TRANSFORMING PROBATION THROUGH LEADERSHIP: THE “BROKEN WINDOWS” MODEL BY THE REINVENTING PROBATION COUNCIL Published by C C i CENTER FOR CIVIC INNOVATION AT THE MANHATTAN INSTITUTE and the Robert A. Fox Leadership Program at the University of Pennsylvania In conjunction with National Association of Probation Executives TRANSFORMING PROBATION THROUGH LEADERSHIP: THE “BROKEN WINDOWS” MODEL by the REINVENTING PROBATION COUNCIL Ronald P. Corbett, Jr., Ed.D. Chairman; Second Deputy Commissioner, Massachusetts Probation Service; Past President, National Association of Probation Executives Dan Richard Beto Director, Correctional Management Institute of Texas, Sam Houston State University; Vice President, National Association of Probation Executives Brian Coen Deputy Chief, Juvenile Court, Philadelphia, Pennsylvania John J. DiIulio, Jr., Ph.D. Senior Fellow, Manhattan Institute; Fox Leadership Professor of Politics, Religion, and Civil Society, and Professor of Political Science, University of Pennsylvania J. Richard Faulkner, Jr. Correctional Program Specialist, National Institute of Corrections, U.S. Department of Justice Bernard L. Fitzgerald Chief Probation Officer, Dorchester District Court, Dorchester, Massachusetts Irwin Gregg Deputy Chief, Juvenile Court, Philadelphia, Pennsylvania Norman Helber Chief Probation Officer, Maricopa County Adult Probation Department, Phoenix, Arizona; Past President, American Probation and Parole Association Gerald R. Hinzman Director, Sixth Judicial District Department of Correctional Services, Cedar Rapids, Iowa Robert Malvestuto Co-Chief Probation Officer, Philadelphia, Pennsylvania Mario Paparozzi, Ph.D. Assistant Professor, The College of New Jersey; Past President, American Probation and Parole Association John Perry Director of Planning, Vermont Department of Corrections Rocco A. Pozzi Commissioner, Westchester County Probation Department and Department of Corrections, White Plains, New York; Past President, American Probation and Parole Association Edward E. Rhine, Ph.D. Special Projects Administrator, Division of Parole and Community Services, Ohio Department of Rehabilitation and Correction PREFACE The Reinventing Probation Council and the Manhattan Institute are pleased to present you with the second in a series of publications on the “Broken Windows” model of reforming probation practice. At the release of the initial manifesto in New York City last Summer, we promised a monograph that elaborated on the ideas and examples presented in the initial publication. This new publication — Transforming Probation Through Leadership: The “Broken Windows” Model — is a fulfillment of that promise. More than anything else, we had hoped that the initial “Broken Windows” publica- tion would jump-start a serious reexamination across our profession of the true ends and real business of probation. It seems to have done so. Based on the responses we have received and the number of local and regional conferences that have taken up this topic, we have some sense that the work of reinvention has begun. We must hasten to add that a number of leading jurisdictions had already begun that work and, in a sense, we are standing on the shoulders of giants. We hope this monograph provides both critical information and helpful examples of a reinvented probation in action. As an adjunct to this second publication, we have received sufficient financial support from the Manhattan Institute and the Fox Leadership Program at the University of Pennsylvania, under the direction of our colleague and patron Dr. John J. Dilulio, to work in five to ten jurisdictions to provide technical assistance in the implementation of this model. I want you to know that while the members of the Reinventing Probation Council will take the responsibility to coordinate and deliver this technical assistance, we have agreed to take no fees for performing this work. The funds will be used for travel, per diem, training, publications, etc. We are committed to seeing this through. As the result of our work in pilot sites over the next two years, and it is important to note that we have already begun working in New York City, we plan a third publication which will focus on case studies of “Broken Windows” in practice and will include a “user’s manual” for the development of a “Broken Windows” effort. In this way, we hope to continue to provide both useful information to our field and encouragement to the champions of reinvention. I would like to conclude by expressing a debt of gratitude to the Manhattan Institute and the Fox Leadership Program for their critical support and to Dr. Ed Rhine, without whose extraordinary writing and editing skills — and incredible appetite for hard work — this publication would not have been possible. Ronald P. Corbett, Jr., Ed.D. Chair, Reinventing Probation Council iii ACKNOWLEDGMENTS In March 1997 a meeting was held at the Manhattan Institute in New York to assess the state of probation and the future prospects for its reinvention. The gathering was facilitated by John J. DiIulio, Jr., formerly of Princeton University and now with the University of Pennsylvania. DiIulio, who is also affiliated with the Manhattan Institute in New York and Public/Private Ventures in Philadelphia, provided the inspiration, visionary leadership and reassuring support for the formation of what was eventually to become the Reinventing Probation Council. His erudite presence and steady guidance of the Council during the past several years were indispensable to the production of the monograph that follows. Ronald P. Corbett, Jr., Second Deputy Commissioner of the Massachusetts Probation Service, assisted in organizing the meeting and identifying academicians and practitioners alike to attend. In addition to DiIulio and Corbett, those present included Larry Anderson, Dan Richard Beto, Todd Clear, Michael J. Cleary, David Kennedy, Richard Kipp, Rocco A. Pozzi, Edward Rhine, and Jonathan Simon. The general consensus of the participants was that the timing was right to mobilize a national initiative to reinvent probation. Shortly afterwards, Corbett was asked by DiIulio to serve as the chair of the Reinventing Probation Council. For over three years he has capably and tirelessly steered the work of the Council. Corbett’s passionate commitment to probation and renaissance-like mastery of the fields of criminal justice and public administration exerted an enormous and enduring impact on the deliberations of the Council and the focus and substance of this publication. The membership of the Reinventing Probation Council which evolved subsequent to the 1997 brainstorming session in New York consisted of knowledgeable and experienced probation practitioners who enthusiastically gave their time and shared their expertise in meetings that moved from Philadelphia to Boston and twice back to Philadelphia. During this process, individual members of the Council developed a series of working papers addressing wide-ranging issues and concerns affecting the practice of probation. The working papers were, in turn, edited and integrated into a comprehensive monograph. It is a document that reflects the imprint and collective judgments of the individual members of the Council. The membership of the Council included the following individuals. Those who served as authors of the working papers are noted by an asterisk. *Ronald P. Corbett, Jr., Chair, Reinventing Probation Council; Second Deputy Commissioner, Massachusetts Probation Service; and Past President, National Association of Probation Executives. *Dan Richard Beto, Director, Correctional Management Institute of Texas, Sam Houston State University; and Vice-President, National Association of Probation Executives. *Brian Coen, Deputy Chief, Juvenile Court, Philadelphia, Pennsylvania. John J. DiIulio, Jr., Senior Fellow, Manhattan Institute; and Fox Leadership Professor of Politics, Religion, and Civil Society, and Professor of Political Science, University of Pennsylvania. *J. Richard Faulkner, Jr., Correctional Program Specialist, National Institute of Corrections, U.S. Department of Justice. *Bernard L. Fitzgerald, Chief Probation Officer, Dorchester District Court, Dorchester, Massachusetts. *Irwin Gregg, Deputy Chief, Juvenile Court, Philadelphia, Pennsylvania. Norman Helber, Chief Probation Officer, Maricopa County Adult Probation Department, Phoenix, Arizona; and Past President, American Probation and Parole Association. v *Gerald R. Hinzman, Director, Sixth Judicial District Department of Correctional Services, Cedar Rapids, Iowa. Robert Malvestuto, Co-Chief Probation Officer, Philadelphia, Pennsylvania. *Mario Paparozzi, Assistant Professor, College of New Jersey; and Past President, American Probation and Parole Association. *John G. Perry, Director of Planning, Vermont Department of Corrections. *Rocco A. Pozzi, Commissioner, Westchester County Probation Department and Department of Corrections, White Plains, New York; and Past President, American Probation and Parole Association. Edward E. Rhine, Special Projects Administrator, Division of Parole and Community Services, Ohio Department of Rehabilitation and Correction. Nancy Lick, Westchester County, served as a co-author of the working paper submitted by Rocco Pozzi. Judge James Dolan, Massachusetts, served as a co-author of the working paper submitted by John G. Perry. In addition, several individuals offered invaluable comments, program summaries and editorial input on the monograph as it was being drafted. These individuals include