COMMISSIONER'S DIRECTIVE

CORRECTIONAL INTERVENTIONS

Policy Bulletin 202

[  Policy Objectives  |  Authorities  |  Cross-References  |  Definitions  |  Principles  |  Roles and Responsibilities  |  Correctional Intervention Process  |  Intake Assessment and Correctional Planning  |  Interventions  |  Decision-Making  |  Duty to Act Fairly  |  Responsibility Matrix - Case Management in Men's Institutions - Annex A  |  Responsibility Matrix - Case Management in Women's Institutions - Annex B ]

POLICY OBJECTIVES

1. To assist offenders to become law-abiding citizens by recognizing them as individuals in their own right and actively encouraging them to resolve their personal and social problems and to achieve their fullest potential.

2. To achieve the effective, safe reintegration of the offender at an appropriate time in their sentence.

AUTHORITIES

3. Canadian Charter of Rights and Freedoms

Canadian Human Rights Act

Privacy Act

Access to Information Act

Official Languages Act

Corrections and Conditional Release Act (CCRA), 5-10, 27, 79-84, 100–102

Corrections and Conditional Release Regulations (CCRR)

Criminal Code

CROSS-REFERENCES

4. Immigration and Refugee Protection Act

Prisons and Reformatories Act

Standard Minimum Rules for the Treatment of Prisoners

United Nations Standard Minimum Rules for Non-custodial Measures (The Tokyo Rules)

Official Languages Act and Regulations

Controlled Drugs and Substances Act

Transfer of Offenders Act

Mutual Legal Assistance in Criminal Matters Act

Identification of Criminals Act

Youth Criminal Justice Act

Canada Evidence Act

International Transfer of Offenders Act and international agreements on the transfer of offenders

NPB Policy Manual

CSC/NPB administrative agreement

Agreements on the exchange of information (federal or provincial)

5. CD 701 - Information Sharing

CD 702 - Aboriginal Programming

CD 705 - Intake Assessment Process and corresponding CDs

CD 710 - Institutional Supervision Framework and corresponding CDs

CD 712 - Case Preparation and Release Framework and corresponding CDs

CD 767 - Ethnocultural Offender Programs

CD 784 - Information Sharing Between Victims and the Service

SOP 087 - Official Languages Manual on Religious and Spiritual Accommodation Intensive Support Units

DEFINITIONS

6. Correctional interventions are the sequence, combination and interaction between the activities of assessment, planning, intervention and decision-making involving the offender. The process is organized into three main components:

1. intake assessment and correctional planning;
2. interventions with the offender; and
3. decision-making processes.

7. Case management is a dynamic process that includes interventions to assess, clarify, counsel, plan programs for, and supervise an offender throughout his or her sentence, such as:

1. ongoing assessment of an individual offender's needs and the development and implementation of individual correctional plans and interventions to meet those needs;
2. the provision of clear behavioural expectations for the offender to be met within specific timeframes, as well as regular assessment of the offender's progress in relation to the program plan;
3. encouragement toward the offender to demonstrate progress through responsible behaviour; and
4. controls in place to ensure the continual viability of the individual program plan.
    

8. Case preparation is the preparation of all documents and reports throughout an offender's sentence.

9. Case Management Team (CMT) may include the offender, Parole Officer/Primary Worker, Correctional Officer II, Correctional Supervisor, Security Intelligence Officer, Aboriginal Liaison Officer, Aboriginal Community Development Officer, Psychologist and Elder/Spiritual Advisor (if applicable), Correctional Programs Officers, and/or Unit Manager/Parole Supervisor/ Team Leader responsible for managing an offender's case and ad hoc members as required.

10. Contributing factors are those domains or relevant principal components that deal directly with criminal behaviour. Only those domains rated as "Some need for improvement" or "Considerable need for improvement" can be considered for rating as contributing. Furthermore, only the domain(s) (or the related principal components) that is (are) linked to the offence cycle may be rated as contributing factors.

11. Dynamic Factors are the seven domain areas that contribute to criminal offending.

12. Immediate Family includes the offender's father, mother (or alternatively stepfather, stepmother, or foster parent), brother, sister, spouse (including common-law spouse), child (including child of common-law spouse) stepchild or ward of the offender, father-in-law and mother-in-law.

13. For Aboriginal offenders, extended family members may include family relations that exist by birth, as well as significant others who are not related by birth, but are given the title of grandparent, parent, brother, sister, aunt, uncle or other relative.

14. Step-parents include one who is married to the biological parent of the child (adult) who has assumed the role of parent following the marriage. To be considered a step-parent, one must be, or have been, in the role of parent who provides the necessities of life to the child.

15. Disability means any previous or existing mental or physical disability. A disability can be either permanent (e.g., a visual or mobility impairment) or temporary (e.g., a treatable illness or temporary impairment which is the result of an accident). It is important to consider the effects of the illness, not only the nature of the illness itself.

    
1. Physical disabilities include, but are not limited to: disfigurement, mobility, visual, auditory, speech impairments, and environmental sensitivities.
2. Mental disabilities include, but are not limited to: psychiatric, intellectual (anyone functioning at or below the borderline range) and learning disabilities (often people with at least average intelligence that have difficulty making sense of the information they receive about the world around them).
    

16. Learning disabilities are the result of a central nervous system dysfunction and are normally evidenced by significant difficulty in mathematics, listening, speaking, reading, writing or reasoning. People with learning disabilities normally have at least average intelligence. However, being learning disabled can significantly inhibit learning in general, and without intervention, can prevent offenders from participating effectively in education, employment, and correctional programs, impacting on their ability to successfully reintegrate into the community.

17. Accountability refers to the concept of commitment and responsibility for results. All staff are accountable to respect the principle of service to the client. CSC clients include: society, offenders, Parliament, the Minister of Public Safety and Emergency Preparedness Canada, the National Parole Board, victims, private sector organizations, criminal justice partners, etc.

PRINCIPLES

18. Public safety is the paramount consideration in all case management decisions.

19. CSC applies the least restrictive measures consistent with the protection of the public, staff and offenders and the offender's ability to comply with the conditions of the release.

20. CSC respects the principles of fundamental justice and the Duty to Act Fairly.

21. Offender risk assessment and management are ongoing processes starting at sentence commencement, and continuing until sentence expiry or beyond [in the case of offenders with Long-Term Supervision Orders (LTSOs), etc.].

22. Case management practices and decisions must be responsive to, and respectful of, the diverse and individual needs of the offender population such as culture, language, ethnicity, religion, linguistic differences etc., including Aboriginal offenders, women offenders, offenders with disabilities as well as other groups of offenders with special requirements.

23. All correctional interventions are designed to support safe custody and facilitate the rehabilitation and reintegration of offenders into communities as law abiding citizens.

24. All offender related decisions, including case preparation and supervision considerations, will take into account, as separate assessments, both public and staff safety as primary considerations.

25. Correctional Interventions are based on the use of professional judgement and objective tools to justify, support and explain decisions or recommendations. This requires an ever-increasing knowledge of the offender which can best be achieved through regular and meaningful interaction.

26. Continuity in monitoring and intervention is essential to effective correctional practice from the beginning of the sentence to the end to achieve safe reintegration.

27. All aspects of correctional work require a commitment to:

1. respect for individual worth and dignity;
2. b. belief in the ability of offenders to grow and change;
3. respect for privacy unless public safety concerns outweigh privacy issues;
4. fairness in offender treatment;
5. honesty and integrity; and
6. sensitivity to and respect for diversity.

28. The offender is an active and integral participant in the management of his or her reintegration.

29. The offender retains the rights and privileges of all members of society, except those rights and privileges that are necessarily removed or restricted as a consequence of the sentence.

30. Positive links between the offender and the community facilitate reintegration into the community at the earliest possible time while operating in a manner which is consistent with public safety.

31. Partnerships and shared responsibility among all Canadians (criminal justice agencies, jurisdictions, community services and members) is essential for long term reintegration success.

ROLES AND RESPONSIBILITIES

32. Decision makers, when exercising discretion involving an assessment of family relationships, must understand and honour the extended family relationships of Aboriginal offenders.

33. Regional Deputy Commissioners will ensure that all offenders with disabilities can be accommodated adequately at an appropriate security level within their region.

34. Institutional Heads and District Directors are responsible for the equitable distribution of case loads and good case management.

35. Institutional Heads and District Directors will ensure the provision of quality programs and services that satisfy the diverse needs of offenders.

36. Institutional Heads and District Directors will ensure that assessments for offenders suspected of being physically, intellectually or learning disabled are completed by appropriate individuals.

37. Institutional Heads and District Directors will ensure that offenders with intellectual or learning disabilities have access to educational, life skills and other specifically designed programs, where a need for specialized programming has been identified.

38. Institutional Heads will use the authorization granted to them in paragraph 20 of CD 730 to ensure that offenders with disabilities are treated equitably, in accordance with equality rights guaranteed under the Charter of Rights and Freedoms .

39. Institutional Heads will report any difficulties experienced in accommodating the diverse needs of offenders to the Regional Deputy Commissioner.

40. Institutional Heads and District Directors will encourage private sector agencies to participate in aspects of case management such as the preparation for release and the supervision of offenders.

41. Supervisors must provide quality supervision to all staff involved in correctional interventions. Supervisors will provide leadership and guidance to ensure the quality of work is compliant with policy and legislation

42. The author and the staff person responsible for quality controlling a report are responsible for ensuring that:

1. the analysis is complete and thorough;
2. there are no gaps in the case review;
3. the accuracy of the content and the conformity of the report to content guidelines; and
4. any recommendations are well founded and based on sound analysis.
    

43. The staff person responsible for quality controlling a report is not required to be in agreement with the recommendation, and as a member of the case management team, their opinion is be documented under dissenting opinions.

44. Supervisors may delegate the locking function of OMS reports to clerical staff with the full understanding that they (the supervisors) are accountable for the quality of the report and compliance with policy.

45. Staff members in their duties related to case management will respect the duty to act fairly and the provisions of the Privacy Act, the Charter of Rights and Freedoms and other relevant statutes and administrative agreements.

46. The Parole Officer (PO)/Primary Worker, as the principal manager of the intervention process, designs the management of the sentence, plans and orients interventions and services, modifies the intervention where necessary, measures the results, and makes recommendations at the appropriate time.

47. The Parole Officer/Primary Worker or Correctional Officer is responsible for the body of the report, including a full comprehensive assessment of risk as applicable. The author of the report is responsible for noting the dissenting opinions (including the rationale) of any member of the Case Management Team.

48. Parole Officers/Primary Workers will document an offender's refusal to consent to the release of information in risk assessments as well as the significance that such information is unavailable.

49. Parole Officers/Primary Workers will complete a comprehensive file review upon case assignment to ensure that they are fully familiarized with an offender's current circumstances and history.

50. In cases where victim notification is required, Parole Officers/Primary Workers must ensure that the Victim Liaison Coordinator is kept apprised of relevant offender activities and any changes to the offender's supervision status.

51. Primary Workers/Institutional and Community Parole Officers will ensure that a team approach to case work is implemented to ensure a seamless reintegration process.

52. The Correctional Officer II/Primary Worker as the front line worker is responsible for follow-up of the Correctional Plan by interacting directly with the offender, gathering all pertinent information from other staff, observing the offender's behaviour directly and documenting this information on OMS.

53. The Correctional Program Officer as a specialist in one or more specific domains is a member of the Case Management Team and participates in the implementation of the Correctional Plan.

54. Elders/Spiritual Advisors will be active participants of the Case Management Team who contribute to recommendations and decisions regarding Aboriginal offenders.

55. The Parole Officer/Primary Officer, with the assistance of the Aboriginal Liaison Officer (ALO), supports and promotes involvement in the section 81 and 84 processes from within the institution and liaises with Aboriginal Community Development Officers (ACDO) when preparing release plans for Aboriginal offenders. The ALO documents the Elder's comments and recommendations (including those of community Elders, where applicable) and shares these with the CMT. The ALO provides input to the CMT outlining recommendations for Aboriginal offenders regarding correctional planning, assessing risk, release planning and for any upcoming decision related to an Aboriginal offender's (or for those that subscribe to Aboriginal spirituality) case.

56. The Aboriginal Community Development Officer (ACDO) supports and promotes the involvement of the aboriginal community in correctional activities and provides information about policy and procedures regarding section 84 releases. ACDOs serve as the bridge between CSC and Aboriginal communities/organizations. Where there is no ACDO, the Parole Officer/Primary Worker assumes these responsibilities.

57. The offender is responsible for his or her:

    
1. current situation;
2. involvement in the intervention activities;
3. the behavioural changes which he or she must bring about; and
4. the risk which he or she presents.
    

58. All staff are responsible for excellence in their work on an individual offender's case. Each employee must adhere to the quality criteria and the standards or guidelines supporting them.

59. Each employee must ensure that the quality of his or her work respects the Service's standards in every step in which they      are involved on an individual offender's case.

60. Each employee is essential to the delivery of the best possible service to CSC's clients.

61. All staff will encourage and support offenders to engage in their Correctional Plan, facilitating their safe reintegration.

62. All staff will record activities or discussions related to an offender's case, including observations about an offender's behaviour, in a Casework Record where appropriate.

CORRECTIONAL INTERVENTION PROCESS

Intake Assessment and Correctional Planning

63. A quality plan is developed for each offender based on complete, verified information, combined with objective and subjective tools and institutional and community perspectives.

64. In order to effectively manage the offender, it is critical that a comprehensive assessment be completed which identifies the factors associated with the risk to reoffend and the factors associated with successful reintegration.

65. Planning must target change or control of contributing factors that have impacted on or contributed to criminal behaviour, identifying the objectives of change, the main intervention programs and activities required, where the intervention will occur (institution or community), within the context of the sentence.

66. When an assessment is completed that identifies the factors associated with criminal behaviour and successful reintegration, it is important this information be shared with the offender and staff involved with the offender.

67. Interventions can be effective only if there is continuity between them. Avoid changing the assessment of the offender or the course of the intervention, unless there is a major change in the offender's behaviour linked to a contributing dynamic factor that was not previously detected.

Interventions

68. To ensure effective intervention, the offender's behaviour and activities must be observed to ensure that the results of the assessment which identified the factors associated with criminal behaviour and success are continuously monitored.

69. When necessary to manage an offender, an appropriate intervention is required. Interventions must be appropriately linked to the assessment and be the least restrictive measure.

70. The purpose of intervention is to control or neutralize the dynamic factors contributing to criminal behaviour, taking into consideration factors which do not contribute to delinquency but which require structure and guidance in order to enhance the potential for reintegration, through the implementation of the Correctional Plan. Regular progress reviews are also required based on observations, behaviour, programs and assessments. Intervention activities can be adjusted as required.

71. Change is the acquisition of new skills, knowledge, abilities and insight into behaviour. The following are the indicators of change:

    
1. acquisition of cognitive abilities: better reflection, ability to generate alternatives and solutions;
2. acquisition of social abilities: communication skills, problem-solving, managing anger and aggressiveness;
3. understanding of and ability to explain the offence cycle;
4. improved control of emotions, understanding of the source of emotional and affective disturbances;
5. ability to explain what has been learned; and
6. ability to use what has been learned in future behaviour.
    

72. When offenders have gained new skills or knowledge, they must integrate them into their behaviour. It is not always necessary to attain this level of change within the institution. If the risk is assumable, this integration can be done in the community. This phase is very important for the protection of society in the long term. The following are indicators of a more profound level of change:

    
1. use of acquired skills or knowledge to control interactions and behaviour (in institutions or in the community, expression of anger, emotions or frustrations, etc);
2. application of knowledge;
3. application of skills;
4. behavioural consistency;
5. ability to explain the causes of one's own criminal behaviour;
6. ability to perceive and change one's own offence cycle (recognition of risk situations, use of alternatives, implementation of solutions).
    

Decision-making

73. Decisions constitute critical points in the offender's sentence, including placement, transfer and all forms of release.

74. Objective, timely assessments based on an analysis of all known information about the offender are critical to effective decision-making.

75. Every decision has a direct impact on the offender's residual rights. The process must be formally structured in order to ensure fairness and respect for rights. The extent of the impact on the offender's rights determines the importance of the legal measures and the complexity of the process. The operational, policy and legal framework and values-based elements of each decision should be considered.

76. All existing risk-relevant information from the victim and the victim impact statement will be considered in case management decisions.

THE DUTY TO ACT FAIRLY

1. the right of the offender to be heard, which obligates CSC to ensure that offenders:
   1. receive complete information, particularly concerning decisions and the supporting reasons, before or after the decision;
   2. have the right to make representations;
   3. have the right to redress (CD 081);
2. impartiality of the decision authority - the decision authority must have access to all the available information, including dissenting opinions, and have no personal interest or prejudice in the decision.

Commissioner,

Original signed by

Keith Coulter

ANNEX 700-A

RESPONSIBILITY MATRIX - CASE MANAGEMENT IN MEN'S INSTITUTIONS

1 The Parole Officer is responsible for the case preparation up until the first positive decision for ETA (CSC or NPB authority), UTA and work release. This applies to the first positive decision for each type of release regardless of whether the offender has received one of the other forms of release.

The Parole Officer is also responsible for the case preparation up until the first positive decision in the following situations:

1. the ETA, UTA or work release (either individual or the program) has been cancelled or terminated due to the inmate's behaviour (NOTE: If the offender is granted or authorized to participate in both ETAs and work releases and one of the work releases is terminated, the next submission for a work release ONLY must be completed by the PO. The submissions for ETA can continue to be done by the CO II);
2. a conditional release has been suspended, cancelled, terminated or revoked;
3. the offender has been assigned a higher security classification.

The officer responsible for the case preparation for a particular type of activity/decision must complete all the associated steps (refer to CDs).

The structured casework records and all reports completed by the CO II will be quality controlled and countersigned by the Correctional Supervisor. The Correctional Supervisor is responsible for the timeliness of any report or structured casework record completed by the CO II.

Any report completed by the Parole Officer is quality controlled and countersigned by the Unit Manager. The Unit Manager is also responsible for the timeliness of any report completed by the PO .

NOTE:

Primary Workers in women's institutions will continue to perform their current case management duties. It is acknowledged that these duties and responsibilities differ from those required of CO lls in men's institutions as a result of variations in the organizational structures of women's and men's facilities. Primary Workers will continue to receive Parole Officer Orientation training in support of these case management requirements.

ANNEX 700-B

RESPONSIBILITY MATRIX – CASE MANAGEMENT IN WOMEN'S INSTITUTIONS

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