Report 2010-124 Recommendations and Responses in 2014-041

Report 2010-124: Department of Corrections and Rehabilitation: The Benefits of Its Correctional Offender Management Profiling for Alternative Sanctions Program Are Uncertain

Department Number of Years Reported As Not Fully Implemented Total Recommendations to Department Not Implemented After One Year Not Implemented as of 2013-041 Response Not Implemented as of Most Recent Response
California Department of Corrections and Rehabilitation 3 7 5 5 5

Recommendation To: Corrections and Rehabilitation, Department of

To ensure that the State does not spend additional resources on COMPAS while its usefulness is uncertain, Corrections should suspend its use of the COMPAS core and reentry assessments until it has issued regulations and updated its operations manual to define how Corrections' use of COMPAS will affect decision making regarding inmates, such as clarifying how COMPAS results will be considered when sending inmates to different prison facilities, enrolling them in rehabilitative programs to address their criminal risk factors, and developing expectations for those on parole.

Response

CDCR's Division of Rehabilitative Programs has developed regulations in response to this recommendation. California Code of Regulations, Title 15, section 3375.6, Automated Needs Assessment was adopted into law effective February 25, 2013. An amendment added subsection (a)(3), which specified the criminogenic needs indicated by the COMPAS assessment.

Additional established regulations include Title 15 section 3375(b), the inmate classification process; section 3375(l), automated risk and needs assessment tool; section 3375.6(b), automated needs assessment results; and section 3375(f)(7), basis of Classification Committee decisions. The Office of Administrative Law is currently reviewing regulations regarding the Reentry Hubs Emergency regulations which add section 3379(a)(10)(A), in part, "An inmate with the following case factors shall be given priority for placement at a Reentry Hub: ...3. A medium or high need for one or more rehabilitative treatment programs as indicated by a validated automated needs assessment tool."

CDCR's Division of Adult Parole Operations has developed the text of The Proposed Regulations (TPR) for the COMPAS Re-Entry Assessment and the Initial Statement of Reason (ISOR) for California Code of Regulations, Title 15, section 3502, Pre-Parole Referral and section 3503, Automated Needs Assessment (See supporting TPR and ISOR documents dated October 2014).

The regulation file has been submitted for CDCR Stakeholder Review and to initiate the public notice/comment period. CDCR intends to submit the regulation package to the Office of Administrative Law for review within 90 - 120 days and it is anticipated that the regulations will be adopted in 2015.

  • California State Auditor's Assessment of Status: Not Fully Implemented
  • Completion Date: December 31, 2015
  • Response Date: October 2014

Recommendation To: Corrections and Rehabilitation, Department of

To ensure that the State does not spend additional resources on COMPAS while its usefulness is uncertain, Corrections should suspend its use of the COMPAS core and reentry assessments until it has demonstrated to the Legislature that it has a plan to measure and report COMPAS's effect on reducing recidivism. Such a plan could consider whether inmates enrolled in a rehabilitative program based on a COMPAS assessment had lower recidivism rates than those provided rehabilitative programming as a result of non-COMPAS factors.

Response

The 2012 Outcome Evaluation Report noted that offenders with a substance abuse need, as identified by the COMPAS assessment, who participated in in-prison SAP and completed aftercare had a lower recidivism rate than offenders with a substance abuse need who only completed aftercare or in-prison SAP, or offenders without a substance abuse need identified.

Offenders who participated in in-prison substance abuse programming, regardless of COMPAS identified need showed a 62.2% recidivism rate, while those who did not participate had a 63.9% recidivism rate.

It is very important to emphasize that the COMPAS assessment is not capable of reducing recidivism by itself. COMPAS is a tool that provides CDCR with information on an offender's individual needs. This information can then be used to place the offender into a program that can meet the offender's specific criminogenic needs. It is the combination of the COMPAS assessment with appropriate and well-implemented evidence based programming that can reduce recidivism.

The 2014 Outcome Evaluation plans to add a comparison of recidivism rates for individuals with a COMPAS need who received substance abuse treatment vs. those who received treatment but did not have a COMPAS need to the recidivism report, which is compiled after we transition our data to SOMS.

  • California State Auditor's Assessment of Status: Not Fully Implemented
  • Completion Date: December 2013
  • Response Date: October 2014

Recommendation To: Corrections and Rehabilitation, Department of

Once Corrections resumes its use of COMPAS core and reentry assessments, it should provide ongoing training to classification staff representatives, parole agents, and others that may administer or interpret COMPAS assessment results to ensure that COMPAS is a valuable inmate assessment and planning tool.

Response

CDCR's Division of Rehabilitative Programs implemented statewide T4T training in April 2013 that included the California Logic Model which illustrates the rehabilitative process used by CDCR, including the assessment and placement into programs appropriate to an offender's criminogenic needs. The training provided designated staff the required knowledge to administer additional training to new classification staff, and to serve as a local subject matter expert.

This training also included a review of the Reentry Hub and October 4, 2012 memos regarding the Classification Committee Chairpersons review of an inmate's needs identified on the COMPAS assessment when making program placement determinations.

CDCR's Division of Adult Parole Operations completed deployment of the California Parole Supervision Reintegration Model (CPSRM) statewide; founded on the premise of successful reintegration by addressing each offender's specific criminogenic needs. A core component of the CPSRM is the automated assessment tool (COMPAS Reentry Assessment) with the results in the form of the COMPAS Case Plan, providing recommended programs available that address the criminogenic needs identified by the tool. The COMPAS Case Plan is used to further develop a comprehensive plan including incremental goals that lead to the offender's success on parole.

Six-hours of the CPSRM training included understanding criminogenic needs, treatment dosages, and using available assessment tools to identify the offender's criminogenic needs. Additionally, six-hours of training was provided on the use of the COMPAS Reentry Assessment Tool, interpreting the results, and using the COMPAS Case Plan. (See Sign-In sheets for the COMPAS Training.) Refresher training will be provided upon request.

  • California State Auditor's Assessment of Status: Not Fully Implemented
  • Completion Date: April 2013
  • Response Date: October 2014

Recommendation To: Corrections and Rehabilitation, Department of

Once Corrections resumes its use of COMPAS core and reentry assessments, it should develop practices or procedures to periodically determine whether its staff are using COMPAS core or reentry assessments as intended. Such a process might include performing periodic site visits to corroborate that COMPAS is being used as required.

Response

Business rules included in the recently implemented SOMS Classification and Programs module provide an automated check against eligibility criteria prior to moving an offender from a waiting list to a program.

For in-prison programs, regulations are in place and memoranda have been distributed instructing classification staff to use the COMPAS needs scores to determine an offender's program placement and sequencing. CDCR currently issues a quarterly report on goal 1.2 of the Strategic Plan, which indicates the number and percentage of offenders paroling who have received rehabilitative programming consistent with their identified needs.

CDCR is currently developing reports to indicate the number of offenders who have been assessed as having a criminogenic need and are currently enrolled in a rehabilitative program versus enrolled offenders without the required need.

CDCR's Division of Adult Parol Operations (DAPO) has initiated the review and enhancement of the assessment methods used in the QA review process, further increasing the scope of the assessment tools to evaluate the extent of which the COMPAS case plan components are being utilized in the supervision of offenders on State supervised parole.

DAPO anticipates reinstating QA reviews with the enhanced procedures within the coming year.

  • California State Auditor's Assessment of Status: Not Fully Implemented
  • Completion Date: October 2015
  • Response Date: October 2014

Recommendation To: Corrections and Rehabilitation, Department of

Once Corrections resumes its use of COMPAS core and reentry assessments, it should develop practices or procedures to periodically compare the demand for certain rehabilitative programs, as suggested by a COMPAS core assessment, to the existing capacity to treat such needs.

Response

The current contract capacities for Cognitive Behavioral Treatment were developed using the criminogenic needs that were identified through the COMPAS assessment results.

On March 20, 2013, and September 20, 2013, CDCR revised the COMPAS exclusionary criteria to include more inmates in the assessment process. The Division of Rehabilitative Programs reviews the COMPAS needs results to determine adjustment in the statewide capacities for Substance Abuse Treatment, Criminal Thinking, Anger Management, and Family Relationships. CDCR has programs in all institutional levels and will be able to adjust program capacities based on identified needs by specific levels of inmates.

CDCR also uses COMPAS assessment results in the development of other treatment programs beyond the Blueprint requirements. The Blueprint indicates annual capacity figures which correlate to COMPAS needs scores.

In-prison programming capacity decisions are currently based on the Master Offender List, a comprehensive list of currently incarcerated offenders. This list includes COMPAS and TABE scores, as well as current assignment and housing information. Due to both the size of this file, and the sensitive nature of its content, this document cannot be offered as proof of practice. There are currently programs in prison, and the Day Reporting Center community programs which have contracts utilizing this methodology.

When renewing the Reentry Hub contracts, the Department reviews the Master Offender List to determine if any modifications in the annual capacity for a specific modality, is warranted. The Master Offender List contains multiple case factors which include, but are not limited to, COMPAS and TABE scores, as well as current assignment and housing information.

  • California State Auditor's Assessment of Status: Not Fully Implemented
  • Completion Date: September 2013
  • Response Date: October 2014

Current Status of Recommendations

All Recommendations in 2014-041