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ASCA
Performance Based
Measures System
Patricia Hardyman, PBMS Administrator – ASCAMelanie Gueho, Administrative Program Director -- LA DOC
Erin Boyar, Principal Planner -- RI DOC
5/12/161
Performance Based Measures System
• PBMS was established by ASCA to enable agencies to: • Measure agency and facility performance against correctional standards
and performance measures;• Provide for “Apples-to-Apples” comparisons based on established
counting rules defined by corrections;• Enable sharing and comparison of performance among all ASCA
agencies; and• Maintain measures current and relevant to contemporary correctional
practices.
• Performance Measures Committee (PMC), with input from ASCA members, develops performance standards, measures, and key indicators. 5/12/162
PBMS – What is it?
PBMS is a hierarchical typology of performance standards, measures, and key indicators of critical practices that was designed to translate the missions and goals of correctional agencies into a set of measurable outcomes.
5/12/163
Performance Measures
1. Standards of Performance (areas of performance to be
measured, for example, Public Safety)
2. Measures (for example, Escapes)
3. Key Indicators of Performance (Ex. number of
escapes from secure perimeter, number from
outside secure perimeter etc.)
4. Counting Rules (definition of the
indicator and specific rules for counting
the events.)
5/12/164
PBMS - Deep and Wide Wide: Monthly Data are collected on More than 100 measures of Agency
Performance
48 Agency-Level Key Indicators
54 Facility-Level Key Indicators
Performance Standards include:
I. Contextual Information – Descriptive characteristics of the agency and
each of its facilities
II. Public Safety
III. Institutional Safety
IV. Substance Abuse
V. Mental Health
VI. Justice
VII. Education
VIII. Academic Education
IX. HealthCare
X. Fiscal
XI. Personnel5/12/165
Agencies’ Participation in PBMSMarch 8, 2016
PA
IL
TX
AZ
CA
Trained, Partial Data Entry (14)
Required Characteristics & 75% of Key Indicators (8)
OH
LA
MS
VA
NCTN
SCGA
ME
AL
FL
MO
MI
AR
IN
WI
MNID
WA
OR
NV
UT
WYSD
NDMT
NMOK
HIAK
KSCO
NE IA
KY
NY MA
RI
MD DE
VTNH
WV
Philadelphia, PA
NYC
No Data Entry (8)
NJ
DC
FBOP
All Characteristics & All Key Indicators (10)
CT
Required Characteristics & 50% of Key Indicators (6)
Required Characteristics & 25% of Key Indicators (9)
5/12/16
LA County
Not Trained (0)
6
Number of Organizations and Facilities for which PBMS Characteristics and Key Indicators were Input
5/12/16
357 360
516
668
764
908935 954
283327
485
628 628 610
741 752
0
200
400
600
800
1000
1200
2009 2010 2011 2012 2013 2014 2015 Mar-16
Fac Characteristics Fac Key Indicators
21
25
29
33
37
4543
44
15
1921
25
28
32 32 32
0
5
10
15
20
25
30
35
40
45
50
2009 2010 2011 2012 2013 2014 2015 Mar-16
Org Chars Org Kis
7
Organization Characteristics -- Dec 2015
5/12/168
Agency Report Capabilities
Track your agency’s performance on
important operational, program and
service measures, for example:
Numbers of inmates needing and
accessing health care, academic,
substance abuse, or psychological
services;
Rates/Numbers of Assaults – Inmate
on Inmate and Inmate on Staff
Recidivism rates
Population characteristics.5/12/169
12.71% 10.83%8.67% 8.02%
10.06% 10.42% 12.14%
12.71%13.03% 15.58% 15.90%
15.38%17.74%
20.52%
0.00%
5.00%
10.00%
15.00%
20.00%
25.00%
30.00%
35.00%
2010 2011 2012 2013 2014 2015 2016
New Conviction Tech Viol.
My Agency’s Recidivism Rates: 2010-2016
5/12/1610
Agency Report Capabilities
Compare your agency’s
performance rates --
recidivism, substance abuse
treatment rates -- with
Other jurisdictions
similar to yours,
All agencies,
Regional/neighbors, &/or
National average.
5/12/1611
Rate of Administrative Segregation:
PBMS 5-Year Trends
3.853.94 3.96 4.00
4.91
3.42
2.74
5.04
2.813.25
5.47
2.772.27 2.16
0.00
1.00
2.00
3.00
4.00
5.00
6.00
2009 2010 2011 2012 2013 2014 2015
My Agency National Mean
# AgenciesReporting
2009 2010 2011 2012 2013 2014 2015
17 17 20 25 24 25 235/12/1612
PBMS Dashboard
13 5/12/16
Chart 3 - Three-Year Trends - Rates of Major Contraband 2013 - 2015
14 5/12/16
Chart 3 - Three-Year Trends - Rates of Major Contraband 2013 - 2015
5/12/1615
Chart 5 - A sliding scale by the reporting year to reflect the appropriate
jurisdictions by year. -- Rates of Major Contraband 2015
16 5/12/16
Upgrades to PBMS:February & April 2016
Upgrades to the PBMS reports:Organization Comparative report # facilities/agency reporting for each key indicator; and
Modified the formula for computing the Organization Rates to be the sum of the data for all facilities.
Improved the Website – User Friendly Screens:Modified the user permission screen for setting user’s rights to input data for multiple facilities.
Added a new help screens & displays to describe each of the PBMS reports.
Updated the User’s Manual and Links to the PBMS Website and ASCA pbms library.
Created Visual indicator to show the agency’s current participation level.
Revised the drop down menus.
17 5/12/16
Continued Upgrades to PBMS – New Directions
Benchmarking – Develop benchmarks to provide feedback to agencies as to their performance.
Expand the key indicators and standards – Racial Diversity, Restrictive Housing, Vocational Education, Community Corrections, etc.
Development/Expansion of the Dashboard
PBMS Reports – Add Counts to Organization Comparative Rpts
Expand Cross browser compatibility
Create Options for the upload template, e.g., .xls, xlsx, csv
18
5/12/16
Technical Assistance
Email – [email protected] or
PBMS Web Page: http://asca.net/projects/1/pages/8
PBMS Web page Tech Help (send files/error messages to:
PBMS Counting Rules Help: [email protected]
Old fashion way (it still works) – 413-329-8373 or 413-229-2384
5/12/1619
Louisiana’s PBMS Process
Melanie GuehoAdministrative Program Director
5/12/1620
From the Beginning
o Our participation began as a top down effort.
o We started out small with our “Research area” and the Secretary’s Office.
o We began by reviewing the Key Indicators and Performance Measures and submitting the indicators we tracked at that time.
o We maintained this partial entry for several years.
5/12/1621
But we wanted to be a blue state!
o Identified our data and compared to what PBMS was requesting.
o Was it definitional or did the information not exist in our systems?
o If it was definitional, would there be an effect if we made the change.
o If we did not have the data, what would it take to begin collecting this information?
o Policy Review Committee with Deputy Secretary’s Office.
o Redesigned monthly reporting regulation.
o Put in request to I/T to generate needed reports from our existing systems.
5/12/1622
Reporting to PBMS
o One staff member assigned to enter PBMS data (PBMS was not their only duty).
o Two years ago, it was decided that data entry be split to the areas of expertise (Medical, Educations, Fiscal, PREA, etc.).
o Patricia visited and helped train staff on data entry .
5/12/1623
Maintaining Blue State Status
o This is a concentrated effort
o We submit information monthly, although some information is a month behind due to the time it takes some reports to be produced.
o We currently have three staff members with focuses, in addition to other duties, of entering data and keeping entries current and consistent.
o These staff members also check in with the other assigned sections to make sure they are entering data in a timely manner.
5/12/1624
How we use PBMS
o In addition to those entering data, all of the wardens and Leadership staff have log-ins. In which, Secretary LeBlanc, frequently reminds them of this tool that they can use to evaluate their facilities.
o Most recently, we used this data for legislation. We took our three-year overall recidivism rates and compared them to other states who had facilities with similar occupational capacities and also other Southern states.
o In addition to cross state comparisons, we use these reports as a way to self audit our data.
5/12/1625
Rhode Island Department of Corrections
Erin L. BoyarPrincipal Planner
RIDOC History, Progress, Process, Value and Benefits of PBMS
Overview of Rhode Island DOC
a "unified" correctional system with jurisdiction over four (4) offender types either supervised at the Adult Correctional Institutions (ACI) or in the community:
pre-trial offenders, sentenced offenders, adult offenders on probation and paroled adult offenders
The total institutional population is comprised of all pre-trial and sentenced offenders (regardless of sentence length or crime).
Current total Population = 3,000 (approx. 75% of capacity)
2,448 Sentenced
552 Awaiting Trial
We process over 14,000 new commitments (both pre-trial and sentenced) every year.
Overview of Rhode Island DOC
The Adult Correctional Institutions (ACI) at RIDOC include seven (7) facilities located within 1 square mile in Cranston, RI:
5 Male Facilities
1 Intake Center (cap 1148) , 1 High Security/supermax (cap
166) , 1 Maximum Security (cap 466), 1 Medium Security (cap 1186), 1 Minimum Security (cap 710)
2 Female Facilities
1 Awaiting Trial / Medium Custody facility (cap 213) and 1 Minimum / Work Release facility (cap 100)
Medium
Minimum
Intake
High Sec
Maximum
Women’s Facilities
Average Total Population FY1976
to FY2014
603685 730
991
1174
1346
1528
2495
2862 2760
3001
3394
32043387
3554
3510
3860
3502
32733191 3160
3214
0
500
1000
1500
2000
2500
3000
3500
4000
4500
76 78 80 82 84 86 88 90 92 94 96 98 00 02 04 06 08 10 11 12 13 14
To
tal P
op
ula
tio
n
Fiscal Year
Par
ole
Gu
ide
line
s M
od
ifie
d
Man
dat
ory
Min
imu
ms
Go
od
Tim
e L
eg
isla
tio
n
Man
dat
ory
Min
imu
ms
Re
pe
ale
d
A Look Back:
November 2007 Trained in PBMS (Planning and IT staff).
PBMS would be a system to allow for agency to agency comparisons and allow us to establish trends within our own agency in areas much more difficult to analyze then simply the number of inmates we have incarcerated
IT and Planning worked together to develop scoring logic for each measure and scripts that would run at the required intervals to populate the upload template.
Without this process in place, we would need staff to extract data from the system(s), analyze the data on a monthly basis and to manually enter each piece of data into on the website – probably a full-time job for one person!
Process:
RIDOC first focused on Organizational and Facility Characteristics
Uploaded first template in December, 2009
On the MAP (Partial Data Entry)!
Next – Organizational and Facility Key Indicators:
We need to make sure the definitions we are currently using to define certain events are consistent with the counting rules ASCA has developed. In some cases we may not currently record (electronically) certain events which ASCA is requesting data for.
Impact on RIDOC operations
Policy Revision (i.e. discipline definitions)
Change in practice – how we count events (i.e. assaults with/without serious injury, inmate on inmate fights)
Establishment of new data elements in datasystems
Change to Count Boards – to capture “type of cells/rooms”
Education elements in TPCDS
Establishing fields in INFACTS to automate analysis of recidivism
Cell Searches (random/targeted), Use of Force
Where is this information?
Attempted Suicides
Status of RIDOC contributing to PBMS
Upload TemplateFacility CharacteristicsOrganizational CharacteristicsOrganizational Performance Indicators
Education LevelsClass Action Law Suits
Other Processes / Manual Data EntryFacility Incident Reports Database (Escapes, Assaults, Homicides, Suicides, Contraband, Uses of Force)Crystal Reports (Disciplines , Assessment of Substance Abuse)Other Data Analysis (Recidivism)Outside Reporters (Health Care, Legal, Sexual Violence/Misconduct, Education Assessments, Medical Deaths, Fiscal Standard, Personnel Standard)
RIDOC is currently GREEN!
Facility Key Indicators:• Total Facility Key Indicators = 57• RI is currently submitting 39 facility key indicators (68.4%) Current status – Green• We need 43 (75%) facility key indicators to be eligible for Aqua
Agency Key Indicators:Total Agency Key Indicators = 48RI is currently submitting 26 agency key indicators (54.2%) - GreenWe need 36 (75%) agency key indicators to be eligible for Aqua
Obstacles and Challenges
Unreliable electronically stored dataNumber of non US citizens in the custody of the DOC - self-reported by inmates upon commitment.
Data Not ExtractableNumber of security staff (male & female) working in each facility on the last day of the month. Electronic Medical Records (“off the shelf” vendor package)
Data not stored ElectronicallyCell searches are recorded manually in facility log books and that this information is recorded differently in each facility, although a policy does indicate what needs to be recorded.
Obstacles and Challenges
Data not Available AnywhereInmate-on-staff victims Health Care (Encounters, Visits, Emergencies, Specialties) not possible to extract by facility at this time.
Staff ResourcesFor almost 6 years, just one staff person assigned from the Planning UnitFall, 2013 2nd staff person trained; assistance from other managers began (a Team approach)Moved up to Green, January, 2015Fall, 2015 new staff person hired; helping with monthly data entry
Future Plans – Facility Key
Indicators
Facility Incidents and Sexual Violence Indicators in Upload Template
Disruptive Events
We propose defaulting this to zero (0) each month. However, if this event occurs we need to establish a process to be notified so we can manually change the data for the given month.
Positive Drug Test
Database needs to be reviewed
Cell Searches
Need to consider the establishment of electronic storage of this information (possibly a new database module).
Future Plans – Facility Key
Indicators
Disciplinary Reports (Major/Minor Infractions)
Grievances
Grievance Database needs to be reviewed and changes to the database may be necessary
Administrative Segregation and Protective Custody
Major project tied into Restrictive Housing at RIDOC
Substance Abuse Interventions
current structure of the SA program is new; unsure of inpatient vs. outpatient treatment
Future Plans – Agency Key
IndicatorsMental Health
Need to determine what can be extracted electronically from the EMR and in accordance with the ASCA counting rules. Additionally, the doctor in ISC will not provide diagnosis codes.
Notification
We do not have a process to track who is notified (who gets an inmate handbook
Academic Education
Need to further discuss data storage of indicators and options for reporting in accordance with the PBMS counting rules.
Health Care (TB, HCV, AIDS)Challenging / maybe not possible to extract indicators from the EMRWe do not differentiate HIV from AIDS in the EMR
Value / Benefits / Uses
Governor Level Performance MeasuresFacility Incidents – identified historical trends, spikes and overall understanding
Restrictive Housing – PBMS provided guidance for our internal project
Internal DashboardEducating staff and promoting transparency and awareness
BenchmarkingHow do we compare with similar jurisdictions? Where and how can we improve?
Relationships with StaffCorrectional Officers, medical records, facility processes
This presentation is property of the Rhode Island Department of Corrections
www.doc.ri.gov
