POLICY BULLETIN

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Why was the policy changed?

The Institutional and Community Reintegration Divisions have consolidated and streamlined all case management policy documents. This involved re-formatting all of the SOPs into CDs, integrating all previous direction issued via Case Management Bulletins and interim policies into the current updated documents.

The changes to the documents are primarily technical in nature; however, any changes to policy have been identified below. They have resulted from recommendations following investigations, Executive Committee decisions and consultations with stakeholders, such as the Office of the Correctional Investigator. The new documents clearly identify roles and responsibilities.

How was it developed?

The review of all policies and procedures related to institutional case management was completed by three working groups consisting of representatives from the Aboriginal Initiatives Branch, Women Offenders Sector, Institutional Reintegration Operations, and Offender Management System Renewal as well as representatives from each region and security level (including Aboriginal Healing Lodges and women's facilities).

The drafts were completed and sent to all regions and relevant NHQ sectors and branches for review and comments, including Performance Assurance, Strategic Policy and Human Rights and Women Offenders Sectors, Aboriginal Initiatives Branch, Research Branch, OMS Renewal, Citizens' Advisory Committees, inmate committees, the Office of the Correctional Investigator, unions and the National Parole Board. Consultation comments received were reviewed and, where required were integrated into the policy documents.

The policies were drafted into Commissioner's Directives and Guidelines (procedural documents), and distributed for national consultation with operational staff, sector heads impacted by operational policy, unions, Citizens' Advisory Committees, the Office of the Correctional Investigator and inmate committees. Comments received were reviewed and changes were made to the policies when relevant. Following a legal opinion, the CDs and Guidelines were amalgamated into one document, a Commissioner's Directive.

Another working group, coordinated by the Aboriginal Initiatives Branch, reviewed several of the draft policies to ensure Aboriginal content.

Staff will be able to more easily find the information that they require and focus on one resource tool. These format changes lay the foundation for CSC to more easily accommodate future policy changes. Next fiscal year, CSC will be reviewing its policies and practices to strengthen transitions to the community.

Former Policies

The following CDs and SOPs have been deleted:

CD 095 - Information Sharing with Offenders
CD 095 - Interim Instruction (1998-01-22)
CD 500 - Reception and Orientation of Inmates
CD 501 - Sentence Management
CD 540 - Transfer of Offenders
CD 542 - International Transfers
CD 700 - Case Management
CD 782 - Sharing Offender-Related Information
SOP 700-00 - Correctional Intervention Process
SOP 700-A - Responsibility Matrix - Case Management in Men's Institutions
SOP 700-01 - Information Sharing and Disclosure
SOP 700-02 - Intake Information Collection
SOP 700-03 - Assessments completed by the Community
SOP 700-04 - Offender Intake Assessment and Correctional Planning
SOP 700-05 - Progress Monitoring - Institution
SOP 700-07 - Pre-Release Decision Process
SOP 700-08 - NPB Hearings, Decision Notification and Follow-Up
SOP 700-09 - Release Procedures
SOP 700-13 - Perimeter Work Clearance
SOP 700-14 - Security Classification of Offenders
SOP 700-15 - Transfer of Offenders
SOP 700-16 - Temporary Absences
SOP 700-17 - Work Releases
SOP 700-18 - Judicial Review
SOP 700-19 - Detention
SOP 700-20 - Case Management Strategies

All relevant Case Management Bulletins.

New Policies

The above policies will be replaced by the following:

CD 700 - Correctional Interventions
CD 701 - Information Sharing
CD 703 - Sentence Management
CD 704 - International Transfers

Intake Policies

CD 705 - Intake Assessment Process
CD 705-1 - Preliminary Assessments and Post-Sentence Community Assessments
CD 705-2 - Information Collection
CD 705-3 - Immediate Needs and Admission Interviews
CD 705-4 - Orientation
CD 705-5 - Supplementary Intake Assessments
CD 705-6 - Correctional Planning and Criminal Profile
CD 705-7 - Security Classification and Penitentiary Placement
CD 705-8 - Assessing Serious Harm

Institutional Supervision

CD 710 - Institutional Supervision Framework
CD 710-1 - Progress against the Correctional Plan
CD 710-2 - Transfer of Offenders
CD 710-3 - Temporary Absences and Work Releases
CD 710-4 - Perimeter Work Clearance
CD 710-5 - Judicial Review
CD 710-6 - Review of Offender Security Classification

Pre-Release

CD 712 - Case Preparation and Release Framework
CD 712-1 - Pre-Release Decision-Making
CD 712-2 - Detention
CD 712-3 - National Parole Board Hearings
CD 712-4 - Release Process

Changes to Policy

All case management policies have been modified to include the spirit and intent of the Supreme Court of Canada's decision regarding R. v. Gladue.

The policies integrate the roles and functions performed by staff in women's institutions with respect to case management, such as the inclusion in policy of Primary Workers who perform many of the roles of the Parole Officer.

CD 700 - Correctional Interventions

This policy provides the framework and principles of correctional interventions within CSC.

Former policies, CD 700 - Case Management and SOP 700-00 on Correctional Interventions, have been integrated into one document.

The former SOP 700-A with the Responsibility Matrix for men's institutions has been integrated into this policy as an annex. No changes have been made to this previously agreed-to matrix (between management and unions).

The Responsibility Matrix for women's institutions has been added as an annex to CD 700.

Previously issued direction on dissenting opinions and locking of OMS reports has been integrated into the document.

The Duty to Act Fairly description has been revised by Legal Services.

CD 701 - Information Sharing

The following four policies have been streamlined and amalgamated into one clear and comprehensive document regarding information sharing with offenders and others. It replaces:

• CD 095 - Information Sharing with Offenders;
• CD 095 - Interim Instruction (1998-01-22);
• CD 782 - Sharing Offender-Related Information; and
• SOP 700-01 - Information Sharing and Disclosure.

The policy provides clear direction about how to make corrections to offender reports/files under section 24 of the CCRA.

The policy provides clear direction about how to prepare a gist for protected information.

CD 703 - Sentence Management

CD 703 on Sentence Management is replacing former CD 501, Sentence Management. The former version has been updated to reflect changes in the role of Sentence Management within CSC. The new version was written with the assistance of the National and Regional Sentence Advisors.

CD 704 - International Transfers

CD 704 on International Transfers replaces former CD 542 on International Transfers. Changes made to this CD were technical in nature. A previously issued Case Management Bulletin was integrated into the policy and names of countries with new agreements with Canada have been added.

CD 705 - Intake Assessment Process

A new requirement has been added to the policy for a full intake assessment and new Correctional Plan (where there is no existing full intake assessment) for offenders whose sentence started prior to January 1st, 1994, whose conditional release has been revoked.

CD 705-1 - Preliminary Assessments and Post-Sentence Community Assessments

Clarification that the preliminary assessment is required within five days of an offender receiving a federal sentence. This minor change will eliminate the confusion for cases where provincial offenders receive a consecutive sentence and become federal offenders.

Clarification that the Preliminary Assessment and Post-Sentence Community Assessment Reports are not required for international transfer cases. This is due to the fact that this information is gathered prior to the transfer occurring and should already be on file.

CD 705-2 - Information Collection

Clearer direction is provided on what information will be collected by CSC to ensure that all relevant information is obtained to best manage the offender's sentence and ensure safety of staff and the public.

CD 705-3 - Immediate Needs and Admission Interviews

Immediate Needs and Admission Interview procedures have been made into a separate document as staff will be required to refer to them both at admission and upon transfer. There is a new policy clarification wherein Parole Officers are required to meet with all offenders new to the institution on the first working day following their arrival.

CD 705-4 - Orientation

Orientation has been made a separate document as its direction must be followed both at intake and following the placement or transfer of an offender to a new site.

Supplementary Assessments CD contains the following changes:

1. a clearer definition of persistent violence as it relates to psychological assessments;
2. a clearer set of guidelines of what is expected to be contained in a specialized sex offender assessment as directed by the National Manager of Sex Offender Programs;
3. clearer information about the function, purpose and role of the Elder Assessment in case management decisions.

CD 705-6 - Correctional Planning and Criminal Profile

Aboriginal Healing Plans have been added to the Content Guidelines for Correctional Plans.

In 1994, EXCOM approved the guidelines for women's institutions, and they were issued as a stand-alone document. They were re-issued in 2003 at the request of operational staff. They have now been integrated into the current policy documents as an Annex.

CD 705-7 - Security Classification and Penitentiary Placement

Psychological risk assessments will be completed during the intake assessment process for offenders serving life and indeterminate sentences where consideration is being given to placement at a medium security facility. This assessment will focus on risk and institutional adjustment including risk to the public, staff or offender safety and address behavioural needs to facilitate stabilization and adaptation. Where placement is to a maximum security facility, the psychological risk assessment will be completed as soon as possible following placement.

Classification of offenders will not be based directly on the results of the Custody Rating Scale (CRS); instead, it will based on clinical judgment which will normally be anchored by the results of the CRS.

To better align policies and practices with the Corrections and Conditional Release Regulations (CCRR), s. 17, the Custody Rating Scale will be modified to place greater weight on the severity of offence instead of sentence length.

Direction on High Profile Offenders as contained in the former Case Management Bulletin.

CD 705-8 - Assessing Serious Harm

Assessing Serious Harm has been created as a separate document as staff are required to refer to it, both at intake and during the detention review process.

CD 710 - Institutional Supervision Framework

This document serves to identify the policy framework to be used during the incarcerated portion of an offender's sentence.

Previously issued direction on dissenting opinions and locking of OMS reports has been integrated into the document.

CD 710-1 - Progress against the Correctional Plan

A Correctional Plan Progress Report will be completed annually on all offenders serving a life sentence or an indeterminate sentence to assess the offender's progress against the Correctional Plan when progress against the Correctional Plan is not assessed via other reports, such as an Assessment for Decision for transfer or conditional release.

The BF for the first annual Correctional Plan Progress Report will be set at one year following the date of arrival at the placement institution.

For lifers admitted to penitentiary prior to September 1st 2005, the annual CPPR will be completed after the first or most recent application of the Security Re-classification Scale.

Following recommendations from national investigations, confirmation that the offender's next of kin information is current is required during the interview for the Structured Casework Record.

Direction that behavioural contracts are to be recorded in the Correctional Plan or Correctional Plan Progress Report has been added, including guidelines on what should be included.

CD 710-2 - Transfer of Offenders

Direction on high profile offenders as contained in the former Case Management Bulletin has been integrated.

Clarifications have been provided regarding the process of SHU transfers and timeframes for completing a transfer from the SHU following decision by the Senior Deputy Commissioner.

Clarifications were added to the policy regarding transfers from a section 81 facility back to a CSC facility.

Guidelines have been added on how to process transfers to and from a section 81 facility from a CSC facility.

CD 710-3 - Temporary Absences and Work Release

The former policies on temporary absences and work releases have been combined into one policy document in anticipation of the proposed changes to the CCRA.

Following discussions with the Office of the Correctional Investigator as well as receipt of grievances regarding compassionate temporary absences for Inuit offenders, CSC has reviewed its temporary absence policy. Although the review began with a discussion of temporary absences for Inuit offenders, it was decided that it is important for CSC to be inclusive and to consider all offenders who are dislocated from their home communities; therefore, the policy changes do not apply only to Inuit offenders.

The policy changes include the following:

1. the reasons for granting temporary absences have been amended to mirror the reasons for granting an ETA in accordance with sections 9 and 155 of the CCRR;
2. the recent direction, in the interest of health and safety, regarding the limitations on the consecutive hours of work for Correctional Officers has been integrated in the CD. The Canada Labour Code and the Canada Occupational Safety and Health Regulations have been added to the cross-references;
3. where cost is a factor, offenders will choose between visiting the terminally ill family member and attending the funeral.

Direction previously issued to staff in Case Management Bulletins regarding high profile offenders, family contact between inmates, notification protocol, and ETA decision authorities have been integrated in to the policy.

Completion codes and definitions for temporary absences and work releases have been modified in the Annex as well as in OMS to include changes to code 10 - TA suspended.

The policy has been updated to reflect the changes to NPB terminology. Hearings formerly known as Elder assisted hearings are now called Cultural Hearings as per the NPB Policy Manual.

CD 710-4 - Perimeter Work Clearance

Institutional perimeters will be defined in Standing Orders.

Confirmation was obtained from the Legal Services at NHQ that Assessments for Decision are required for perimeter work clearances provided to offenders at minimum-security facilities. They are necessary because CSC must demonstrate that appropriate evaluations and risk assessments were completed for offenders classified as minimum security.

CD 710-5 - Judicial Review

No significant content changes were made.

Several terms in the document were modified in order to better reflect judicial language used in the judicial review process by the courts, judges, etc. (for example, the title of the report, the preliminary hearing and not the preliminary investigation, provincial procedural rules).

Section 745.63(1) of the Criminal Code has been added and the process has been updated to reflect the realities of the current process, which was not available in the former version.

The responsibilities of the judge regarding the judicial review process are presented in a more detailed manner.

It is recommended that the Parole Officer/Primary Worker will meet with the offender 12 months prior to the offender's Judicial Review Eligibility Date, to verify if an application is to be, or will be, submitted.

CD 710-6 - Review of Offender Security Classification

Clarification has been added, stating that the final assessment must address both the actuarial score and clinical factors. In the overall assessment of risk, clinical judgment will normally be anchored by the results of the scale used. Where variations occur (i.e. the actuarial measure is inconsistent with the clinical appraisal), it is important that the assessment specify why this is the case. The final assessment will conform to section 18 of the CCRR, by setting out the analysis under the three headings of institutional adjustment, escape risk and risk to public safety.

The policy integrates the Security Reclassification Scale for Women.

The policy clarifies the process to follow to ensure procedural fairness and the Duty to Act Fairly when increasing a woman offender's security classification to maximum.

In determining the security classification of Aboriginal offenders, staff will be sensitive to the spirit and intent of the Gladue decision.

CD 712 - Case Preparation and Release Framework

This document serves to identify the policy framework to be used for the release preparation process.

CD 712-1 - Pre-Release Decision-Making

Clear direction has been added regarding preparing releases under section 84 of the CCRA.

A table summarizing time frames has been added as an annex for easy reference.

Risk assessments are required to include an analysis of any high-risk behaviours or patterns observed during the sentence, including any previous failures on release.

Policy direction regarding the completion of a Community Strategy has been integrated into the pre-release decision-making process.

The Case Management Bulletin dated 2004-08-23 dealing with CPIC verifications has been integrated into the pre-release policy.

Introduction of a new form to request CPIC verification for collateral contacts.

CD 712-2 - Detention

As requested by operational staff, the following clarifications and changes have been made:

• the role of the Regional Deputy Commissioner in reviewing Commissioner's referrals for detention;
• a current psychological assessment is to be available when a case is referred for detention;
• what constitutes "new information", i.e. the information "must be either new in time or new in substance";
• NPB's legal options when cancelling a Detention Order (our SOP had misstated one of these options);
• provides information on an offender's right to appeal NPB decisions/PO's responsibility to explain the grounds of appeal;
• confirms that detained offenders are also eligible for early Discretionary Releases;
• content guidelines for the Detention Pre-Screening Report are included.

In cases where a detained offender receives an additional sentence, the policy clarifies that CSC has five calendar days after notification of recalculation of the sentence to make a recommendation to NPB.

With respect to annual reviews for detention, the institutional PO is responsible for completing the Assessment for Decision and for incorporating the findings of a Community Strategy to address the offender's ongoing intervention requirements.

CD 712-3 - National Parole Board Hearings

This policy deals specifically with the National Parole Board Hearing Process. Much of the information is taken directly from the former SOP 700-08 but is written in the new format.

References to sharing of information are now found in CD 701 - Information Sharing. Information pertaining to waivers, postponements and withdrawals is now found in CD 712-2 - Pre Release Decision-Making.

CD 712-3 does not contain any fundamental changes but rather reflects more clearly the roles and responsibilities in the hearing process. There are also hyperlinks integrated into the new policy to connect the user with the relevant legislation and the NPB Policy Manual.

CD 712-4 - Release Process

CD 712-4 incorporates the Case Management Bulletins issued during the past few years, including those on best practises, Early Discretionary Release and Warrant Expiry Date releases, regarding steps to reinforce and facilitate the re-entry process for offenders, while ensuring public safety. The new measures include a detailed joint pre-release review by the institutional and community parole officers. The review incorporates elements of the initiatives on staff safety.

The requirement that offenders be assisted in obtaining personal documents and identification prior to release supports the CSC's Employment and Employability initiatives in regard to reintegration. The medical needs of offenders are also recognized, via the requirement that they be provided with a short-term supply of medication upon release. This expanded direction is important given the increase in the prevalence of mental health conditions amongst the correctional population, as well as the expansion of the methadone treatment program.

CD 712-4 includes new content guidelines for Assessment for Decisions for Early Discretionary Release and for Temporary Accommodation.

The notification and information-sharing requirements at release reflect the enhancements in regard to the electronic transmission of information to the CSC staff and to the police.

The list of penitentiaries designated for the purposes of a residency order made under subparagraph 131(3)(a)(ii) of the CCRA has been amended to include Willow Cree Healing Lodge, and Bath Institution was removed as it is no longer a minimum security facility.

An annex has been added which incorporates the previously issued direction regarding what is required to be recorded in the Casework Record - Pre-Release Review. At this time a form cannot be pasted into OMS, so the content guidelines have been created. With the anticipated release of OMSR, it is hoped that this information can be recorded in a more efficient manner.

Accountability

All staff.

Who will be affected by the policy?

All staff and offenders.

Expected cost?

None.

Other impacts?

None.

Implementation:

The policies will come into effect on April 10th, 2006, but are being posted on the InfoNet at this time to allow sites time to prepare for the promulgation date of April 10th, 2006.

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