not, you can use the process 

described below for the development of a new 

strategic plan and the review and modification of an 

existing plan.

Developing A Strategic Plan

STEP 1: Decide on a Planning Structure

Before you can begin planning, you need to determine a structure for planning so planning sessions 

can be scheduled and participants have a clear 

understanding of their commitment. The process 

is likely to take a total of 4-5 days, with legwork in 

between sessions. The sessions may be conducted 

in 3-4 hour segments over several days or weeks or 

Lessons Learned From the Field:

• Many jurisdictions reported the lack of mid-manager involvement in planning and implementation 

as a definite barrier to success. They noted the importance of getting staff input. 

• “Do not fail to engage organization staff from the beginning.”
Exhibit 4–1: Guidelines for Being an Effective Committee Member 

Benefits of Committees to Organizations 

Committees can be extremely effective ways to organize projects. They allow us to tap into the many diverse skills and talents 

of employees, producing a result superior to what any one individual would be capable. Committees are particularly usefully 

when a complex problem needs to be solved and innovation and creativity are required. Using a group process also creates 

an investment in the outcome and a sense of ownership of the project by committee members. People are committed to 

what they have created. 

Benefits of Committees to Committee Members 

Committees provide opportunities for individuals to develop knowledge and skills in areas to which they may not normally 

be exposed. They also provide a chance for staff to get to know employees in other parts of the organization. Thus, serving 

on committees can be very helpful in advancing in your career, as well as giving you a chance to have a significant impact on 

your organization. 

To Be An Effective Committee Member: 

• Approach your appointment to a committee with a positive attitude. Remember that you were selected for this 

assignment because your skills and talents were viewed as being valuable to the project. 

• Be familiar with the purpose of the committee. If the committee goals are not clear to you, ask for clarification. The chances 

are if you do not understand the committee’s purpose, other members are equally confused. A clear statement of purpose 

is essential for committees to be productive. 

• Be clear about the fact that you represent more than just yourself on a committee. Committee members are generally 

selected to represent some segment of the organization (e.g., a particular unit or organization, a Division, a job 

classification, etc.) Once you know what group you represent, find ways to get input from others in the group you represent. 

• Attend meetings regularly and be on time. One of the biggest frustrations for committee leaders is poor attendance. It is 

up to each member to be responsible for showing up for meetings and for being on time. This is essential if the committee 

is to be successful. 

• If you are unable to attend a meeting, find out what is expected. Who should you notify that you will be absent? Should 

you send a substitute? How can you submit any assignments that are due that meeting? How can you make arrangements 

to get minutes or an update on what happened at the meeting you missed? 

• Willingly volunteer to complete assignments between meetings. It is usually impossible to complete all of the work a 

committee needs to do during the time allotted for meetings. Therefore, members are frequently required to complete 

assignments between meetings. All members should be prepared to share in taking on these assignments. 

• Be responsible in meeting deadlines for assignments accepted. Missed deadlines present a major problem for committees. 

It slows down the process and creates irritation among the members who do submit their assignments on time. You can 

avoid this problem by being realistic about deadlines to which you agree, and then following through as promised. 

• Pair up with someone who has a skill you would like to develop. Sometimes committees need to form sub-groups to 

complete various tasks. Use this opportunity to work with other members from whom you can learn. Likewise, be willing to 

share your particular expertise with others. 

• Volunteer for roles you do not normally take. There are various roles that need to be filled on committees (leader, 

timekeeper, scribe, etc.). Consider volunteering for a role that will be a stretch for you. This is a good way to develop new 

skills. 

• Speak up and give your thoughtful opinions about matters being discussed. You have been asked to serve on a committee 

because your input is valued. This is not the time to hang back. Speak up and be heard. 

• Be respectful when other committee members are speaking. One of the benefits of committees is the ability to bring 

together the collective thinking of a diverse group of people. For this to be effective, all members must have an equal 

voice. 

A Final Thought 

The success of a committee is highly dependent upon the full participation of its members. Committee work can be very 

demanding, but the potential rewards are numerous. 

CHAPTER 4: Choosing Your Destination 27
28 P U T T I N G T H E P I E C E S T O G E T H E R

as 1-2 day retreats. Conducting the sessions off-site 

may help to increase focus on the tasks at hand.

You also need to develop a decision-making structure so participants are aware of their role and 

authority. Some potential options are:

• The planning team develops a draft plan that must 

be approved by the executive team. The approved 

plan is then rolled out to constituents.

• The planning team drafts goals and objectives, 

which are then taken to constituents for discussion. 

Feedback from constituents is incorporated into 

the final draft of the plan, and the executive team 

agrees to accept the plan put forward by the planning team.

• The planning team drafts goals, and the additional 

constituents are recruited to work on committees to develop objectives, tasks, timelines, and 

persons responsible. The planning team then rolls 

the plans together and presents one plan to the 

executive team for approval. The approved plan is 

then rolled out to constituents.

• The planning committee includes the entire executive team as members, and the plan is reviewed by 

key stakeholders. 

• The collaborative planning team drafts a plan, 

which is then submitted to the executive teams 

of the member agencies. Those executives must 

agree to the plan in order for it to be considered 

approved. This could be a process of consensus or 

majority vote.

If developing a decision structure is challenging or 

there is significant disagreement, a neutral facilitator 

can be helpful in determining options and selecting 

an approach.

Lessons Learned From the Field:

• “We conducted initial assessments but did not think through where we were going to take the 

information—we needed a strategic plan.”

• “The formal structure of a plan helps keep a pulse of what is happening in agencies.” 

STEP 2: Select a Planning Team

As mentioned above, the size and composition of 

the planning team can vary depending on the needs 

of your organization. If planning is being done for an 

organization, the team should include senior management and representatives from each major organizational division, as well as representatives from 

each staffing level. If planning is at the collaborative 

level, then each organization should be represented 

by an individual or team. If a team approach is taken, 

it should include someone with the authority to 

commit the organization to action, such as a chief or 

deputy chief, team members with operational knowledge, such as a division director and a supervisor, 

and any needed advisors, such as an administrative 

director or legal counsel.

Team members can be selected, asked to volunteer, 

or offered membership as a developmental opportunity, and the group may be composed of both 

selected members and volunteers. If two field supervisors are needed for the team, volunteers could 

be selected from among all supervisors. If union 

representation is requested and one union representative has made valuable contributions to previous 

planning groups, then you can ask the union for that 

particular individual’s involvement.

STEP 3: Provide Appropriate Background 

Information

In order to develop an evidence-based strategic 

plan, the planning team must have contextual information about the organization or collaborative, and 

they must have background information on EBP and 

the Integrated Model. The organizational context 

can be provided by the organizational assessment 

results and any supplemental data you have collected. (Refer back to the questions you posed in 
CHAPTER 4: Choosing Your Destination 29

Chapter 3, like recidivism rates.) You can find background on EBP in publications, formal training and 

talking with people who have experience implementing EBP at other sites. In addition, some planning 

teams choose to include internal or external content 

experts who can provide input as needed.

STEP 4: Develop Vision and Mission 

Statements

A vision statement describes what will be achieved 

when the organization achieves its purpose. In 

corrections, it answers the question, “What will the 

community, including offenders, victims and citizens, 

look like if the organization achieves its goals?” A 

mission statement describes the purpose of an organization to employees and the outside world. Together, they define why the organization exists and 

serve as a guide for daily work: all activities, from 

greeting clients at the door to collecting specimens 

for drug testing, should be in support of the mission 

and vision.

The organization vision statement is the ideal to 

which the organization aspires. The development of 

the vision statement is an opportunity to think about 

how the organization contributes to the community 

and what it values. Corrections agencies often talk 

about concepts like public safety or victim restoration. When developing your vision statement, solicit 

input from employees and stakeholders about what 

success looks like for community corrections and 

what the community/country/world would look like if 

the system were successful.

Lessons Learned From the Field:

• “Earlier planning would have resulted in a faster change process.”

• “You need to be ready as a leader to lead the process. If you want to implement EBP but don’t 

want to do work, and, say, move the responsibility to your deputy in the hope it implements itself, 

it will not work.”

• “Ideally, Probation alone should not drive the reform efforts...it should be a partnership with the 

other stakeholders, and we never seemed to achieve that.”

The organization mission statement is one of the 

most important tools for driving evidence-based 

system reform. When discussed frequently, it is reminder to the entire organization of the reason that 

employees get out of bed and come to work in the 

morning. It is a guide for prioritizing work. Often, 

mission statements are allowed to age and become 

irrelevant. But times change and mission statements 

need to keep up with those changes. They are also 

frequently invisible, either a faded poster on the wall 

or the small type at the top of letterhead. Revising 

the mission statement, and then disseminating and 

frequently discussing it, can set the tone for a shift in 

organization climate and can provide the connecting 

thread between the new policies and practices that 

are implemented as part of EBP. When employees 

become frustrated and wonder why they are being 

asked to do something new, the connection to the 

organization’s mission can provide the answer.

You can develop the mission statement with input 

from the planning team, or other staff and stakeholders may be included. Begin with the question, 

“What is the purpose of our work?” or “Why does the 

organization exist?” and have participants brainstorm 

concepts that answer that question. Reviewing sample 

mission statements in advance also may be helpful. Assign some participants to answer the question 

through the eyes of stakeholders, such as clients, 

community members, families, the courts, etc. Also, 

review any documentation that speaks to your mission, such as the statutory authorization for your organization, or the charter authorizing your collaborative.
 

 

 

 

 

 

Once you have finalized the list of concepts, review them with the group and allow participants to 

advocate for those they consider important. Then 

use a narrowing technique, such as group discussion 

or prioritizing, to select the most essential concepts 

for inclusion in the statement. The group can then 

work together on developing a final statement, or 

a smaller group can take the concepts and develop 

the statement later. Before the statement itself is 

drafted, you should determine who will approve 

the final version. It could be consensus of the whole 

group (which can often be time consuming) or review 

and feedback from the group with final approval by 

organization leadership. (See Exhibit 4-2: Sample 

Vision and Mission Statement: Maryland Division of 

Probation and Parole and Exhibit 4-3: Sample Mission Statement: Multnomah County, Oregon Department of Community Justice.) 

Some organizations or collaboratives like to include 

a statement of values with their vision and mission 

statements. This sends a message to community 

members, clients and employees about what types 

of behavior and philosophy are held in highest 

regard by the organization. It also sends a message 

when values change; for example, an evidencebased organization may value doing no harm or 

promoting positive behavior change. This can be 

linked to the selection of practices proven to improve outcomes for offenders and the community 

and the rejection of practices that are not proven to 

do so. Values can be developed in a process similar 

to the mission—posing the question of what is most 

valued by the organization, brainstorming concepts, 

advocating for the strongest ideas, and selecting 

a final set through voting or consensus. Four to six 

values is generally a manageable number, though as 

you see in the examples presented in this chapter, 

there can be more. 

When employees are asked to support something, 

they need to understand why it is important and 

what end it will achieve. When everyone shares a 

clear mission and vision for their work, it is easier to 

create a shared commitment to goals that help to 

achieve that mission. 

Exhibit 4–2: Sample Vision and Mission Statements: Maryland Division of Probation and Parole 

Vision 

It is the vision of the Division of Parole and Probation to become a comprehensive community corrections organization that 

works in collaboration with criminal justice agencies, communities and service providers to prevent and interrupt the criminal 

behavior of probationers, parolees and other supervisees. The Division will identify and implement evidence-based practices 

to facilitate the successful reintegration of supervisees into their families and communities. The Division will develop a safe 

and supportive work environment that encourages all employees to achieve their maximum professional potential. 

Mission 

The Division of Parole and Probation will ensure the safety of its employees and enhance public safety by holding supervisees 

accountable to victims and the community and by helping supervisees through the process of becoming law-abiding and 

productive. 

Professional Principles 

The Division of Parole and Probation recognizes that all of its employees are essential to achieving the mission and embraces 

these principles: 

• DIGNITY We respect the dignity of each individual. 

• PRIDE We take pride in our ability to work together as a team. 

• HUMOR We maintain perspective on our task, ourselves, and each other. 

• INTEGRITY We value honesty in all we do. 

• ACCOUNTABILITY We measure ourselves according to our highest standards. 

• CREATIVITY We encourage and support innovations based on evidence. 

• LEADERSHIP We strive for excellence in the criminal justice community. 

30 P U T T I N G T H E P I E C E S T O G E T H E R 
STEP 5: Conduct an Environmental Scan 

and Gap Analysis 

The Vision and Mission Statements provide guidance 

on where an organization wants to go. The Environmental Scan and Gap Analysis determine where the 

organization is now and what it will take to move 

toward achieving the mission and vision. The gap 

analysis requires a significant investment of time and 

energy, but it is an important starting point for setting strategic goals. Again, there are many potential 

approaches to this step, and extensive literature 

is available in the business field on options. The 

approach described here is the SWOT (Strengths, 

Weaknesses, Opportunities, and Threats) Analysis, 

a popular matrix approach to assessing the internal 

and external environment.3 

You will need many different types of data to prepare 

for the environmental scan, and it is helpful for planning team members to have assignments to bring 

and present data. This is not necessarily numerical 

data—it is data in the broadest sense, any information that will guide and enrich that process. 

Some examples of valuable data include: 

• Results from organizational assessments 

• Survey data from employees, clients and 

the public 

• Data on client outcomes 

• Budget projections 

• Current or pending legislation 

• Strategic plans of partner organizations 

• Organizational policies and procedures 

Consider the Integrated Model here: what data will 

be helpful to determine where the organization is in 

regard to EBP, OD, and Collaboration? Also, return 

to your initial assessment questions; the answers 

should be on the table as part of the environmental 

scan. 

In some cases, this data will be readily available; 

in others, you will have to gather it. The data may 

not even exist and the group will need to agree on 

a substitute measure. It is up to the planning team 

how much effort should go into data gathering, but 

the group should make sure that key elements 

(such as the data elements listed above) are there. 

For example, if the legislature just passed a bill requiring a reduction in revocations to prison, then the 

Exhibit 4–3: Sample Mission Statement: Multnomah County, Oregon Department of Community Justice 

Mission 

Our mission is to enhance community safety and reduce criminal activity by holding youth and adults accountable in a fair and 

just manner, assisting them to develop skills necessary for success, and effectively using public resources. 

Values and Principles 

• Change and Rehabilitation 

• Strong Families 

• Professionalism 

• Information-Based Decisions 

• Collaborative Relationships 

• Restitution to Victims and Communities 

• Diversity 

• Financial Accountability 

• Investing in Employees 

CHAPTER 4: Choosing Your Destination 31

3

 Albert Humphrey, SWOT Analysis (Standford University, 1960). 
32 P U T T I N G T H E P I E C E S T O G E T H E R

planning group needs to be familiar with the legislation in order to develop implementation strategies. If 

employees cite workload as a significant issue, then 

data on caseload should be available.

As discussed above, how you present the data is an 

important consideration, especially when a group is 

being asked to absorb a large quantity of unfamiliar 

information at once. Graphical presentation or bullet 

points are always appreciated, with more detailed 

information available for those who desire it. If the 

planning group does not want to attempt to master 

all of the information available, then working groups 

may be assigned to be topic experts in certain areas, 

such as policy, organization operations or evidencebased practices, and they are charged with bringing 

needed information to the table.

Once the information is on the table, the SWOT can 

begin. Participants may complete a SWOT individually before the group discussion, or the SWOT can 

be a group exercise. The SWOT process requires a 

facilitator, preferably someone who is not part of the 

process. The matrix is generally constructed as follows (Exhibit 4-4: SWOT Analysis).

Based on the data, the group identifies conditions to 

place in each square of the matrix. Once the group 

has exhausted each section of the matrix, the items 

can be prioritized for inclusion in the strategic plan. 

Several factors should be considered: 

• What does the group have the authority to 

influence? 

• What items are most urgent to address in order 

to move forward? 

• What are most important to lasting system 

change? 

• Are all three areas of the Integrated Model 

addressed? 

Select ten to twelve priority areas that you want to 

address in your strategic goals. For example, “high 

caseloads” may be listed as a weakness that needs 

to be addressed. If it is selected as a priority area, 

your team will then create a strategic goal to address 

the issue.

STEP 6: Develop Strategic Goals

The strategic goals represent the major policy or 

practice changes your organization wishes to investigate or implement in the upcoming years. When 

creating a plan for implementing evidence-based 

practice, consider both the gaps identified in the 

SWOT analysis (e.g., top-down decision making 

that negatively impacts organizational climate) and 

steps that are necessary to implement the Integrated 

Model, such as implementing a risk/needs assessment tool. From those gaps and necessary steps, 

develop goals.

Every system is unique, so the process for implementing the Integrated Model will vary. The challenge for the strategic planning team will be to 

determine what to tackle and how much is reasonable to accomplish in a given period of time. 

Evidence-based supervision is challenging, and 

employees will need time to learn and incorporate 

new skills. Aiming for four to six significant changes 

in a year (i.e., implementing a risk/needs assessment, 

convening a coordinating council) is usually reasonable. The larger the organization or system, the 

longer it takes to roll out and reinforce change. The 

plan may also include ongoing efforts, like maintaining employee safety.

Strategic goals are broad, but they establish a specific result that you want to attain within a set period 

of time. The goal setting phase translates gaps and 

needs into these specific conditions. For example, if 

prison overcrowding is an issue, a goal might be to 

reduce revocations to prison by 20 percent in two 

Exhibit 4–4: Strengths, Weaknesses, Opportunities, 

and Threats (SWOT) Analysis

STRENGTHS

Internal conditions, resources

or capacity that will assist in

reaching your goals.

WEAKNESSES

Internal conditions that could

prevent you from reaching your

goals. This could also include a

lack of resources or capacity.

OPPORTUNITIES

External resources or

conditions that will assist you

in reaching your goals.

THREATS

External conditions that could

prevent you from reaching your

goals, including lack of resources

or capacity.
CHAPTER 4: Choosing Your Destination 33

years, or it may be simply to explore the reasons 

for prison admissions over the next six months. If 

inconsistent responses to violations are an issue, 

then your goal may be to recommend or implement 

a revised policy on graduated responses. It is up 

to the strategic planning team to determine how 

ambitious the efforts should be and what can be accomplished in a given time frame. This is often a balancing act; goals should be ambitious without being 

unattainable. They should also be a mix of short and 

long-term; it will be difficult to maintain momentum 

for EBP if all goals will take five years to achieve.

STEP 7: Develop Measurable Objectives and 

Assign Responsibility

Once you have established goals, the team should 

consider the intermediate steps needed to implement the goals. These objectives should be SMART: 

Specific, Measurable, Attainable, Realistic, and 

Time-bound, and describe the key “chunks” of work 

needed to achieve the goal. It is possible that you 

have not yet discovered all the objectives needed to 

achieve the organization’s goals. Investigation of appropriate implementation steps may be needed first.

It is also helpful to assign benchmarks of quality for 

each goal or objective. How will you know it’s been 

done, and how will you know that it’s been done 

well? Measuring progress towards your strategic 

goals serves several functions: 

• It demonstrates the productive value of the work.

• It holds individuals and teams responsible for their 

assigned objectives.

• It begins the process of embracing data-driven 

decision making.

STEP 8: Document and Disseminate the Plan

Once the plan is finalized, share it widely and give 

employees and stakeholders the opportunity for 

questions and discussion. A user-friendly plan is 

more likely to be read and digested. A brief, matrixstyle strategic plan, like the example below, is often 

the most effective presentation. This is another 

opportunity to make use of the communication plan 

that was discussed in Chapter 2.

The ability of frontline supervisors and mid-level 

managers to comprehend, present and apply the 

strategic plan is critically important. Not everyone 

will be skilled in this process. Take plenty of time 

to review the plan, answer questions and develop 

talking points that will be presented in a consistent 

manner. 

STEP 9: Go to Work

Once the plan is in place, it’s time to translate it into 

specific actions steps. The strategic planning team 

can handle this or a new implementation team can 

be formed. Forming an implementation team is 

often used when the strategic planning team is composed of high-level managers or policymakers and 

implementation is to be carried out by operational 

managers and staff. The next chapter details how to 

translate the strategic plan into a workplan.

The strategic plan is a dynamic working document, 

and it should be continually referenced to ensure 

that organizational activities are aligned with the 

goals and progress is being made toward benchmarks. Periodic updates on the strategic plan will 

Lessons Learned From the Field:

• “This is/was a challenge. But we made it through and developed our plan. “

• “There was not necessarily agreement on what a strategic plan should look like. Some wanted to 

go slower and some faster. It became difficult.”

• “I think it can help tremendously and it takes much more discipline than most of us understand.”

• “Sometimes this planning becomes too rigid and thus is not seen as guidelines but as definitives.”
34 P U T T I N G T H E P I E C E S T O G E T H E R

Lesson Learned From the Field:

• “Good strategic planning takes time and process, given the realities of the normal organizational 

requirements. It needs to become a commitment for the organization. The one thing I would do is 

have someone from the outside lead this process and continue leading for three years.”

keep employees and stakeholders on the same page 

about the goals of the department and its progress. 

The strategic plan may also need updates as circumstances change or tactical issues arise. (See Exhibit 

4-5: Evidence-Based Strategic Goals and Exhibit 

4-6: Sample Probation Department Strategic Plan 

FY 2010-2011.)
CHAPTER 4: Choosing Your Destination 35

Exhibit 4–5: Evidence-Based Strategic Goals

Year One

Before change can happen, internal and external stakeholders need an 

opportunity to learn about EBP and be brought on board. Create a plan to Education and Engagement spread the word; this may include hosting conferences, making presentations 

or developing electronic or print materials.

Review policies and procedures for alignment with evidence-based practice and 

develop strategies for updating those that are not. This may include strategies 

Policy and Procedures for changes in statutes or regulations.

For more information on options for evidence-based policy change, please see 

the Pew Policy Framework for Community Corrections.

Comprehensive organizational change requires strong leadership and stepping 

Leadership into new leadership roles. Assessment and competency development among 

leaders at all levels build capacity for change.

A structured, functioning collaborative, such as a criminal justice coordinating 

council, can offer a venue for integrated, systemic change. Year One can be Criminal Justice Collaboratives an opportunity to charter a collaborative, or if one already exists, to engage in 

training, collaborative planning, and/or collective policy and practice changes.

Information systems are essential to efficient evidence-based practices, both 

to automate practice and generate data. System upgrades are often required, 

Information Systems and goals may include allocating funding, upgrading infrastructure, expanding 

IT capacity, or working with vendors on new software applications (i.e. case 

management software).

Measure baselines of performance as a snapshot of where the department 

is now and establish benchmarks of where it wants to be. Create a plan to 

Quality Assurance and Data collect data on progress towards those goals and prioritize based on resources. 

Incorporate data into presentations to begin to de-mystify it.

For more information, see Chapter 6 and CJI’s Quality Assurance Manual.

Assessment of risk and needs is a starting point for providing appropriate 

intervention, so tool selection should be an early action step. A variety of tools Risk and Needs Assessment are available for free or at varying cost, for both adults and juveniles. Review the 

options and select a tool that best meets the needs of the system.

How officers respond to current behaviors, both positive and negative, can 

significantly impact future behaviors, but responses often vary widely among 

Response to Client Behavior officers and focus on the negative. Review current responses to violations 

and compliant behavior with the goal of creating a flexible, evidence-based 

responses grid that includes positive reinforcement.

The quality of interactions between staff and clients are essential to client 

engagement and ultimate behavior change. Introducing and reinforcing skills 

Client Engagement and Motivation such as Motivational Interviewing1

 and Core Correctional Practices2 can have an 

immediate and visible impact on the quality of client contacts, as well as longer 

term impact on client behavior.

Review current training practices for alignment with evidence-based practices 

Training and implement revisions to training curricula that are not EBP-aligned. Introduce 

training on EBP and related topics.

1

 Stephen Miller and William R. Rollnick, Motivational Interviewing: Preparing People for Change (Guilford Press, 2002).

2 Cognitive-behavioral treatment: A review and discussion for corrections professionals, National Institute of Corrections. http://nicic.gov/Library/021657.
36 P U T T I N G T H E P I E C E S T O G E T H E R

Exhibit 4–5: Evidence-Based Strategic Goals (continued)

Frontline supervisors are essential to managing organizational change and 

supporting the implementation of new practices. Involve supervisors early 

and regularly. They will likely require additional training and coaching beyond 

Supervisors what all frontline employees are receiving in EBP, as well as training in change 

management and/or project management.

(For more information, see CJI’s Supervisors Leadership Academy, and NIC’s 

EBP for Supervisors E-Learning Module.

Change is more successful when attention is paid to the process of transition, 

including what employees are giving up and the various demands of doing work 

Managing Change in a new way. Awareness of the change process through training, discussions, 

and activities that facilitate transition can ameliorate concerns and increase the 

likelihood of success.

Year Two

As part of the budget process, analyze how resources are being allocated and 

whether or not the allocations support EBP. Consider where reallocations can 

Budget be made internally and where the department may want to seek alternate 

allocations from funding agencies. Also consider a zero-based budgeting 

approach—building an EBP-aligned budget from a blank canvas.

Review human resources policy and practice to see if it is aligned with EBP. Do 

job descriptions, performance appraisals, promotion practices, etc. reinforce the Workforce competencies needed in an evidence-based workplace?

For more information, see CJI’s Community Corrections Workforce Manual.

After establishing baseline measures and benchmarks, plan to create a 

“dashboard” of key measures and discuss them regularly throughout the 

Quality Assurance and department and the system. Provide training on quality assurance for those 

Performance Measures needing to interpret data, facilitate data discussions and apply data to 

operations. Use data as an opportunity for positive reinforcement and modeling 

desired behaviors.

Assessment and case planning are only as good as the treatment available 

to address criminogenic needs. Involve treatment providers in training and 

Service Providers education efforts and work collaboratively to assess current services and 

address gaps where services are not evidence-based. Plan to revise contract 

requirements or referral guidelines.

Continue to update basic training and incorporate new evidence-based 

training. Provide booster training on concepts introduced in the previous year. Training Develop capacity to sustain training programs in-house that are being provided 

by external consultants.

Return to your review of policy and procedures from year one and continue 

to identify, amend and implement policy changes. Collaborate with external Policy and Procedures bodies such as county commissions, judicial councils, etc. on policies 

promulgated outside of the department.

Building on the work of year one, use the collaborative to develop and 

Criminal Justice Collaboratives implement integrated practice changes and/or system level policy changes, 

such as strategies to reduce revocations.

Increase capacity for automated reporting and dissemination of data. This may Information Systems involve development of existing capacity or expanding the current MIS system.

Once an offender assessment tool has been selected, a case planning process 

can be put in place (which may be packaged with the assessment or may 

be separate). Implementation includes policy development, training, quality Case Planning assurance, and MIS development. Also, accuracy of case plans and availability 

of treatment referrals are essential to success. The goal may be for full 

implementation or piloting and fine tuning before full implementation.
CHAPTER 4: Choosing Your Destination 37

Exhibit 4–6: Sample Probation Department Strategic Plan, FY 2010-2011

Strategic Goals Objectives Person Responsible Quality Benchmark

1) By the end of FY 2010, 

all probation staff and key 

external stakeholders will 

have received education 

on evidence-based policies 

and principles.

1-1) Develop and 

implement a detailed 

outreach strategy for 

external stakeholders, 

including interaction 

opportunities and 

education/engagement.

1-2) Develop and 

implement a training 

plan for all probation 

department staff, including 

presentations, unit level 

discussions, and materials.

Deputy Director for 

Administration

1-1) When surveyed, 

external stakeholders 

indicate support for EBP.

1b) When tested, 

employees retain EBP 

knowledge.

2) By the end of FY 2011, 

the probation department 

will have fully implemented 

an automated risk/needs 

assessment and case 

management system.

2-1) Select a risk/needs 

tool and case management 

system.

2-2) Develop policy, 

procedures, implementation 

strategy, and quality 

assurance measures.

2-3) Train staff

2-4) Implement tools 

throughout dept.

Deputy Director for 

Operations

2-1) Intake and supervising 

officers complete 

assessments and case plans 

accurately and on time.

3) By the end of FY 2011, 

the Coordinating Council 

will have developed draft 

graduated response 

guidelines for submission to 

the sentencing commission, 

as well as recommendations 

for legislation on Earned 

Time Credit to be 

presented in the 2012 

legislative session. 

3-1) Review current 

policies and practices on 

positive reinforcement and 

graduated responses for 

EBP alignment.

3-2) Engage a committee 

of internal and external 

stakeholders to recommend 

changes to statute and 

sentencing guidelines 

regarding graduated 

responses.

3-3) Submit 

recommendations on 

graduated responses to 

Sentencing Commission.

3-4) Develop outreach 

strategy to approach 

judiciary committee on draft 

ETC legislation.

Department Counsel 3-1) Revised policy on 

graduated responses will be 

approved.

Exhibit 4–5: Evidence-Based Strategic Goals (continued)

To sustain change, follow-up efforts are needed. Initial training may require 

boosters, stakeholders may need more information, assessments may need to Follow-Up on Year One be automated, etc. As each milestone is met, objectives can be taken to the 

next level.
38 P U T T I N G T H E P I E C E S T O G E T H E R

Strategic Goals Objectives Person Responsible Quality Benchmark

4) By the end of FY 2010, 

recommendations for a 

revised basic and annual 

training curriculum will 

be presented to the state 

training certification board.

4-1) Provide extensive EBP 

training to Training Dept.

4-2) All training curricula 

will be reviewed for 

alignment with EBP, 

and recommendations 

developed to modify or 

eliminate existing training.

4-3) When needed, new 

training curricula will be 

acquired or developed.

4-4) A comprehensive 

proposal will be submitted 

to the certification board for 

approval. 

4-5) An implementation 

plan will be developed in 

anticipation of approval.

Training Manager 4-1) External audit will 

indicate that revised 

training curricula are 

evidence-based.

Note: This is not a comprehensive plan; it is a sample of evidence-based goals.

Exhibit 4–6: Sample Probation Department Strategic Plan, FY 2010-2011 (continued)
CHAPTER 5: Developing a Workplan 39

C H A P T E R F I V E

Mapping the Route

Developing a Workplan 

Develop A Workplan: Why? 

You know where you’re going, and now you’re ready 

to map out your route and get moving. Workplan 

development establishes the tactics, timeline, and 

teams for getting the work done. However, this step 

is not just the development of a document; it is the 

time when the people who will be leading implementation explore alternatives, take part in education and develop expertise in their area of focus. In 

some cases, developing the workplan steps will be 

easy, because you will already know exactly what 

steps to take. In others, determining the steps will 

be your first order of business, and the process will 

involve reading, training, phone calls, discussion and 

consensus-building to determine next steps.

The workplan often has a smaller scope than the 

strategic plan: one to two years rather than three to 

five. This allows for a more manageable document, 

since the workplan is more detailed than the strategic plan, and also allows the strategic plan to evolve; 

it can be reviewed and updated annually based on 

progress and new information.

Once completed, the workplan provides the roadmap for implementation, and you can use it both 

to guide work and to communicate the plan and 

progress toward completing the steps. (See Exhibit 

5-1: Sample Workplan.)

Develop A Workplan: Who? 

Though most of the work of implementation is 

completed by individuals and committees, you 

need some oversight to ensure that the work is 

coordinated, that it aligns with the mission and 

strategic plan, and individuals and committees are 

completing their assigned objectives. This oversight committee may be called a Steering Committee, Implementation Team, etc. It may be a natural 

continuation of the work of your Strategic Planning 

Team, or be a new group.

Like the Strategic Planning Team, the composition 

of this team is very important. Though many of the 

same individuals may serve on both teams, the 

Implementation Team is often more operationally focused and may involve fewer policy-level executives. 

Lessons Learned From the Field:

• “We had a strategic direction but not a plan. We had a goal and vision but not a plan. Developing 

the plan tied everything together.”

• “You have to decide that this is the thing you are going to make happen as a leader; realize this is 

not an outcome but a process and that it will never go away.”

• “It is critical that this process happens with managers and supervisors involved.”

• “For implementation to be effective, field supervisors must feel empowered and responsible.”
40 P U T T I N G T H E P I E C E S T O G E T H E R

Lessons Learned From the Field:

• Many jurisdictions reported the lack of mid-manager involvement in planning and implementation 

as a definite barrier to success. They noted the importance of getting staff input. 

• “Do not fail to engage organization staff from the beginning.”

For example, the Chief Justice may be involved with 

setting strategic goals, while a representative from 

the Court Administrator’s office may be involved 

in workplan development. Also, membership may 

change as a result of the type of goals you select. 

If many goals are focused on external policy or collaboration, the steering committee may need to be 

a collaborative group with political expertise. If your 

plan is focused on community corrections policy and 

training, your team will require operational expertise. Ideally, your goals will be diverse and require a 

diverse team. 

Some key characteristics of team members are:

• Those with the authority to authorize implementation, either within or across agencies

• Those with the technical knowledge to guide 

workplan development and implementation

• Those responsible for carrying out key goals and 

objectives

• Those who can provide cross-sectional representation from participating agencies

Develop A Workplan: How?

Step 1: Convene the Implementation Team

The committee will likely meet frequently as the 

workplan is being established and then monthly or 

quarterly thereafter to track progress on the plan, 

communicate results, and make adjustments to the 

workplan or strategic plan as needed. This group can 

also be responsible for oversight on quality assurance and for any re-assessment of the organization.

Six StEpS to

 woRkPlAnning

1. Convene an Implementation Team

2. Do Your Homework

3. Delineate Tactics, Timelines, and Teams

4. Form Work Committees

5. Develop Reports and Status Updates

6. Implement, Review, and Update

Step 2: Do Your Homework

This is the investigative stage. Because of the depth 

and breadth of system reform based on the Integrated Model, the constant evolution of both research 

and practice, and the unique nature of your strategic 

plan, it is impossible to offer advice on what steps 

make the most sense in your jurisdiction. However, 

below are some helpful sources of information:

• The national institute of Corrections and other 

public agencies. Many publications and tools are 

available though NIC and other federal, state and 

local agencies, such as the Washington State 

Institute for Public Policy. The NIC information 

center offers online searches and the services of 

reference librarians to track down resources on assessment, motivational interviewing, quality assurance, cognitive-behavioral programming and many 

others. Specialists at public agencies can also be a 

source of technical knowledge or referrals to other 

professionals in the field.
CHAPTER 5: Developing a Workplan 41

Exhibit 5–1: Sample workplan 

Strategic goal: By the end of FY 2011, the probation department will have fully implemented an automated risk/ 

needs assessment 

(Note: the organization decided to divide the assessment and case planning functions for purposes of the workplan 

and committee structure.)

Objective Tactics Person Responsible Timeframe Status as of 11/1/09

1) Select a risk/

needs tool and case 

management system.

• 

• 

• 

• 

• 

• 

• 

Charter assessment 

committee

Research assessment tool 

options

Meet with vendors

Review budget 

implications

Committee recommends 

tool to exec team

Exec team reviews options

Chief selects final tool

• 

• 

• 

• 

• 

• 

• 

Deputy Director

Gloria S.

Gloria S.

Mark X.

Gloria S.

Deputy Dir.

Director

Jul 09

Jul 09

Aug 09

Aug 09

Sep 09

Sep 09

Oct 09

Chief approved 

selection of tool 

recommended by 

committee.

2) Develop policy, 

procedures, 

implementation 

strategy, and quality 

assurance measures.

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

Develop written 

implementation policy 

Committee meets with IT 

vendor about integration

IT vendor develops online 

assessment system

Assessment goes live

Committee develops 

communication plan

All staff receive 

introduction to assessment

All staff receive regular 

updates on assessment 

process

Three units selected to 

pilot assessment

Pilot officers implement 

assessment

Pilot inter-rater reliability 

is assessed

Pilot units give feedback

Technology is updated

All units implement 

assessment 

Inter-rater reliability 

is assessed

Committee develops 

quality assurance plan

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

P & P Committee

Sergio R. 

Sergio R. 

Gloria S. 

Chris L. 

Chris L. 

Chris L. 

Mike N.

Mike N.

Jennifer R. 

Mike N.

Sergio R. 

Mike N.

Jennifer R.

Gloria S.

TBD

Nov 09

Dec 09-Jan 10

Feb 10

Sep 09

Oct-Nov 09

Dec 09-Jun 11

Dec 09

Feb-Apr 10

Apr 10

May 10

May-Jun 10

Aug 10-Feb 

11

Mar 11

Oct 10-Jan 11

Gloria Sanchez is 

attending P & P 

committee meetings 

to assist in policy 

development.

Software updates 

have begun.

Chief presented 

assessment intro to 

all staff
42 P U T T I N G T H E P I E C E S T O G E T H E R

Exhibit 5–1: Sample workplan (continued)

Objective Tactics Person Responsible Timeframe Status as of 11/1/09

3) Train staff • Pilot officers receive 

training

• Donna H. Jan 10

• Training is updated if 

needed

• Donna H. May-Jun 10

• All other units are trained 

(two per month)

• Donna H. Jul-Dec 10

• Committee develops 

booster training sessions

• Judy C. Feb-May 11

• Train the trainer is 

completed

• Judy C. May-Jun 11

• Training. In-person or online training may be 

available on your topic of focus. 

• Universities and researchers. Universities with 

criminal justice departments or centers, such as 

the University of Cincinnati or the Muskie School of 

Public Service at the University of Southern Maine, 

can be a valuable source for the latest research 

and connections to jurisdictions involved in EBP 

implementation.

• Colleagues in the field. Many jurisdictions are in 

the process of implementing evidence-based practices and are happy to share their experiences. 

Contact practitioners who have written articles in 

trade publications. Track down presenters from 

conference workshops. Google organizations that 

are referenced in NIC and CJI documentation. See 

the Network of Practitioners listed at the end of 

this document.

• Professional organizations. Organizations like 

the American Probation and Parole Association 

and International Community Corrections Association have played a valuable role in disseminating 

information about evidence-based practices. Professional organizations can provide publications, 

toolkits and contacts with additional sources of 

information.

• External consultants, trainers, and vendors.

Though they are often promoting particular 

products and services, vendors and consultants 

can offer expertise in their own areas of specialty. 

Soliciting information from private agencies and/

or contracting for outside services are avenues for 

input.

• Your organization. Your data can provide a great 

deal of information on what is effective in your 

community. Where possible, map the interventions 

you currently use and review any outcome data 

you have available. For successful populations, 

analyze what is contributing to that success.

• Partner agencies. Other agencies, such as treatment providers, may have expertise in evidencebased services.

The amount of information you collect will vary 

greatly depending on the strategic goal. Gather 

enough information so your committee can make an 

informed decision and you can justify the decisions 

to other stakeholders. In some cases, the data will 

be definitive, and in others you may be working with 

emerging evidence. Use the data and your professional judgment to make the best decision you can.

Step 3: Delineate Tactics, Teams, 

and Timelines

Once the committee has been formed and preliminary investigation has been completed, the group 

can outline the elements of its workplan, which 

include: 

• The tactics or activities that will be completed;

• The people responsible; and

• The timeline for completion. 

Let’s look at each of these in more detail.
CHAPTER 5: Developing a Workplan 43

• Tactics: The tactics outline the steps you need to 

take in order to achieve the objectives delineated 

in the strategic plan. They should be specific and 

measurable, and there should be a clear link between the activities and the desired outcome: “If 

we complete A, this will allow us to implement B, 

which research shows will lead to C.”

When developing workplans, aim to describe 

one to two years of tactics. However, this will not 

always be possible for two reasons: the work may 

take less than a year, or the trajectory of the work 

may not be clear. If the work is short-term, then 

clearly define when the work will be finished. 

When it is finished, celebrate and stop having 

meetings. If the trajectory is unclear, describe the 

steps as clearly as you can, as well as what will 

need to happen for the work to move forward. 

For example, the committee may be charged with 

making recommendations for a revised basic training curriculum. An implementation plan cannot 

be developed until the revised curriculum is approved, so the final step on the workplan may be 

“develop implementation plan based on approved 

curriculum.” The next steps can then be filled in.

• Teams: It is rarely realistic to expect one or two 

people to be able to accomplish all the tasks 

needed to achieve an objective. After the tasks 

have been enumerated, assign each to the person 

with the best balance of interest, time and expertise. In some cases, tasks may be used as a growth 

opportunity for someone who is not yet an expert, 

but wants to learn. In other cases, no one in the organization may be an expert yet. You may need to 

recruit additional team members in order to have 

the skills and time needed to achieve the desired 

objective. 

• Timelines: A dream becomes a plan when it’s 

given a deadline. Timeframes are important to 

create a sense of urgency and accountability and 

also to paint the picture of how implementation is 

going to move forward and how the pieces are going to fit together. In some cases, timelines may be 

very clear. You may be implementing a new training, and fifty people will complete the training per 

month for six months. In other cases, the timelines 

may be more blurred. How long will it take to educate and engage the judiciary in evidence-based 

practice? It is tempting in those cases to leave 

timeframes blank. It is better, however, to make an 

educated guess, and then update the timeline as 

more information becomes available. (See Exhibit 

5-2: Sample Gantt Chart.) 

Once timelines, tactics, and teams have been established, the workplan is essentially completed. (The 

final element, quality assurance, is discussed in the 

next chapter.) You may also need a feedback loop. 

After conducting research and defining tasks, the 

committee may find that the timeline established in 

the original goal may be unrealistic. For example, 

you may have allotted one year in your original 

strategic plan, but investigation reveals that the task 

is likely to take two years. In that case, the strategic 

plan may need to be revised.

Step 4: Form Work Committees

Committees are often the most efficient way to address simultaneous objectives and bring individuals 

with diverse expertise into the process. You can form 

committees around individual objectives or groups 

of related objectives. Alternately, an organization 

or system may already have committees in place 

that can be charged with implementing strategic 

objectives. Part of the role of the Implementation 

Team will be to determine how many committees 

are needed, who will be tasked with leading them, 

and what objectives the committees need to fulfill. 

The committee itself will then develop its own action 

steps and present them to the Implementation Team 

as part of the larger workplan.

Selecting committee chairs is an important decision. 

The chair must be someone who has the technical 

knowledge to tackle the given objectives and the 

ability to manage the team, including developing 

productive agendas, running good meetings, and 

holding team members accountable. The best chair 

for the group is not always going to be the most 

senior person on the committee, but the chair must 

have clear authority from senior administration. 
44 P U T T I N G T H E P I E C E S T O G E T H E R

Exhibit 5–2: Sample gantt Chart: implementation of Risk/needs Tool, Year one 

The Gantt chart provides another option for graphically representing the tasks and timeline of the workplan.

Months 1 2 3 4 5 6 7 8 9 10 11 12

Research assessment tool options

Meet with vendors

Review budget implications

Committee makes recommendations to 

exec team

Exec team reviews options

Chief selects final tool

Committee meets with IT vendor about 

integration

IT vendor develops online assessment 

system

Assessment goes live

Committee develops communication plan

All staff receive introduction to assessment

All staff receive regular updates on 

assessment process

Three units selected to pilot assessment

Pilot officers receive training

Pilot officers implement assessment

Inter-rater reliability is assessed

Pilot units give feedback

Training is updated if needed

Technology is updated if needed

All other units are trained (two per month)

All units implement assessment as training 

is completed

Inter-rater reliability is assessed

Committee develops quality assurance plan

Committee develops booster training 

sessions

Train the trainer is completed
CHAPTER 5: Developing a Workplan 45

A Note on Project Management

Managing projects often requires different skills 

than managing operations, including developing 

and tracking workplans and timelines, managing 

teams of people who are not necessarily your 

direct reports, and coordinating activities that 

are outside of an individual’s day-to-day experience. This experience can be rewarding or 

frustrating, depending on whether the individual 

is armed with the appropriate skill set. Some 

project management tools are presented in this 

manual, including charters, workplans, Gantt 

charts, and status reports. Committee leaders 

may also benefit from additional training and 

resources on project management and group 

facilitation, which will complement existing 

management skills.

It may be helpful to establish a charter for each committee. The charter defines the role of the committee 

and what it is expected to accomplish. It ensures 

that committees have a clear purpose and they are 

supporting the strategic plan and workplan. If the 

committee becomes unproductive, or if it experiences scope creep, the charter can be used to refocus 

efforts.

Charters can take a variety of forms, but they 

may include: 

• Version number and/or date

• Authorization for the formation of the committee 

from the Implementation Team or Executive Team, 

and grant of authority to the committee chair

• Any guidelines for time, cost, or quality

• Deliverables to be completed and milestones to 

be achieved

• Process for changing the charter 

• Approvals and signatures

A sample charter appears below. (See Exhibit 5-3: 

Disproportionate Minority Contact Subcommittee 

Charter.)

Step 5: Develop a Process for Reporting and 

Status Updates

Communication is one of the major challenges of 

implementation. Once subcommittees have started 

their work, it is easy for efforts to become fragmented and for information on any given objective 

to reside with only a few people. This can lead to 

duplication of effort and uncoordinated work. For 

example, if four different committees have a training 

step in their plan, and they are not communicating 

with the committee responsible for training, there is 

the potential for chaos. Sharing meeting minutes and 

status reporting provides a way for the Implementation Team to stay up-to-date on what various committees are doing and also provides a way to share 

information across committees. The reports could be 

monthly or quarterly, depending on what is needed. 

Reports do not need to be long—the shorter and 

more straightforward a report is, the more likely it 

will be filled out, read and used. Highlights can also 

be shared across the organization. (See Exhibit 5-4: 

Sample Quarterly Update.) 

Step 6: Implement, Review, and Update

At this point, the committees get to work on 

their action steps and bring their work before the 

Implementation Team as needed. Meetings of the 

Implementation Team do not need to be a report of 

every activity that has taken place. Written reports 

can serve as updates on day-to-day activities, while 

meetings can be used to review the work of committees that are presenting recommendations, requesting approval to change the scope of their work, 

looking for guidance on issues and setbacks, etc. 

Meetings can also be used to recognize and celebrate successes.

A comprehensive review of the workplan should be 

undertaken periodically to refine the steps underway 

and to add next steps. Questions to consider in the 

review include:

• How are current committees progressing on their 

action steps? Do any additions or changes need 

to be made? Are any committees finished with 

their work and ready to be disbanded?

• Are committees ready to tackle additional objectives on the strategic plan? How should those 

assignments be made?
46 P U T T I N G T H E P I E C E S T O G E T H E R

• Do further assessments of the organization or the 

system need to be undertaken to determine where 

you are now?

• Is your structure still working? Do you need to adjust how implementation is being overseen? For 

example, if systemic collaboration is increasing, 

you may want to shift from an intra-organization 

team to an inter-organization team.

• Has any new evidence or new strategies for implementation emerged from other jurisdictions?

• Has the climate changed substantially so that you 

need to rethink your goals and objectives? For 

example, elections or budget crises can require a 

change of course.

• How are you progressing on quality assurance? 

Are you ready to add benchmarks if they are not in 

place already?

• How do you want to communicate your progress? 

A comprehensive document like an annual report 

can keep stakeholders up-to-date on progress and 

also make the case for future support of the initiative.

Answering these questions may require a team 

retreat. One to two days of thoughtful reflection 

and revision will ensure that the plan remains a 

living document and your organization and system 

are continuing to move in your desired strategic 

direction.

There is no “end” to implementing evidence-based 

practices. New practices and research will evolve 

and with that will come opportunities to improve 

the quality of your work. Rather than thinking of 

work planning as a project, consider it the way your 

organization thrives and part of ongoing efforts to 

improve public safety in your community.
 

 

____________________________________________________ ________________________________________________ 

____________________________________________________ ________________________________________________ 

Exhibit 5–3: Sample Disproportionate Minority Contact Subcommittee Charter 

Disproportionate Minority Contact Subcommittee Charter 

Version 1, March 13, 2007 

PURPoSe 

The purpose of the Subcommittee is to assess how current policy and practice result in the overrepresentation of youth 

of color in the juvenile justice system, to make recommendations to the Statewide Steering Committee as to how 

disproportionality can be reduced and cultural competency can be improved, and to evaluate the impact of interventions in 

regard to disproportionality. 

CommITTee membeRSHIP anD oRganIzaTIon 

Committee membership is voluntary, and open to any juvenile justice stakeholders. The Committee seeks individuals with 

experience or expertise in the juvenile justice decision making process, the collection of race and ethnicity data, cultural 

issues, and disproportionality. Specifically, involvement from community groups, the District Attorney, the defense bar, the 

Juvenile Court, and state agencies. 

meeTIngS 

The Committee shall meet monthly, and more often if necessary to perform the Committee’s work. 

CommITTee ReSPonSIbIlITIeS anD aUTHoRITY 

The Committee shall have the following authority and responsibilities: 

• Review the definitions of race and ethnicity currently used by juvenile justice agencies, and make recommendations on how 

that data can be compiled and integrated in a useful way. 

• Collect data on race and ethnicity at each juvenile justice decision point, and report on potential points of intervention. 

• Review information on DMC reforms implemented in this and other jurisdictions. 

• Develop recommendations for the statewide steering committee on policy and practice changes that may reduce DMC. 

• As needed, coordinate trainings on DMC and cultural competency at the state and local level. 

• For recommendations that the Statewide Steering Committee wishes to adopt, develop an implementation plan and 

oversee implementation. 

• Monitor the impact of policy and practice changes, report results, and make any needed changes. 

DelIveRableS 

• Subcommittee Workplan 

• Disproportionate Minority Contact Data Report 

• Recommendations for Disproportionate Minority Contact Reductions 

• DMC Monitoring Report 

Authorizing Signatures 

As the chair of the Statewide Steering Committee (SSC), I authorize the members of this Subcommittee to fulfill the role(s) 

described above for as long as this charter remains in effect. 

SSC Chair Date 

As the chair of the Disproportionate Minority Contact Subcommittee, I accept responsibility for the tasks above, and will 

regularly report progress to the SSC. 

Disproportionate Minority Subcommittee Chair Date 

CHAPTER 5: Developing a Workplan 47
 

Exhibit 5–4: Sample Quarterly Update 

please complete this report by the 2nd Monday of each quarter and submit to _____________________________. 

Goal/Objective: 

Individual/Committee Responsible: 

Objectives/Tasks achieved to date: 

Summary of progress made in the last quarter: 

48 P U T T I N G T H E P I E C E S T O G E T H E R 
CHAPTER 5: Developing a Workplan 49

Exhibit 5–4: Sample Quarterly Update (continued)

Description of barriers encountered:

Description of next steps:

Additional comments:
 

 

C H A P T E R S I X 

Quality Improvement: Why? 

When you are in the thick of implementing your 

workplan, it is easy to lose sight of the forest for the 

trees. The goal of implementing evidence-based 

practice is to improve public safety outcomes, so 

the final part of the journey is ensuring that your 

organization is following the evidence and that you 

are achieving improved outcomes. Continually ask 

yourself: 

• Are we doing evidence-based practice? 

• Are we doing it well? 

• Are we improving outcomes? 

As you routinely ask and answer these questions, 

you can figure out what is working and what can 

be improved. This is the cornerstone of Quality 

Improvement. 

What gets measured and reinforced gets 

managed, and what gets managed gets 

improved. 

What Is Quality Improvement? 

Implementing Quality Improvement (QI), also referred to as Quality Assurance (QA), in corrections 

gives your organization the chance to identify ways 

Are We There Yet? 

Ongoing Quality Improvement 

to improve efficiency and effectiveness. QI provides 

tools to: 

• Enhance existing interventions 

• Foster a collaborative work environment 

• Tap into the expertise of staff and stakeholders 

QI embodies the continuous commitment to improve the services you provide to the clients and 

community. It is a hands-on endeavor by employees 

who are invested in their work and strive to improve 

themselves and their productivity. For more extensive information on implementing a QI process, you 

can read the Implementing Evidence-Based Practices 

in Community Corrections: Quality Assurance Manual developed by the Crime and Justice Institute in 

partnership with the National Institute of Corrections 

at http://cjinstitute.org/files/QAmanual_122705.pdf. 

What gets measured and reinforced is what gets 

done. When you collect and review data on aspects 

of systems’ operations, you send the message that 

the work is important and the organization expects 

quality efforts and measurable results. Once an 

“appetite for data” has been created, employees 

and partners expect data and want to focus their 

efforts on practices that are effective. This will result 

in a culture where connecting the dots between QI 

and public safety results in improved outcomes for 

clients, victims, and the community and improved 

efficiency of services. 

Lessons Learned From the Field: 

• “QI [Quality Improvement] was the key because we kept feeding back to staff what was happening.” 

CHAPTER 6: Ongoing Quality Improvement 51

• “I like figuring out if what we are doing is making a difference. We need to get beyond collecting 

numbers just for the sake of collecting data. We need to measure so I know there is a difference.” 
52 P U T T I N G T H E P I E C E S T O G E T H E R

Quality Improvement: Who? 

Everyone should be involved in this effort. QI techniques can help increase the number of well-trained, 

motivated employees by directly involving them 

in designing and assessing the interventions with 

which they are involved, creating a sense of buy-in. 

Every employee should be receiving data on their 

performance at some level. The data collection and 

feedback process can be led by research staff, supervisors who give feedback within their units or across 

units, peers at the frontline level, or by specially 

designated quality assurance staff. You should 

consider who has the time and the skills in your 

organization to collect, interpret and discuss data in 

a constructive way. Most importantly, quality improvement leaders must have credibility with their 

colleagues, and the ability to establish constructive 

collaborative relationships.

QI provides you with opportunities for communication, decision-making and collaboration internally 

and externally. When you involve all employees, you 

create a common understanding of service delivery 

processes. Ideally, everyone in the organization will 

be receiving data on overall organization outcomes, 

as well as data pertinent to their function. 

Developing a QI Committee

A team approach is a good way to include a cross 

section of your organization, disseminate information 

and monitor improvement. The QI committee can be 

a subcommittee of your Implementation Team, and 

its role is to develop the QI plan for each element of 

your workplan, oversee data collection and disseminate the data. The team also ensures that the data 

is linked back to the workplan and strategic plan, so 

the organization is able to track its progress. 

Who Should Be Involved?

• Management Teams

• All Levels of Organization Staff

• Members of Advisory Boards

• External Stakeholders, including Client 

Advocates

The work of the QI committee will be ongoing, but 

as the collection of individual data elements becomes routine, they may not need to oversee those 

elements. For example, a QI team may establish 

a process for reviewing data on reassessment and 

client risk reduction, but once managers are in the 

habit of regularly reviewing the data and establishing 

improvement plans when needed, regular committee involvement may not be necessary.

Quality Improvement: How? 

Once you have chartered a QI committee and developed measures to determine the impact of new 

practices, the next step is to test change in the work 

setting. There are many potential approaches to QI. 

The option described here is The Plan-Do-StudyAct (PDSA) cycle. This is a process testing change—

by planning it, trying it, observing the results, and 

acting on what is learned. Developed by Walter 

Shewhart4

 and modified by W. Edwards Deming,5 

PDSA is an iterative process of ongoing improvement. You can begin by examining a few business 

practices and expand the breadth and depth of your 

QI process over time. This is another area where 

an outside expert, graduate student or university 

Lessons Learned From the Field:

• “Dedicating resources to QI sends a strong message of its importance.”

• “I would design systems that give me quick and accurate data.”

• “During early QI implementation we decided that implementation was going to be in the hands of 

mid-managers. They would decide on the tactical operations and the steering committee would 

remain strategic. 

4

 Shewhart, Walter Andrew (1980). Economic Control of Quality of Manufactured Product/50th Anniversary Commemorative Issue. American Society for Quality. ISBN 0-87389-076-0.

5

 Deming, W. Edwards (1986). Out of the Crisis. MIT Center for Advanced Engineering Study. ISBN 0-911379-01-0.
CHAPTER 6: Ongoing Quality Improvement 53

partner may be helpful. (See Exhibit 6-1: Sample 

Plan, Do, Study, Act Worksheet.)

Plan, Do, Study, Act 

Plan

• Identify and/or clarify what is not working, slows 

things down, adds unnecessary steps or does not 

meet client needs or requirements. Define the 

problem and the aim. Where are we now, and 

where do we want to be? (This is analogous to the 

steps you took in the assessment and strategic 

planning phases.)

For example, an organization may have implemented a risk assessment instrument, but it does 

not appear to have changed the way officers 

supervise cases or the types of treatment referrals 

that are being made. The organization may wish 

to review current practices to determine whether 

assessments are being used effectively to target 

interventions.

• Design a “best-guess” solution—a new process 

based on evidence. Research the literature and 

talk to colleagues about their approaches to 

similar work. Use the literature or the outcomes of 

others as a benchmark. (This is analogous to your 

workplan development.)

In the example above, the organization may set 

the benchmark that treatment referrals correspond 

to at least two of the top three criminogenic needs 

identified by the assessment.

Lessons Learned From the Field:

• “[We] tried to create intermediate measures but were unable to deliver them regularly. [We] 

needed to plan how to use the data we were collecting.”

• “If we had more resources I would have dedicated them to more data tracking and reporting back 

to staff what the data show. This “shoulda-coulda” happened. It is important to find the resources 

for this vital function.”

• “We do quality assurance and provide outcome measurement data in real time so that officers, 

supervisors and directors can tell how we are doing.”

• Consider the time and resources needed to implement the change and the impact on employees. 

Secure any needed buy-in for the process.

In order to review the match between criminogenic needs and treatment referrals, MIS staff need to 

develop a new report based on extracted assessment and supervision plan data, and supervisors 

must commit to reviewing the data with employees. This process could potentially be viewed as 

intrusive by officers, since their supervision plans 

have not been reviewed this extensively in the 

past. The QI team must be thoughtful about how 

the process is rolled out and solicit input from officers on how to make the data reports most useful. 

Do

• Carry out your change, perhaps on a pilot or 

small-scale basis.

• Collect the minimum amount of data you need to 

quickly check the outcome and how it adds value. 

Is it increasing or decreasing frustration, productivity, cost or outcomes?

• Correct mistakes as you go.

• Roll out the new process organization-wide.

In the example above, all officers with standard, 

intensive, and sex offender caseloads are given a 

booster session on matching criminogenic needs 

to treatment goals in supervision plans and then 

given three months to work with their supervisors 

to improve their planning. At the end of three 

months, supervisors begin to receive monthly 
54 P U T T I N G T H E P I E C E S T O G E T H E R

reports on all new cases and the match between 

case plans and treatment referrals.

• Check in on how well the process is working with 

employees. Explore reasons for overrides and 

potential areas for improvement.

• Change the process based on the feedback 

until you have reached your benchmark for 

performance.

• Share data with those doing the work. Individuals generally will move themselves toward best 

practices or the best solutions for problem solving 

if presented with meaningful data in a nonjudgmental way. If something isn’t working, allow 

them to be part of generating an improvement 

strategy.

• Allow for time to improve performance.

In our example, supervisors discuss results with 

officers on a monthly basis. Supervisors discover 

some systemic issues, like the lack of available sex 

offender treatment slots in rural areas and uncertainty regarding when cognitive-behavioral treatment is appropriate. They also develop individual 

improvement plans with some officers who are 

not entering case plan data into the data system 

or are still developing plans by “gut” rather than 

assessment and offer letters of commendation to 

those who are able to meet the benchmarks over 

six months.

Study

• Monitor change, both positive and negative (i.e., 

consumers/staff doing better or worse, other 

stakeholders unhappy or happy, the process/ 

system not doing well).

• Ask the end-users again for ways to improve the 

process.

In our example, each quarter, supervisors review 

unit-level data with their units, and organizationlevel data are reviewed by all managers, the EBP 

implementation team, and the Chief. At the end of 

the first year, the supervision plan data is compared to client re-assessment data to determine if 

matching services results in reduced risk. Overall, 

the results are positive, except for sex offenders. 

The Chief begins conversations with county officials and service providers and uses the data to 

make the case for additional sex offender treatment. The Chief also makes the case for reducing 

resources for substance abuse treatment, after 

data showed that offenders with any drug history 

were being referred to treatment, even if they did 

not have current needs in that area.

Act

• Act on what you have learned. Continue to make 

improvements in the process by going through the 

cycle again, starting at “Plan.” Remember a good 

outcome starts with a good process.

At the end of the first year, the organization has 

met its benchmarks on treatment referrals, and 

the QI team hands off the monitoring process to 

operations. Now, they are concerned about the 

quality of treatment being offered and wonder if 

offenders who receive treatment from different 

providers have different outcomes. The team decides to explore treatment quality, and the process 

begins again.

Lesson Learned From the Field:

• “[E]vidence...makes change visible and supports the maintenance of change.”
CHAPTER 6: Ongoing Quality Improvement 55

Exhibit 6–1: Sample Plan, Do, Study, Act Worksheet

Person Responsible/ 

Phase Phase Activities Actions/Observations Completion Date

Plan The change:

• What are we testing, and who is 

conducting the test?

• Who are we testing the change 

on?

• When are we testing?

• Where are we testing?

Predictions:

• What do we expect to happen?

Data:

• What data do we need to 

collect?

• Who will collect the data?

• When will the data be 

collected?

• Where will the data be 

collected?

Do • What was actually tested?

• What happened?

• What was observed?

• What were the challenges or 

problems?

Study • What data was collected?

• What did you learn?

• How do your results compare to 

your predictions?

• What changes need to be 

made?

Act • What strategies will be used for 

change?

• What is the plan for monitoring 

practice improvements? 
56 P U T T I N G T H E P I E C E S T O G E T H E R

Bringing It All Together 

Ideally, you will have quality measures in place for 

all elements of your workplan. Tracking all of those 

measures can be a messy process and can potentially overwhelm employees with endless data entry 

or a barrage of reports. Below are a few suggestions 

for streamlining the process.

• Coordinate QI plan development with workplan 

development. The organization’s key strategic 

objectives are also the key elements for quality improvement, so QI planning and strategic planning/

workplanning should go hand in hand. The best 

way to determine if your objectives are measurable is to develop the measurements at the same 

time. The end product may be a workplan that has 

measurements and benchmarks embedded in it or 

a separate QI plan that accompanies the workplan.

• Automate measurement whenever possible.

Automation is not required for a QI process, but 

investment in automated processes often saves 

resources in the long run. Collecting data manually 

is time-consuming and makes it more difficult to 

manipulate and analyze. Automation allows data 

to be available in real time across the organization 

and for reports to be generated more quickly and 

efficiently.

• Collect and review multiple data elements at 

the same time. Data collection is a time for multitasking. Whenever possible, combine multiple 

data elements into the same collection process. 

For example, if supervisors are going to observe 

officer interactions with clients, they could provide 

feedback on the content of the interview, the use 

of motivational interviewing skills, and the officer’s 

documentation of the interaction. 

• Develop a “dashboard” of key measures. Data is 

only useful if people understand and use it. A brief 

report describing whether or not quality benchmarks are being met can provide managers and 

employees with an update on what is going well 

and what needs attention. A brief report is also 

easily reviewed in the context of a unit, division 

or management meeting and is more likely to be 

discussed rather than just filed away. There may 

be some resistance to sharing information across 

the organization. Focus on the role data plays to 

inform the organization and the community about 

public safety, rather than spotlighting a specific 

officer or case. (See Exhibit 6-2: Sample Data 

Dashboard: Multnomah County, Oregon.)

• Prioritize measures on an annual basis. It will 

not be possible to measure everything, so annual 

prioritization can promote ongoing improvement. 

Early measures may be focused on data quality and measures of implementation, while later 

measures may focus on the replication of practices 

that have shown improved outcomes or targeting specific services for populations that have 

not shown positive outcomes. Also, it takes time 

to make improvements that are reflected in the 

data, so review of data elements can be rotated. 

For example, in each quarter, spend one month 

reviewing assessment data, one month reviewing 

case plans, and one month reviewing treatment 

data, then start again. This type of process makes 

the workload more reasonable for employees and 

managers and allows for improvement time before 

returning to the same data element. (See Exhibit 

6-3: Sample of Data Discussion Process.)

Creating A Culture Of Quality 

Ultimately, QI creates a culture where everyone is 

committed to ongoing improvement and team members seek out data on performance. This moves the 

organization toward achieving its goals. Employees 

want to spend their valuable time on interventions 

that work and discontinue practices that are ineffective. Though QI does hold individuals accountable 

for fidelity to evidence-based practices, it also creates a supportive environment for coaching, learning 

and performance improvement. As agencies develop 

a process for data collection and feedback measures, engagement and communication with staff 

are extremely important for creating an “appetite for 

data” rather than a “gotcha” environment. Starting 

small, getting everyone on board, and expanding in 

response to demand will yield more benefit in the 

long run than creating a complex plan up front that 

has little support. 
CHAPTER 6: Ongoing Quality Improvement 57

Exhibit 6–2: Sample Data Dashboard: Multnomah County, Oregon

Measure Description Why Important Discussion 

This is an overall portrayal of the In addition to fulfilling contractual Multnomah County performance is 

performance of Multnomah County obligations, these measures represent below baseline in three measures, 

as compared to State averages important factors in reducing nearing baseline in two measures and 

across the eight performance recidivism and retaining system above baseline in three of the eight 

measures that are monitored and integrity. measures. State performance exceeds 

reported. Multnomah County is held Multnomah County in five measures 

accountable for performance through and is below Multnomah County in 

the Memorandum of Understanding three of the eight measures.

between the County and the State. 

0%

10%

20%

30%

40%

50%

60%

70%

80%

Employment Treatment Restitution COM SER PCC PPS PCC PROB PCC RECID PROB RECID

32% 37% 21% 34% 60% 42% 36% 43%

41%

34%

22%

43%

67%

45%

41% 39%

State Average

Data Source: Data are generated from CMIS. Detail of each measure follows. Population of reporting is community corrections caseload 

as of 12:01 AM on day of report run.
 

 

Exhibit 6–3: Sample of Data Discussion Process 

Accountability Through Intermediate Measures (AIM) 

What Is aIm? 

A transparent, structured process of reviewing key success indicators for the purpose of improving clearly defined targeted 

outcomes. It does this by: 

• Eexamining progress made; 

• Making incremental service and policy changes; 

• Holding those responsible accountable; and 

• Celebrating improvements. 

The Accountability Through Intermediate Measures (AIM) process helps to ensure fidelity to evidence-based practice, 

establish clearer performance expectations, and improve offender outcomes by structuring decision making based on data. 

Based on the Compare Statistics (CompStat) model of the New York City Police Department, the process involved regular, 

structured data audits where managers are expected to explain performance data for their division, identify solutions, and 

then update the group on progress. It stresses a focus on the organization’s clearly defined primary purpose, visibility and 

transparency, continuous quality improvement, accountability, and positive reinforcement. 

Aim Process: Who? 

Minimally, the meeting should include: 

• The manager in charge of operations; 

• The front line supervisors; 

• A cross section of line staff; and 

• The data manager.
�

You may also wish to include treatment managers, the organization director, service providers, etc.
�

Aim Process: What? 

• Select key indicators to review 

• Present data in user-friendly tables and graphs 

• Present analysis of trends over time 

• Present data along with benchmarks, both incremental goals and long-term targets 

Aim Process: How? 

• Select a Chair for the group who is knowledgeable and respected, and is able to facilitate well and offer genuine praise. 

The Chair should have authority in the group, but does not necessarily have to be the most senior manager. 

• Structure of meeting in four sections: setting the tone; an overview of the big picture, data review and accountability, 

and wrap up, assignments, and next steps. 

• When data results are good, attempt to pinpoint causes (attitude, culture, quality assurance, supervisor, communication, 

etc.), praise and reward, and use success to teach others. 

• When data results are poor, attempt to pinpoint causes, respectfully express disapproval (when appropriate given 

circumstances); avoid public blame, provide clear direction on improvement plan; and use the experience as a 

teachable moment, if appropriate. 

58 P U T T I N G T H E P I E C E S T O G E T H E R 
Exhibit 6–3: Sample of Data Discussion Process (continued) 

Getting Started 

• Be clear about your goals 

• Identify a limited number of key indicators to track on regular basis 

• Collect data and clean it up until you are confident it is accurate 

• Develop benchmarks (your expectations) and targets (your goal over a period of time) 

• Hold AIM meetings on regular basis 

• Alter organization practice to reach expected outcomes 

• Eventually, establish performance measures (at the organization and individual levels) 

Aim Do’s 

• Empower staff and managers to address deficiencies and meet goals 

• Give staff and managers time between meetings to address deficiencies and meet goals 

• Give managers time to review the data and to prepare for the meeting 

• Emphasize strengths, affirmations, and praise 

• Expect results and hold everyone to high standards 

• Focus on teamwork and problem solving 

• Hold staff accountable for outcomes that they can influence 

• Learn from others who have succeeded 

• Reinforce EBP principles (i.e., using motivational interviewing and positive reinforcement)

 Aim Don’ts 

• Play power games, belittle, or punish 

• Ignore missed assignments or lack of effort 

• Let the meetings become a drag 

• Deal with minutia that could be resolved outside the meeting 

• Allow excuses rather than explanations 

• Allow person responsible to blame bad data on others 

Note: Adapted from a presentation by Mark Carey of the Carey Group for the Crime and Justice Institute. 

CHAPTER 6: Ongoing Quality Improvement 59
Conclusion 61

C o n C l u s i o n

Commencement 

it is implicit throughout this manual that the process 

of becoming an evidence-based organization has 

no defined ending, and so this manual closes with a 

brief commencement message rather than a typical 

conclusion. Commencement exercises are the time 

for celebrating important achievements and launching a new phase in the graduates’ lives. The implementation of evidence-based practices is filled with 

commencement moments. 

First and foremost, the successful implementation 

of evidence-based practices will hold offenders 

accountable for their criminal behavior and work 

to provide the victims of their crimes with peace of 

mind. ideally, effective implementation of EBP will 

interrupt the criminal behavior cycle of supervised 

offenders and thwart future criminal behavior.

There will many benefits from the successful 

implementation of EBP, including:

• A safer general public

• Healthier and more economically viable 

corrections agencies

• The opportunity to redirect taxpayer dollars to 

prevention, early intervention, and education

• offenders who are law abiding and productive 

citizens who can support themselves and their 

families

As your organizational climate improves, the organization will be a more attractive place to work. You 

will not only invest in employees’ physical safety 

but also demonstrate that the organization values a 

workplace environment that embraces intellectual 

and professional safety. 

intellectual safety will translate into encouraging 

employees to:

• Think creatively, solve problems and make 

suggestions

• Participate in development of new programs 

and practices

• Ask questions about new policies and procedures 

without worrying about job security

Professional safety will mean employees will be provided with a reasonable period of time to master and 

demonstrate new skills. They will be open to candid, 

constructive feedback from supervisors. in addition, 

employees will be encouraged to request additional 

or booster training or to receive coaching or mentoring from a more experienced peer. The initial investment your organization made in its employees will 

be maximized, and employees will evolve to meet 

the challenges of this work throughout their careers.

The stakes in community corrections are simply too 

high not to apply an evidence-based approach. 

Business as usual has yielded high rates of new crime 

and more victims at a high cost to the community. 

EBP can improve the quality of your work and your 

system, while increasing safety and satisfaction 

among employees, colleagues and citizens. it is a 

wise investment in your community and one well 

worth the hard work required to successfully implement this new approach.
Network of Practitioners 63

N e t w o r k o f P r a c t i t i o N e r s 

620 w Jackson street

Phoenix, aZ 85003-2204

Phone: 602-506-0320

email: mhender@apd.maricopa.gov 

web: http://www.superiorcourt.maricopa.gov/ 

adultProbation/ 

**orange county Probation Department

orange county, ca

colleene Preciado, chief

Micheal collins, Project Manager

1001 s. Grand avenue

santa ana, ca 92705

Phone: 714-667-7723

email: Micheal.collins@prob.ocgov.com 

web: http://egov.ocgov.com/ocgov/Probation 

**oregon Department of corrections

Ginger Martin, assistant Director for transitional 

services

2575 center street Northeast

salem, or 97301-4600

Phone: (503) 945-9090

email: Ginger.Martin@doc.state.or.us 

web: http://www.oregon.gov/Doc/ 

Maryland Department of Public safety and 

correctional services, Division of Parole 

and Probation

ernest eley, Jr., Deputy Director-special Programs

6776 reisterstown road, suite 212a

Baltimore, MD 21208-2310

Phone: 410-585-3529

email: eley@dpscs.state.md.us 

web: http://www.dpscs.state.md.us/locations/ 

dpp_offices.shtml 
64 P U TTI N G T H E P IECES TO G ET H ER

*kansas Department of corrections, community 

corrections Division

kathleen Graves, Director

900 sw Jackson

topeka, ks 66612

Phone: 785-296-4538

email: kathleeng@doc.ks.gov 

web: http://www.dc.state.ks.us/ 

community-corrections 

travis county, tX community supervision 

& corrections Department

Dr. Geraldine Nagy, Director

Ms. rosie ramon-Duran, assistant Director

411 w. 13th st., ste. 400

P.o. Box 2245, austin, tX 78768

Phone: 512-854-7694

email: Geraldine.Nagy@co.travis.tx.us 

email: rosie.ramon-Duran@co.travis.tx.us 

web: www.co.travis.tx.us/adultProbation

Multnomah county, or Department of 

community Justice 

scott taylor, Director 

501 se Hawthorne Blvd., suite 250

Portland, oregon 97214

Phone: 503-988-5590

email: scott.m.taylor@co.multnomah.or.us 

web: http://www.co.multnomah.or.us/dcj/ 

Grant county, iN correctional services

cindy Mccoy, Director

501 s. adams st.

Marion, iN 46952

email: cmccoy@grantcounty.net 

email: c.mccoy56@hotmail.com 

*imperial county, ca Probation Department 

Martin krizay, chief Probation officer

Pete salgado, chief Deputy Probation officer

324 applestill road

el centro, california 92243

Phone: 760-339-6202 

email: petesalgado@co.imperial.ca.us

*san Diego county, ca Probation Department

Mack Jenkins, chief Probation officer

Phone: 858-514-3200

9444 Balboa avenue, suite 500 

san Diego, ca 92123

email: Mack.Jenkins@sdcounty.ca.gov 

web: http://www.sdcounty.ca.gov/probation/ 

*san Luis obispo county, ca Probation 

Department 

Jim salio, chief Probation officer

2176 Johnson avenue 

san Luis obispo, ca 93408

Phone: 805-781-1039

email: jsalio@co.slo.ca.us 

web: http://www.slocounty.ca.gov/san_Luis_

obispo_Probation_Department.htm 

5th Judicial District, ia Department of 

correctional services

sally kreamer, Director

604 Locust st, suite 317

Des Moines, ia 50309

Phone: 515-280-4223

email: sally.kreamer@iowa.gov

web: http://www.fifthdcs.com/

Virginia Dept. of criminal Justice services

Jana Braswell, eBP Program coordinator

1100 Bank street, 11th floor

richmond, Va 

Phone: (804) 371-0531 

fax: (804) 786-9656

email: Jana.Braswell@dcjs.virginia.gov 

Yavapai county adult Probation Department

Billie Grobe, chief Probation officer

255 e. Gurley st, 2nd floor

Prescott, aZ 86301

Phone: (928) 771-3332

email: billie.grobe@co.yavapai.az.us 

web: http://www.co.yavapai.az.us/ap.aspx 

state of Hawaii

cheryl Marlow

interagency council on intermediate sanctions (icis) 

coordinator

kaahumanu Hale

777 Punchbowl street

Honolulu, Hawaii 96813

Phone: (808)539-4567

email: cheryl.r.Marlow@courts.state.hi.us 

web: www.hawaii.gov/icis 

**implementation and Learning sites for the cJi/

Nic initiative, Implementing Effective Correctional 

Management of Offenders in the Community.

* evidence-Based strategic Planning sites using the 

cJi/Nic Integrated Model.
Resources and References 65

R e s o u R c e s a n d R e f e R e n c e s 

The following resource list is designed to give 

practitioners a variety of literature pertaining to the 

eight Guiding Principles of effective Intervention and 

the Integrated Model. 

Websites 

american Probation and Parole association

explores issues relevant to the field of community 

based corrections. www.appa-net.org 

Bureau of Justice assistance (solutions for safer 

communities) provides information on reducing 

crime while improving the criminal justice system. 

www.ojp.usdoj.gov/BJa/topics/ilp.html

crime & Justice Institute is a non-profit agency that 

provides consulting, policy analysis, and research 

to improve public safety. www.cjinstitute.org 

Motivational Interviewing provides general 

information about this approach, MI resources, 

and information on reprints and recent research. 

www.motivationalinterview.org

national criminal Justice Reference service

presents many reports about crime and justicerelated research, policy, and practice. www.ncjrs.gov 

national Institute of corrections lists resources 

on criminal justice research, training, services, 

communities, and projects. 

www.nationalinstituteofcorrections.gov

Pew charitable Trusts Public safety Performance 

Project “applies the power of knowledge to solve 

today’s most challenging problems,” including 

criminal justice issues. www.pewpublicsafety.org

Texas Institute of Behavioral Research at Texas 

christian university studies addiction treatment in 

community and correctional settings. www.ibr.tcu.

edu/

university of california Irvine center for evidenceBased corrections evaluates juvenile and adult 

prison programs. http://ucicorrections.seweb. 

uci.edu/

university of colorado provides research information from the center for the study and Prevention 

of Violence. www.colorado.edu/cspv 

united states department of Justice is a comprehensive web site in the field of criminal justice with 

a list of agencies, resources, and articles. 

www.usdoj.gov 

university of cincinnati corrections Institute

disseminates best practices for changing offender 

behavior in communities, facilities, and agencies. 

www.uc.edu/corrections/ 

Washington state Institute for Public Policy is a 

research-based information web site on adult and 

juvenile offenders. www.wsipp.wa.gov 

Online Resources on Evidence-Based 

Practices and the Integrated Model

developing an evidence-Based community 

corrections Workforce. a step-by-step guide for 

indentifying the competencies needed by employees in an evidence-based organization, and applying 

those competencies to all workforce development 

practices. http://cjinstitute.org/publications/ 

ccworkforce
66 P U T T I N G T H E P I ECES T O G E T H E R

References 

Risk and need 

andrews, d.a., Zinger, I., Hoge, R.d., Bonta, J., 

Gendreau, P., and cullen, f.T. 1990. does correctional treatment work? a clinically relevant and 

psychologically informed meta-analysis. Criminology,

8: 369-404.

andrews. d.a., Bonta, J., and Wormith, s. 2006. 

The recent past and near future of risk and/or need 

assessment. Crime and Delinquency, 52: 7-27.

Bonta, J. 1996. Risk-needs assessment and treatment. Choosing Correctional Options that Work.

Thousand oaks, ca: sage. 

Bonta, J., and Motiuk, L.L. 1985. utilization of an 

interview-based classification instrument: a study of 

correctional half-way houses. Criminal Justice and 

Behavior, 12: 333-352.

Lowenkamp, c.T., Latessa, e., and Holsinger, a.M. 

2006. The risk principle in action: what have we 

learned from 13,676 offenders and 97 correctional 

programs? Crime and Delinquency, 52: 77-93.

enhancing Intrinsic Motivation

Birgden. 2004. Therapeutic jurisprudence and 

responsivity: finding the will and the way in offender 

rehabilitation. Psychology, Crime & Law, 10: 

283-295. 

Burke, B. arkowitz, H., and Menchola, H. 2003. The 

efficacy of motivational interviewing: a meta-analysis 

of controlled clinical trials. Journal of Counseling & 

Clinical Psychology, 71: 843-861. 

clark, M.d. 2005. Motivational interviewing for 

probation staff: Increasing the readiness to change. 

Federal Probation, 69: 22-28. http://www.uscourts.

gov/fedprob/december_2005/interviewing.html

clark, M.d., Walters, s.T., Gingerich, R., and Meltzer, 

M. 2006. Motivational interviewing for probation 

officers: Tipping the balance towards change. 

Federal Probation, 70:38-44. http://www.uscourts.

gov/fedprob/June_2006/interviewing.html 

Walters, s.T., clark, M.d., Gingerich, R., and Meltzer, 

M. 2007. Motivating Offenders to Change: A Guide 

for Probation and Parole. national Institute of 

corrections. http://nicic.gov/Library/022253 
Resources and References 67

Targeted Interventions 

andres, d.a., Zinger, I., Hoge, R.d. Bonta, J., 

Gendreau, P., and cullen f.T. 1990. does correctional 

treatment work: a clinically relevant and psychologically informed meta-analysis. Criminology, 28: 

369-404.

cullen, f.T., and Gendreau, P. 1989. The effectiveness of correctional rehabilitation. The American 

Prison: Issues in Research Policy. New York, Plenum.

Gendreau, P. 1996. Choosing Correctional Options 

that Work: Defining the Demand and Evaluating the 

Supply. Thousand oaks, ca: sage. 

Ward, T., and stewart, c. 2003. criminogenic needs 

and human needs: a theoretical model. Psychology, 

Law, & Crime, 9: 125-143.

skills Training With cognitive Behavior Techniques 

allen, L.c., Mackenzie, d.L., and Hickman, L.J. 2001. 

The effectiveness of cognitive behavioral treatment 

for adult offenders: a methodological, quality-based 

review. International Journal of Offender & Comparative Criminology, 45: 498-514. 

Bonta, J., Wallace-capretta, s., and Rooney, J. 2000. 

a quasi-experimental evaluation of an intensive 

rehabilitation supervision program. Criminal Justice 

& Behavior, 27: 213-329.

Cognitive-behavioral treatment: A review and 

discussion for corrections professionals, national 

Institute of corrections. http://nicic.gov/ 

Library/021657.

Landenberger, n.a., and Lipsey, M.W. 2005.The 

positive effects of cognitive-behavioral programs for 

offenders: a meta-analysis of factors associated with 

effective treatment. Journal of Experimental Criminology, 1: 451-476.

Pearson, f.s., Lipton, d.s., cleland, c.M., and Yee, 

d.s. 2002. The effectiveness of behavioral/cognitivebehavioral programs on recidivism. Crime & Delinquency, 48: 476-796. 

Positive Reinforcement 

sundel, M. and sundel, s.s. 2005. Behavior Change 

in the Human Services (5th ed.).Thousand oaks, ca: 

sage. 
68 P U T T I N G T H E P I ECES T O G E T H E R
Appendix A: Evidence-Based Practice Employee Tip Sheets 69

A P P E N D I X A

evidence-Based practice 

employee Tip Sheets 

Implementing Evidence-Based 

Practices as Administrative 

and Support Staff

The roles of administrative and support staff vary 

widely in community corrections, which offer numerous opportunities for contributing to evidence-based 

organizations. From receptionists to dispatchers to 

probation aides, all employees in support roles have 

the ability to improve the efficiency and effectiveness 

of their organization through the use of data. The 

tips below will help you to define your role in your 

evidence-based organization.

• explore Your Mission and Vision

Mission guides the evidence-based organization. 

Your mission statement describes how you agency 

contributes to public safety, and all activities 

should support that mission. Discuss how you contribute to the mission of your organization, directly 

or indirectly, and how you improve public safety 

outcomes. 

• Learn the Basics of evidence-Based Supervision

Participate in trainings and other learning opportunities on the fundamentals of EBP in community 

corrections. Understanding the “big picture” of 

community corrections research and how EBP is 

being implemented in your organization will make 

the organizational change process more manageable, and allow you to better support your colleagues.

• Model positive Rapport

Positive relationships that balance support and 

accountability can help to facilitate behavior 

change. As a member of an evidence-based 

organization, you have the opportunity to model 

positive rapport with colleagues and offenders. 

This will help to create an environment where 

everyone is striving to improve.

• Communicate, Communicate, Communicate

A significant challenge in organizational change 

is maintaining communication about new policies 

and practices. Administrative and support staff are 

often key information conduits, and you can serve 

as an information source as well as a contributor to 

your agency’s formal communication plan.

• Use data To innovate and excel

Regardless of your role in the organization, you 

are able to use data to improve your performance. 

Ask yourself, what information do I need to know 

how well I am doing now, and how I can do better? Work with your supervisor and manager to 

collect the information that you need, and to use 

that data to try new ways of doing your work more 

effectively. 

Implementing Evidence-Based 

Practice as a Probation Officer 

Probation officers are the heart of EBP supervision. 

You have the opportunity to provide direction and 

motivate offenders toward behavior change, thereby 

reducing recidivism and guiding offenders through 

the process of becoming productive members of the 

community. You are able to identify offender needs 

that are specifically related to recidivism risk factors, develop individualized supervision/treatment 

plans, and create an environment that promotes 

law-abiding behavior. By implementing the following 

evidence-based approaches, you can contribute to 

positive behavior change.
70 P U T T I N G T H E P I E C E S T O G E T H E R

• Assess Offender Risk and needs

An essential component of EBP is identifying the 

dynamic risk factors that relate to offender criminal 

behavior. Use motivational interviewing techniques 

and assessment questions to learn about offenders 

and their behavior. Utilize risk/needs assessments 

to help identify key areas in which offenders can 

improve. Ask offenders what are their personal 

priorities for change.

• develop Case plans and Target interventions

Using information collected during the risk/needs 

assessment process, create a comprehensive case 

plan. Think of the case plan as a roadmap that 

directs the offender toward treatment pertaining 

to needed behavior change. Create the case plan 

with the offender. Ask the offender what he/she 

thinks are realistic goals, and weave the offender’s 

goals into the case plan when they are consistent 

with the requirements of supervision. Match offender needs with appropriate treatment in the 

department or the community. Monitor treatment 

compliance and progress toward goals. Case plans 

should include the potential negative and positive 

actions you will take in response to the offender’s 

behavior. Explain the case plan to the offender and 

provide the offender with a copy or a list of “to 

do’s”.

• Build Rapport and enhance Offender Motivation

Offenders vary widely in their readiness to change. 

Assess where the offender is in regards to behavior change (e.g., stages of change) and incorporate the level of change into the case plan, and 

consider individual characteristics such as gender, 

language, and intellectual ability Offenders do 

not always have the tools to change; offer guidance as to what tools will help build their skills. As 

a probationer officer, your role requires balance 

between enforcer of court orders and a facilitator 

of treatment and behavior change. Achieving that 

balance and building effective rapport with offenders will allow you to best promote public safety. 

• Apply Cognitive-Behavioral Treatment 

Strategies

Offenders are usually on probation because of 

destructive and habitual patterns of thinking and 

acting. Using cognitive-behavioral techniques, you 

can help restructure offender thinking and change 

behaviors. Provide opportunities for offenders to 

try new skills. You can do this by teaching them 

different skills, role-play learned skills, have them 

try the skill in their environment, and discuss what 

worked and did not work. This can provide offenders with the opportunities to problem-solve, 

cope, and self-manage in a more constructive and 

positive way. 

• provide positive Reinforcement

As offenders move through treatment, monitor 

their progress toward case plan goals and provide 

continuous feedback. Providing positive feedback 

will promote behavior change. Encourage program participation, reinforce positive change and 

commend offenders for using new skills.

• Use data To Make enhancements to Your 

Service delivery

Data is essential to understanding how effective 

your efforts are. Be open to learning new things 

about how interventions are being delivered and 

what impact they are having on offender behavior 

change. Be creative in finding new ways to refine 

or change intervention delivery to increase positive 

outcomes. Continually ask the question “How can 

we do things better?” 

Implementing Evidence-Based 

Practice as a Supervisor 

As a supervisor you play a pivotal role in implementing Evidence-Based Practice (EBP) and facilitating a 

healthy and vibrant work environment. As coaches 

and mentors, you need the skills to conduct client interviews, assess risk needs, and develop case plans. 

Your role as a supervisor also includes monitoring the 

quality of implementation, using data to improve the 

effectiveness of your unit, and developing employees’ skills. You are the link between implementing 

EBP on a daily basis by supporting your staff and 

improving public safety outcomes. The following tips 

will provide you direction as you embark on implementing EBP as a supervisor: 

• Be a Coach

As a supervisor you will often need to act as a 

coach to help develop employees’ EBP skills. This 

will enable learning and development to occur, 

thus improving employee performance. To be a 
Appendix A: Evidence-Based Practice Employee Tip Sheets 71

successful EBP coach requires a knowledge and 

understanding of EBP as well as the variety of 

styles, skills, and techniques that allow you to 

build effective relationships with employees. It is 

important to understand the learning styles of your 

employees and how they respond to feedback, 

and to collect data on individual and team or unit 

performance. Understanding the strengths and areas of improvement for each employee and team 

promotes positive professional development.

• Be a Mentor

As a supervisor you have the opportunity to be a 

teacher and facilitator of the EBP process, allowing grapple with problems and find solutions. As a 

supervisor you can ask questions, provide challenges, and share decision making. Motivational 

Interviewing and Stages of Change are useful tools 

to assist employees in exploring new ways to do 

business, and build their self-efficacy to apply EBP.

• Assist employee Skill development

Employee development is always important and 

is especially important when implementing EBP. 

To assist employees in developing EPB skills, set 

challenging, yet attainable, performance goals and 

focus on guiding employees to excel. Collect and 

review data on progress, celebrate milestones with 

employees and recognize and reward them when 

they have reached goals. 

• Monitor the Quality of eBp implementation

Using data to inform your unit decisions is a key 

element of EBP. Data provides a starting point for 

EBP discussions and learning opportunities for 

you and your employees. Collecting data takes 

time, but collecting just a few key areas to monitor 

is a good way to get started. Get the employees 

involved. Ask your employees what information 

will be most useful to them, and communicate 

with employees on their areas of strength and 

developmental needs. Celebrate your successes 

and develop improvement plans for areas needing 

additional attention. 

• provide a Safe environment 

It is important to provide a safe environment 

that allows employees, along with you, to make 

mistakes and learn from those mistakes. Implementing EBP is a dynamic process where everyone 

is learning, including supervisors, directors, and 

executives. As a supervisor creating an environment that allows employees to try new techniques 

is an important part of the development process, 

(as long as the practice is informed by research 

and does not harm clients or the community). 

Implementing Evidence-Based 

Practice as a Division Manager 

As a Division Manager you have a multifaceted role 

in implementing Evidence-Based Practice (EBP) and 

creating a learning environment. You are often a 

bridge between leadership teams, stakeholders and 

supervisors and officers. You provide executives and 

stakeholders information about the successes of 

your division, share lessons learned and are part of 

brainstorming for new innovative ideas. You are also 

a coach and mentor to your supervisors. You are the 

key to providing supervisors information from your 

leadership team that will show your support for EBP, 

create buy-in from the employees in your chain of 

command as well as others, and create a two-way 

learning environment. The following tips will provide 

you direction as you embark on implementing EBP 

as a division manager: 

• Support and Communicate Your Organization’s 

Mission and Vision 

As a division manager you have the responsibility to support and communicate your organization’s mission and vision to your employees. Post 

the mission and vision statements in areas where 

employees will see them regularly. Talk about how 

your division’s work fulfills the organization’s mission and vision. Revisit the services your division 

performs regularly to make sure they align with the 

organization’s mission and vision. By conveying 

and reinforcing a clear mission and vision, you can 

powerfully communicate your organization’s intentions, and motivate your team toward implementing EBP. 

• educate and engage Stakeholders

Stakeholders will be affected by organizational 

changes. Educate your stakeholders, internal and 

external, about EBP and how it impacts the service 

delivery your organization provides and expects. 

Engage stakeholders in the process by giving 
72 P U T T I N G T H E P I E C E S T O G E T H E R

them a voice to express what is working and what 

is not working based on data. Work with them 

to create a collaborative environment. Conduct 

assessments to identify the dynamics of groups, 

knowledge of EBP, and readiness for change. This 

can help guide collaborative groups in setting 

goals and moving forward to work together. 

• Be a Coach

As a division manager you will often need to act 

as a coach to help develop supervisors’ EBP skills. 

This will enable learning and development to 

occur and thus improve supervisors’ performance 

in coaching their employees. To be a successful 

EBP coach requires knowledge and understanding 

of EBP as well as the variety of styles, skills, and 

techniques that allow you to build effective relationships with employees. It is important to understand the learning styles of your supervisors and 

how they respond to feedback, and also to have 

methods for collecting information on division 

performance. Understanding the strengths and 

areas of improvement for your division promotes 

positive professional development and improves 

the overall effectiveness of EBP implementation. 

• Be a Mentor

As a division director you have the opportunity to 

be a facilitator of the EBP process. Provide opportunities for supervisors to grapple with problems 

and find solutions on their own so they can learn 

and grow professionally. Ask questions, provide 

challenges, and share decision making with your 

supervisors. Motivational Interviewing and Stages 

of Change are useful tools to assist supervisors in 

exploring new ways to do business, and building 

their self-efficacy to apply EBP in their units.

• Monitor the Quality of eBp implementation

Using data to inform your division’s decisions is 

a key element of EBP. Teach your supervisors the 

importance of data and how to use it to make 

informed decisions. You can use data as a tool to 

encourage EBP discussions and learning opportunities for you and your supervisors. Collecting 

data takes time, but collecting just a few key areas 

to monitor is a good way to get started. Get the 

supervisors involved. Ask your supervisors what 

areas are important to them to know and communicate with employees on where they are being 

effective and areas where improvement is needed. 

Celebrate your successes and develop improvement plans for areas needing additional attention. 

• provide a Safe environment 

It is important to provide a safe environment that 

allows all employees, along with you, to make 

mistakes and learn from those mistakes. Implementing EBP is a dynamic process where everyone is learning, including supervisors, managers, 

and executives. As a division manager creating 

an environment that allows employees to try new 

techniques is an important part of the development process, as long as the practice is informed 

by research and does not harm clients or the 

community. 

Implementing Evidence-Based 

Practices as the Executive Team 

Implementing evidence-based practices (EBP) is 

not just about the day-to-day supervision of offenders, but also integrating EBP into all aspects of your 

organization’s operations. Executive teams have the 

responsibility to create an evidence-based environment. Essential components for creating this include 

EBP-aligned vision and mission, goals, policies and 

procedures, and performance measures. You are the 

champion of evidence-based practice; use evidence 

in all aspects of community corrections to guide your 

organization toward the best possible outcomes, and 

promote effective approaches inside your organization and across the system.

• Create an evidence-Based Vision and Mission

Create vision and mission statements that incorporate evidence-based practices as a means 

to achieve public safety goals. This can provide 

guidance to your organization and give employees 

a framework for the importance of the work they 

do. When developing your vision and mission 

statement, solicit input from staff and stakeholders about what success looks like for your organization. Post it throughout the organization and 

discuss it frequently.

• Create a Learning environment

Evidence-based organizations evolve. They use 

research to develop innovative approaches to 
Appendix A: Evidence-Based Practice Employee Tip Sheets 73

maintaining public safety, and then they measure 

outcomes. If an intervention works, keep doing 

it, and share it with others. If it doesn’t work, then 

change or stop it, even if it is popular. Encourage 

employees to try new things and learn from their 

accomplishments along with their mistakes. Create 

a trusting environment where employees at all 

levels are empowered to make decisions. Be a 

role model for ongoing learning, engage in 

constant communication and provide positive 

reinforcements.

• Collaborate With Stakeholders

Many stakeholders have a vested interest in community corrections and its ability to provide for 

public safety. Educating and engaging stakeholders in evidence-based practices and their contribution to public safety will allow system players to 

work toward similar outcomes. Approach all stakeholders, not just the ones that have supported you 

in the past. An unengaged stakeholder can soon 

become a negative force in the community.

• Create eBp policy and procedures 

Create policy and procedures that promote EBP. 

Develop a workgroup that can review and evaluate 

current policy and procedures, develop a plan that 

identifies areas where EBP needs to be incorporated, field test new policies as needed, and make 

enhancements. Include employees and stakeholders in the development process. Ask employees to 

identify current practices that could be discontinued without harming public safety. 

• Use data

The foundation of EBP is evidence. The research is 

available to the field, and it is up to you to apply it 

and see what works in your organization. Surround 

all employees with data and be sure that they 

understand it. Use your data to answer: are we 

actually doing evidence-based practices, are we 

doing it well, and are we improving our outcomes? 

Monitor progress toward your goals. Involve your 

team in using data to drive decisions. Teach them 

to practice using data with their units and divisions. Use data for positive reinforcement and 

constructive learning, not a “gotcha” tool.
Appendix B: Preparing Data for Analysis 75

A P P E N D I X B

preparing data for Analysis 

If you are not fortunate enough to have administered 

the survey in a manner that will deliver a data file, 

someone will need to take the completed surveys 

and transcribe the answers into an application that 

can be used for analysis. Commonly used applications include Excel, Access, SPSS or SAS. A data file 

can be created by following these steps.

1.Create a codebook. This is a written structure of 

the data file which has the numeric or alpha codes 

that respond to each of the answers for each of 

the questions in the survey. For example, if the 

survey answers are “Agree,” “Neutral” or “ 

Disagree,” they may be coded as 1=Agree, 

2=Neutral, etc., so that they can be statistically 

analyzed.

2. establish rules for irregularities. Unfortunately 

questionnaires can include ambiguous answers 

and/or missing answers. Rules will ensure consistency in data entry. For example, how will you 

code responses that are left blank, or where two 

answers are given?

3. Assign a unique identifier. This is a unique descriptor assigned to each returned survey. Typically it is a sequential number that provides ease 

in identification of surveys should analysts need 

to go back and review the survey. Also, a date 

field can be date of administration, completion or 

receipt. So, if “Mike Jones” returns the first survey, 

it may be coded as 1001, and “Susan Vasquez” 

returns the second survey, coded 1002.

4. enter data. Data entry consistency is a high priority when this process is undertaken. Consistency 

is best achieved by limiting the number of staff 

entering data into the data file. Accuracy must be 

checked either through duplicate data entry or a 

random sampling of cases by an employee who 

did not participate in the data entry.
Appendix C: Communication Plan 77

All Staff • All-staff meeting to present vision, • Forum on website to get input on • Introduction and presentation of 

research, plan (1/year, chair) mission revisions (1/year, committee rollout plan (1/year, assessment 

• Brown-bag discussions at unit members) subcommittee)

meetings (3/year, EBP committee • Nomination of staff to participate • Training for all intake and field staff 

members) in mission retreat (1/year, division (1/year, training unit)

• Video of chief on website providing directors) • Discussion in EBP news-letter 

overview (1/year, webmaster) • Email from Chief presenting revised column (4/year, Sandy Adams)

statement (1/year, chief) • Talking points for division meetings 

• Outreach packet for supervisors (4/year, subcommittee)

to discuss revised mission at unit 

meetings (1/year, with quarterly 

check-ins, mission subcommittee)

• Boosters for unit meetings (2/year, 

training unit)

Field Supervision 

Staff

Field Supervision 

Supervisors

Senior 

Management

Community 

Treatment 

providers

Judges and Court 

Officers

elected County 

Officials

Victims and Victim 

Service providers

Community 

Members

A P P E N D I X C

Communication plan 
MEDIA MAIL

POSTAGE & FEES PAID

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Permit No. G–231

U.S. Department of Justice

National Institute of Corrections

Washington, DC 20534

Official Business 

Penalty for Private Use $300

Address Service Requested

www.nicic.gov