Correctional Case Management

Need for Theory

Case managers in correctional environments provide guidance and counseling to offenders on their caseloads. That counseling may be individual or group, directive or nondirective. In this lesson, we will look more closely at various correctional counseling approaches.

Nondirective Counseling involves the counselor assisting the individual in finding solutions to their issues. The idea is that counselors avoid telling individual what issues they need to change and, rather, passively allow the individual to arrive at change on their own. It often involves long term discussion of emotions and their origins, often dating back to early childhood.

Because offenders are rarely able to identify solutions to their issues on their own, Directive Counseling is far more effective in the correctional environment. This approach focuses less on emotion and more on maladaptive thought processes. Counselors play an active role in identifying offender issues, finding solutions to those issues, and guiding offenders to those solutions. The theories that we will look at in more detail are considered directive forms of counseling and are most used in corrections.

Reality Therapy

One of the key characteristics we see among offenders is a failure to take responsibility for their behavior. They may rationalize or blame their victims. Reality therapy's goal is for the offender to learn responsible behavior by learning "who they are, how to interact with others in a responsible fashion, and how they can be accepted more fully by others"[13].

Transactional Analysis

Transactional Analysis (TA) focuses on exploring and explaining interactions between the offender and others. This analysis allows the offender to identify and change problem interactions. One of the basic concepts in the TA approach is the idea of scripts that we develop in early childhood. These scripts help us process the world around us. When these scripts are negative, as a result of being told we are bad throughout our childhood, then our interactions later on will be negative. In order to change negative interactions, individuals need to change negative scripts.

Cognitive Behavioral Therapy

One of the most popular counseling approaches in corrections today is Cognitive Behavioral Therapy (CBT). This approach combines cognitive and behavioral approaches, with the largest focus being on changing maladaptive thought processes (cognitions). With CBT, the counselor helps the offender identify negative or maladaptive thoughts, test them for accuracy, and reframe them into more positive, realistic thoughts.

Therapeutic Community in Prison

Our prisons represent microcommunities within our larger society. They function under separate rules, but there are still social interactions and daily activities that can influence offender behavior even beyond their time incarcerated. The lasting impact of the prison environment is termed institutionalization.   In the late 1970's, Dr. Phillip Zimbardo studied the power of situation on human behavior and emotion. He found that, even in as little as a few days, individuals can become institutionalized and take on negative behaviors based on the labels applied to them[14].

A Therapeutic Community (TC) is a treatment approach designed around a creating a prosocial environment inside of prison that holds offenders to specific behavioral standards. TCs are organized in stages or phases of change that inmates move through during their incarceration at the given facility. As inmates move through the phases, or phase up, they begin to internalize the ideas and values they are learning within the TC.

On a more specific level is the Substance Abuse Therapeutic Community (SATC) that is focused on treating substance abuse issues. Virginia will often state-mandate offenders charged with substance-related offenses to finish the last 18-24 months of their sentence within a SATC facility. That mandate means that if the offender refuses to participate in the program, we can take away all of their good time and increase their security level, transferring them to a higher security facility. This leads to high rates of compliance. One key to the SATC approach is that initial buy-in or desire for change by the inmate is not necessary. In phase one of the program, they are simply learning and complying with the rules. It is not until phase four that they begin to experience an internal motivation for change[15].

TCs have traditionally been used to address substance abuse almost exclusively. However, Dr. Harry Wexler suggests that this model may be used effectively with violent offenders in higher security levels, perhaps even maximum security facilities. This is still relatively new research, but initial research is promising[16].

A key to successfully operating a TC prison facility is staff buy-in. Security and treatment staff must work together in responding to inmate behavior. For example, when an offender violates a rule, standard prison policy is clear that the offender should be charged and given the corresponding punishment. However, in a TC facility, the offender may instead be given a Learning Experience (LE), which is developed by treatment and security staff. An LE may involve the offender researching and developing a seminar that they must present to other offenders in their community, performing community service, and presenting a written apology to staff. In this way, the offender processes a change in their behavior at a deeper cognitive level. This can be challenging for correctional officers new to such an approach.

Sociological Theory

According to Siegel (2013), sociological theories "suggest that social and economic forces affect people when they are relatively young and continue to influence them throughout their lives"[17]. So, sociological theories of crime seek to identify what influence society has on individual behavior. Crime data demonstrates significant support for the idea that poverty and social disorder are strongly linked to high crime rates.

"No act is inherently deviant in and of itself. Deviance is defined socially and will vary from one group to another." - Emile Durkheim, The Rules of Sociological Method 

Social Disorganization Theory

Social disorganization theory points to a breakdown in community institutions (schools, businesses, churches) as a key contributor to criminal behavior. Youth begin to feel detached from their community and become easy targets for gang recruitment. The deviant values of gangs and other criminals in the neighborhood replace conventional values and norms that would inhibit criminal behavior.

Strain Theory

The Great American Dream promises a nice home, car, money to anyone willing to work hard enough. Strain theory, however, suggests some experience limited channels to achieve that success. They begin to experience strain and resentment that leads them to engage in criminal behavior.

Cultural Deviance Theory

Combining the concepts of social disorganization theory and strain theory are cultural deviance theories. These theories suggest that subcultures develop in deteriorated neighborhoods. These subcultures have their own set of norms and values, stressing toughness, risk taking, immediate gratification, and street smarts. Gangs and criminal groups dominate these neighborhoods silencing the law-abiding majority.

Differential Association Theory

As social beings, we are susceptible to social pressures, particularly during adolescence when our identities are still being formed. We seek to conform with our environments. Thus, those raised in environments that favor law violating behavior will learn to conform to criminal behavior. This theory has a significant application in community corrections where we may limit the groups probationers and parolees may associate with.

Control Theory

Rather than focusing on causes of criminal behavior, as the theories above, control theory focuses on conditions that restrain from it. This theory identifies four controls that are present in the environment of noncriminals and not present in the environment of criminals:

1. Attachment refers to one's emotional closeness to others
2. Commitment is investment in the pursuit of a lawful career lifestyle
3. Involvement refers to time invested in lawful activities
4. Belief is the acceptance of social expectations and values       

Psychological Theory

Psychological theories of crime look at how intelligence, personality, and learning are linked to criminal behavior. 

Psychodynamic Theory

Despite his many questionable habits and theories, Freud's Psychodynamic Theory continues to provide insights into human behavior. The basic model of this theory suggests that the human personality is made up of three basic structures.

Many offenders demonstrate id-driven behaviors. A common correctional concept applied to offenders is "I want what I want when I want it." Many offenders have simply never learned to delay gratification and may not see any benefit in doing so. A goal of corrections, then, may be to help the offender develop a stronger ego and superego to control the id.

Behavioral Theory

Behavioral theory suggests, quite simply, that behavior is learned. We alter our behavior based on the perceived responses from others. Those responses take the form of rewards and punishments. Simply put, behaviors are reinforced through positive responses that serve as rewards and other behaviors are extinguished through negative responses that serve as punishments.

Cognitive Theory

Cognitions refer to our thought processes. Cognitive theory looks at how individuals think and perceive the world around them. Issues with cognitive development can lead to errors in perception. Cognitive errors (or distortions) are often used to explain sex offenses involving children. For example, the offender perceives the child as a sexual being willingly engaging in sexual activity or that the sexual activity doesn't cause harm to the child[18].

 Understanding cognitive errors can help drive case planning and interventions to address those errors.    

Biosocial Theory

According to Siegel (2013), biosocial theories suggest that "physical, environmental, and social conditions work in concert to produce human behavior"[19].

Some of the earliest theories of criminal behavior focused on physical or biological characteristics of offenders. Cesare Lombroso theorized that criminals possess certain physical characteristics that can be used to identify them. Beginning in the early 20^th century, however, researchers began to move away from this unsubstantiated approach to explaining criminal behavior and began to focus more on social factors. This focus gave way to many sociological theories of crime.

Today, however, biosocial theories are becoming increasingly popular as we seek to explain how physical and environmental factors interact to influence human behavior. Why do individuals exposed to the same environmental stressors behave differently? Why do individuals with the same genetic makeup take different paths? What can we learn from twins separate at birth or children who grow up in adoptive homes? We recognize that while our genetics do not necessarily predict criminal tendencies, they can establish a predisposition to certain behaviors that should not be ignored.

Biochemical Conditions

Hormonal imbalances may influence violent and aggressive behavior. For example, research points to abnormally high levels of testosterone in men who commit violent crimes[20].

Neuropsychological Issues

Neurological issues relate to abnormalities in brain functioning. These abnormalities have been linked to abnormal behavior patterns and antisocial acts. Abnormalities in brain chemistry has been linked to criminal behaviors. For example, research has found evidence linking abnormal levels of dopamine with high levels of predatory aggressive behavior. Serotonin, the brain chemical commonly associated with depression, has also been linked to poor impulse control and hyperactivity[21]. Schizophrenia is often treated by medications that block dopamine receptors in the brain and ADHD is strongly linked to dopamine and norepinephrine imbalances.

Understanding the impact of brain chemical imbalances allows us more treatment options to controle symptoms and reduce negative behaviors in criminal populations. 

Damage to the brain can also impact behavior. Research demonstrates that lesions to the prefrontal cortex is associated impulsive crimes. This damage may be due to traumatic injury, maternal substance abuse during pregnancy, or genetic factors[22].  

Genetics and Crime

In recent years, researchers have begun to focus on genetic predispositions to criminal behavior. This research focuses on twin and adoption studies, utilizing differences in environmental influences to establish correlations between genetics and behavior. The findings are still quite controversial, continuing the debate of nature versus nurture. Are our behaviors and personalities determined by genetics (nature) or our environment and socialization (nurture)?

Twin Studies

Researchers comparing the behavior of identical twins with fraternal twins have found a "significant relationship between the criminal activities of [identical] twins and a much lower association between those of [fraternal] twins"[23]. However, these studies are criticized by some researchers for inadequate research design. Critics also point to the presence of other environmental factors that may be contributing to the similarity in behavior.

Adoption Studies

Adoption studies provide the opportunity to investigate genetic influence outside of similar environments. Cohen and Machalek (1988) found that genetic factors accounted for criminal behaviors in 59% of adopted children[24].

When studying genetics and behavior, it is important to keep in mind that no research has suggested that genetics alone account for criminal behavior. Most reserachers agree that genetics may create a predisposition toward certain behaviors while environment allows that predisposition to be developed.

"Genetics loads the gun; environment pulls the trigger." - Dr. Francis Collins, former director of the National Institutes of Health

Arousal Theory

Do you love roller coasters? Does the thought of one terrify you? Our brains respond differently to environmental influences. Human beings seek to maintain an optimal level of arousal of our autonomic nervous system with some people requiring levels of stimulation and others requiring very little. We often refer to those that require high levels of stimulation to obtain optimal arousal as thrill seekers or sensation seekers. Most of these individuals find prosocial means of triggering arousal, through activities like sky diving, for example. However, some individuals may engage in criminal behavior for the thrill of "getting away with it."