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DEFENDER SERVICES BRANCH ALTERNATIVE SENTENCING WORKER PROGRAM
Sarah G. Johnson Defender Services Branch Manager
LEADERSHIP
Sarah G. Johnson returned to the DPA Alternative Sentencing Program she helped create. Sarah holds a
BSW from Morehead State University and a Masters of Social Work with a mental health concentration from
the University of Kentucky. Mrs. Johnson started her career as a mental health and substance abuse treatment
provider. She was one of the three original social workers hired for the DPA Social Work Pilot Project in 2006
and worked five years in that capacity. During her previous time with DPA, Sarah was instrumental in
establishing our social work program. Sarah excelled in leadership by helping to show the value of the
program. In August 2011, Mrs. Johnson was appointed to the Kentucky Parole Board. She returned to DPA in
December 2015 and is excited to be back to help lead our program as the Defender Services Branch Manager.
Cara Lane Cape is the Alternative Sentencing Program Supervisor at the Department of Public Advocacy (DPA).
Ms. Cape received both a BSW and a Masters of Social Work from Campbellsville University. Ms. Cape began her
career at Protection and Permanency in Grayson County, where she was chief investigator. In 2010, Ms. Cape
began working at DPA, where she held an administrative position in the Bowling Green Trial Office while
completing her graduate degree. In 2011, Ms. Cape transferred to DPA’s main Frankfort Office, where she held
positions in the Appeals Branch and Post-Trial Division Director’s Office, until finally ending up in the Office of
Public Advocate in 2013 as a policy analyst. While working in the Office of Public Advocate, Ms. Cape was an
instrumental part of the JustWare Case Management Team. Through this role, Ms. Cape was directly involved in
the implementation, customizing, and maintaining of DPA’s case management system – JustWare, as well as
provided training to all employees statewide. Ms. Cape assisted in streamlining data points within JustWare to be
used in the Kentucky DPA Outcome Study through the Center for Drug and Alcohol Research at the University
of Kentucky, in addition to providing ongoing data validation for the study.
DPA’S ALTERNATIVE SENTENCING
WORKERS
ALTERNATIVE SENTENCING WORKER
PROGRAM
OFFICE LOCATIONS
ROLE OF ALTERNATIVE SENTENCING WORKER
Works as an agent of the defense attorney
Conducts comprehensive assessments
Makes referrals
Collaborates with clients to create individualized Alternative
Sentencing Plans
Builds rapport and gains clients’ active decisions to participate
Provides crisis intervention strategies
Educates families
Collects data
Conducts baseline and 12 month follow up interviews
Facilitates collaboration between agencies
Creates and updates community resource guides
Provides more detailed information about community resources,
services, and programs
Uses Evidence-Based Motivational Interviewing
ROLE OF ALTERNATIVE SENTENCING WORKER
MOTIVATIONAL INTERVERIEWING
Evidence Based
Used in Substance Abuse, Mental Health, & Physical Health
treatment
Increases treatment engagement
Improves treatment compliance
Used for adolescents and adults
Effective with diverse cultures
Versatile, scientific approach
ALTERNATIVE SENTENCING WORKER
PROGRAM HISTORY
Started in 2006 as a pilot project
Placed in Covington, Owensboro, and Morehead
By 2008 there were 8 Social Workers placed in offices across the
state
The 2014 General Assembly approved 15 more DPA social
workers
Currently there are 45 Alternative Sentencing Workers positions
across the state
National Criminal Justice Association Outstanding
Criminal Justice Program Award, 2011
Harvard University’s John F. Kennedy School of
Government and its’ Ash Center for Democratic
Governance and Innovation named program as a
Top 25 Innovation in Government, 2013.
ALTERNATIVE SENTENCING WORKER
PROGRAM AWARDS
Why judges like the ASW Program?
“There is seldom a criminal motion day that we are not depending on a mental health resource identified and scheduled by the DPA social worker to deal with one or more cases involving a severely mentally ill defendant who should not be in jail, but is also not safe for a general release. In these cases we need a supervised setting where mental health services are available. When we hear of the tragic cases across the country where a severely mentally ill person has harmed innocent people everyone asks why aren’t we doing something about these people. Fortunately in Kentucky you are. Thank you for your continuing support of this appropriation.”
Comment from former Judge Dan Kelly:
Van Ingram
KY Justice Cabinet’s Executive
Director for the Kentucky Office of
Drug Control Policy
provides much needed
individual sentencing options
to prosecutors and judges; and
is a proven way to help
defendants change behavior
and not re-offend, saving the
state significant incarceration
costs.
DPA Alternative Sentencing Worker Program
SFY 2014 Evaluation Report Kentucky Department of Public
Advocacy Alternative Sentencing Worker Program
Robert Walker, M.S.W., L.C.S.W.,
and Jaime Miller, B.A. University of Kentucky Center on
Drug and Alcohol Research
$5.66 RETURN FOR EVERY $1
INVESTMENT IN DPA’S ALTERNATIVE
SENTENCING WORKER PROGRAM
SFY 2014
PROGRAM FINDINGS
For every $1 spent on the ASW Program, there was a $5.66
return on investment
Clients served 1,595 days out of the11,292 days they would have
served in the 12 months following initial plan approval, for a
reduction on 85%
8 ASWs served 324 clients
86.1% of clients served had substance abuse treatment as their
primary service need, with another 5.6% having it as a secondary
service need
34.4% of clients served had mental health treatment as their
primary service need, with another 28.4% having it as a secondary
service need
SFY 2014 Alternative Sentencing Worker Program Evaluation
conducted by University of Kentucky Center for Drug and
Alcohol Research.
SFY 2014
PROGRAM FINDINGS
79% were unemployed at the time of their arrest on current
charges
18.5% reported having a brain injury
The clients had a lifetime average of 8.4 previous incarceration
episodes
Almost 35% of clients had less than a high school diploma or
GED and 7.1% had even less than 9 years of education
34.9% were at risk for being homeless if no alternative
sentencing plan was in place
39.6% were victims of physical abuse, 29.6% were victims of
sexual abuse, and 41.1% were victims of psychological abuse
SFY 2014 Alternative Sentencing Worker Program Evaluation
conducted by University of Kentucky Center for Drug and
Alcohol Research.
SFY 2014 PROGRAM FINDINGS
Comparison of sentences imposed by the courts and actual days served in the 12 months following disposition (n=100)
ASW
sample
(n = 50)
Comparison
Group
(n = 50)
Average sentence (in days)*** 798.0 1773.8
Average number of days incarcerated in the 12 months after court disposition*** 43.49 260.88
Total misdemeanors before the court at the time plan was presented 48 57
Total felonies before the court at the time plan was presented ** 66 111
Total violations before the court at the time plan was presented 7
Total revocations before the court at the time plan was presented ** 19 41
Total all charges before the court at the time plan was presented **** 140 216
** p<.01,***p<.001, ****p<.0001
SFY 2014 Alternative Sentencing Worker Program Evaluation
conducted by University of Kentucky Center for Drug and
Alcohol Research.
SFY 2014 PROGRAM FINDINGS
Comparison of the costs of incarceration for ASW clients and individuals whose plans were denied by the court
Actual incarceration
within the 12-month
period
Number of
Days Per diem rate
Total cost
(Days X Per
diem)
Average per
client cost of
incarceration
ASW Client Sample 2,131 $37.42 $79,742 $1,595
Comparison Sample –
ASW plans denied by the
court 13,044 $37.42 $488,106 $9,762
SFY 2014 Alternative Sentencing Worker Program Evaluation
conducted by University of Kentucky Center for Drug and
Alcohol Research.
ASW
sample
(n = 50) Percentage of clients with granted plans who
recidivated in the 12 months following court
disposition 12%
Percentage of clients with granted plans who
recidivated in the 24 months following court
disposition 22%
RECIDIVISM
The same random sample of 50, which was pulled from the 324 clients with granted plans in
the SFY 2014 Outcome Study, was examined to determine the recidivism percentages listed
below. For the follow-up sample of 50, only 6 clients (12%) returned to serve their sentence
within the 12 months following court disposition, and an additional 5 clients (22%) returned
to serve their sentence within 24 months post anchor.
ACCOUNTABILITY & EFFICACY
ALTERNATIVE SENTENCING WORKER PROGRAM
Office Visits
Assessment of Training Needs
Coordination of Trainings for ASWs
Facilitation of Training for Attorneys on How to Utilize ASWs Effectively
JustWare Audits and Caseload Reports
Collaboration with Trial & Post Trial Division
Outcome Study with University of Kentucky
Center for Drug and Alcohol Research
COLLABORATION WITH OTHER
AGENCIES
DOC Re-entry
DOC Substance Abuse Program
Contracts
Recovery Kentucky Programs
Commonwealth Attorneys’ Association
National Center for State Courts
Study on Holistic Defense
ALTERNATIVE SENTENCING Provides judges
• relevant mitigating information about defendant’s physical and mental health, social history
• resources available in the community
• positive alternatives to incarceration
Diverts persons
• services and treatment to successfully transition into their communities and become productive citizens
Saves incarceration costs
• diverting persons with addiction, mental illness and juveniles to community-based treatment
Increases client’s economic self-sufficiency
working, paying taxes, providing child support, restitution, court costs
Reduces recidivism; Promotes Public Safety
SUCCESS STORY “Mary” was sentenced to 5 years’ probation in 2011. She completed 3 years before being revoked on a felony violation to serve the whole 5 years in December 2014. She found out she was pregnant while incarcerated. An Alternative Sentencing Plan was submitted 3/2/2015 for Shock Probation and was granted on the condition that she completes Drug Court following long-term rehab. ASW secured bed at Bethany Hall in Roanoke, VA. She was switched to Virginia Medicaid, which paid for the rehab. Client delivered a healthy, drug free baby girl while there. She completed rehab and entered their aftercare program in January, 2016. She has a job and child care. ASW sought letters from the aftercare counselor about the program and mandatory drug testing. ASW demonstrated the higher accountability and support that client is receiving from the program to the Circuit judge in Bell County. He issued an order and released client from the need to come back and do Drug Court. Staff member told ASW that client came to rehab a girl and is now a woman who is a great mom.
Client’s name has been changed to protect identity, but
permission to use photo was given by client.