Probation Department Policy/Procedure Manual

Sanctions and Incentives

Location	Supervision
Section	Unit Wide
Subject	Sanctions and Incentives
Purpose	The Sanctions Matrix enables Deputy Probation Officers (DPOs) to address non-compliant behavior quickly and effectively, while reducing court involvement and formal custody commitments of offenders.
Effective Date	1/1/2023
Previous Effective Date

OVERVIEW

The Sanctions Matrix enables Deputy Probation Officers (DPOs) to address non-compliant behavior quickly and effectively, while reducing court involvement and formal custody commitments of offenders. The implementation of graduated sanctions has been shown to contribute to offender compliance, recidivism reduction, and positive behavioral change.

The Incentives Matrix enables DPOs to acknowledge and offer tangible rewards for offender compliance, positive behavioral change, completion of programs and the achievement of case plan goals or objectives. The implementation of a structured system of responses to offender behavior has shown to promote professional alliance and contribute to recidivism reduction.

BEHAVIOR RESPONSE PRINCIPLES

Responses to offender behavior are swift, certain and proportional to the behavior.
Responses are consistent and transparent.
Responses maintain a balance of positive and negative reinforcement, with more positive than negative reinforcement (goal of a 4-1 ratio).
Responses use the graduated sanctions and incentives matrix in concert with assessment and case planning.

DEFINITIONS

Sanction: a formal or informal consequence or response to offender non-compliant behavior.
1. Level 1 Sanction: a sanction used for non-compliant behavior that is relatively minor in nature and does not pose a risk to public safety or safety to victims.
2. Level 2 Sanction: a sanction used for non-compliant behavior that is more serious in nature than a minor violation or one that constitutes a new non-violent misdemeanor but does not present a risk to public safety or safety to victims.
3. Level 3 Sanction: a sanction used for non-compliant behavior that is serious in nature or one that constitutes a new misdemeanor.
4. Level 4 Sanction: a sanction used for a new felony offense or violent misdemeanor offense; repeated behavior that presents a risk to public safety or safety to victims; possession of a firearm or other weapon; or failure to register as a sex offender or failure to enroll into sex offender treatment.
Incentives: extrinsic acknowledgement from the DPO of the offender’s achievement. The incentive can be verbal praise and acknowledgement or some form of tangible gift (food, bus pass, certificate). Incentives are most effective when customized to individual offenders.
1. Level 1 Incentive: An incentive for basic compliance with terms and conditions or structured supervision.
2. Level 2 Incentive: An incentive for noted behavioral change, skill demonstration or practice, engagement and participation in assigned programs
3. Level 3 Incentives: An incentive for significant documented progress in moderate or high-risk criminogenic need area, program completion, or fulfillment of a term or condition of probation.
4. Level 4 Incentive: An incentive for documented, long-term behavioral change or sustained positive progress.

GENERAL PROCEDURE

Offender supervision is based on the use of a validated risk assessment tool in conjunction with directed case management and offender accountability. Together with the use of case-planning/case-management, DPOs shall use this policy to respond to offender behavior. DPOs shall support opportunities for offenders that result in the successful completion of probation.
1. A graduated sanctions matrix that corresponds to the offender’s level of risk will be used at appropriate intervals to address technical violations. These interventions have as their goal the use of the least restrictive option necessary to bring the offender into compliance with the Court ordered terms and conditions of probation.
2. An incentives matrix that corresponds to the offender’s level of achievement will be used to reward positive behavioral change or skill building in areas of criminogenic need. Incentives are to be customized to individual offenders.
Deputy Probation Officers will respond to non-compliant behavior with an approach that includes a combination of risk control and risk reduction strategies designed to provide a proportionate consequence for non-compliant behavior.
1. Risk control strategies are directed at deterring future non-compliant behavior by holding offenders accountable through admonishments, warnings, or the imposition of more intrusive/restrictive requirements to serve as consequences for their negative behavior(s).
2. Risk-reduction strategies are directed at promoting future compliance by assisting the offender through the provision of information, education, training, counseling, or treatment designed to bring about positive change in the circumstances and area of risk that lead to the non-compliant behavior.
Multiple, persistent, or severe violations will be reported to the Court through the formal court process. To remain consistent in maintaining offender, victim and public safety; DPOs will bring offenders to Court for violations only after exhausting appropriate interventions. Violations of probation terms and conditions must be documented in Monitor with graduated sanction(s) utilized clearly noted and the outcome or compliance with the graduated sanction imposed.

SANCTIONS APPLICATION

When an offender exhibits non-compliant behavior, the assigned DPO shall impose a sanction as outlined in the Sanctions Matrix and in accordance with this procedure.
The assigned DPO shall use the Sanctions Grid to assist him/her in the application of the sanction. The grid is meant as a structured guideline for the type of response to be used for a given sanction and the offender’s risk level.
To determine the seriousness of a non-compliant behavior, the following are to be considered:

Less serious behavior More serious behavior

Unintentional victim contact	Unauthorized victim contact	Victim felt intimidated/ threatened
Unrelated to underlying offense	Similar to underlying offense	Clearly related to underlying offense
Series of incidents that ends quickly	Violations occurring over a sufficient period of time/early pattern of violations developing	Chronic pattern of violations

DPOs shall document in Monitor the type and nature of the violation and the sanction(s) imposed in the Notes field in the Sanctions-Rewards tab.

While DPOs are expected to follow the behavior response system, they retain discretion to arrest when an offender presents a risk to public safety or safety of the victim. Following arrest, DPOs are expected to use this procedure to determine an appropriate response to the violation behavior.

INCENTIVES APPLICATION

When an offender exhibits positive or desirable behavior, the assigned DPO should provide an incentive for the behavior as outlined in the Incentives Matrix.

The assigned DPO shall use the Incentives Matrix to assist him/her in the application of the incentives. The grid is meant as a structured guideline for the type of incentive to be used for various behaviors.
DPOs shall document in Monitor the type of incentive provided and the behavior being rewarded in Notes field in the Sanctions-Rewards tab.
Individual incentive items are authorized up to $25.00. All incentive purchasing requests shall follow the regular purchasing process.
The Senior Account Clerk will be responsible for all purchases for the Incentive Program.
1. The Senior Account Clerk or Administrative Services Officer will contact the Support Services Division Chief Deputy Probation Officer (CDPO), requesting that a Services and Supplies Requisition Form be completed, in the event they notice depleted or low inventory during the monthly workbook and inventory reconciliation described in section (H)(iv).
  1. When filling out the Services and Supplies Requisition Form, the following information is required:
    1. Date of form creation, item number, description, quantity, price per unit, and total price.
2. The person filling out the form will sign and date. Then the person will have the Support Services Division CDPO, or another CDPO in his/her absence, review and sign. If the CDPO approves the completed Services and Supplies Requisition Form, they will forward the original copy of the form to the Senior Account Clerk.
To issue an incentive to an offender:
1. Complete the Incentive Request Form.
2. From the Document Management System in Monitor, open the Incentive Request form.
3. Confirm the date, defendant’s name and their MNID number has been auto populated correctly.
4. Fill out and sign the form.
5. Obtain SDPO’s review and signature.
6. For items over $25.00, written justification and CDPO approval is required.
When all required signatures have been received, deliver the form to the Senior Account Clerk or Administrative Services Officer to have the Incentive Request Form reviewed and the incentive item issued to the DPO.
1. Cash value incentive items (i.e., gift cards, bus passes, etc.) must be secured, tracked and accounted for in the same manner as cash is secured, tracked and accounted for.
  1. Cash value incentive items will be maintained in the safe at Casa Loma.
2. Non-cash value incentive items will be maintained in locations at the Casa Loma, Juvenile Services Center and Prado offices as designated by the Support Services Division CDPO.
3. The Senior Account Clerk or Administrative Services Officer will exchange the incentive request form for the items listed on the form.
4. The Senior Account Clerk or Administrative Services Officer will scan the completed Incentive Request Form and save it to the Incentives Log and Forms folder found within the Fiscal and Support tab within the F drive (F:\Fiscal & Support\Finance\INCENTIVES LOG AND FORMS).
5. SDPOs may distribute non-cash value incentive items maintained at the different office sites to the requesting DPO if the SDPO notifies the Account Clerk or Administrative Services Officer that the item has been removed from inventory.
6. The DPO who delivers incentive to the defendant shall have the defendant sign the incentive request form upon delivery.
7. If the DPO is unable to deliver the incentive for whatever reason, the DPO is to return the incentive to the Account Clerk or Administrative Services Officer who will return the incentive to inventory and update the incentives log.
8. Completed incentive request forms shall be uploaded in Monitor in the Supervision Miscellaneous folder under the Incentive Request Forms subfolder.
The log of inventory can be found at F:\Fiscal & Support\Finance\INCENTIVES LOG AND FORMS and it will be updated throughout the month and reconciled monthly.
1. The name of the workbook is consistently renamed for the month it is for such as dd Month yyyy INCENTIVES INVENTORY LOG (example for January 2021, 01 JANUARY 2021 INCENTIVES INVENTORY LOG).
2. Within the workbook are three worksheets named INVENTORY, PURCHASED, and ISSUED.
  1. Inventory includes date received, item name, quantity available, price per item, and total value.
  2. Purchased includes date purchased, item name, quantity purchased, price, total value, purchaser, and date received.
  3. Issued includes issuing party, date issued, item name, quantity, price, total value, and offenders MNID.
3. Throughout the month each of these worksheets will have updates to them.
  1. “Inventory” will be updated when inventory purchased is received
  2. “Purchased” will be updated when a purchase has been made and when purchases have been received.
  3. “Issued” will be updated every time an incentive item has been issued.
After month’s end, the first day of the following month, the workbook will be reconciled against inventory on hand.
1. The purchased worksheet will be cleared of all completed purchases. Outstanding purchases will remain on the worksheet until they have been received.
2. Issued entries will be transferred to the inventory tab and reduce the number of available units. Then all issued entries will be cleared from the issued worksheet.
3. The updated inventory worksheet will be verified against actual items on hand.
SANCTIONS MONITOR DATA ENTRY
1. Click on offender in Monitor
2. Click File tab on the left side of the screen
3. Click Conditions tab at the top of the screen
4. Click Sanctions-Rewards tab
5. Click New (this will open the Sanctions data entry form)
6. Required data entry fields (Date, Type, Category, Violation, Action, Due Date)
  1. Date: the date the sanction was given
  2. Type: S= Sanction; R= Reward
  3. Category: Adult Offender Risk Level (Low; Medium; High)
  4. Violation/Achievement: Violation type/level based on risk score (can be multiple violations)
  5. Recommendation: Will equal sanction objective in the future: DO NOT USE
  6. Action: Sanction given by PO
  7. Due Date: Expected end date of sanction or due date of assignment
  8. Click Save prior to exiting the Sanctions-Rewards tab
7. If the Sanction is given in the office:
  1. Enter into Monitor with the offender present
  2. Generate a Graduated Sanctions Form in Monitor (the form will auto populate based on the information that was entered)
  3. Print the form and provide a signed copy to the offender
    1. The form must include the violation/issue; the specific sanction; objective of the sanction; and a written plan should the offender comply or fail to comply with the sanction.
8. If the Sanction is given in the field:
  1. Use the duplicate Short Term Graduated Sanction Form and provide a copy to the offender.
  2. The graduated sanction shall be entered Monitor as soon as possible, so the data is available.
  3. Once a sanction has been completed or terminated, the completed box shall be marked.

SANCTIONS MATRIX

Level	Behavior	Suggested Response
Level 1 Sanction	Failure to Comply with PO Directive Failure to Pay Restitution/Fines/Fees Failure to Enroll in Program Failure to Seek/Maintain Employment Failure to Report as Directed (1x) Failure to Report Law Enforcement Contact Failure to Report Change of Address (1x) Failure to enroll in Batterer's Intervention Program (BIP)*	Behavioral Contract Assign essay Refer to NA/AA Meetings Refer to Drug and Alcohol Services Increase NA/AA meetings Give Community Service Hours (5-10 hrs) Verbal Admonishment *See BIP sanction procedure
Level 1 Sanction	Failure to Comply with PO Directive Failure to Pay Restitution/Fines/Fees Failure to Enroll in Program Failure to Seek/Maintain Employment Failure to Report as Directed (1x) Failure to Report Law Enforcement Contact Failure to Report Change of Address (1x) Failure to enroll in Batterer's Intervention Program (BIP)*	Behavioral Contract Assign essay Refer to NA/AA Meetings Refer to Drug and Alcohol Services Increase NA/AA meetings Give Community Service Hours (5-10 hrs) Verbal Admonishment *See BIP sanction procedure
	Positive Drug Test/Refusal to Test Associating w/ Known Gang Members or Persons Failure to pay restitution (3 consecutive months) Failure to attend EBP program as directed by PO Positive breath analysis or urinalysis Buying, possessing, or consuming alcohol Entering an establishment where alcohol is sold Failure to report after release from County Jail Failure to Report as Directed (2x)	Any Level 1 Sanction Increase Community Service Hours (10+) Referral to Out-patient Substance Abuse Tx Increase Drug Testing Increase Home/Office Contacts Increase Searches Flash incarceration (based on history and severity and if terms and conditions permit)
	Failure to stay away from specified location Failure to enroll in court ordered program Failure to Register (drugs, gang) Non-compliance w/ Electronic Monitoring Program Possession of drugs and other contraband Failure to complete a Court-ordered Program AWOL/Termination from In-patient Treatment Whereabouts Unknown (FTR Address Change) Failure to submit to a breath analysis or urinalysis Failure to Report as Directed (3x)	Increase Supervision Level GPS Monitor (up to 30 days) Extend Probation Term Additional Terms (court mod/PV) Flash Incarceration (1-10 Days) *If T&C permit. Request Bench Warrant Petition of Revocation (PRCS)
	Failure to Remand Failure to stay away from victim Annoy, harass, threaten or strike victim New PV New law violation	Recommend Jail Time/PV

INCENTIVES MATRIX

Level	Behavior	Suggested Response
Level 1 Incentive	Keeping Appointment Completing Registration Requirement Enrolling in Program Engaging with Family Wearing Neutral Colors (if gang issues) Securing Transportation Appearing for Court Hearing Using Pro-Social Communication Improved Social Skills Improved Physical Health/Hygiene Positive Collateral Contacts/Reports	Verbal Affirmation Written Affirmation (Note Card)
Level 2 Incentive	Sobriety (DPO’s discretion on length) Involved in New Pro-Social Activity Program Attendance/Participation Restitution/Fines/Fee Payments (3 months) Associating with Pro-Social Peers Has Positive Attitude Improved Coping Skills Stable Relationships Regular Reporting to Office (3 months) Honesty Regular attendance at CBT	Gift card $10 Bus Pass/transportation gift card (not to exceed $10 Haircut gift card (not to exceed $10) Gasoline gift card (not to exceed $10) Coffee shop gift card (not to exceed $10) Cell phone minutes (not to exceed $10) Decreased Testing Clothing gift card (not to exceed $10) Any Incentive from Level I
Level 3 Incentive	Tattoo Removal Taking Medication Regularly and as Prescribed Obtained Driver's License Violation Free (6 months) Phased up in Program (Specialty Courts) Enrolled in Education/Vocational Program Obtained Employment Secured Stable Housing Restitution/Fines/Fee Payments for consecutive 6 months Sobriety more than Level 2, DPO’s discretion Met Case Plan Goal/Objective Complete EBP Program	Decreased Reporting Reduced Level of Supervision (Bank) Assistance with Tuition/Books/GED Fees Positive Feedback to Court (specialty Ct.) Any Incentive from Level I or 2 Monetary incentives in the amount of $15
Level 4 Incentive	Paid Victim Restitution in Full Obtained High School Diploma/GED No new law violations (1 year) No PV/Revocations for 1 year	Early Termination (where allowable by law) Vouchers (Increased Monetary Value) Any Incentive from Level I, 2, or 3 Letter from the Chief Monetary incentives in the amount of $25

Probation

County of San Luis Obispo

Robert B. Reyes

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Sanctions and Incentives