Reentry Initiative

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Reentry Initiative Workgroup William Burgin

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Reentry Initiative

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1. Storyline: New York State (NYS) Parole uses the Erie County Jail to house parolees who are at risk of violating parole. These parolees remain in the county jail until a final decision is made by the NYS Parole Administrative Law Judge to revoke parole and return the parolee to NYS Corrections or to restore a parolee back on parole in the community. The revocation/restoration system was causing the Erie County taxpayer additional cost due to an extended jail stays for parolees awaiting appropriate community-based program placements. The Erie County Department of Mental Health identified this as a problem and advocated for this issue to become the focus for a Six Sigma Project. Storyline: New York State (NYS) Parole uses the Erie County Jail to house parolees who are at risk of violating parole. These parolees remain in the county jail until a final decision is made by the NYS Parole Administrative Law Judge to revoke parole and return the parolee to NYS Corrections or to restore a parolee back on parole in the community. The revocation/restoration system was causing the Erie County taxpayer additional cost due to an extended jail stays for parolees awaiting appropriate community-based program placements. The Erie County Department of Mental Health identified this as a problem and advocated for this issue to become the focus for a Six Sigma Project.

2. Reentry Initiative Workgroup William Burgin – Green Belt Candidate Jean Hennessy – Yellow Belt Candidate Richard Planavsky – Erie County Department of Budget Grant Scriven – NYS Parole Cindy Voelker - Spectrum Human Services Michael Ranney – Erie County Department Mental Health Peter Curtis – Erie County Department of Mental Health (Consult) Ken Graber – ALJ, NYS Parole (Consult) Judith Cummins, ALJ, NYS Parole (Consult) Angelo Ervolino, NYS Parole (P/T) Executive Summary: The Erie County taxpayers are incurring additional costs at the Erie County Jail due to the inability of NYS Parole to move parolees through the revocation/restoration process and place them in community-based programs. Parolees who are eligible for parole restoration back in the community are waiting extended periods of time in the Erie County Jail. The lack of efficiency in the system was costing the Erie County taxpayer $128.28 (2009) per day to house a state parolee with the county share being 100% of this cost. This project focused on the location of the system gaps, the barriers that caused these gaps, a solution to fill the gaps and a tracking system to measure the progress of this solution. Please note that there were (3) extremely important aspects of this project that lead to identifying a solution: 1. Stakeholder Analysis – The workgroup includes an interesting mix of state, county and community leaders. For this project to be successful, the workgroup needed to reach out beyond county employees and search for decision makers at the state and community level who would support this initiative and have impact on system change. 2. Mid Level Process Flow Diagram: This tool was used to identify the location of system breakdown. The workgroup was able to locate a significant gap between a “final hearing date and the date of program placement”. 3. Benchmarking: A six sigma tool that allowed the workgroup to search for current solutions that were available in outside counties. This project consulted with outside counties and located a process that was a good fit for the Erie County system. Each and every tool used in this project was helpful, the above (3) appeared to be the strongest links to make this initiative a success. Problem Statement: Project Scope: Project Phase with Most Impact (identify milestone(s) and key learning): Executive Summary: The Erie County taxpayers are incurring additional costs at the Erie County Jail due to the inability of NYS Parole to move parolees through the revocation/restoration process and place them in community-based programs. Parolees who are eligible for parole restoration back in the community are waiting extended periods of time in the Erie County Jail. The lack of efficiency in the system was costing the Erie County taxpayer $128.28 (2009) per day to house a state parolee with the county share being 100% of this cost. This project focused on the location of the system gaps, the barriers that caused these gaps, a solution to fill the gaps and a tracking system to measure the progress of this solution. Please note that there were (3) extremely important aspects of this project that lead to identifying a solution: 1. Stakeholder Analysis – The workgroup includes an interesting mix of state, county and community leaders. For this project to be successful, the workgroup needed to reach out beyond county employees and search for decision makers at the state and community level who would support this initiative and have impact on system change. 2. Mid Level Process Flow Diagram: This tool was used to identify the location of system breakdown. The workgroup was able to locate a significant gap between a “final hearing date and the date of program placement”. 3. Benchmarking: A six sigma tool that allowed the workgroup to search for current solutions that were available in outside counties. This project consulted with outside counties and located a process that was a good fit for the Erie County system. Each and every tool used in this project was helpful, the above (3) appeared to be the strongest links to make this initiative a success. Problem Statement: Project Scope: Project Phase with Most Impact (identify milestone(s) and key learning):

3. Define Phase PROJECT CHARTER Strategic Goal/Business Case: To decrease the cycle time for a parolee to be restored back on parole in the community. Problem Statement: NYS parolees are waiting an extended period of time in the Erie County Jail for completion of the restoration/revocation process. In 2008, parolees spent an average time of 44 days between Erie County Holding Center & Erie County Correctional Facility for technical parole violations. Strategic Goal/Business Case: To decrease the cycle time for a parolee to be restored back on parole in the community. Problem Statement: “NYS parolees are waiting an extended period of time in the Erie County Jail for completion of the restoration/revocation process. In 2008, parolees spent an average time of 44 days between Erie County Holding Center & Erie County Correctional Facility for technical parole violations” This problem statement was developed by the Reentry Initiative Workgroup including the Master Black belt on the project Thom Marra. Strategic Goal/Business Case: To decrease the cycle time for a parolee to be restored back on parole in the community. Problem Statement: “NYS parolees are waiting an extended period of time in the Erie County Jail for completion of the restoration/revocation process. In 2008, parolees spent an average time of 44 days between Erie County Holding Center & Erie County Correctional Facility for technical parole violations” This problem statement was developed by the Reentry Initiative Workgroup including the Master Black belt on the project Thom Marra.

4. Define Phase PROJECT CHARTER Benefits/Savings Potential: $100,000 Annually Scope/Boundaries: (Within the Scope) Parolees that are held in the Erie County Jail on a warrant for a parole violation and could be considered for parole restoration. (Beyond the Scope) Parolees held in the Erie County Jail who are not eligible for parole restoration. Benefits/Savings Potential: $100,000 which is 100% County Share. This savings was calculated by an average cost per day at the Erie County Jail $128.28 x 7 days for 112 parolees. The number of parolees was determined by the average caseload a single care coordinator is assigned during a period of one year. Scope of Project/Boundaries: This initiative concentrated on parolees who are being held on a technical violation (breaking the rules of parole i.e. curfew, substance use, grouping with other parolees). This population offers for flexibility in sentencing. Individuals being held that have committed new crimes on parole are beyond the scope of this project. Many outside factors exist that would not allow for this group to be included in the scope of this project (new crime could call for a jury trial that could last 6-12 months). Benefits/Savings Potential: $100,000 which is 100% County Share. This savings was calculated by an average cost per day at the Erie County Jail $128.28 x 7 days for 112 parolees. The number of parolees was determined by the average caseload a single care coordinator is assigned during a period of one year. Scope of Project/Boundaries: This initiative concentrated on parolees who are being held on a technical violation (breaking the rules of parole i.e. curfew, substance use, grouping with other parolees). This population offers for flexibility in sentencing. Individuals being held that have committed new crimes on parole are beyond the scope of this project. Many outside factors exist that would not allow for this group to be included in the scope of this project (new crime could call for a jury trial that could last 6-12 months).

5. Project Timeline: Define Phase: April 30, 2009; Measure Phase: May 21, 2009; Analyze Phase: June 11, 2009; Improve Phase: August 3, 2009; Control Phase: February 9, 2010. The Control Phase was and still is extremely demanding. Numerous meetings to educate different systems on the proposed changes. Educating Defense Counsel on purpose of project and referral procedures, meeting with prosecution to update on system improvements, meetings with community providers to set up system of program placements, and many more meetings/educational sessions on system change. Also involved in the Control Phase was improvement/solution start up that requires numerous trouble shooting sessions to work out the kinks in the system. Other challenges include emotional feedback from parole officers who interpret the system change as a challenge to their authority Goal Statement This initiative not only saves the taxpayer money but also increases the efficiency of the system that reaches across state agencies, county agencies and community providers. Appropriate and timely program placements has both short term and long term effects. Getting the parolee the appropriate substance abuse program placement could lead to a substance-free life that would include employment which contributes to the tax base of Erie County and NYS. This is only a small example of the regional improvements an efficient Parole Restoration/Revocation Systems can produce. Project Timeline: Define Phase: April 30, 2009; Measure Phase: May 21, 2009; Analyze Phase: June 11, 2009; Improve Phase: August 3, 2009; Control Phase: February 9, 2010. The Control Phase was and still is extremely demanding. Numerous meetings to educate different systems on the proposed changes. Educating Defense Counsel on purpose of project and referral procedures, meeting with prosecution to update on system improvements, meetings with community providers to set up system of program placements, and many more meetings/educational sessions on system change. Also involved in the Control Phase was improvement/solution start up that requires numerous trouble shooting sessions to work out the kinks in the system. Other challenges include emotional feedback from parole officers who interpret the system change as a challenge to their authority Goal Statement This initiative not only saves the taxpayer money but also increases the efficiency of the system that reaches across state agencies, county agencies and community providers. Appropriate and timely program placements has both short term and long term effects. Getting the parolee the appropriate substance abuse program placement could lead to a substance-free life that would include employment which contributes to the tax base of Erie County and NYS. This is only a small example of the regional improvements an efficient Parole Restoration/Revocation Systems can produce.

6. SIPOC: The workgroup identified NYS Parole and individual parolees as the Suppliers. We looked at the warrants, individual parolees and the regulations related to parole as the Inputs. The Process was acknowledged as beginning on date the warrant was issued and ending on the date of program placement or release from county jail. Outputs included (2) options: Restoration – returning to the community Revocation – placed in NYS Prison. The Customers were identified as parolees, the community, parole, county jail, county sheriffs and the taxpayers. SIPOC: The workgroup identified NYS Parole and individual parolees as the Suppliers. We looked at the warrants, individual parolees and the regulations related to parole as the Inputs. The Process was acknowledged as beginning on date the warrant was issued and ending on the date of program placement or release from county jail. Outputs included (2) options: Restoration – returning to the community Revocation – placed in NYS Prison. The Customers were identified as parolees, the community, parole, county jail, county sheriffs and the taxpayers.

7. Erie County Correctional Facility/Holding Center Daily Rate Cost: $128.28 Based by a average daily rate of housing a parolee in the Erie County Jail in 2009. The daily rate includes: Personal Services Maintenance& Operations Costs (includes equipment) Capital Construction Costs This rate includes revenue received by NYS ($34.00 per day) for parole violators. This revenue has been discontinued as of April 1, 2009 . Rate is based on total cost divided by the fixed or rated capacity of the institution. Financial Analysis: This rate is based on the average daily rate of housing in the jail for 2009. Personal Services includes salaries, fringe and overtime. Maintenance & Operations: building upkeep, linens and supplies, medication, etc.. Capital Construction: In 2009, the jail had new project construction to a building in Alden, NY. NYS was reimbursing Erie County $34.00 per day for holding parole violators at the jail. This rate was associated with bed days after final sentencing. The rate $128.28 was approved by the Comptrollers Office. Financial Analysis: This rate is based on the average daily rate of housing in the jail for 2009. Personal Services includes salaries, fringe and overtime. Maintenance & Operations: building upkeep, linens and supplies, medication, etc.. Capital Construction: In 2009, the jail had new project construction to a building in Alden, NY. NYS was reimbursing Erie County $34.00 per day for holding parole violators at the jail. This rate was associated with bed days after final sentencing. The rate $128.28 was approved by the Comptrollers Office.

8. Mid-Level Process Flow Diagram Mid-Level Process Flow Diagram: This workgroup process documented a flow of operations and decisions that started upon entry into the Erie County Jail and ended at the release date back into the community. This flow diagram included a courtroom process that was driven by law as well as an individual process which solely depended on the efficiency of the parole violation process. The workgroup focused in the period between final hearing and program placement date as the area which the practice could be improved. A large gap in time was depending on the referral process of sending a parole violator back into the community. Defense attorneys were making these referrals which took a number of days/weeks if completed. Many of times the referrals were not completed and the parolees were waiting in the county jail. Mid-Level Process Flow Diagram: This workgroup process documented a flow of operations and decisions that started upon entry into the Erie County Jail and ended at the release date back into the community. This flow diagram included a courtroom process that was driven by law as well as an individual process which solely depended on the efficiency of the parole violation process. The workgroup focused in the period between final hearing and program placement date as the area which the practice could be improved. A large gap in time was depending on the referral process of sending a parole violator back into the community. Defense attorneys were making these referrals which took a number of days/weeks if completed. Many of times the referrals were not completed and the parolees were waiting in the county jail.

9. Measure Phase Other Tools Swim Lanes Swim Lanes: The group broke the process down further to identify additional gaps in the system. This process reinforced the need to address the area between final hearing and program placement date. We were able to identify the “who” in the flow of the process and troubleshoot the interactions of the “who” to explore possible efficiency issues in the flow. Again, the workgroup found that targeting the timeframe between final hearing and program placement date would shorten the cycle time for bed days in the Erie County Jail. Swim Lanes: The group broke the process down further to identify additional gaps in the system. This process reinforced the need to address the area between final hearing and program placement date. We were able to identify the “who” in the flow of the process and troubleshoot the interactions of the “who” to explore possible efficiency issues in the flow. Again, the workgroup found that targeting the timeframe between final hearing and program placement date would shorten the cycle time for bed days in the Erie County Jail.

10. 2008 Average Bed Days Erie County Parole Violators (Technical) Baseline Data Collection: Baseline data was provided with the cooperation of the Erie County Sheriffs Office. This data is based on 2008 information and divided up between Holding Center data and Jail data. A thorough review of the data was completed which included cleaning the data, organizing between technical and new crime data, and developing a mean at both sites to get a clear understanding of the length of time spent in the facility awaiting release back to prison or the community. ECHC: Average LOS 10+ days ECCF: Average LOS 34+ days Total: Average LOS 44+ days Baseline Data Collection: Baseline data was provided with the cooperation of the Erie County Sheriffs Office. This data is based on 2008 information and divided up between Holding Center data and Jail data. A thorough review of the data was completed which included cleaning the data, organizing between technical and new crime data, and developing a mean at both sites to get a clear understanding of the length of time spent in the facility awaiting release back to prison or the community. ECHC: Average LOS 10+ days ECCF: Average LOS 34+ days Total: Average LOS 44+ days

11. Measure Phase CAPABILITY STUDY Capability Study: This Six Sigma tool was use to identify the Upper Spec Limit (USL) and the percentage of the group that remained in the Erie County Jail beyond the Upper Spec Limit. This chart tells us that the USL is 10 days and 31.20% of the group remained in the Erie County Jail beyond the USL. Capability Study: This Six Sigma tool was use to identify the Upper Spec Limit (USL) and the percentage of the group that remained in the Erie County Jail beyond the Upper Spec Limit. This chart tells us that the USL is 10 days and 31.20% of the group remained in the Erie County Jail beyond the USL.

12. Benchmarking The Workgroup identified that Niagara County had a system in place to assist parole violators in parole restoration. Met with North Pointe Council, a non-for-profit in Niagara County who provides assessment and referral for parolees considered for parole restoration. Key Points of Niagara County System: Assessment and plan is completed in Niagara County Jail (NCJ) All referrals have a history of failed substance abuse outpatient attempts and need a long term substance abuse residential plan If appropriate, parolee is moved to out of NCJ to local residential substance abuse agency following final hearing. Plan includes14 day stay at a crisis service, 28 day stay at substance abuse inpatient unit, 60-90 days at residential rehabilitation unit and 90 days in a community residence. Selecting and Testing a Solution Benchmarking: The workgroup included (2) Administrative Law Judges (ALJ) that handled cases in Erie County and surrounding counties in Western New York. An ALJ recommended that Erie County would speak with other counties who have a system in place that handle clinical assessment and referral of potential parole violators who could be considered for a return to the community. Erie County does not offer this process, the defense attorney is responsible for making the referral for assessment and treatment recommendations. This is a long process with the defense attorney struggling to link to the appropriate service for a professional assessment and treatment recommendations. The Greenbelt Candidate spoke with Michael Shuster of North Pointe Council in Niagara County who discussed the process in place to assess and link paroles to treatment back in the community. This process was documented and distributed to the workgroup for review. Please note the keep points in the slide. Erie County did have a system in place in previous years through Horizon Human Services, this service was discontinued when the funding was discontinued. Selecting and Testing a Solution Benchmarking: The workgroup included (2) Administrative Law Judges (ALJ) that handled cases in Erie County and surrounding counties in Western New York. An ALJ recommended that Erie County would speak with other counties who have a system in place that handle clinical assessment and referral of potential parole violators who could be considered for a return to the community. Erie County does not offer this process, the defense attorney is responsible for making the referral for assessment and treatment recommendations. This is a long process with the defense attorney struggling to link to the appropriate service for a professional assessment and treatment recommendations. The Greenbelt Candidate spoke with Michael Shuster of North Pointe Council in Niagara County who discussed the process in place to assess and link paroles to treatment back in the community. This process was documented and distributed to the workgroup for review. Please note the keep points in the slide. Erie County did have a system in place in previous years through Horizon Human Services, this service was discontinued when the funding was discontinued.

13. Analyze Phase Failure Modes & Effects Analysis Failure Modes & Effects Analysis: This tool provides the opportunity to explore possible modes of failure with the selected improvements. The project identified discontinuation of funding to support a professional who provides assessment, treatment recommendations and treatment linkage; lack of referrals from NYS Parole; and treatment providers refusing referrals as the highest risk for potential failure modes. Causes and mechanisms were identified, recommended actions and responsible parties developed. Failure Modes & Effects Analysis: This tool provides the opportunity to explore possible modes of failure with the selected improvements. The project identified discontinuation of funding to support a professional who provides assessment, treatment recommendations and treatment linkage; lack of referrals from NYS Parole; and treatment providers refusing referrals as the highest risk for potential failure modes. Causes and mechanisms were identified, recommended actions and responsible parties developed.

14. “Provide the court with a professional evaluation and referral service” Assess current human service system for availability of services. Consult with community agencies who provide similar types of services. Consult with NYS Parole to run trail experiments (test cases). Proposed Solution: The workgroup agreed that the significant gap in the parole revocation/restoration process is a lack of a prompt professional assessment, treatment recommendation and treatment linkage. With evaluation/referral process, the cycle time for bed days in the Erie County Jail could be decreased by (7) days between the final hearing and program placement date. Spectrum Human Services, Inc who currently provides Reentry Care Coordination agreed to provide a professional to assess and link parolees would are eligible for parole restoration. Proposed Solution: The workgroup agreed that the significant gap in the parole revocation/restoration process is a lack of a prompt professional assessment, treatment recommendation and treatment linkage. With evaluation/referral process, the cycle time for bed days in the Erie County Jail could be decreased by (7) days between the final hearing and program placement date. Spectrum Human Services, Inc who currently provides Reentry Care Coordination agreed to provide a professional to assess and link parolees would are eligible for parole restoration.

15. Test Case #1 – Possible mental health condition, consideration for residential mental health services. Test Case #2 – Substance abuse issues, consideration for residential substance abuse services, long history(8-9x)of parole violations related to substance abuse. Test Case #3 – Substance abuse issues, previously on reentry caseload, responded well to parole requirement prior to episodes of substance abuse. Trial Experiments The workgroup agreed to test a few cases during the Improve Phase to identify any potential system-wide problems with design. The above are the (3) cases that went through the system. Provide a brief summary of each case. Trial Experiments The workgroup agreed to test a few cases during the Improve Phase to identify any potential system-wide problems with design. The above are the (3) cases that went through the system. Provide a brief summary of each case.

16. Test Case #1 – Evaluation did not take place, Care Coordinator did no receive gate clearance at Erie County Correctional Facility prior to sentencing. Individual was sentenced to 6 months + time served in NYS DOCS. Test Case #2 – Individual was assessed and recommended for 6 months substance abuse residential treatment. Released to and currently in Turning Point House. Test Case #3 – Individual was assessed and recommended for (6) month of substance abuse residential services. Released to and currently in Terraces House. Compare Results to Plan: System problems identified in test cases include the need for appropriate clearance for Erie County Jail. The assessment person did not have the clearance to assess the person and a report was not provided in time to divert the individual from prison incarceration. Additional issues included communication issues between assessing counselor, NYS Parole Officer and treatment provider. The need for ongoing meetings, documentation and referral procedures were identified.Compare Results to Plan: System problems identified in test cases include the need for appropriate clearance for Erie County Jail. The assessment person did not have the clearance to assess the person and a report was not provided in time to divert the individual from prison incarceration. Additional issues included communication issues between assessing counselor, NYS Parole Officer and treatment provider. The need for ongoing meetings, documentation and referral procedures were identified.

17. Documentation (Created or Changed) Clinical Assessment/Evaluation Referral procedures Referral form Tracking forms Control Documentation: The workgroup identified the need for a documentation in areas of: Clinical Assessment/Evaluation Referral procedures Referral form Tracking forms Spectrum Human Services designed the assessment tool The referral form and procedures were designed by the workgroup The Greenbelt Candidate designed the tracking form known as the Control Chart All documentation is currently being used and the need for revision will be discussed in the small group follow up meetings. Control Documentation: The workgroup identified the need for a documentation in areas of: Clinical Assessment/Evaluation Referral procedures Referral form Tracking forms Spectrum Human Services designed the assessment tool The referral form and procedures were designed by the workgroup The Greenbelt Candidate designed the tracking form known as the Control Chart All documentation is currently being used and the need for revision will be discussed in the small group follow up meetings.

18. Control Chart Control Chart Spectrum Human Services, Inc. is scheduled to provide a monthly report of the above information. This will allow the project to track the number of referrals, days in custody, days allotted for certain parts of the process. This information will be compared against the 2008 baseline information to track system outcomes and the effectiveness of the project. The above chart is an example of the information that Spectrum will provide to Erie County. The above is a few sample name (not real participants). Control Chart Spectrum Human Services, Inc. is scheduled to provide a monthly report of the above information. This will allow the project to track the number of referrals, days in custody, days allotted for certain parts of the process. This information will be compared against the 2008 baseline information to track system outcomes and the effectiveness of the project. The above chart is an example of the information that Spectrum will provide to Erie County. The above is a few sample name (not real participants).

19. Hiring of Alternative to Incarceration (ATI) Care Coordinator. Orientation and training of ATI care Coordinator. Formal Introduction of ATI Care Coordinator to NYS Parole, Community Service Providers and Assigned Counsel. Transition Action Plan The above steps have all been completed and the system is currently in place and accepting cases for assessment and referral. Transition Action Plan The above steps have all been completed and the system is currently in place and accepting cases for assessment and referral.

20. Six Sigma Tools Used: Please note the tools used in this project. As you can see, certain tools are used in this project. Different projects may require the use of different tools. Six Sigma Tools Used: Please note the tools used in this project. As you can see, certain tools are used in this project. Different projects may require the use of different tools.

21. Questions??????????????????? Questions???????????????????

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