Establishing your jurisdiction's Dosage Probation Policy Team is a critical step in preparing for implementation. This section helps you understand the purpose of the policy team and guides you in establishing and kicking off the team's activities and preparing for the next steps.
TO DO
Familiarize yourself with the primary roles, responsibilities, and activities of the workgroup
Decide on your workgroup members
Prepare for and conduct the policy team kickoff meeting
Prepare for and conduct the workgroup kickoff meeting
Develop your workgroup charter
Get ready for the workgroup's next steps
The Workgroup's Roles and Responsibilities
The workgroup acts as your probation agency's core leadership in preparing and planning to implement the dosage probation model. The workgroup may also oversee implementation and subsequent policy and practice adjustments, depending on how your agency structures its implementation and evaluation efforts.
When established and managed with intentionality, the workgroup effectively guides the probation agency through the implementation process by developing and revising policies and practices and leveraging resources (within the probation agency, local criminal justice system, and community) to align with the dosage probation model. In addition, the workgroup actively provides all probation staff with the communication, education, engagement, and support needed to ready themselves for the new policies and practices they will be expected to incorporate into their daily work.
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"When you think about the probation workgroup, think about the people who comprise it. They are the eyes, ears, hands, feet, heart, brain, and faces of your probation agency's dosage initiative." –Jenna Mackey, dosage probation technical assistance provider, Center for Effective Public Policy
While primarily responsible for leading implementation efforts for your probation agency, the workgroup is also responsible for ensuring its policy and practice decisions align with those of system stakeholders, including judges, prosecutors, defense counselors, representatives of people harmed, law enforcement, and possibly others impacted by probation. For these reasons, the workgroup must engage collaboratively among themselves, with their peers, and with your jurisdiction's Dosage Probation Policy Team (comprised minimally of the system stakeholders mentioned above).
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The word "collaboration" is often used interchangeably with terms such as "communication," "coordination," and "cooperation," when in fact, collaboration encompasses all of these meanings and more. Collaboration is the exchange of information, altering of activities, sharing of resources, and enhancement of the capacity of anotherfor the mutual benefit of all and to achieve a common purpose.
When launching the Dosage Probation Workgroup, the chairperson (and possibly others responsible for convening and leading the workgroup) is strongly urged to review the following resources on establishing and maintaining a collaborative policy-making environment.
The Importance of Collaborative Leadership in Achieving Effective Criminal Justice Outcomes (.pdf) defines collaborative leadership, explains why it is essential to achieving effective criminal justice system outcomes, and explores common qualities and skills of effective collaborative leaders.
The National Institute of Corrections Evidence-Based Decision Making Starter Kit provides a wealth of information and resources to help collaborative criminal justice policy teams build their capacity to engage in evidence-based decision making. Some of the resources related to building a collaborative policy team include:
The Workgroup's Core Activities
The workgroup's primary activities throughout implementation include those listed below. The Dosage Probation Toolkit will lead the workgroup through these activities.
Develop a dosage probation logic model in collaboration with the Dosage Probation Policy Team, create related action plans, and use them to drive the agency's activities leading up to implementation.
Develop dosage probation policies and procedures by gathering and reviewing relevant data, current policies and practices, input from the policy team, and other information—such as feedback from probation staff—and discussing and reaching an agreement on the Dosage Probation Policy Questions. The policy questions relate to communications, early discharge, case planning and management, counting dosage, behavior management, cognitive behavioral programming delivered by probation and community-based service providers, training and coaching for fidelity, performance measures and other data needs, and the sustainability of dosage probation.
Share available data, current probation policies, and other information to assist the policy team in making informed policy decisions about dosage probation for your jurisdiction.
Identify local community-based service providers with whom to partner around dosage probation, and establish partnerships to align community-based services with the dosage probation model.
Ensure probation staff receive, before implementation, appropriate and sufficient training and coaching on evidence-based supervision policies and skills.
Collect, analyze, and share data with the policy team (and possibly others) regarding the implementation and evaluation of dosage to adjust probation policies and practices accordingly.
It is recommended that the workgroup meet two hours monthly, at minimum, to accomplish their work and maintain a progressive and steady implementation pace. Ultimately, the workgroup must agree on the frequency and duration of their meetings. The group should have sufficient time each month to share information, delve into discussions, and make informed policy decisions.
It is also recommended that the workgroup establish and regularly convene ad hoc subcommittees. Establishing subcommittees typically occurs after the workgroup develops their jurisdiction's dosage probation logic model—when more groundwork is needed to create and carry out specific action plans and other implementation activities.
Decide on Your Workgroup Members
The first step in mobilizing your Dosage Probation Workgroup is to invite interest and decide who will serve on the workgroup. You may speak with potential members individually, hold lunch-and-learns, or meet in another way to share information about dosage probation, the implementation model, and expectations of workgroup membership. Those who participated in the readiness assessment should be familiar with the information and may have already expressed interest in becoming more involved.
The workgroup typically consists of 12–15 probation staff—a group size that is large enough to bring diverse backgrounds, experiences, and perspectives to the table but not so large that the number of people hinders the workgroup's efficiency in making policy decisions and moving forward other implementation activities. Some jurisdictions choose to involve others in the workgroup as permanent members or temporary guests, depending on the policy question or issue being addressed. For example, some workgroups may invite advocates of people harmed by crime, communications specialists, data analysts, or people with lived experience on probation.
Regardless of affiliation, all workgroup members must be ambassadors of dosage probation. Experience demonstrates that the most effective workgroups consist of people who embrace their role as leaders and champions of the dosage probation model. They continuously educate, enroll, and support their peers and other stakeholders (those in the local criminal justice system and community) in the implementation process. They demonstrate positivity and optimism, respond to questions and inquiries, share information, collaborate with and gather input from others, spotlight successes, and resolve challenges.
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Technical vs. Adaptive Leadership
The effective and sustainable implementation of new evidence-based programs or practices necessitates strong leadership to manage the change process. Two types of leadership are necessary to respond to implementation challenges effectively: technical and adaptive.
Technical leadership is used when there is a straightforward problem with a cut-and-dry solution (e.g., finding more space to deliver programming or adding language to a written policy or procedure). Technical leaders use existing knowledge and techniques to address problems and make decisions that are useful in practice.
Adaptive leadership is used when the problem or solution is not entirely straightforward or requires an experimental or nuanced approach or response (e.g., the agency lacks funding to hire additional staff to reduce workloads or staff are reluctant to use a new intervention). Adaptive leaders use their interpersonal skills to transform values, beliefs, roles, relationships, and how people approach their work.
All workgroup members must also be willing and have the time to undertake the legwork needed to reach implementation. Membership involves more than monthly meetings and policy decisions. Workgroup members develop and carry out action plans, write official policies and procedures, produce manuals, create educational materials and other new resources, and complete additional tasks to meet their agency's and jurisdiction's needs. These activities are usually done through individual, subcommittee, or workgroup efforts, or some combination thereof, depending on the decided course of action.
Consider the following questions to help you decide who is best suited to serve on your Dosage Probation Workgroup. You may need to address other issues specific to your agency or jurisdiction.
Who may be most and least supportive of dosage probation? Why?
Are there people with a history of working well together or in collaborative initiatives? Is there anyone with a history of difficulties?
Is there anyone not in an official leadership position but well respected by their peers?
Who has technical leadership skills? Adaptive leadership skills?
Who would provide the workgroup with diverse experiences and perspectives? Does it make sense to include people with different responsibilities (e.g., someone who supervises people on probation, delivers cognitive behavioral programming, conducts professional development activities such as training and coaching, provides intake or other support services)? Does it make sense to include someone with a specific type of caseload (e.g., domestic violence, mental health, justice-involved women)?
Who would provide the workgroup with different levels of knowledge and skillsets? Who is proficient in evidence-based practices, and who is still learning? Is there someone who is a visionary? Creative and innovative? Detail-oriented and prefers working "in the weeds"? Analytical and likes to search for answers or solutions? Attends to relationships and is a peacemaker or bridge builder?
Prepare and Conduct Your Workgroup Kickoff
Getting your Dosage Probation Workgroup off to a good start requires preparation. The kickoff meeting is designed to lay a strong foundation of knowledge and collaboration to support the workgroup's policy decision making and other activities moving forward.
You may start preparing by reviewing the Dosage Probation Workgroup Kickoff Agenda Template (.doc). It includes the recommended meeting goals, topics, and discussion points to be covered and the time frames for each, totaling two hours. You must customize the [bracketed] information and may make further adjustments to meet the needs of your probation agency or workgroup. For example, you may wish to skip introductions if the workgroup members already know each other. Or, you may decide to hold the meeting over two one-hour sessions instead of one two-hour session.
You may also begin by reviewing the Dosage Probation Workgroup Kickoff Presentation Template (.ppt).The presentation follows and expands on the information in the agenda and contains suggested talking points and approaches to discussions and activities. You must customize the slides with [bracketed] information and may make further adjustments to meet the needs of your probation agency or workgroup. The modifications you make to the presentation may require changes to the agenda and vice versa.
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Effective facilitation is critical to a successful meeting and much more. It is often the key to turning a group into a team and guiding them to make well-informed, consensus-based decisions. As you prepare to facilitate the workgroup kickoff, you may find it useful to review the following resources: The Role of Facilitators and Staff in Supporting Collaborative Teams(.pdf) and Principles of Facilitation (.pdf).
The following handouts supplement the information in the agenda and presentation: Dosage Probation Model Fundamentals (.pdf), Dosage Probation Policy Team and Workgroup Leadership Roles and Responsibilities (.pdf), and Dosage Probation Policy Questions (.pdf). The presentation slides specify when each handout should be reviewed with the workgroup during the kickoff. You may also include the National Institute of Corrections' dosage probation monographs: Dosage Probation: Rethinking the Structure of Probation Sentences (.pdf) and Dosage Probation: A Prescription Based on Two Pilot Sites' Experiences (.pdf) .
Consider the following questions to help you get ready for a successful kickoff. You may need to address other issues specific to your agency or jurisdiction.
Who is best suited to facilitate the kickoff? Does it make sense to have cofacilitators? Suppose someone is already interested in volunteering to serve in one of the workgroup leadership roles. Might that person be interested in facilitating or cofacilitating the meeting? Is there someone in particular who is best suited to field concerns and questions from participants?
If you have cofacilitators, which sections will each person cover? What other responsibilities might each person have in preparing for or facilitating the meeting (e.g., coordinating the meeting time and logistics, emailing participants, preparing materials)? If the meeting runs short on time, which topics or discussion items are you comfortable skipping and adding to a future meeting agenda?
As the facilitator or cofacilitator, which of the meeting facilitation pointers or principles linked above speak to you the most? Which do you think will be most beneficial to you and the workgroup? Why?
What is the best format (in-person or virtual) and timing for the kickoff? What date and time works best for all participants? Can they accommodate one two-hour session, or do they prefer two one-hour sessions or something different?
What is the best way to inform workgroup members of the chosen kickoff date(s)/time(s)? How can you ensure the best attendance? Do you want to offer a beverage or light snack?
Is there anything participants should know or prepare in advance? Will you send the agenda and handouts beforehand? Who do you want to ask in advance to help with recording ideas on flip charts or whiteboards and taking meeting notes? Will you ask workgroup members to give preliminary thought to nominating a colleague or volunteering for one of the leadership roles? Suppose you want to solicit interest from someone in particular. What leadership skills do they have that best suit the role? Will you reach out to them beforehand to discuss the opportunity and encourage them to consider stepping into the role?
Develop Your Workgroup Charter
The next step in laying a strong foundation for your workgroup is to develop a charter. A charter is a document that clarifies the workgroup's purpose, goals, roles, and responsibilities and establishes the ground rules to be followed as the group carries out its activities. It is a source of information for group members and others to understand the direction and focus of the workgroup and can help reduce confusion and duplication of efforts.
You may use the Dosage Probation Workgroup Charter Template (.doc) to develop your workgroup's charter. The template includes your group's vision, mission, and values for the dosage probation initiative (see below); purpose; activities; meeting frequency and duration; membership; meeting norms; and roles and responsibilities. It also includes appendices with supplemental information. You must customize the [bracketed] information and may make further adjustments to meet the needs of your probation agency, workgroup, or jurisdiction. For example, your agency or jurisdiction may have other initiatives that complement or overlap with dosage probation. In this case, you could describe in your charter how dosage probation aligns with, and how the workgroup can help avoid duplicate work across, the initiatives.
The workgroup should have the opportunity to review and approve the final charter.
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See the National Institute of Corrections' Evidence-Based Decision Making (EBDM) Starter Kit for more information about Creating a Charter (.pdf) .
Craft Your Workgroup's Vision, Mission, and Values
A critical component of the charter is the workgroup's vision, mission, and values statements. Together, they articulate what the workgroup aspires to accomplish— where the group wants to go—and establish a clear direction and focus for achieving those goals— how the group intends to get there. When agreed upon, the vision, mission, and values represent the workgroup's shared commitment to achieving its goals and act as a touchstone for collaboration and ongoing activities.
The workgroup should begin developing its vision, mission, and values statements in a meeting soon after the kickoff and should strive to complete them within six months. It is also recommended that the policy team revisit the statements before implementation to ensure they are most salient.
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The vision, mission, and values statements are your workgroup's guidepost and should be crafted with careful thought. Some workgroups wait until after they draft the dosage probation logic model, when they have a more well-rounded understanding of dosage probation and what the implementation process will entail for their agency and jurisdiction. Other workgroups complete the statements earlier to help inform their development of the logic model.
For more tips, see the National Institute of Corrections' Getting It Right: Collaborative Problem Solving for Criminal Justice (.pdf) , Evidence-Based Decision Making (EBDM) Starter Kit , Creating a Vision (.pdf) , and Developing a Mission (.pdf) .
The following steps are one approach to developing vision, mission, and values statements for your workgroup. The workgroup chairperson (meeting facilitator) may choose an alternative method that better suits the group's needs.
In a workgroup meeting, review the Vision, Mission, and Values Worksheet (.doc) [JM16] to ensure the group understands the importance and purpose of each statement.
Review the workgroup's responses to the "What Does Success Look Like?"activity completed during the kickoff. Ask members to share whether they believe the responses best apply to a vision statement or mission statement, or best describe a core value. Capture their answers on a flip chart or by some other means.
Ask members to take five minutes or so to quietly jot down additional words or phrases that could apply to a vision statement, mission statement, or the workgroup's core values.
Take about 10 minutes to share and discuss the core concepts members believe should be included in the workgroup's vision statement. Take another 10 minutes to share and discuss the key ideas to include in the mission statement, and then another 10 minutes to identify core values. Capture responses on a flip chart or by some other means.
Identify two or three members willing to draft the group's ideas into vision, mission, and values statements.
In a subsequent meeting, review, edit, and approve the draft statements with the workgroup.
Insert the final statements into the workgroup's charter.
Get Ready for Next Steps
Once the workgroup is established and completes the kickoff, the workgroup chairperson should begin preparing members to develop a dosage probation logic model. Completing the logic model—in collaboration with the policy team—is one of the workgroup's core activities during the second (preparation) phase of implementation. The logic model is your blueprint or roadmap for all activities leading to implementation. It establishes a shared understanding of your plans for change, drives how changes will be implemented, serves as a tool to assess your progress, and ensures you achieve the expected results.
The workgroup chairperson should also establish a subcommittee to take charge of all activities related to identifying and aligning community service provider partners around dosage probation. As these activities require strategizing spanning the second (preparation) and third (planning) phases of implementation and will likely continue into the fourth (implementation and evaluation), it is recommended that the subcommittee start as soon as possible.
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The preparation phase of implementation may also be a good time for the workgroup to begin developing dosage probation policies and procedures by answering some of their assigned dosage probation policy questions. While the logic model and community service provider efforts should take precedence, the policy questions are a productive alternative should the workgroup need to address any issues specific to the jurisdiction's or agency's needs. For example, the workgroup may want to agree on an internal communications strategy sooner rather than later to educate other probation staff about the group's efforts and alleviate any anxious feelings. The group may also have time to address questions as work is in progress or completed earlier than expected.