The
Crown Files Research Project: A Study of Dangerous Offenders
James Bonta Andrew Harris
Solicitor General Canada Carleton University
Ivan Zinger
Debbie Carriere
Carleton University Carleton University
Report No. 1996-01 Cat. No. JS4-1/1996-1
ISBN 0-662-62250-2
Acknowledgments
Numerous individuals facilitated this research project. We are deeply
indebted to them, for without their assistance this project would have
been impossible. Although we risk forgetting some, we would like to
formally thank the many individuals who helped us along the way. Our
apologies to those whom we may have forgotten.
For their assistance with the penitentiary file reviews we thank: Jim
Blacker, Sonya Chupik, Pierre Couturier, John Duggan, Janice Grant, Ken
Hazard, Irving Kulik, Wagdy Loza, Bob Lusk, Douglas McGregor, Larry
Motiuk, Ken Payne, John Stonoski, Bob Watkins, Lois Wilde, and the
Records Clerks, Case Management and other professional staff from the
various penitentiaries.
In the survey of Crown prosecutors we thank Marie-Josée Bettez, Peter
Ewert, Richard Isaac, Ian Scott, Murray Segal, and the prosecutors who
gave of their time in order to participate in the interviews.
A number of people provided comments on earlier drafts of this report. We
would like to thank the following for their helpful suggestions: Mary
Campbell, Bob Cormier, Peter DeVink, Andrew Graham, Karl Hanson, Charles
Haskell, Michel Larivière, Vanda Simanis, Carson Smiley, Nancy
Stableforth, Dan Thompson, Suzanne Wallace-Capretta, Dave Whellams and
Richard Zubrycki.
Finally, we would to thank Kimberly Fever for her excellent work in
preparing this document for publication.
Table of
Contents
Executive Summary
Introduction
Part 1: The File Review
Introduction
Method
Subjects
The Coding of Variables
Measures
Procedure
Results
I. Description of Dangerous Offenders
II. The Availability of Information
III. Ontario and B.C. Similarities
IV. Comparing Dangerous Offenders with Detention Failures
Summary of Part 1
Part 2: Crown Attorney Interviews
Introduction
A. Method
B. Views on the Dangerous Offender Legislation
(a) Characteristics of the offence and offender
(b) Serious personal injury offence and severe psychological
damage
(c) The four statutory criteria
(d) Mandatory testimony of psychiatrists
(e) The consent process
C. Procedural Issues
(a) Timing of the decision to proceed with a DO application
(b) The role of the media
(c) Availability of information
(d) Cooperation
(e) Caseload while processing a DO application
(f) Plea bargaining practices
(g) Miscellaneous technical suggestions
D. Views on Proposed Reforms
E. Knowledge of Predictors
F. Summary
General Summary and Conclusions
References
Appendix A: Sections of the Coding Manual
Appendix B: Codes for the Type of Report
Appendix C: The Exploratory Variables
Appendix D: Crown Attorney Interview Form
Executive Summary
In response to one of the recommendations of the
Federal/Provincial/Territorial Task Force on High Risk Violent Offenders
(January, 1994), a research project was undertaken to provide empirical
data that would assist Crown attorneys in the application of the
Dangerous Offender provisions. The penitentiary and court files of 64
Dangerous Offenders (DOs) from Ontario and British Columbia were reviewed
in order to construct a comprehensive description of this group of
offenders. The DOs were then compared to another high risk violent group
of 34 Detention Failures (DFs).
In the second part of the research project, 21 Crown attorneys (including
one from Quebec) with experience in the application of the Dangerous
Offender provisions were interviewed. They were asked to give their views
on the strengths and obstacles related to the provisions, an assessment
of other models for dealing with high risk violent offenders, and to
evaluate a list of predictors of violent behaviour.
A Summary
of the Major Findings
1. The
majority of DOs are sex offenders
Despite the intention of the DO provisions to widen the applicability
of the law beyond dangerous sex offenders, there has been little
change. For over 90% of the DOs from Ontario and B.C. the index offence
was a sexual offence. Compared to the sex offenders in the DF group,
the DO sex offenders did appear however, more serious. They had more
victims and showed more signs of brutality.
The high proportion of sex offenders in the DO group may be partly
explained by the prosecutors' and Courts' interpretation of the DO
provisions. 87% of the Crown attorneys interviewed stated that a sexual
offence initiated the DO application process. In other words, nonsexual
violent behaviour infrequently initiated a DO application.
2. Antisocial personality features are frequent among
DOs
The Crown prosecutors assigned considerable importance to psychiatric
diagnoses and were especially influenced by the presence of a diagnosis
of an antisocial personality. However, there are many different methods
for assessing antisocial personality producing high variability in
diagnosis. This finding points to a need to develop reliable assessment
procedures and criteria.
3. Considerable information is available on
DOs
Crown attorneys reported they often make the decision to proceed with a
DO application soon after arrest. Information on the details of the
offence and the offender's criminal history appear readily available.
However, a number of areas for improvement were noted. The destruction
of older police records and the unavailability of prior court
transcripts was particularly problematic. To some extent, increased
reliance on correctional files could alleviate this problem although
CSC is also faced with similar retrieval problems.
4. There
is considerable agreement between the two provinces
Although the provinces vary in the use of DO applications, there were
few differences in the type of offender or offence being targeted in
Ontario and B.C. Differential application of the DO provisions may stem
from procedural and organizational issues rather that the types of
offenders being identified.
5.
Crowns generally appear to target high risk violent
offenders
The DOs differed very little from the DFs with respect to criminal
history and seriousness of the offence. The DO legislation appears to
be used for a group of offenders who share the criminal history and
offence characteristics of high risk, violent offenders.
6. 67%
of Crowns were satisfied with the definition of a Serious Personal
Injury Offence (SPIO)
Two-thirds of the Crown attorneys were satisfied with the present
definition of SPIO. The one general area where many felt a need for
improvement was with the definition of "severe psychological damage."
7.
Crowns were generally satisfied with the present statutory
criteria
Nearly three-quarters (72%) of the Crown attorneys said they were
satisfied with the DO statutory criteria. However, the "brutality"
criterion was considered unhelpful.
8. Crown
attorneys overwhelmingly endorse the DO legislation.
Ninety-five per cent of the Crown attorneys felt that the present DO
legislation is effective in dealing with high risk violent offenders.
Other models for dealing with dangerous offenders were seen as less
desirable and unfeasible. The message was clear that, rather than
replacing
the DO legislation, Crowns saw a need to make improvements to the
existing law as well as the policies and procedures supporting its
application.
9.
Operational Issues
A number of operational concerns associated with a DO application were
raised.
-
DO applications require much more work than a normal criminal
sentencing proceeding, and Crowns reported that they received little
workload adjustment to deal with the application.
-
Approval for a DO application could be reduced to a lower and
non-political level.
-
When first faced with a DO application, 52% of the Crown attorneys did
not know what information was needed. The majority of prosecutors
expressed a need for clearer policies and procedures on this matter.
B.C. has recently instituted new policies and procedures; Ontario and
Quebec are in the process of doing the same.
10. Crown's knowledge of predictors can be more
empirically-based
In general, the prosecutors had a good grasp of the predictors of
criminal behaviour. However, since most DOs are sex offenders and the
concern is with the management of violent behaviour, particular
attention needs to be given to the predictors of sexual and violent
recidivism.
11. Application of the findings to the screening of
DOs
The project generated information on the characteristics of DOs and
high risk violent offenders. The findings can be used in a pilot
project that includes the construction of a scale for the
identification of high risk violent offenders and its application for
special prosecution.
Introduction
High risk violent offenders and the danger they pose to public safety are
ongoing public concerns. Governments have used many different methods to
minimize the risk posed by such offenders. One approach has been to apply
indeterminate sentences. Historically, Canada used Criminal Sexual
Psychopath legislation (1948), then the Dangerous Sexual Offender (1960)
law and in 1977, the Dangerous Offender provisions under Part XXIV of the
Criminal Code of Canada. The earlier laws focused exclusively on sexual
offenders and although they were criticized on a number of grounds, one
of the more serious was the failure to target nonsexual violent offenders
(Canadian Committee on Corrections; Ouimet Report, 1969). Thus, one goal
of the Dangerous Offender (DO) provisions was to extend the Dangerous
Sexual Offender (DSO) law to include nonsexual offenders who pose a
serious risk to society.
More recently, community interest in managing violent offenders has
intensified. Critics have suggested that the present DO provisions are
inadequate and that new approaches must be taken to deal with high risk
violent offenders. The few research studies that have examined the DO
provisions found little change in the type of offenders being targeted
compared to the earlier DSO legislation. For example, after the repeal of
the Dangerous Sexual Offender provisions and during the period from 1977
to 1985, 78% of dangerous offenders were convicted of a sexual offence
(Jakimiec, Porporino, Addario & Webster, 1986). In 1992, 90% of
Dangerous Offenders had a history of a sexual offence (Pepino, 1993).
In January 1995, the Federal/Provincial/Territorial Task Force on High
Risk Violent Offenders recommended to Ministers that a research project
be undertaken to collect information on the characteristics of DOs and
the factors that may have influenced a DO application. The goals of the
research were to:
1) provide a comprehensive description of DOs;
2) identify information requirements and gaps;
3) assess the validity of the group targeted for DO application;
4) describe the Crown's evaluation of existing DO legislation and
obstacles to its use; and
5) assess prosecutors' knowledge of indicators of high risk violent
behaviour.
The information gathered may be helpful for a variety of purposes
including the development of guidelines for identifying cases for DO
applications.
The present report describes the results of that project. The report is
comprised of two parts. Part 1 describes the review of penitentiary and
Crown files which provide a description of Dangerous Offenders. Part 2
presents the results of an interview-based survey of Crown attorneys who
have successfully prosecuted Dangerous Offenders. The survey results
speak to the evaluation of the DO legislation and process by experienced
prosecutors.
Part
1: The File Review
James Bontar Andrew Harris
Ivan Zinger Debbie Carriere
Introduction
There have been few systematic descriptions of the DO population.
The earliest report was a preliminary unpublished study of the first
32 offenders declared Dangerous Offenders up to March, 1983
(Solicitor General Canada, 1983). Subsequently, Jakimiec et al.
(1986) described 50 offenders found to be Dangerous Offenders
between 1977 and 1985. Their review however, was limited to
penitentiary files and stressed the incarceration experience. Motiuk
and Seguin (1992) provided a statistical profile of 121 DOs
incarcerated in federal penitentiaries in 1992. This was a
"snapshot" of DOs at the time and although it captured the entire DO
population, the variables used to describe these offenders focused
on criminal history and factors of specific interest to the
Correctional Service of Canada (e.g., geographical distribution of
offenders, security levels, etc.).
The present project reviewed both penitentiary and court
files and collected an extensive range of information on DOs from
Ontario and B.C. As a result, the research afforded a detailed and
comprehensive picture of the characteristics of DOs from these two
provinces. Moreover, despite being restricted to Ontario and British
Columbia, the present sample was larger than the sample of DOs
described by Jakimiec et al. (1986).
Initially, the research project was to examine the files of
successfully and unsuccessfully prosecuted DOs. However, after
discussions with senior officials from Ontario and British Columbia
we learned that unsuccessful applications were relatively infrequent
and an attempt to collect information on unsuccessful applications
would leave us with too few cases for analysis. Hence, another group
of offenders was selected as a comparison for the DO files.
The comparison group consisted of federal offenders who were
detained until warrant expiry, released, and subsequently
re-offended violently. These Detention Failures (DFs) represent a
group of offenders who, at least in retrospect, perhaps could have
been designated DOs. The DF group permitted an evaluation of the
validity of the dangerous offender process. That is, if offenders
designated DOs have a high probability to re-offend violently then
they might be expected to share many characteristics with the DFs.
Further, any differences between the groups may inform prosecutors
as to risk factors that should be considered in a DO application.
Method
Subjects
On May 3, 1995 there were 146 DOs in Canada. All but one were
male with 67 held in Ontario and 37 in B.C. Two groups of federal
offenders were selected for detailed file review. The first group
comprised 64 offenders held under Part XXIV of the Criminal Code of
Canada (C.C.C.), the Dangerous Offender provisions. From this
Dangerous Offender group, 32 had been declared Dangerous Offenders
in Ontario (47.8% of all DOs in the province) and 32 were from
British Columbia (86.5% of all DOs in B.C). The present sample of 64
DOs represents 43.8% of the total DO population in Canada at the
time of data collection.
The second group of high risk violent offenders consisted of 34
"Detention Failures"(DFs). A federal inmate who is judged likely to
commit an offence causing death or serious harm prior to expiration
of sentence may be detained until warrant expiry under the
provisions of the Corrections and Conditional Release Act (1992). A
Detention Failure was defined as an inmate who had been detained
until expiration of sentence and who subsequently recidivated with a
violent offence following release. Violent offenses included
homicide, assault, robbery and sexual crimes.
The names of DOs were provided by the respective provincial Crown
offices and subjects were selected in reverse chronological order.
Offenders in this group were designated Dangerous Offenders between
March, 1979 and March, 1995. Detention Failures were drawn from
Ontario DFs described in an earlier study of high risk offenders
(Motiuk, Belcourt & Bonta, 1995).
The Coding of
Variables
A file coding manual was constructed consisting of variables
drawn from a review of the research literature. Not only were basic
demographic and criminal history information coded but also a number
of variables suggested by research to correlate with violent
behaviour. The initial coding manual was reviewed for its
completeness and relevance and subsequently pilot tested on five
files from Kingston Penitentiary. Revisions were made and a final
pilot testing of 11 files from the Ontario Crown Office in Toronto
and Kingston Penitentiary was conducted. The purpose of the pilot
testing was to evaluate the availability and accessibility of the
information.
Further revisions were completed and the final result was a
coding manual consisting of 245 simple and composite primary
variables. For 102 (42%) of these variables, the source of the
information was recorded (e.g., Psychological assessments, Police
reports, trial transcripts). In addition, whether the information
came onto the file before or after the Dangerous Offender or
Detention determinations was also recorded.
As noted earlier, we coded for variables which have been
suggested by previous research to be related to recidivism (general
and violent). In addition, we collected information on a small
sub-set of miscellaneous, exploratory variables. A description of
the 22 areas that were coded is presented in Appendix A. Appendix B
shows the codes for the data sources and Appendix C presents the
exploratory variables.
Measures
The coded variables provided sufficient information to score the
Psychopathy Checklist - Revised (PCL-R). Drawing upon Cleckley's
(1982) clinical description of the "psychopath", Hare (1985, 1991)
has developed an objective diagnostic instrument called the PCL-R.
The psychopath is a form of personality disorder typified by a lack
of guilt and remorse, unresponsiveness to normal social controls and
behaviour patterns that are generally antisocial. While not a risk
prediction instrument in the strict sense of the term, this 20 item
checklist has been shown to correlate with both general recidivism
(Hart, Kropp, & Hare, 1988; Serin, Peters, & Barbaree, 1990)
and violent re-offending (Harris, Rice, & Cormier, 1991).
In addition to the PCL-R, scores from the
Statistical Information on Recidivism (SIR) scale were coded. The
SIR was developed by Nuffield (1982) as an aid to parole
decision-making in Canada. This fifteen-item scale is largely
comprised of criminal history variables with fourteen of the fifteen
items as static predictors. It is the policy of the Correctional
Service of Canada (CSC) to conduct a risk assessment of all
non-Aboriginal, male inmates using the SIR scale. The results
reported here are taken directly from the SIR record forms on file.
Procedure
File coders were two Ph.D. candidates and one
Masters candidate in Forensic/Correctional Psychology. This team of
coders reviewed files from Crown Offices, CSC Regional offices, a
federal records centre and eight Federal Correctional Institutions
in Ontario and British Columbia. All files were coded independently.
At the federal institutions the following files were reviewed:
sentence administration, visits and correspondence, case management,
psychology, discipline and dissociation, and preventive security.
The data were analyzed using SPSS/PC+ (Norusis, 1990) and SPSS for
Windows (Norusis, 1993).
Inter-rater
Reliability. Eleven cases were coded by a third rater to assess
inter-rater reliability. Inter-rater agreement among the three
raters on the coded variables averaged 83.3%. The individual item
agreement ranged from 100% to 54%. The lowest inter-rater agreement
was for two items in the companions and friends section. Section
inter-rater reliabilities ranged from 94.5% for Index Offence
variables to 59% for the companions and friends section. The
companions and friends section proved to have not only inadequate
data but the information found in the files was highly subjective.
As a result, data from the companions and friends section is not
reported. When this section of five questions is removed from the
inter-rater reliability calculations, the average inter-rater
agreement increases to 85.2%.
Results
There were 64 Dangerous Offender (DO) files
reviewed. Although the project examined many variables indicative of
violent re-offending, it was also important to ask whether offender
files provide sufficient information at the time of the index
offence to permit the Crown to make a Dangerous Offender
application. The coding scheme noted whether the information was
available prior to the DO sentencing date or whether the information
became available after the decision.
The results are presented in four sections.
The first deals with a description of the DOs. The second section
examines the point in time when critical information became
available in the files, the third compares DOs from Ontario and
B.C., and the last section compares the DOs and the DFs.
I. Description of Dangerous
Offenders
Table 1 presents a general summary of
personal-demographic information on the DOs. DOs scored in the
"average" range of intelligence and their average age was 34.4
years. Nearly all (95.2%) were Caucasian; there were three
Aboriginal offenders and there was no racial information on one
subject. In the general penitentiary population, 70.6% of the
population is Caucasian (Correctional Service of Canada, 1994).
Approximately two-thirds had completed some high school and nearly
half were single.
Table 1. Personal-Demographics of Dangerous
Offenders at Index Offence1
Characteristic |
DO |
(n) |
IQ |
94.9
|
(56)
|
mean age
|
34.4
|
(56)
|
grade
completed |
8.5 |
(62)
|
% some high
school |
62.9
|
(62)
|
% Single
|
48.4
|
(62)
|
Caucasian
|
95.2
|
(63)
|
%
unemployed |
63.3
|
(49)
|
% financial
diffiulty |
58.9
|
(56)
|
1 numbers vary due to insufficient file
information
The Index Offence.
Part XXIV of the C.C.C. sets out a number of criteria for a
designation of Dangerous Offender. The person must have committed a
"serious personal injury offence" (SPIO) and be judged likely to
cause future serious harm. Additional criteria considered in a DO
application may include sexual offenses or offenses of a "brutal"
nature. Information on the index offence as it pertains to Part XXIV
along with the Court's reasons for a DO finding are presented in
Table 2.
Table 2. The Index Offence for DOs
Variable |
DO |
(n) |
Index Offence
|
% Sexual
Offence |
92.2
|
(64)
|
Female
Victim1 |
86.2
|
(58)
|
Average #
of victims1 |
3.2 |
(58)
|
Mean age
victim1 |
15.1
|
(48)
|
% Victim
under age 161 |
58.8
|
(51)
|
% Any
Brutality |
69.6
|
(56)
|
% Excessive
violence |
19.6
|
(56)
|
% Any
victim injury |
62.3
|
(61)
|
% Weapon
used |
50.0
|
(60)
|
% Victim
drugged/intoxicated |
12.3
|
(57)
|
% Under
influence |
46.3
|
(41)
|
|
|
|
Court cited (%) . .
. |
|
|
Brutality
|
18.2
|
(44)
|
Fail to
control sex impulses |
73.3
|
(45)
|
Fail to
restrain behaviour |
62.2
|
(45)
|
Persistent
pattern |
44.4
|
(45)
|
1 Sex offenders only
As expected, the majority of DOs were
convicted of a sexual offence. There were only 5 non-sexual cases.
Over half of the DOs were convicted pedophiles with an average of
3.2 known victims (the number of victims ranged from one to 23).
Over half of the victims were under the age of 16. The trend for the
sexual Dangerous Offenders to prefer young victims was evident when
we examined the age of the victims in more detail and found that
43.1% of the victims were under the age of 13. However, sample sizes
were quite small and did not show statistically significant
differences.
Brutality is one of the criteria for a DO
designation. The Courts cited brutality as a factor in 8 of the 44
DO cases (18.2%) for which we had information. It was never cited as
the sole criterion. Using file information, the brutality of the
index offence was measured in numerous ways. One measure involved a
rating of the index offence on a scale of 0 to 5. A score of 0
indicated no evidence of brutality and 5 indicated extreme physical
assault (e.g., torture, 10 or more stab wounds). The mean score for
DOs was 1.2. Nearly 70% of DO cases showed some evidence of
brutality. Examining only cases of brutality that exhibited extreme
physical violence (ignoring excessive
threats), 19.6% of the DOs showed extreme physical signs of
brutality.
Another measure of offence seriousness was
the degree of victim physical injury. Information from police, court
documents and victim impact statements were scored on a scale
ranging from 0 (no evidence of victim injury) to 6 (death) and
produced an average score of 2.5. None of the DOs committed an
offence that resulted in death. Many crimes resulting in death
(e.g., homicide) have mandatory lengthy sentences and as such, a DO
application may be unnecessary. Approximately 62% of the DOs injured
their victims physically.
The nature of the Index offence is but one
consideration in a DO application. The Criminal Code provides a
number of additional factors including a failure to control sexual
impulses and repetitive/persistent aggressive behaviour. We now turn
to these elements.
Criminal History and
Persistence of Criminal Behaviour. An extensive criminal history
is seen as a sign of likely re-offending. The Court cited a pattern
of persistent and repetitive behaviour in 44% of DO cases and a
failure to restrain behaviour in 62% of DO declarations (the reasons
given by the Court are not independent; more than one factor can be
cited for a case). The review of files did show that DOs have, on
average, extensive criminal histories (Table 3). However, official
histories of violent behaviour were not as frequent as we expected.
The majority of DOs did not have a
history of assault or violent sexual offenses.
Table 3. The Criminal Histories of DOs
Variable |
DO |
(n) |
age at
first arrest |
16.3
|
(52)
|
% juvenile
record |
75.0
|
(56)
|
% prior
incarceration |
88.5
|
(61)
|
%
probation/parole fail |
73.0
|
(63)
|
% prior
assault |
45.9
|
(61)
|
% prior
violent sex |
39.3
|
(61)
|
Failure to Control
Sexual Behaviour. Fifty-nine of the 64 DOs (92.2%) were
convicted of a sex offence. However, not all sex offenders are
declared DOs. Therefore, we examined in detail the sexual histories of the Dangerous Offenders whose
index offence was sexual in nature in order to gain a better idea of
the uniqueness of this group.
The DOs (sex offenders only) showed early
sexual offending behaviours. For the 59 dangerous sex offenders,
96.6% showed evidence of forcible sexual activity prior to the age
of 16 years. Information from CSC files revealed that the DOs
admitted many sexual offenses for which they
were not charged, an average of 27.2
offenses. However, the range of undetected sexual offenses was quite
large (0 to 201) which skews the average.
To summarize our first major finding:
The majority of DOs are sex offenders
Antisocial
Personality. The social science and legal literatures on the
assessment of dangerousness assign considerable importance to a
constellation of personality characteristics referred to as
antisocial personality. Impulsiveness, egocentrism, lack of empathy
and thrill seeking are some of these characteristics. For many,
antisocial personality is synonymous with a failure to control one's
behaviour, a blatant disregard for the welfare of others and a high
propensity to continue in an antisocial lifestyle. The assessment of
antisocial personality characteristics and their relevance to a
declaration of DO status is usually provided through the testimony
of psychiatrists during the proceedings.
A number of approaches can be taken to the
assessment of an antisocial personality. In this project, estimates
of the incidence of antisocial personality were calculated in three
ways. First, we searched for statements of a diagnosis of an
Antisocial Personality Disorder (APD) in psychological, court and
penitentiary files. A second, but more stringent approach, was to
match the information in the files to the diagnostic criteria for
Antisocial Personality Disorder described in the Diagnostic and
Statistical Manual of Mental Disorders, Fourth Edition (DSM-IV;
American Psychiatric Association, 1994). Third, the file information
was used to score the Psychopathy Checklist (PCL-R; Hare, 1991). The
PCL-R provides the most stringent assessment of a personality
disorder although some may argue that Clinical Psychopathy may
measure a construct somewhat different from the DSM-IV criteria
(Hare, 1991). DSM-IV criteria are dependent upon behavioral evidence of antisocial behaviour
whereas the PCL-R also taps personality
characteristics (e.g., shallow affect, irresponsibility).
A psychiatric diagnosis of APD was found in
72.9% of DO files. When the more stringent DSM-IV criteria were
used, the rate of APD fell to 54%. These rates are similar to those
reported in forensic/correctional populations. Sufficient
information was available in 48 DO files to calculate PCL-R scores.
Following Hare's (1991) recommended cut-off score of 30 for a
diagnosis of psychopathy, 39.6% (19) of the DOs were classified as
psychopaths. This base rate of psychopathy is almost twice as high
as the rate typically found in offender populations (15 to 25%;
Hare, 1991). The rate may actually be higher if the assessment was
conducted with the benefit of interviews. Wong (1988) has noted that
a file-based scoring of the PCL-R may yield a conservative estimate
of psychopathy.
In closing this section, it is noteworthy
that DOs, as a group, appear to be relatively free from a major
mental illness characterized by extreme moods and poor contact with
reality. Among DOs, 8.5% were diagnosed with a schizophrenic
disorder. This finding suggests that offenders who behave in a
violent manner and who have a serious
mental illness may be dealt with under civil commitment procedures.
Antisocial personality features are frequent
among DOs
II. The Availability of
Information
Past inquiries into violent victimization
have observed that critical information is frequently missing or
unavailable. In order to empirically address this observation, the
type of information available to Crowns in DO applications and when
this information became available was coded. Not all the information
in the project could be coded as to the point in time when it became
available. However, a limited number of items were assessed as to
whether the information was available prior to the DO sentencing
decision. Table 5 summarizes this information. On the whole,
considerable information was available to Crown attorneys prior to
the Dangerous Offender finding.
Table 5. Availability of Information Prior to DO
Decision (%)
Variable |
% Available |
Juvenile
record |
73.6
|
History -
drug abuse |
72.4
|
History -
alcohol abuse |
81.7
|
Prior
probation/parole fail |
92.1
|
Past mental
health treatment |
79.6
|
Present
mental health treatment |
76.2
|
Nonconvicted sex offenses |
65.51 |
1
Sex offenders only
Considerable information is available on DOs
The finding that there is considerable
information available on DOs does not necessarily mean that it is
the right information needed to bring forward a successful DO
application. As we will discuss later in the report, predictors of
sexual recidivism form an important constellation that should be
considered. Unfortunately, we were unable to adequately assess the
availability of this type of information.
III. Ontario and B.C.
Similarities
Soon after the implementation of the DO
provisions, it became apparent that the provisions were not
uniformly applied across the country. Ontario has the largest number
of DOs but B.C. the largest per capita. Quebec has had only one case
declared a Dangerous Offender. This does not mean that Quebec has no
dangerous offenders, but that the province may be dealing with them
in a different manner (e.g., civil commitment through provincial
mental health legislation). Uniformity of application involves two
questions. First, are the DO provisions being applied to similar
cases? And second, are the provisions being applied to all cases to
which they ought to be applied?
The first question was answered by comparing
the DOs from the provinces of Ontario and British Columbia. The
second question was not directly addressed by this project, but
comparisons with
the Detention Failure group (next section)
provide some indications of the appropriateness of cases declared
DOs.
Very few differences were found between DOs
from Ontario and DOs from B.C. Table 6 shows only the analysis for
the Index offence. In terms of personal demographics there were no
differences between the DOs from the two provinces. They were
similar in marital status, race, grade completed and employment
status. Similarly, we found no differences in the other variables
analyzed (e.g., alcohol/drug dependency, diagnosis of antisocial
disorder or child molesting). \
Table 6. Comparison of DO Cases from Ontario and
B.C. on the Index Offence(%)
Variable
|
Province |
X 2 |
p |
|
Ontario |
B.C. |
|
|
Sexual offence |
90.6 |
93.8 |
. .22
|
ns
|
Female victim1 |
78.6 |
93.3 |
2.65 |
ns
|
Victim under 161 |
50.0 |
66.7 |
1.45 |
ns
|
Any victim injury |
65.5 |
59.4 |
.24 |
ns
|
Any brutality |
63.0 |
75.9 |
1.10 |
ns
|
Weapon used |
50.0 |
50.0 |
.00 |
ns
|
1 Sex
offenders only ns = nonsignificant
In summary, we could not find any substantial
degree of difference in the characteristics of the offence or the
offender from the two provinces. The Courts appear to deal with
similar cases in a uniform manner, at least in Ontario and B.C.
There is considerable agreement between the two
provinces
IV. Comparing Dangerous
Offenders with Detention Failures
In the previous section on regional
similarities, the question was raised as to whether all cases
eligible for a DO application were being identified. To properly
answer this question would have required a very different research
methodology, but the question raises the general issue, are the
offenders labelled as DOs actually high risk violent offenders?
An attempt to answer this question was made
by comparing the DOs to a known group of high risk violent
offenders, namely, 34 Detention Failures (DFs). The DFs are the only
offenders who actually committed another violent offence after they were identified as potentially
violent. If the DOs appear similar to the DFs, then we are led to
conclude that high risk violent offenders are being appropriately
targeted in Ontario and British Columbia. Any differences found
between DOs and DFs may provide useful information as to the
indicators of violent re-offending which could then be used in
Dangerous Offender applications.
Table 7 presents a general summary of
personal-demographic information on the DOs and DFs. This table is
similar to Table 1 but now includes the DFs. Compared to the DFs,
DOs were older and more likely to be Caucasian. This latter
difference is true for the entire DO population where approximately
85% of DOs are Caucasian (Motiuk & Seguin, 1992). However, the
proportion of Caucasians among the DOs is more exaggerated in our
study due to the absence of sampling from the Prairie region. On all
other personal-demographic variables there were no statistically
significant differences.
Table 7. Personal-Demographics of DOs and DFs at
Index Offence1
Characteristic |
DO(n)
|
DF(n)
|
t/X 2 |
p |
IQ |
94.9(56)
|
88.2(25)
|
1.89 |
ns
|
mean age |
34.4(56)
|
26.7(32)
|
4.01 |
.001
|
grade completed |
8.5(62)
|
8.0(33)
|
1.04 |
ns
|
% Single |
48.4(62)
|
64.7(34)
|
2.36 |
ns
|
% Caucasian |
95.2(63)
|
64.7(34)
|
15.75
|
.001
|
% unemployed |
63.3(49)
|
72.4(29)
|
.69 |
ns
| 1 numbers vary due to insufficient
information p = probability level based on t
test or chi square.
Table 8 compares the DOs and the DFs with
respect to the index offence. The most striking difference was that
DOs were almost three times more likely to have been convicted of a
sexual offence (92.2% vs 35.3%). There were only 5 non-sexual cases
among the DOs. When the DOs were compared to DFs who were convicted
of a sexual offence, the DOs averaged more known victims (3.2 vs
1.5). There were no other significant differences with respect to
the sexual crimes of DOs and DFs.
Table 8. The Index Offence for DOs and DFs.
Variable |
DO(n) |
DF(n) |
t/X 2 |
p |
Index Offence |
|
|
|
|
% Sexual Offence |
92.2(64)
|
35.3(34)
|
36.01
|
.001
|
% Female victim1 |
86.2(58)
|
91.7(12)
|
.26 |
ns
|
# of victims1 |
3.2(58)
|
1.5(12)
|
3.07 |
.01
|
% Victim under age 161 |
58.8(51)
|
41.7(12)
|
1.16 |
ns
|
% Victim under age 131 |
43.1(51)
|
25.0(12)
|
1.34 |
ns
|
% Any brutality |
69.6(56)
|
48.4(31)
|
3.82 |
.05
|
% Excessive violence |
19.6(56)
|
35.5(31)
|
2.65 |
ns
|
% Any victim injury2 |
62.3(61)
|
67.6(34)
|
.27 |
ns
|
% Weapon used |
50.0(60)
|
64.7(34)
|
1.90 |
ns
|
% Victim drugged/intoxicated |
12.3(57)
|
29.0(31)
|
3.79 |
.05
|
% Under influence |
46.3(41)
|
76.7(30)
|
6.59 |
.01
|
1 Sex
offenders only 2 Score range from 0 (no injury) to 6
(death)
The only other differences found between the
groups were the incidence of substance use and evidence of brutality
during the index offence. For DFs, substance abuse was more common
in both the offender and the victim. One
interpretation of this finding may be that intoxication,
particularly in the victim, could be viewed as a factor that may
partly work against a DO application.
Nearly 70% of DO cases showed some evidence
of brutality compared to 48.4% of DFs. However, if we examine only
cases of brutality that exhibited extreme physical violence (ignoring excessive
threats), then a slightly different picture emerges. The DFs, two of
whom committed an index offense resulting in death, inflicted more
serious physical signs of brutality than did DOs (35.5% vs 19.6%).
However, the differences were not statistically significant. Lower
rates of serious physical brutality in the DO sample may stem from
the fact that many of the DOs were pedophiles who used nonphysical
methods of coercion.
An examination of the criminal histories of
DOs and DFs showed many similarities. The two groups differed only
on their history of failure on probation/parole with almost all the
DFs, not surprisingly, having a history of failure while on
conditional release (Table 9).
Table 9. The Criminal Histories of DOs and DFs.
Variable
|
DO(n) |
DF(n) |
t/X 2
|
p |
Seriousness score1 |
86.3(64)
|
81.2(34)
|
.53 |
ns
|
age at first arrest |
16.3(52)
|
15.6(27)
|
.50 |
ns
|
% juvenile record |
75.0(56)
|
70.0(30)
|
.25. |
ns
|
% prior incarceration |
88.5(61)
|
96.4(28)
|
1.47 |
ns
|
% probation/parole fail |
73.0(63)
|
97.1(34)
|
8.45 |
.01
|
% prior assault |
45.9(61)
|
53.6(28)
|
.45 |
ns
|
% prior violent sex |
39.3(61)
|
25.0(28)
|
1.74 |
ns
|
1 The
seriousness of criminal history was based on the Cormier-Lang
Criminal History Scale (Webster et al., 1994).
Finally, we calculated the seriousness of the
offender's criminal history using the
Cormier-Lang Criminal History Scale (Webster, Harris, Rice, Cormier
& Quinsey, 1994). This scale is a revision of the Akman and
Normandeau (1968) criminal history seriousness scale. Various
offenses receive ratings (1 for a B&E to 28 for murder) and the
ratings are multiplied by the lifetime number of offenses. We found
no statistically significant differences between DOs and DFs in the
seriousness of their criminal histories.
Another possible method of validating the DO
applications is to assess objectively
their level of risk. In the early 1980s, the Ministry of the
Solicitor General developed an objective, actuarial risk scale: the
Statistical Information on Recidivism or SIR scale (Nuffield, 1982).
Based upon file information and offender interviews, offenders are
scored on 15 variables and a total score calculated. Consequently,
they can be situated within one of five risk categories. There is
considerable evidence indicating that scores on the SIR are
indicative of future recidivism, both general and violent (Bonta,
Hann, Harman & Cormier, 1996; Bonta & Hanson, 1995;
Nuffield, 1982).
Scores on the SIR ranged from -18 to 24
(lower scores indicate higher risk to recidivate). The two groups
showed no statistical difference in mean scores (-5.3 vs -1.6, t=
1.85, df= 88, p< .07).
The risk levels of DOs, as measured by the
SIR, were more evenly distributed among the prognostic categories
than were the risk levels for DFs. For example, 43.6% (n = 27) of
the DOs scored within the Good and Very Good risk categories
compared to 25% (n = 7) of the DFs. Unexpectedly, 13 DOs were
assessed by the SIR as "Very Good" risks. However, all of them were
sex offenders (as was the one DF in the Very Good risk category).
The SIR is recognized as
problematic with sex offenders and CSC's
Research Unit has taken corrective steps to improve the scale's
application. Until revisions to the SIR are complete, the use of the
scale is not recommended for DOs owing to the high proportion of sex
offenders.
We examined in more detail the sexual histories of the Dangerous Offenders and
Detention Failures who were convicted of a sexual crime as the index
offence. It was expected that the sexual Dangerous Offenders would
have a more extensive history of sexual deviance. Both groups showed
early sexual offending behaviours. All 12 of the DFs who committed
sexual crimes, for which we had information, had prior to the age of
16 forced a victim into sexual activity . For the 59 Dangerous Sex
Offenders, 96.6% also showed evidence of early forcible sexual
activity. The general sex offender research also shows that early
sex offending is an important predictor of sexual recidivism.
Although both groups began their sexual
crimes relatively early in life, they still showed some important
differences. The DOs admitted to many more sexual offenses for which
they were not charged compared to the DFs (27.2 vs 0.82, t = 2.61, p
< .01). Furthermore, the DOs had more adult female victims (2.8
vs 1.2, t = 2.77, p < .05) and more female child victims (2.6 vs
0.9, t = 2.80, p < .01). This may however, be an artifact of age.
As DOs are older than DFs, they would have had more time to build an
extensive criminal record.
Finally, no matter how antisocial personality
was measured, there were no differences between the DOs and the DFs.
A psychiatric diagnosis of APD was found in 72.9% of DO files and
73.1% of DF files. Using DSM-IV, 54% of DOs met the diagnostic
criteria for APD and for the DFs, the rate was 64.7% (X 2 = 1.04, df = 1, ns). There were no
significant between group differences when the PCL-R was used to
assess Clinical Psychopathy. The average score on the PCL-R for the
DOs was 27.6 and 27.0 for the DFs (t = .50, df = 80) with 39.6% (19)
of the DOs classified as psychopaths compared to 32.4% (11) of the
DFs (X 2 = .45, df =1, ns).
The one clinical-personality difference found
was that DFs were more likely to be diagnosed with a schizophrenic
disorder (26.9% vs 8.5%, X 2 = 5.07,
p <.05).
Crowns generally appear to target high risk
violent offenders
Summary of Part
1
In the file review of 64 DOs from Ontario and
B.C., we found that 92.2% of the DOs were convicted of a sexual
offence. Moreover, the Court gave a "failure to control sexual
impulse" as the reason for the DO declaration in 73.3% of the cases.
In practice, the present DO provisions still appear to target the
same group of offenders selected by the previous Dangerous Sexual
Offender legislation.
The majority of the DOs could also be
described as having a personality disorder but the extent of the
disorder varied with the type of assessment used. When relying on
DSM-IV criteria and psychiatric judgement, the incidence of an
Antisocial Personality Disorder appears no different from that found
in general offender populations. However, the incidence of Clinical
Psychopathy as measured by the PCL-R was almost double the rate
found in forensic and correctional populations.
Both Ontario and B.C. appear to identify
similar cases. Whether these cases are actually high risk violent
offenders was partially answered by comparing DOs to DFs. In
general, the two groups were similar suggesting that DOs comprise a
high risk violent group. The one major difference between the groups
was that there were fewer sex offenders among the DFs (35.3% of the
DFs were convicted of a sexual offence). However, the sex offenders
among the DFs were very similar to the DO sex offenders.
Part 2: Crown
Attorney Interviews
Ivan
Zinger James Bonta
Introduction
Part 2 of the Crown Files Research Project
describes the results from the Crown attorney interviews. The
interview survey was designed to identify the factors considered by
Crown attorneys when initiating a DO application and to identify
some of the obstacles in processing such an application. In
addition, the prosecutors were asked to give their opinions on
various proposals for dealing with high risk violent offenders and
to rank indicators of risk for future violence.
Part 2 of the report is divided into six
sections: (a) a methodology section which outlines the interview
procedures and describes the respondents, (b) a description of the
Crown attorneys' views regarding the current DO legislation, (c) a
description of the prosecutors' views with regard to procedural
issues, (d) a summary of the Crowns' reactions towards possible
reforms, (e) a ranking of the predictors of violent recidivism by
Crown prosecutors, and (f) a brief summary.
A. Method
Twenty-one Crown attorneys were interviewed.
Eleven were from Ontario, nine from British Columbia, and one from
Québec. Only one attorney was interviewed in Québec because only one
offender had been declared a DO in that province. All of the
prosecutors were selected because they had direct experience with DO
applications. Semi-structured interviews were conducted with each of
the participants (Appendix D shows the interview form).
Names of the Crown attorneys were obtained
from the Criminal Law Division, Ontario Ministry of the Attorney
General, the Office of the Assistant Deputy Minister, Ministry of
the Attorney General of British Columbia, and the Direction générale
des affaires criminelles, Ministère de la justice du Québec.
Eighteen Crown attorneys were contacted and one declined to
participate due to trial commitments. An additional four prosecutors
were referred by the Crown attorneys who were initially contacted.
Taken together, the Crowns had successfully processed 32 DO
applications, and were involved in nine ongoing applications. The
majority of the successful applications were recent: 76% were
processed between 1992 and 1995.
The characteristics of the Crowns were as
follows:
- 71% were males and 29 % were females
- 71% were assistant Crowns and 29% were
senior Crowns
- The average number of years of experience
as a Crown attorney was 14
Considering the overall average years of
experience, DO applications were obviously assigned to experienced
Crown attorneys.
B. Views on the Dangerous
Offender Legislation
(a) Characteristics of the offence and
offender
The Report of the
Federal/Provincial/Territorial Task Force on High Risk Violent
Offenders suggested that Crown attorneys be asked the following
questions: (1) what were the characteristics and circumstances of
the offence that prompted a DO application? and (2) what were the
characteristics of the offender that initiated a DO application? The
responses were diverse with relatively few common responses. Table
10 sets out the most frequent responses to the question on the
characteristics of the offence that led to a DO application, and
Table 11 indicates the responses regarding the characteristics of
the offender.
Table 10. Offence Characteristics and
Circumstances initiating a DO application
Characteristic/Circumstance |
Frequency |
% |
Sexual offence |
18 |
(87)
|
Child victim |
10 |
(48)
|
Violent offence |
6 |
(29)
|
Reoffended while on parole |
5 |
(24)
|
Repetitiveness/number of victims
|
5 |
(24)
|
Brutal nature of the attack |
4 |
(19)
|
Inability of Parole Board to keep
dangerous offenders incarcerated |
4 |
(19)
|
Table 11.
Characteristics of the Offenders initiating a DO
application
Offender Characteristic |
Frequency
|
(%)
|
Criminal record |
14 |
(67)
|
Psychiatric diagnoses (APD) |
13 |
(62)
|
Prior treatment efforts failed |
6 |
(29)
|
Conviction for similar offenses |
6 |
(29)
|
Previously served time in penitentiary
|
4 |
(19)
|
Table 10 shows that Crowns initiated DO
applications primarily in instances of sexual offenses and offenses
against children. With 18 (87%) of the prosecutors stating that the
commission of a sexual offence led them to initiate a DO
application, it is hardly surprising that we found from the file
review that 92.2% of the DOs were convicted of a sexual offence.
Approximately one-quarter of the prosecutors
stated that the DO provisions could be used to remedy perceived
deficient parole practices. For example, 5 (24%) Crowns viewed a
failure on parole as triggering a DO application and four Crown
attorneys (19%) expressed reservations about the Parole Board's
ability to keep potentially dangerous offenders incarcerated.
Crowns gave particular importance to two
offender-based factors: criminal record and psychiatric diagnoses
(Table 11). Both of the variables are
regarded by the research as important in the assessment of violent
offenders. More specifically, the presence of a psychiatric
diagnosis of Antisocial Personality Disorder (APD) was seen to
favour a DO application. Recall from the file review, that up to 73%
of the DOs met the criteria for APD. Nearly two-thirds of the Crown
attorneys believed the presence of such a diagnosis indicated that
the accused posed a threat to the public. Offender risk assessment
research supports the view that an antisocial personality is indeed
a risk factor.
(b) Serious personal injury offence and severe
psychological damage
Section 752 of the Canadian Criminal Code,
R.S.C. 1985, c. C-46 defines a Serious Personal Injury Offence
(hereinafter SPIO) as: (a) an indictable offence punishable by at
least 10 years imprisonment, other than high treason and first and
second degree murder, involving the use or attempted use of violence
against another person, or involving conduct endangering or likely
to endanger the life or safety of another person or inflicting or
likely to inflict severe psychological damage upon another person;
or (b) an offence or attempt tocommit sexual assault, sexual assault
with a weapon, threats to a third party or causing bodily harm, or
aggravated sexual assault.
The majority of Crown attorneys (67%) were
generally satisfied with the current definition of SPIO. However,
half (52%) found the 10 year minimum requirement to be inadequate.
Several Crowns suggested that the following additional offenses,
which currently provide for sentences of under ten years, should be
included under the definition:
- Uttering threats
- Sexual interference
- Stalking (Criminal Harassment)
- Common assault
- Attempt to assault with a weapon
Concern about the exclusion of some of the
above offenses centred around the problem of waiting until, for
example, a threat had been acted upon, before taking action. It is
unclear whether the prosecutors would like to see the minimum
requirement lowered to five years or whether the maximum penalty for
the above-listed offenses should be raised to 10 years. Twenty-nine
per cent of the prosecutors suggested that a definition of SPIO
should not be restricted to specific offenses and should explicitly
include all sexual offenses and offenses against children.
While three-quarters of the Crown attorneys
believed the term "severe psychological damage" should be included
in the definition of a SPIO, almost half (43%) commented on its
inadequacy. A third of the Crowns stated the requirement is
unnecessary in all sexual offenses and offenses against children and
that psychological harm should be presumed in such cases.
From the file review, approximately half the
DOs were sex offenders who had victimized children. As expected,
prosecuting these offenders presents a number of challenges. Five
(24%) Crown attorneys said that it is difficult to establish severe
psychological damage when children are victims because evidence of
psychological harm may not emerge until later in their lives. As
well, some victims may not be able to articulate or foresee what
psychological problems could arise. Moreover, the need to prove this
criterion may compel reluctant prosecutors to ask fragile victims to
testify and open up their psychological histories. It was suggested
that expert testimony on what damage can be expected should suffice.
67% of Crowns were satisfied with definition of
a SPIO
(c) The four statutory
criteria
In order to obtain a DO declaration, evidence
must be brought before the Courts to establish one of the following:
- A pattern of repetitive behaviour and a
likelihood of causing death or injury to other persons, or
inflicting severe psychological damage, through failure to
restrain behaviour;
- A pattern of persistent aggressive
behaviour, showing a substantial degree of indifference respecting
the reasonably foreseeable consequences to other persons;
- Any behaviour that is of such brutal
nature as to compel the conclusion that the behaviour in the
future is unlikely to be inhibited by normal standards of
behaviour restraint; or
- A likelihood of causing injury, pain or
other evil to other persons through failure to control sexual
impulses.
When the Crown attorneys were asked if they
believed that their colleagues were generally knowledgeable about
the legislative criteria, the majority (75%) said no. However, when
asked if they thought that they were capable of identifying cases
for a DO application, 71% said yes.
The prosecutors were asked if they had any
difficulties with the above-mentioned statutory criteria. The
majority (72%) were content with the existing criteria. The
following are specific comments by the attorneys who noted some
problems with the legislative criteria.
(i) Criteria 1 and
2: Repetitive and Persistent Behaviour
By definition, a pattern is repetitive and
persistent, thus making the wording redundant and the phrases
"showing a failure to restrain his behaviour" and "showing a
substantial degree of indifference" are superfluous. The second
criterion may not be necessary because it is implicitly expressed in
the first. Finally, there are difficulties in proving a pattern when
an offender has a very versatile offence history or when a lengthy
period of time has elapsed between the offenses.
(ii) Criterion 3:
Brutality
The file review findings were consistent with
the views of the Crown attorneys: this criterion is infrequently
used. Only 18.2% of actual DO decisions cited brutality despite the
fact that 69.6% of DO cases showed signs of brutality (see Table 8).
The infrequency of this citation in light of the actual incidence of
brutality may be due to two factors. First, brutality may be
subsumed under other criteria (i.e., failure to control sexual
impulse and a pattern of aggressive behaviour). Second, the term
"brutality" may be difficult to define. A number of prosecutors
found the term too subjective.
(iii) Criterion 4:
Failure to Control Sexual Impulse
This subsection forms a key part in almost
all DO applications with 92.2% of DOs in our sample convicted of a
sexual offence. One specific concern for the Crown attorneys had to
do with proving a likelihood of injury, pain or evil. Some
prosecutors commented that showing proof may unduly subject victims
to re-victimization by requiring them to testify.
Crowns were generally satisfied with the present
statutory criteria
(d) Mandatory testimony of
psychiatrists
The DO hearing requires the testimony of at
least two psychiatrists, one of whom is nominated by the defense.
The Crowns were asked whether the mandatory requirement for two
psychiatrists to testify was necessary for establishing (1) whether
the offender is likely to recidivate violently (dangerousness), and
(2) whether the offender is treatable.
On the issue of dangerousness, 57% of Crown
attorneys believed the requirement was necessary. The percentage
agreement increased to 76% on the issue of offender treatability.
These prosecutors stressed the seriousness of the DO application
process, the exceptional nature of the disposition, and the need for
an adversarial-based process where each party has an opportunity to
call its own experts.
The dissenting Crown attorneys maintained
that the need for expert testimony on these two issues should be
left entirely to the Crown's discretion. Four prosecutors (19%)
stated that demonstrating dangerousness is largely self-evident and
another four felt that the mandatory testimony should be broadened
to include psychologists. A number of Crown attorneys pointed to the
problem of uncooperative offenders. They argued that the defense
often has an unfair advantage when evidence from a Crown-appointed
psychiatrist is based only on a review of an offender's correctional
files whereas a defense-appointed psychiatrist has had the
opportunity to interview the offender.
Four Crown attorneys provided the following
technical comments:
- provide guidelines as to the content of
psychiatric testimony and include them in the C.C.C.;
- section 756 of the C.C.C., which empowers
the Court to direct an offender to attend for psychiatric
observation, runs counter to frequent instructions by their
counsel not to participate in the assessment; and
- there is no provision to limit the time
taken for the nomination of the defense psychiatrist thereby
resulting in potential and needless delays in the proceedings.
(e) The consent process
A DO application requires the consent of the
Attorney General of the Province. After the consent has been
obtained, and after proper notice, a DO hearing is held. Failure by
the Crown to give notice to the offender that the Crown intends to
bring a DO application prior to his or her plea does not offend the
principles of fundamental justice [R. v. L. (1987), 37 C.C.C. (3d) 1
(S.C.C.); R. v. B.(A.J.) (1987), 34 C.C.C. (3d) 249 (Nfld.C.A.)].
From discussions with officials, this consent process appears to
insure that applications are successful. The success rate for
applications where consent was obtained was 97%.
The majority of Crowns (76%) felt that the
consent requirement was necessary for a variety of reasons: (1) as a
safeguard against abuse, (2) to maintain consistency and uniformity,
(3) because of the seriousness of the consequences for the offender,
and (4) to ensure the quality of application through a process that
maximizes scrutiny. However, even among the prosecutors who favoured
the consent procedure, 50% said the consent of a Regional Director
or the Office of the Assistant Deputy Minister, as the case may be,
should be sufficient. Some Crown attorneys expressed reservations
about the fact that the ultimate decision is made by a political
entity, the Provincial Attorney General, who does not necessarily
have a legal background.
The few Crown attorneys who stated that the
consent requirement was unnecessary raised two general arguments
against it. First, they asserted the process is intimidating and
deters applications because it is expensive and time consuming.
Second, these Crowns suggested that the need for consent in DO
applications was anomalous given the absence of a consent
requirement in prosecutions for 1st, or 2nd degree murder, where
there are similar serious consequences for the accused.
C. Procedural
Issues
(a) Timing of the decision to proceed with a DO
application
Crown attorneys were asked when in the
process they considered making a DO application. The majority (76%)
stated that the decision to proceed with the application was made
shortly after the arrest. This finding highlights the importance of
the police in providing information needed to determine whether a DO
application is warranted. The present study did not review what
level of information is required and provided at the arrest stage
but this appears to deserve further study.
(b) The role of the media
In response to questions about media coverage
on serious crimes, 95% of Crowns stated that media coverage did not
play a role in the decision to proceed with a DO application. As one
prosecutor commented, initially the media's information on an
accused is limited to the alleged offence. Since the decision to
proceed by way of a DO application is generally made shortly after
arrest, the media may not have sufficient time in which to exert an
influence. Some prosecutors stated however, that media coverage may
influence the consent process because the final decision rests with
a political entity, the Attorney General of the Province.
(c) Availability of
information
Despite reporting that the decision to
proceed with a DO application begins soon after arrest, the majority
of Crowns (62%) felt that there was inadequate information upon
arrest to determine adequately whether a DO application is
warranted. It appears that the initial review of the offence and
criminal history alert Crowns to the possibility of a DO application
and this triggers a more extensive collection of information.
The Crown attorneys were asked to rank, in
order of importance, eight sources of information needed when
contemplating a DO application. Table 12 lists the average ranking
(1 being the most important source of information and 8 being the
least important).
Table 12. The Ranking of Information
Sources of Information |
Average Rank
Order |
Adult criminal records |
2.29
|
Police reports |
2.71
|
Young Offender records |
4.38
|
Psychiatric reports |
4.48
|
Prior Court decisions/transcripts
|
4.95
|
Psychological reports |
5.24
|
Penitentiary files |
5.62
|
Victim impact statements |
6.33
|
Table 12 shows penitentiary files and victim
impact statements ranked low. The low ranking of penitentiary files
may be due to some uncertainty among Crowns as to what these files
actually contain. From our experience with these files, they are an
invaluable source of information. They
include, among other things, police and
pre-sentence reports, psychological reports, and whether treatment
was accepted or refused. Efforts to educate
Crowns as to the content of penitentiary files should be
considered. With respect to victim impact statements, their
relative lack of importance may simply be the result of prosecutors'
reluctance to request fragile victims to testify in open Court.
The Crown attorneys were then asked: (1) how
readily available are the various sources of information listed in
Table 12, and (2) to comment on the difficulties they faced when
attempting to access these sources. Table 13 shows the average level
of difficulty in accessing these sources. The sources were rated as
follows: 1) easily available, 2) difficult but available, and 3)
virtually impossible to access.
Table 13. Accessibility of Information
Information Source |
Level of
Difficulty |
Adult criminal records |
1.19
|
Penitentiary files |
1.38
|
Young Offender records |
1.43
|
Victim impact statements |
1.52
|
Police reports |
1.57
|
Psychiatric reports |
1.86
|
Psychological reports |
1.86
|
Prior Court decisions/transcripts
|
2.00
|
Notable is the finding that the Crown
attorneys rated penitentiary files as easily accessible. This is
puzzling given that these files were also rated as not very
important sources of information. Perhaps if prosecutors were
educated as to the content of penitentiary files, the value placed
upon this source of information would shift substantially.
In general, Crowns reported few problems
accessing various sources of information. Only access to mental
health and court documents posed any degree of difficulty. More
specific comments on the various obstacles with the sources of
information are:
- For some Crowns, adult criminal records
provide insufficient information on the content of prior
convictions. These Crowns wanted additional detail in order to
establish a persistent pattern and identify prior victims. It was
suggested that filing certified copies of transcripts of prior
convictions should be sufficient to prove the content of prior
convictions. Nineteen
percent of the
prosecutors noted that prior convictions are not always listed on
CPIC nor are they up to date.
- Penitentiary files could be helpful in
addressing the concern about the lack of information on prior
convictions. For offenders with a penitentiary history, easily
accessible and detailed criminal histories are available. Five
Crowns (24%) did note however, that the requirement of a subpoena
was time consuming and files are often produced on the day of the
hearing leaving little time for review. They suggested that
prosecutors be allowed to make photocopies for their own records.
However, CSC has agreements with all provinces allowing the
sharing of information found in penitentiary files with Crowns.
Full access to files are provided and photocopies are permitted.
Once again, education of Crowns on the legal and practical ability
to access CSC files should be considered.
- Even though, in most instances, Young
Offender criminal records are destroyed after the statutory five
year period, Crown attorneys did not show much concern about the
loss of this information. A few said that some Young Offender
records are not up to date and if the
information was needed in a particular case
more complete records can be found in probation offices.
- A third of the prosecutors encountered
difficulties in obtaining victim impact statements either because
of difficulties in locating victims or convincing young and
traumatized victims to testify. One Crown attorney said that
parents' victim impact statements about their children's
experiences should be admitted into evidence.
- The common practice of destroying police
reports anywhere between two to five years after a conviction was
a major frustration. More than half (57%) of the Crowns said the
destruction of records was undesirable and several Crown attorneys
suggested legislation requiring the storage of original documents.
Once again, correctional files can be used to partially alleviate
this problem. However, it should be noted that CSC is also faced
with similar difficulties in information retrieval and therefore,
some penitentiary files will lack information that is outside of
the control of CSC.
- Psychiatric and psychological reports were
found by 48% of the Crown attorneys as difficult to access because
of issues of privacy. The difficulties concerned the need for
warrants or subpoenas to access the report, if accessible at all.
As with police records, the unavailability of
Court decisions and transcripts of prior convictions was a concern
for many. 71% of prosecutors said they had faced situations where
they were unable to access prior Court decisions or prior
transcripts. Court documents, including decisions and transcripts,
are sometimes lost or systematically destroyed.
(d) Cooperation
Crown attorneys were asked if at the time of
their first DO application they were aware of the information needed
to obtain consent from the Provincial Attorney General. Eleven (52%)
responded that they were unaware and 17 (86%) reported seeking
advice as to the evidence and paperwork needed to proceed with the
application. The majority sought advice from other Crowns who had
experience with a DO application, followed by Regional Directors,
and head offices.
Several Crown attorneys said that a standard
precedent and a checklist of items needed to complete the consent
request would be useful. Ontario, British Columbia, and Québec have
different documents and procedures designed to assist attorneys. In
Ontario, the current Crown Policy Manual does not contain any
references to DO legislation and procedures but policy guidelines
have been drafted and awaiting amendments to violent offender
legislation. An informal checklist issued by the Crown Law Office -
Criminal (Ontario) was mentioned and used by three Ontario
prosecutors.
In B.C., the Crown Counsel Policy Manual
contains a short guideline outlining procedures and a list of
criteria to help establish when a DO application is warranted.
Currently, the manual is being revised to include case law, clearer
criteria, and a policy statement to encourage prosecutors to
initiate applications. In Québec, the Crown attorneys' policy manual
does not contain any references to DO legislation or procedures. The
Ministère de la justice is currently developing policy guidelines
and formal consent procedures.
Crown attorneys were asked to rate the level
of cooperation they received from key actors in DO applications.
Their answers were divided into one of three categories: very
cooperative, somewhat cooperative, or not cooperative. The
categories receive a rating of 1, 2, or 3 respectively. Table 14
presents the average level of perceived cooperation.
Table 14. Average Level of Cooperation from Key
Actors
Key Actor |
Level of
Cooperation |
Police |
1.05
|
Senior Crowns |
1.10
|
Regional Directors/head offices |
1.23
|
Psychiatrists and psychologists |
1.24
|
Victims and Witnesses |
1.48
|
Table 14 shows that Crowns were generally
satisfied with the cooperation they received from various
individuals. The following suggestions for improvements were
offered:
- Enhanced police resources to facilitate
the extensive police investigation needed in a DO application.
- Sufficient time to prepare the case
(caseload demands will be described more fully in the next
section).
- 19% of Crowns requested quicker responses
from their head offices.
- Although Crown attorneys described the
cooperation of psychiatrists and psychologists as good, many
reiterated their earlier comments about the release of
information.
- Crowns perceived victims and witnesses as
quite cooperative, but raised again the issues of victim location
and victim trauma.
(e) Caseload while processing a DO
application
All Crowns agreed that compared to a normal
criminal sentencing, a DO application involves three times or more
the amount of work. When asked whether their caseload remained the
same when they were involved in a DO application, 67% said yes. The
majority of Crowns (71%) would have preferred a caseload reduction
or assistance from a junior prosecutor.
(f) Plea bargaining
practices
Several Crown attorneys (48%) reported a
total of 19 cases where they contemplated proceeding with a DO
application, but abandoned the idea. In most instances, they dropped
the idea prior to requesting the consent of the Provincial Attorney
General. A sampling of the reasons given for not pursuing a DO
application were:
- Fragile victim
- Index offence not a SPIO (common assault
and threatening)
- Offender would have refused a guilty plea
if the Crown proceeded by way of a DO application and instead
agreed to 2nd degree murder
- Prior offence very old, problem finding
records
- Proving facts of prior convictions
difficult
- Children involved, did not wish to prolong
proceedings
- Two serious offenses separated by a long
period of time
71% of Crown attorneys said they would
consider plea bargaining as a viable option if evidentiary problems
existed. Assistant Crowns were more likely to consider plea
bargaining than Senior Crowns (83% versus 33%).
(g) Miscellaneous technical
suggestions
Comments on specific sections of the C.C.C.
were as follows:
- If a trial judge is unable to preside at
the DO hearing, transcripts are not admissible [R. V. Canning,
[1966] 4 C.C.C. 379, 49 C.R. 13 (B.C.C.A.)]. Transcripts should be
admissible in such instances to avoid having victims testify again
at sentencing.
- Parole eligibility after three years
discourages some Crowns from proceeding with a DO application.
With the eligibility period starting from the time the offender is
brought into custody [section 761(1) of the C.C.C.], offenders may
be eligible for parole shortly after being declared a Dangerous
Offender.
- Section 755(4) of the C.C.C. should not
restrict the number of experts allowed to testify.
- Legislation should be introduced to
disallow severance of cases when a DO application is initiated. Or
alternatively, prosecutors should be allowed to adjourn the
hearing until all outstanding charges have been addressed.
- Sub-paragraph 672.21(3), which allows
certain protected statements to be introduced as evidence, should
be amended to make these statements also admissible in DO
applications. It should be noted that these statements will be
admissible in the yet-to-be proclaimed dangerous mentally
disordered accused legislation.
D. Views on Proposed
Reforms
The present DO legislation was perceived very
positively by Crown attorneys. All of the attorneys agreed that the
provisions are useful, and 95% stated that without DO legislation
normal sentencing would not be capable of dealing with high risk
violent offenders.
Crown attorneys were asked to rate the
desirability and the feasibility of current models being examined by
the federal Department of Justice. Table 15 lists the four different
models that were presented to the Crown attorneys.
Table 15. Four Models for Dealing with High Risk
Violent Offenders
Model Number and Name |
Description
of the Model |
1. "Back end" DO applications |
If there are reasonable grounds to
believe that an offender is likely to recidivate at the end of
sentence, a DO application could be initiated in the last year
of the sentence. |
2. DO applications within one year
|
Same as Model 1, but within one year of
sentencing. |
3. Sexual violent predators Statute
|
Prosecutors could apply for a finding
that probable cause exists to believe that a person is a
sexually violent predator and suffers from a mental or
personality disorder. Upon such finding, the person would be
civilly committed. |
4. Contingent sentencing |
Offender found guilty of a serious
personal injury offence where there is evidence of mental
abnormality, sexual behavioral disorder or sexual motivation
in the offence would receive an indeterminate sentence subject
to review by the Court. |
Table 16 shows the average level of
desirability and feasibility expressed in respect of each model.
Desirability was rated as follows: desirable, somewhat desirable, or
undesirable (rated 1, 2, or 3 respectively). Feasibility was rated
as follows: feasible, may be feasible, or not feasible (rated 1, 2,
or 3 respectively).
Table 16. Average Ratings of the Four Models
Model
|
Desirability
|
Feasibility
|
1. "Back end" DO application |
2.61 |
2.48
|
2. DO application within one year
|
1.91 |
2.62
|
3. Sexual violent predator statute
|
1.81 |
2.33
|
4. Contingent sentencing |
1.76 |
2.19
|
Overall, the average desirability ratings
show the most support for the contingent sentencing model. The
results also reflect the findings from the Department of Justice's
more general consultations with provincial Ministries of the
Attorney General. Interestingly, the contingent sentencing model is
the closest to the present DO legislation. The least desirable model
was the "back end" DO application model. Most attorneys preferred
that sentencing be done at the "front end", immediately after a
conviction. Many commented on Model 2, the one year opportunity
model. The following comments may also be applicable to Model 1:
- In guilty plea situations, it would be
unfair for the Crown to reopen the case.
- Crowns may be tempted to include in plea
negotiations the offer that a DO application will not be sought
within the critical year. This would then defeat the purpose of
such legislative initiative.
- Sentencing provides a sense of finality
and this model would minimize this idea.
- Some asked what could be so enlightening
in the first year after sentencing.
- Trial and sentencing go together, and
where delays occur between the two, the judge may forget the
details.
- Under such a model, offenders may refuse
assessment or treatment for fear of revealing information which
could be used in the DO application.
Most of the comments regarding Model 3 were
aimed at the desirability of what is perceived mainly as a "back
end" option. Crown attorneys from B.C. showed higher disapproval
ratings of this model than prosecutors from Ontario (2.22 versus
1.36). This model is based on Washington state's Sexual Predator
legislation which has recently been declared unconstitutional by the
U.S. Supreme Court. Legal challenges to a similar law in Canada
could be anticipated.
E. Knowledge of
Predictors
From the hundreds of cases that are presented
to Crown attorneys for prosecution in any given year, decisions must
be made as to which cases require special prosecution. Many times
the decisions are guided by judgements as to the seriousness of the
offence and the likelihood of further serious harm. In few cases,
are these judgements as important as in a DO application. And in all
cases, the judgement to prosecute an offender by way of a DO
application depends upon some knowledge of the predictors of violent
re-offending.
Crown attorneys were asked how they would
rate a list of predictors of violent recidivism (see Appendix D,
Q30). They rated 37 possible predictors selected from a review of
the research literature on a 10 point scale, 10 being most important
and 1 being not important. Table 17 shows the average rating for
each predictor.
Table 17. Ranking of the Predictors of
Recidivism
Predictor of Recidivism |
Rating |
1. Psychiatric diagnosis of psychopathy
|
9.02
|
2. Diagnosis of Antisocial Personality
Disorder |
8.81
|
3. Lack of remorse |
8.76
|
4. Assault/violent history |
8.71
|
5. Sexual assault history |
8.62
|
6. Treatment provided but failed
|
8.43
|
7. Impulsivity |
8.26
|
8. Brutal nature of crime |
8.19
|
9. Child molester |
8.17
|
10. Use of weapon (Gun, knife, etc.)
|
7.52
|
11. Index offence was sexual |
7.38
|
12. Criminal attitude |
7.00
|
13. History of alcohol abuse |
6.67
|
14. Child victim |
6.48
|
15. History of drug abuse |
6.43
|
16. History of prison misconducts and
escapes |
6.38
|
17. Denial of guilt even after
conviction |
6.38
|
18. Abuse as a child |
6.00
|
19. High anxiety levels |
5.76
|
20. Prior breach of probation/parole
|
5.76
|
21. Victim was a stranger |
5.67
|
22. Female victims |
5.38
|
23. Low self-esteem |
5.19
|
24. Juvenile record |
4.98
|
25. Criminal
peers/friends/acquaintances |
4.95
|
26. Low IQ |
4.67
|
26. Poor parental supervision/child
neglect |
4.57
|
28. Elementary school maladjustment
|
4.00
|
29. Unemployment |
3.90
|
30. History of depression |
3.67
|
31. Property offence history |
3.57
|
32. History of financial problems
|
3.43
|
33. Heredity |
2.95
|
34. Reliance on social assistance
|
2.76
|
35. Economically poor background
|
2.74
|
36. Marital status |
2.10
|
37. Race |
1.62
|
In general, the Crown
attorneys' ratings of the various predictors were congruent with the
research literature on the prediction of criminal behaviour.
Factors such as criminal history (rated #4), psychopathy and
antisocial personality disorder (#1, #2) and antisocial attitudes
(#12) are some of the best predictors of general recidivism (the reason for
underscoring "general" will soon become apparent). Personal distress
factors (#19, #30), class (#35) and race (#37) are poor predictors.
One factor that the Crowns failed to give sufficient emphasis is
social support for crime (#25). This factor is probably one of the
best predictors of criminal conduct.
Although the ranking of predictors is
reflective of the research literature on general recidivism, the majority of DOs are
sex offenders and the intent of the legislation is to prevent
further violent behaviour. The predictors
of general recidivism may not necessarily be the same as the
predictors of sexual or violent recidivism. Table 18 compares the
ten top ranked predictors listed by the Crown attorneys with the ten
best predictors of sexual recidivism identified by a meta-analytic
review of the sex offender literature (Hanson & Bussière, 1995).
Table 18. The 10 Highest Ranked Predictors:
Crown Ranking and Sex Offender Research
Rank |
Crown Nominated |
Research Identified |
1. |
Psychopathy/APD |
Preference for children
(phallometric assessment) |
2. |
Lack of remorse |
Severe psychiatric disorder |
3. |
Assault/violent history |
Prior sex offence |
4. |
Sexual assault history |
Psychopathy/APD diagnosis |
5. |
Treatment provided but failed |
Poor relation with mother |
6. |
Impulsivity |
Low treatment motivation |
7. |
Brutal nature of crime |
Prior criminal history |
8. |
Child molester |
Young victim |
9. |
Use of weapon |
Victim a male child |
10. |
Index offence was sexual |
Early sex offending
|
To simplify the table, diagnoses of Clinical
Psychopathy and Antisocial Personality Disorder were combined. The
list identified by the research should be approached with caution as
some of the predictors are based on relatively few studies. For the
predictors nominated by Crown attorneys, Impulsivity and Use of
Weapon, there were insufficient research studies. Nevertheless,
examination of the two rankings can be instructive.
Three factors deemed
highly predictive by the Crown showed weak empirical relationships
to sexual recidivism. From the Hanson and Bussière (1995) study,
lack of remorse, assault/violent history and brutality (measured by
injury to victim) were relatively insignificant predictors of sexual
recidivism. However, a history of assault/violent and brutality meet
the legislative criteria for a DO application.
It is also noteworthy
which variables the Crown attorneys did not consider important when the research
literature suggests otherwise. These variables are a diagnosis
of a severe psychiatric disorder, a negative relationship with the
mother, prior criminal history and age. As noted in Part 1 of this
report, a diagnosis of a severe mental disorder may work against a
DO application and it is possible that these offenders are found
unfit to stand trial or not criminally responsible on account of a
mental disorder.
The single best, research nominated predictor
of sexual recidivism is a phallometrically assessed preference for
children. It is important to differentiate those child molesters who
display a sexual preference for children and other child molesters.
Many child molesters do not show deviant
sexual preferences even though they have
committed deviant sexual acts against children. It is the subgroup
of child molesters who sexually prefer children who pose the higher
risk for sexually re-offending and phallometric assessments provide
the best means for identifying this subgroup of offenders.
It would have been desirable to compare the
rankings given by the Crown attorneys with an empirical list of the
predictors of violent recidivism, but such a summary currently does
not exist. Webster et al. (1994) provide a tentative list of the
predictors of violent re-offending but we are hesitant to draw from
their list given that it is based upon a sample of mentally
disordered offenders. However, a few remarks may be in order.
From the Webster et al. (1994) list, the
degree of victim injury was found to be negatively related to violent recidivism.
That is, brutality may actually be associated with a lower
likelihood of re-offending violently. In our own findings, physical
injury of the victim was not as frequent among the DOs as we
expected. These results appear counter-intuitive. Why would the
degree of victim injury not be related to
violent recidivism? A possible explanation is that severe physical
injury often results from highly charged emotional interactions.
These interactions are likely in situations where the offender knows
the victim and often result in "crimes of passion". Anecdotal
evidence suggests that Dangerous Offenders may not fit this pattern
in that the victim is more likely to be a stranger. Although we know
of no research that directly addresses this issue, there is the
possibility that Crowns and the Courts may deal more harshly, by way
of a DO application, with offenders who prey on strangers.
Returning to the Webster et al. (1994)
predictors of violent recidivism, The best predictor was a diagnosis
of psychopathy/APD. This is consistent with the Crowns' rankings and
the predictors of sexual recidivism. The next best predictor was
early school maladjustment, a factor that does not appear on the
list of predictors of sexual recidivism and which was ranked #28 by
the Crowns (Table 17).
F.
Summary
One of our major findings from the survey of
Crown prosecutors was that most Crowns are generally satisfied with
the existing DO provisions. Certainly many suggestions for improving
this part of the C.C.C. were given, but on the whole the consensus
was that there was little need for substantially new legislation.
Crown attorneys face a variety of obstacles
when initiating and processing DO applications and this suggests a
need to fine-tune the DO process. It should be noted that many of
these changes may also improve the normal sentencing process. All
the individual issues raised by the
prosecutors warrant careful consideration
given the potential consequences in failing to successfully process
a DO application. Some may not survive Charter challenges, others
may be too expensive to implement, but in general, most can be
addressed with relatively minor changes to the C.C.C., the Canada
Evidence Act, R.S.C. 1985, c. C-5, and Provincial procedural
practices.
The Crown attorneys were not generally
supportive of the various options that have been proposed as
alternatives to the current DO provisions. "Front end" sentencing
alternatives and simple streamlining of current sentencing practices
are more likely to be favoured by Crown attorneys.
The information provided in this report can
be used to remove some obstacles faced by Crown attorneys who
initiate and process DO applications. One important implication from
the findings is for the development of a flagging system to identify
offenders for a DO application. Tables 8, 9, and 18 could be helpful
in developing a list of criteria needed to identify possible DOs.
Since all three provinces surveyed are currently developing policy
guidelines for their own Crown policy manuals, it could be useful to
share their guidelines with a view to promoting consistency across
the various jurisdictions in Canada.
General Summary and
Conclusions
The Crown Files Research Project reviewed the
files of 64 DOs, representing nearly 44% of all DOs in Canada, and
another 34 high risk violent offenders. The project also conducted
systematic interviews with 21 Crown attorneys who had experience
with DO applications. Together the results give a description of a
high risk violent population of offenders and offer suggestions to
improve the application of the Dangerous Offender provisions.
In general, Crown prosecutors from Ontario
and B.C. appear to target violent high risk offenders. However, the
Dangerous Offenders sampled in the present study were predominately
sex offenders. Nonsexual, violent offenders were infrequently dealt
with by way of a DO application. Comparing the present legislation
with the Dangerous Sexual Offender (1960) laws, the impact of the
current legislation on identifying nonsexual violent offenders
appears minimal. We say this with hesitation because it is possible
that DOs from the other provinces may not share similar profiles to
the DOs found in this project. For example, Aboriginal offenders who
are declared DOs may have characteristics different from the
non-Aboriginal DO population.
The majority of the Crowns stated that the
decision to proceed by way of DO application is made shortly after
arrest. For the most part, there appears to be sufficient
information available to
proceed. Yet, the prosecutors also expressed
frustration over the unavailability of information from the police
and the courts suggesting that a number of cases may be missed in
the screening process.
Missing potential DO applicants has serious
consequences. The present findings, along with the results from
recent research on the prediction of sexual reoffending (e.g.,
Hanson & Bussière, 1995), provide an opportunity to develop and
apply these risk factors in the identification of offenders for DO
application. A pilot project with Crown
offices for the screening of high risk
violent offenders may
be beneficial in this regard. Crowns can be provided assistance
in gathering the appropriate information on some of the important
risk factors (e.g., Antisocial Personality Disorder, victim
preference, etc.) needed to make a decision on a DO application.
Educating Crowns on the information available in penitentiary files
and providing protocols for easier access to these files would form
key elements of such a project.
Finally, the majority of the Crowns were
satisfied with Part XXIV of the C.C.C. A fundamentally new model for
dealing with high risk violent offenders was not deemed necessary.
Rather, some clarification in language and procedures would be
sufficient along with guidelines for using the DO provisions of the
Criminal Code.
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Appendix
A
Sections of the Coding
Manual
- Demographics
- Important Dates
- Index Offence
- Alcohol/Drug Problems
- Education/Employment
- Emotional/Personal
- Institutional
- Participation/Performance
- Financial
- Family/Marital
- Accommodation/Leisure/Recreation
- Companions/Friends
- Attitudes/Orientation
- Early Childhood
- Conduct Disorder
- Anti-Social Personality Disorder
- PCL-R Items (as coded from file
information)
- PCL-R Items (as copied from offender file)
- SIR Scale (as copied from offender file)
- Sex Offenses
- Media Coverage
- Criminal History
Appendix
B
Codes for the Type of
Report
1) Psychology Report
2) Psychiatrist Report
3) Social Worker Report
4) Case Manager Report
5) Intake Assessment
6) Police Report
7) Criminal Profile Report
8) Correctional Plan
9) Final Treatment Report
10) Penitentiary Placement Report
11) Penitentiary File (other)
12) Force Field Analysis
22) Crown Brief
23) Lawyer Notes
24) Consulting Psychiatrist DEFENSE
25) Consulting Psychiatrist CROWN
26) Pre-sentence Report
27) Judge's Decision
28) Crown Memorandum
29) Court Transcript
32) External Psychology Report
33) External Psychiatrist Report
34) Children's Aid Society Report
35) Social Work Report (Childhood)
36) Parole Board Report
41) Discipline and Dissociation File
42) Visits and Correspondence File
43) Sentence Administration File
44) Case Management File
Appendix
C
The Exploratory
Variables
- Degree of brutality evident and whether
weapons were used in the index offence
-
- Whether the perpetrator pleaded guilty to
his index offence
-
- Treatment attendance and outcome
-
- Children's Aid Society and reform/training
school histories
-
- Fetishes and specifics of preferences for
sexual violence
-
- Indication of sexual offenses for which
the perpetrator had not been charged
-
- Total number of adult male and female
victims (lifetime)
Total number of child
male and female victims (lifetime)
-
- Number of juvenile offenses and
convictions
-
- Reasons given by the Court for the
Dangerous Offender finding
-
- Amount of print media coverage as measured
in square centimetres
-
- Number of aliases
-
- Physical deformities
-
- Victim intoxication at the time of the
index offence
-
- Social links to gangs/organized crime
-
- Reports of childhood physical abuse and
neglect
Appendix
D
Crown Attorney Interview
Form
A. Basic
Information:
First/Last
Year/month/day of coding
Subject Number
Provinces
Gender
Position
Seniority--Year called to Bar
Total number of D.O. applications involved
Current number of D.O. applications
D.O. success rate
D.O. contemplated but dropped
Date of last D.O. application
B. General:
Q1: What were the
characteristics of the offence that led
you to initiate a D.O. application?
Q2: What were the
characteristics of the accused that
prompted you to initiate a D.O. application?
Q3: At what point
in time did you consider making the application?
Q4: Did the media
coverage play a role in your decision to make a D.O.
application?
Q5: Do you think
the media coverage plays a role in the decision of other Crown
attorneys to make D.O. applications?
C. Legislation:
Q6: In your own
words, what constitutes a "Serious Personal Injury Offense" (SPIO)?
Q7: Are you
satisfied with the statutory definition of SPIO?
Q8: Do you find
the 10 years minimum requirement adequate, or would you like to see
it changed?
Q9: Should "Severe
psychological damage" be included in the definition of SPIO?
Q10: Do you have
any problems with the following statutory criteria?
- Pattern of repetitive showing a failure to
restrain one's behaviour in the future
- Pattern of persistent aggressive behaviour
showing substantial indifference
- Brutality
- Failure to control one's sexual impulses
Q11: In your
opinion, is the mandatory requirement for two psychiatrists to
testified necessary for establishing whether the offender is likely
to violently recidivate (dangerousness)?
For establishing whether the offender is
treatable?
Q12: Do you think
the consent requirement is necessary?
Q13: In general,
do you think that Crown attorneys are knowledgable about the
legislative criteria?
Q14: In general,
do you think that Crown attorneys are capable of identifying the
cases where a D.O. application is warranted?
Q15: In your
opinion, what changes are needed to improve the legislative
criteria?
D. Procedure:
Q16: In your
opinion, is there enough information available for prosecutors to
allow them to make accurate identification of cases where a D.O.
application is warranted?
Q17: If you were
contemplating a D.O. application, what information would be more
important to you?
Rank order in order of importance:
- Adult criminal record
- Young offender criminal record
- Police reports
- Victim impact statements
- Court decisions/transcripts of priors
- Psychiatric reports
- Psychological reports
- Penitentiary files
Q18: How readily
available is the above-mentioned information?
Easily available =1
Difficult but available =2
Virtually or Impossible to access =3
- Adult criminal record
- Young offender criminal record
- Police reports
- Victim impact statements
- Court decisions/transcripts of priors
- Psychiatric reports
- Psychological reports
- Penitentiary files
Q19: At the time
you initiated your first application, were you aware of the
information needed to obtain consent for a D.O. application?
Q20: Did you seek
advice as to the required evidence and paperwork needed to proceed
with an application?
Q21: What level of
cooperation/support did the following persons provided you?
Very cooperative =1
Somewhat cooperative =2
Not cooperative =3
If 2 or 3: How could cooperation be enhanced?
- Police (Obtaining V.I.S., prior records,
etc.)
- Psychiatrists/psychologists (Prior
reports, assessments)
- Senior Crown (Legal advice, better
schedule, assistant)
- Regional Director/Director of Criminal
Prosecution (Legal advice, recommendation requirements)
- Victims/Witnesses (V.I.S., testimonies)
Q22: Compared to a
normal sentencing hearing, how much more work is involved for a D.O.
application?
Q23: Did your
caseload remain the same when you were involved in a D.O.
application?
If yes, explain what arrangements were made?
If no, what arrangement should have been
made?
Q24: Did you ever
encounter evidential problems (i.e. in sexual offenses cases) which
prevented you from initiating a D.O. application?
Q25: If evidential
problems are present, do you consider plea bargaining as a viable
option?
Q26: If the
accused seems to meets the D.O. criteria, but is willing to enter a
guilty plea and agree to a 15 years penitentiary term, would you or
would other Crown attorneys consider jeopardizing the plea bargain
and proceed with a D.O. application?
E. Proposals for
Reforms:
Q27: Do you think
the D.O. provisions are useful?
Q28: Do you think
normal sentencing is capable of dealing with high risk offender
adequately, without the necessity of relying on D.O. legislation?
Q29: Would you
consider the following options (1) desirable, and (2) feasible?
Desirable =1
Somewhat desirable =2
Undesirable =3
Feasible =1
Maybe feasible =2
Not feasible =3
- If there are reasonable grounds to believe
that an offender is likely to recidivate at the end of his/her
sentence, a D.O. application could be initiated in the last year
of the offender's sentence.
- Same as above, but within one year of
sentencing.
- Prosecutors could apply to a Court for a
finding that probable cause exists to believe that a person is a
sexually violent predator (person who suffers from a mental or
personality disorder). Upon such finding, the person would be
civilly committed.
- Offenders found guilty of serious personal
injury offenses where there is evidence of mental abnormality,
sexual behavioral disorder or sexual motivation in the offence
would be sentenced to an indeterminate sentence subject to a
review at a point in time determined by the Court.
F. Knowledge of
Predictors:
Q30: On a 10 point
scale, 10 being most important and 1 being not important, how would
you rate the following factors as predictors of violent recidivism?
- Marital status
- Race
- Elementary school maladjustment
- Unemployment
- History of drug abuse
- History of alcohol abuse
- Index offense sexual
- Low self-esteem
- History of breach of probation/parole
- Female victim
- Child victim
- Use of weapon (Gun, knife, etc.)
- Brutal nature of crime
- Psychiatric diagnosis of APD
- Psychiatric diagnosis of psychopathy
- Low IQ
- Impulsivity
- High anxiety levels
- Treatment provided but failed
- Lack of remorse
- Denial of guilt even after conviction
- History of prison misconducts, including
escapes
- History of financial problems
- History of depression
- Reliance on social assistance
- Many criminal peers/friends/acquaintances
- Economically poor background
- Criminal attitude
- Child molester
- Heredity
- Property offence history
- Sexual assault history
- Assault/violent history
- Abuse as a child
- Poor parental supervision (i.e. neglect)
as a child
- Juvenile record
- Victim was unknown to offender
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