Transcript The informed use of Sanctions and Incentives to motivate

Incentives and Sanctions:
the informed use of responses to motivate behavior
change
LADCP Drug Court Fall Training Session
New Orleans, Louisiana
12/9-10/2015
Judge William Meyer (ret.)
Senior Judicial Fellow
National Drug Court Institute
Q1: The greater the magnitude of the
sanction, the greater the deterrent
effect.
1. True
2. False
0%
0%
Not Severity but Certainty
Certainty does exert a deterrent effect
on behavior.
However, perceived severity, even if
certainty is present, does not exert a
deterrent effect on future behavior.
Harrell, A., & Roman, J. (2001). “Reducing Drug Use and Crime Among Offenders: The Impact of Graduated
Sanctions.” Journal of Drug Issues, 31 (1), 207-232.
How sanctions can bring about the wrong
response
Defiant Behavior
• Multi-disciplinary research demonstrates that
defiant behavior results when sanctions:
• (a) are perceived as unfair;
• (b) punish the individual not the act;
• (c) are imposed on individuals poorly
bonded
to the community,
• (d) are imposed on individuals who fail to
feel shame or contrition for their acts.
•
Sherman, L. W. (1993). “Defiance, Deterrence, and Irrelevance: A Theory of the Criminal Justice Sanction.” Journal
of Research in Crime and Delinquency, 30 (4), 445-473.
Procedural Due Process
• Standing-dignity and respect
• Neutrality
• Participation—invitation to speak
Principle #1:
SANCTIONS SHOULD NOT BE
PAINFUL, HUMILIATING OR
INJURIOUS
1. Certainty Not Severity of Sanction
2. Importance of Perception of Fairness
Q2: Almost Without Exception, Offenders
Prefer to Be Sentenced to Alternatives to
Incarceration?
1. True
2. False
se
0%
Fa
l
Tr
ue
0%
Contrary to expectations, incarceration is
not necessarily viewed by the criminal
offender as the harshest punishment
Wood, P. B., & Grasmick, H. G. (1995). “Inmates Rank the Severity of Ten Alternative Sanctions Compared to Prison.” Oklahoma
Department of Corrections
Incarceration Not Most Feared
• In a comparison of alternative sanctions to prison
time, 6-24% of inmates surveyed preferred 12
months incarceration compared to sanctions
ranging from a halfway house (6.7%), probation
(12.4%) or day fines (24%).
• Wood, P. B., & Grasmick, H. G. (1995). “Inmates Rank the Severity of Ten
Alternative Sanctions Compared to Prison.” Oklahoma Department of Corrections:
www.doc.state.ok.us/DOCS/OCJRC/OCJRC95/950725j.htm See also Petersilla, J.
and Deschanes, E., “What Punishes? Inmates Rank the Security of Prison v.
Intermediate Sanctions?” Federal Probation, Vol. 58, No. 1 (March 1994).
Who is motivated by punishment?
• Those with a lot to loose—children, job,
connection with community etc.
• What tends to happen with those with no
connection to community?
• Use of positive and negative reinforcement
See Higgins, S. T., & Silverman, K. (1999). Motivating Behavior Change Among Illicit-Drug Abusers. Washington,
D.C.: American Psychological Association; particularly Chapter 17, Crowley, T., “Clinical Implications and Future
Directions,” pp. 345-351.
Different Strokes for
Different Folks
1.
Similar sanctions have completely different effects depending
upon the social situation and offender type.
2.
Different treatment modalities can increase or decrease
criminality
depending on offenders’ risk/need profile and
treatment modality.
3.
Criminal sanctions may decrease criminality in employed
offenders but increase it in unemployed offenders.
4.
Threat of criminal sanctions deters future criminality in
people who are lower risk.
See Sherman, L. W. (1993). “Defiance, Deterrence, and Irrelevance: A Theory of the Criminal Justice Sanction.” Journal of Research in Crime and
Delinquency, 30 (4), 445-473.
Juveniles?
How many of you work with Juveniles?
• Research suggests that developmentally, 18-21 year
olds are still adolescents. (Geidd, 2004)
Juveniles are not small or young adults
• Responses must be individualized to take this into
consideration.
• Thinking toward the future.
Motivating Juveniles
Four cognitive variables related to change:
1.Reasons for drug use
2.Expectations
3.Readiness for Behavioral Change
4. Self-Esteem
Monti, Colby & O’Leary, Adolescents, Alcohol and Substance Abuse (Gilford Press
2001)
Reasons for Drug Use
• Recreational (To have fun)
• Social conformity
• Mood Enhancement
• Cope with Stress
Petraitis, Flay & Miller, Reviewing Theories of Adolescent Substance Abuse,
Psychological Bulletin, 117, 67-68 (1995)
Expectations
• Balancing Test:
risk perception—perceived costs vs. benefits:
negative physical effects
negative psychological effects
future health concerns
positive and negative social effects
Readiness for Behavioral Change
• Scientists know very little about the determinants
of motivational variables to promote positive change
in juveniles and adolescents
• What the research does tell us:
– Just say “know”
– Confrontation vs. Motivational Interviewing
– Enhance self-efficacy
Monti, Colby & O’Leary, Adolescents, Alcohol and Substance Abuse (Gilford Press 2001)
Self-efficacy
• Promote confidence and self-worth for
positive change
• Not just “do it” but “I can do it”
Strategy 15
Goal Oriented Incentives and Sanctions
• Respond to compliance and noncompliance
with incentives and sanctions that are
designed to reinforce or modify the behavior
of youth and their families.
– Immediate
– Predictable
– Consistent
Juvenile Drug Courts: Strategies in Practice, BJA, March 2003
Bad Ideas
• Research tells us some things don’t work with
juveniles:
– Boot camps (OJJDP, 1996; NIJ, 2003)
– DARE (Ennett, et al., 1994; Lynam, et al., 1999)
– Scared Straight (Petrosino, et al., 2000)
What does work
• Avoiding Negative Peers
How do you respond in terms of S & I?
Proximal vs. Distal
• Positive Peer Culture
How do you respond in terms of S & I?
Proximal vs. Distal
• Parental Consistency
How do you respond in terms of S & I?
What Works
• Multisystemic Therapy—for antisocial behavior
Multisystemic Therapy (MST) is an intensive family- and community-based
treatment that addresses the multiple determinants of serious antisocial behavior in
juvenile offenders.
•
Contingency Management—for substance
abuse
Patients are rewarded or punished for their behavior; generally,
adherence to or failure to adhere to program rules and regulations or
their treatment plan.
Resources
• Shaffer, C. et al
“Mechanisms of effectiveness in Juvenile Court:
Altering Risk Processes Associated with Delinquency
and Substance Abuse”, VII Drug Court Review 1 (Nov.
2010)
Linden, P. et al.
“Developing Accountability in the Lives of Youth:
Defining the Operational Features of A Juvenile Drug
Treatment Court.” VII Drug Court Review 1 (Nov.
2010)
Individualized Responses:
Juvenile Drug Court
• Fairness and Equality are often synonymous for
adolescents. (Key Principle #1 )
• Judge/You as Probation officer must go to greater
lengths to articulate why response is “fair”.
• Adolescents are less able to learn vicariously.
• Timelines for targeted behaviors must be short.
Incentives in Juvenile Drug Court
• Developmental issues:
– Risk-taking behavior peaks in adolescence.
– Egocentrism abounds (the “spotlight effect”)
– Perceived invulnerability.
– Magical or wishful thinking.
Important to identify reinforcers through
observation and inquiry.
“Hollow Interventions”
Promoting Responsible Adolescent Behavior in Juvenile Drug Court Participants
Through Use of Incentives and Sanctions. NCJFCJ, 2004
Target Behaviors
Initial Behaviors and Attitudes:
•
•
•
•
•
•
•
Defiant
Uncooperative
Relapse-Positive Tests
Denial
pre-contemplative or contemplative
Withdrawn/ non-communicative
Suspicious
Low self-esteem/confidence
Target Behaviors
Behaviors and attitudes near end of program:
Communicative
Self-Aware
Improved self-esteem
Maintenance Stage of change
Aim to Please
Open
What are our Expectations?
•
•
•
•
•
•
•
•
•
Abstain from drug and alcohol use
Show up to Court
Go to Treatment
Take Random Urine Tests
See Prob. and/or Case Mgr.
Pay for some of the above
Job
Literacy—GED
Good Attitude
Addicts vs. Abusers:
Proximal and Distal Behaviors
Should we emphasize certain target behaviors
during different phases of the program?
• What Behaviors?
• Why?
• How do we respond to show that
emphasis?
Who is High Risk?
• Age during treatment < 25 years
• Drug use onset < 14 years
• Criminal onset < 16 years
• Prior treatment/rehabilitation failures
• History of violence
• Anti-Social Personality Disorder (APD)
• Psychopathy (APD + NPD)
• Familial history of crime
• Criminal associations
Proximal vs. Distal Goals
Drug Dependence or Addiction
1.
2.
3.
Binge pattern
Cravings or compulsions
Withdrawal symptoms
Drug Abuse or Misuse
}
}
Abstinence is a distal goal
Abstinence is a proximal goal
Collateral needs
–
–
–
Dual diagnosis
Chronic medical condition (e.g., HIV+, HCV, diabetes)
Homelessness, chronic unemployment
}
Regimen
compliance
is proximal
Principle #2
RESPONSES ARE IN THE EYES OF THE
BEHAVER.
Q3:Graduated Rewards, Are More
Effective in Motivating Behavior than
Fixed Rewards.
1. True
2. False
se
0%
Fa
l
Tr
ue
0%
Research demonstrates that graduated
sanctions work in the drug court
context.
Harrell, A., & Roman, J. (2001). “Reducing drug use and crime among offenders: The impact of graduated sanctions.”
Journal of Drug Issues, 31 (1), 207-232
Research on graduated rewards reveals
that participants receiving graduated
reinforcements achieved greater mean
levels of abstinence than participants
receiving fixed reinforcements.
Roll, J., Higgins, S. and Badger, G. “An Experimental Comparison of Three Different Schedules of
Reinforcement of Drug Abstinence Using Cigarette Smoking as an Exemplar.” Journal of Applied Behavioral
Analysis, Vol. 29, p. 495-504 No. 4 (Winter 1996).
Consequences
• Habituation and Satiation
• Moderate Consequences work best
• Rewards for intrinsic motivation
Principle #3:
RESPONSES MUST BE OF
SUFFICIENT INTENSITY
Q4: Putting a person on “Zero Tolerance” is an
effective response to non-compliant behavior ?
1. True
2. False
se
0%
Fa
l
Tr
ue
0%
What Happens When You Deliver
Sanctions on an Intermittent
Schedule?
• Sanctions Should Be Delivered for Every Infraction
• Those Offenders Who Received Sanctions on a
Continuous Schedule Evidenced a Significantly
Lower Arrest Rate Than Those Offenders Who
Received Intermittent Sanctions.
Brennan, P. And Mednick, S. “Learning Theory Approach to the Deterrence of Criminal Recidivism.” Vol. 103, Journal of
Abnormal Psychology, Pp. 430-440 (1994).
The fishbowl study and prospect of
potential rewards.
Petry, N. M., Martin, B., Cooney, J. L., & Kranzler, H. R. (2000). “Give Them Prizes and They Will Come: Contingency
Management for Treatment of Alcohol Dependence.” Journal of Consulting and Clinical Psychology, 68 (2), 250-257.
Petry, N. M. (2001). “Contingent reinforcement for compliance with goal-related activities in HIV-positive substance
abusers.” The Behavior Analyst Today, 2 (2), 78-85.
Principle #4:
RESPONSES SHOULD BE DELIVERED
FOR EVERY TARGET BEHAVIOR.
Q5: Behaviors Are Much More Likely to Be Changed
When Responses Are Delivered Immediately.
1. True
2. False
se
0%
Fa
l
Tr
ue
0%
Brain Research
Neuroscientists conclude: “rewards and
punishments received soon after an action
are more important than rewards and
punishments received later.”
Dayan, P., & Abbott, L. F. (2001). Theoretical Neuroscience: Computational and Mathematical Modeling of Neural Systems. Cambridge, MA: MIT
Press.
Principle #5:
RESPONSES SHOULD BE
DELIVERED IMMEDIATELY.
Q6: The primary purpose of a frequent and
random drug testing program is to deter the
offender from using.
1. True
2. False
se
0%
Fa
l
Tr
ue
0%
Failure to reliably detect drug use in effect
puts a person on an intermittent schedule
of rewards and sanctions, which is
ineffectual in changing behavior.
Marlowe, D. B., & Kirby, K. C. (1999). “Effective use of sanctions in drug courts: Lessons from behavioral research.” National Drug
Court Institute Review, II (1), 11-xxix.
Principle #6
(UN)DESIRABLE BEHAVIOR MUST
BE RELIABLY DETECTED
Q7: Written guidelines that detail
consequences to participant behavior should
be given to each participant when they enter
the program.
1. True
2. False
se
0%
Fa
l
Tr
ue
0%
Learned Helplessness
Failure to specify particular behaviors that are
targeted and the consequences for noncompliance can result in a behavior syndrome
known as “learned helplessness where a drug
court participant can become aggressive,
withdrawn and/or despondent.”
Marlowe, D. B., & Kirby, K. C. (1999). “Effective Use of Sanctions in Drug Courts: Lessons From Behavioral
Research.” National Drug Court Institute Review, II (1), 11-xxix.
How can we instill expectations in
Drug Court participants?
• Participant Handbook
• Phase System
• Contingency Contracting
• Courtroom as Classroom
Participant Handbooks and Policy and
Procedure Manuals
• C.A.S.E.
• http://www.ndcrc.org/
Principle #7:
RESPONSES MUST BE PREDICTABLE
AND CONTROLLABLE.
Q8: Frequency of contact between a
judge/probation officer and participant can
actually have a negative impact on program
completion.
1. True
2. False
se
0%
Fa
l
Tr
ue
0%
Frequency of Contact
• Who might have inverse relationship vis-à-vis
program completion?
• Who might more frequent contact help?
• What does that tell us about our drug court
programs?
Principle #8:
RESPONSES MAY HAVE
UNINTENTIONAL SIDE EFFECTS.
Q9: Punishment seems to be the best
motivator of behavior change.
A. True
B. False
se
0%
Fa
l
Tr
ue
0%
The Carrot Is Mightier
Than the Stick
• Those in reinforcement contingency stayed
longer in treatment than those in punishment
• Effects of punishment are transitory- change
ends when punishment ends
• Punishment most effective when used with
positive reinforcement
Higgins, S. T., & Silverman, K. (1999). Motivating Behavior Change Among Illicit-Drug Abusers. Washington,
D.C.: American Psychological Association, p. 330
Principle #9:
BEHAVIOR DOES NOT CHANGE BY
PUNISHMENT ALONE.
Q10: The effectiveness of a treatment course can be
influenced by the initial description of the benefit.
1. True
2. False
se
0%
Fa
l
Tr
ue
0%
The Messenger is Part
of the Message
• Fairness and the Perception of Fairness
How do you accomplish this?
• Motivational Interventions
Response Considerations and Elements
1. Who are they (Risk/ Need)?
2. Where are they (phase of the program)?
3. What are the behaviors we are responding
to? (proximal and distal)
4. What is the response choice and magnitude
and why?
5. Deliver and explain the response using the
above elements
Motivational Interventions
Motivational Interventions
• Open-ended Questions
• Playbacks
• Affirmations
Principle #10:
THE METHOD OF DELIVERY OF THE
RESPONSE IS AS IMPORTANT AS THE
RESPONSE ITSELF.
Basic Themes in the
10 Principles
• Fairness
• Certainty and Immediacy
• Reinforcement Trumps Punishment
• Importance of Response Delivery
The End
“All Behavior is followed
by a consequence, and
the nature of that
consequence modifies
the organisms tendency
to repeat the behavior in
the future”
• B.F. Skinner