COMMISSIONER'S DIRECTIVE

SPECIAL HANDLING UNIT

Policy Bulletin 234

Annex A - Content Guidelines - Assessment for Decision for Admission to the Special Handling Unit

Annex B - Content Guidelines - Assessment for Decision for Maintenance at the Special Handling Unit

Annex C - Content Guidelines - Assessment for Decision for Transfer from the Special Handling Unit

Annex D - Management Plan - Reintegration into a Maximum-Security Institution

Annex E - Offender Interviews with the National Advisory Committee

POLICY OBJECTIVE

1. To contribute to the safety of staff and offenders and to the security of the institution by providing a safe and humane environment for those offenders who pose an ongoing danger to staff, other offenders or the public, and who cannot be safely managed at any other maximum-security institution.

AUTHORITIES

2. Corrections and Conditional Release Act:
Section 4 – Principles

Sections 28 and 29 – Placement and Transfer of Inmates

Corrections and Conditional Release Regulations:
Sections 11-16 – Placement and Transfers

CROSS-REFERENCES

3. CD 006 - Classification of Institutions

CD 710-2 - Transfer of Offenders

CD 803 - Consent to Health Services Assessment, Treatment and Release of Information

CD 840 - Psychological Services

DEFINITIONS

4. Security confirmation notice: a confirmation from the Institutional Heads of the sending and receiving institutions and the Director, Preventive Security and Intelligence, that no new security information exists, since the decision to transfer was made, that would have an impact on the safe reintegration of an offender into a maximum-security institution.

5. Serious bodily injury: any injury as determined by Health Services personnel as having the potential to endanger life, or which results in permanent physical impairment, significant disfigurement or protracted loss of normal functioning. It includes, but is not limited to, major bone fractures, the severing of limbs or extremities, and wounds involving damage to internal organs.

6. Management Plan: the plan developed by the receiving institution to facilitate the reintegration of an offender into a maximum-security institution following a period of incarceration at the SHU.

PRINCIPLES

7. Only in exceptional circumstances should offenders be transferred to the SHU within six months of their release on either statutory release or warrant expiry date.

8. The environment created in the SHU will be such that:

1. controls are no more restrictive than those required to ensure the safety of staff, offenders and the public; and
2. staff/offender interaction is encouraged, given the physical and operational limits of the environment.

9. Aboriginal offenders will be given the opportunity to practice their culture and traditions to the extent possible, taking into account the enhanced security procedures at the SHU.

10. The principles of the duty to act fairly and of fundamental justice to provide an offender the opportunity to respond in an informed manner to the notice of transfer must be strictly adhered to.

11. The transparency of the review process under this policy will be promoted via the attendance of individuals external to the CSC on the National Advisory Committee, as approved by the Senior Deputy Commissioner.

ROLES AND RESPONSIBILITIES

Senior Deputy Commissioner

12. In the absence of the Senior Deputy Commissioner, the Assistant Commissioner, Correctional Operations and Programs will perform the duties of the SDC under this policy.

13. The Senior Deputy Commissioner will:

1. establish a National Advisory Committee comprised of the following persons:
   1. a manager, from the National Headquarters of the CSC, to be known in this directive as the Senior Advisor,
   2. the Manager, Assessment and Intervention of the SHU,
   3. at least two Institutional Heads of maximum-security institutions, from two different regions,
   4. a mental health representative from Health Services at NHQ, and
   5. a person external to the CSC appointed consistent with paragraph 4 (f) of the Corrections and Conditional Release Act;
2. participate in the review of, and make the final decision regarding, admission to, maintenance in, or transfer of offenders from the SHU; and
3. chair the administrative meetings of the National Advisory Committee.

14. The Senior Deputy Commissioner may invite CSC staff or relevant others to be observers at case reviews and/or to attend administrative meetings of the National Advisory Committee, as appropriate.

Regional Deputy Commissioner

15. The Regional Deputy Commissioner will review the case of any offender referred by an Institutional Head for transfer to the SHU for assessment purposes.

16. When it appears that an offender is suffering from a mental disorder at the time of the preparation of his case for transfer to the SHU, all reasonable efforts will be made to initiate treatment for the disorder prior to the decision by the Regional Deputy Commissioner on the transfer.

Institutional Head

17. The Institutional Head will make the initial determination as to whether or not an offender's behaviour warrants consideration for a transfer to the SHU for assessment purposes.

18. The Institutional Head will ensure that the offender is advised in writing of the applicable grievance procedures related to transfers (CD 081 - Offender Complaints and Grievances).

National Advisory Committee

19. The National Advisory Committee will:

1. make recommendations to the Senior Deputy Commissioner regarding admission to, maintenance in, or transfer of an offender from the SHU;
2. conduct an interview with the offender, upon the offender's request, in accordance with the protocol outlined in Annex E;
3. oversee and monitor the operations of the SHU; and
4. provide minutes of its meetings and make observations and recommendations, as deemed appropriate.

Senior Advisor

20. The Senior Advisor will:

1. provide advice to the Senior Deputy Commissioner;
2. prepare the annual calendar for the review of cases;
3. establish the agenda for the administrative meetings of the National Advisory Committee;
4. oversee the implementation of the decisions and recommendations of the Senior Deputy Commissioner; and
5. ensure that the minutes of the administrative meetings of the National Advisory Committee are prepared and distributed.

Manager, Assessment and Intervention

21. The Manager, Assessment and Intervention will:

1. be responsible for the quality control of case management reports;
2. oversee and facilitate the case management and reviews relating to SHU offenders, including case conferences, program decisions and the development of the Correctional Plan, in accordance with the Content Guidelines in Annex A;
3. request security confirmation notices from the sending and the receiving Institutional Heads and from the Director, Preventive Security and Intelligence; and
4. implement the decisions of the Senior Deputy Commissioner.

Psychologist

22. The Psychologist of the sending region will complete a mental health screening, and, in the case of offenders identified on this basis as likely having mental health problems, a full mental health assessment and, as required, further assessment, follow-up and referral, in regard to the mental health and mental health treatment needs of an offender who is being considered for admission to the SHU.

23. In the case of emergency involuntary transfers, the Psychologist at the SHU will complete the mental health screening and full mental health assessment, if mental health problems are identified, and provide verbal comments to the Case Management Team and prepare written reports, such as Psychological Therapy Reports, as required, when involved in the ongoing treatment of an offender.

Director, Preventive Security and Intelligence

24. The Director, Preventive Security and Intelligence will approve the security confirmation notice and provide it to the Senior Advisor prior to any transfer.

PROCEDURES

25. All decisions relating to transfers will be made in accordance with CD 710-2 - Transfer of Offenders, with the necessary modifications dictated by this policy.

TRANSFER TO THE SHU

26. An offender may be considered for transfer to the SHU, for assessment purposes, if the offender:

1. causes or commits, or one has reason to believe has committed, an act of violence, makes serious threats, or otherwise shows an ongoing propensity for serious violence such that it is clear that transfer to the SHU is the only reasonable alternative; or
2. causes or commits an act resulting in serious bodily injury or death.

27. The determination that an offender should be transferred to the SHU may be based on a single significant behaviour or on a series of violent behaviours.

28. After ensuring that an offender meets the criteria in paragraph 26 above, for transfer to the SHU for assessment, the Institutional Head will forward the case for review, with the required transfer documentation, to the Regional Deputy Commissioner.

29. The Institutional Head will forward to the Regional Deputy Commissioner the following reports:

1. the Assessment for Decision prepared in relation to the proposed transfer; and
2. the mental health assessment, as applicable.

30. The Deputy Commissioner of the region in which the offender is incarcerated will decide, after review of the case, whether to transfer the offender to the SHU for assessment.

ASSESSMENT PERIOD IN THE SHU

31. Within four months of an offender's transfer to the SHU, the Parole Officer will complete a comprehensive assessment on the offender, which will be used to assist the National Advisory Committee in making a recommendation to the Senior Deputy Commissioner regarding admission to the SHU.

32. The comprehensive assessment, completed in accordance with the Content Guidelines in Annex A, will include the following elements:

1. the results of the mental health assessment, and of a psychiatric assessment, if any;
2. a detailed plan to address the offender's violent behaviour, as well as other contributing factors, taking into account case management and specific security considerations; and
3. an analysis and rationale to support the recommendation to place an offender at the SHU, as well as an explanation as to why the offender cannot be managed in a regular maximum-security institution.

MENTAL HEALTH ASSESSMENT

33. The mental health screening and assessment will be carried out in the sending region prior to the transfer of the offender. However, in the case of an emergency involuntary transfer, the mental health screening and assessment will be conducted at the SHU.

34. The assessment will include the following elements:

1. reason for transfer to the SHU;
2. mental health history, including history of suicide attempts;
3. summary of previous psychological and psychiatric assessments, if available;
4. discussion of the offender's current mental status;
5. discussion of the offender's personality dynamics (based on interview and testing);
6. a diagnosis;
7. receptivity to intervention and level of motivation;
8. identification of treatment needs, if any;
9. assessment of the potential mental heath impacts of the placement at the SHU;
10. recommendation regarding the need for further assessment, intervention and/or follow-up;
11. recommendation regarding the management of the offender based on his mental health needs and dynamic factors.

35. If the offender refuses to voluntarily participate, the psychologist will complete the mental health assessment based on a file review. The assessment will be limited to a summary of the offender's mental health history.

36. The psychologist, or psychiatrist, as applicable, will coordinate the offender's referral for admission, for assessment purposes, to a treatment centre.

POST-ASSESSMENT REPORTS

37. Following an offender's formal admission to the SHU, if it is recommended that the offender is to be maintained at the SHU, the Parole Officer will complete, within four months, an Assessment for Decision, in accordance with the Content Guidelines in Annex B, for review by the National Advisory Committee. If a transfer from the SHU is recommended, the Parole Officer will follow the procedures outlined in paragraphs 53 to 57 of this CD.

OFFENDER INTERVIEWS WITH THE NATIONAL ADVISORY COMMITTEE

38. At least five calendar days in advance of the review by the National Advisory Committee, the offender will be provided notice of the date and time that the interviews will commence. With the offender's agreement, the five-day notice may be waived.

39. The Senior Advisor will invite the offender to participate in a pre-review interview, to be conducted by at least two members of the National Advisory Committee.

40. The offender's counsel, or other representative approved by the National Advisory Committee, may participate in the interview, as outlined in Annex E.

41. The offender may submit written representations to the National Advisory Committee or the Senior Deputy Commissioner regarding the recommendation on his case.

42. The Manager, Assessment and Intervention will advise the National Advisory Committee which offenders wish to be interviewed.

43. National Advisory Committee members will follow the interview procedures as described in Annex E.

DECISIONS REGARDING THE SHU

44. Within five calendar days of the signing of the decision by the Senior Deputy Commissioner, the offender will be provided with a copy of the review/decision and advised in writing that the decision regarding his or her placement at, or transfer from, the SHU can be grieved directly to the third level.

PROGRAM SCOPE OF THE SHU

45. Correctional planning at the SHU is intended to assist offenders to modify their attitudes and stabilize their behaviour in order to function without serious incident in a maximum-security institution.

46. The following will be considered as essential programming components:

1. correctional interventions;
2. psychiatric and psychological interventions;
3. personal development opportunities;
4. recreational opportunities; and
5. Elder services, Chaplaincy services, spiritual counselling and ceremony.

47. The Case Management Team will monitor the progress of the offender on the basis of participation in the Correctional Plan, including the level of cooperation, degree of change achieved, and overall success in addressing identified needs.

48. The observations and recommendations of the Case Management Team regarding the offender's progress will be provided to the National Advisory Committee for its consideration at the time of the review of the offender's case.

ANNUAL MENTAL HEALTH ASSESSMENT

49. Mental health assessments will be done as required, but one year after an offender has been formally admitted to the SHU, the psychologist will complete an annual mental health assessment of the offender. The assessment will contain observations as to the offender's mental health status and will be provided to his Parole Officer.

MAINTENANCE

50. Once a decision has been made to admit an offender to the SHU, subsequent reviews to determine whether the offender will be maintained at, or released from, the SHU will be conducted no less than once every four months.

51. Any extension of the four-month review period, whether at the time of the initial review by the Senior Deputy Commissioner or following a decision to maintain the offender at the SHU, will be approved by the Senior Deputy Commissioner. The grounds for an extension include:

1. a need for more information; or
2. a need to extend the assessment period.

52. The decision by the Senior Deputy Commissioner to either approve or not approve the extension will be recorded in a memo to file on the Offender Management System (OMS) and will reflect the period of the postponement and the reasons for it. A copy of the memo will be provided to the offender within five working days.

PREPARATION FOR TRANSFER

53. When a transfer from the SHU is being considered, the Parole Officer will request that the proposed receiving institution submit a Management Plan.

54. The Management Plan, as outlined in Annex D, will provide information about the specific action plan to manage the offender's risk, in the event that the final decision is to transfer the offender.

55. The Management Plan, to be submitted within 10 calendar days of the request via a memo to file on OMS, will contain a statement that the Institutional Head and the Security Intelligence Officer have been consulted on the plan.

56. Any expressed dissenting opinion of the Institutional Head of the receiving institution will be documented in the recommendation to the Senior Deputy Commissioner, with an explanation as to why the proposed institution is still considered to be the best option, should the Case Management Team continue to support the transfer.

57. When the Case Management Team recommends an offender's transfer to a regular maximum-security institution, the Parole Officer will complete an Assessment for Decision, in accordance with the Content Guidelines in Annex C, for review by the National Advisory Committee.

TRANSFER OPERATION FROM THE SHU

58. Following confirmation of the transfer date of an offender to a maximum-security institution, the Manager, Assessment and Intervention at the SHU will make the security confirmation request, in writing, to the Institutional Heads of both the sending and receiving institutions and the Director, Preventive Security and Intelligence. This may be effected via electronic mail.

59. The Institutional Heads of both the sending and receiving institutions will confirm to the Director, Preventive Security and Intelligence, no sooner than one week prior to any transfer, that no new information exists that would have an impact on the safe reintegration of an offender into a maximum-security institution.

60. After reviewing and signing off the security confirmation notice, the Director, Preventive Security and Intelligence will forward it to the Senior Advisor.

61. In any case where an approved transfer is cancelled or suspended due to circumstances involving the offender, the National Advisory Committee will review the case at the earliest possible time and provide its recommendation to the Senior Deputy Commissioner based on the new information.

Commissioner,

Original signed by :
Keith Coulter

Annex A - CONTENT GUIDELINES – ASSESSMENT FOR DECISION FOR ADMISSION TO THE SPECIAL HANDLING UNIT

Purpose of report: "This report is being written to evaluate the suitability of Mr. (OFFENDER'S NAME) admission to the Special Handling Unit."

Case status (length of sentence, current offence(s), outstanding charges or appeals and next court date if applicable, immigration, deportation or extradition status, detention status).

Constitution of the Case Management Team. Indicate the number of times that the Parole Officer met the offender during the assessment period.

Include a statement referring the reader to the Criminal Profile Report for details of the index offence.

REASON FOR TRANSFER TO SPECIAL HANDLING UNIT

Indicate when the offender was transferred to the Special Handling Unit and from which institution.

Summarize the critical incident(s) resulting in transfer to the Special Handling Unit.

RESULTS OF MENTAL HEALTH ASSESSMENT

Provide the results of the mental health assessment, and of a psychiatric assessment, if the psychologist completing the mental health assessment made a referral for such.

OFFENDER'S PROGRESS

Progress Against Correctional Plan

Identify the programs, activities and interventions that the offender has been involved in since the last CPPR was completed.

Describe evidence, or lack thereof, of observable change.

Provide an analysis as to how the offender has or has not benefited from the above-noted programs, activities and interventions.

If additional or alternate programs or adjustments in program assignment are recommended, provide a rationale for the adjustment.

Insight

Determine the offender's level of acceptance of responsibility for criminal behaviour.

Describe the offender's understanding of his offence cycle.

Assess the offender's understanding and commitment to relapse prevention.

Institutional Adjustment (indicate the offender's institutional adjustment rating)

Include relevant information on institutional behaviour (including information/comments on disciplinary charges, preventive security concerns, incidents and behaviour in a variety of contexts) and provide an analysis of any high risk behaviours or patterns observed during the sentence.

Assess the offender's risk, integrating the historical risk factors and the impact of changes or lack thereof on the dynamic risk factors.

Identify any short-term management strategies or interventions planned or utilized to address a specific situation.

Provide a summary of offender's behaviour since arrival at the Special Handling Unit. Include pertinent preventive security information.

Include a synopsis of the Structured Casework Records completed by the CO II outlining the offender's behaviour, if applicable.

OFFENDER'S ACTION PLAN

Outline the specific actions to be taken by the offender to address his violent behaviour while at the SHU.

CASE MANAGEMENT TEAM ACTION PLAN

Indicate specific action to be taken as a result of this Assessment for Decision, such as:

• request a psychological assessment;
• request treatment/program reports or other critical information;
• make referrals to programs or employment.

CONCLUSION

Provide analysis as to why placement at the Special Handling Unit is believed to be necessary and why the offender cannot otherwise be managed in a regular maximum-security institution.

If the recommendation is that the offender not be admitted to the Special Handling Unit, clearly indicate why and include a synopsis of the Management Plan prepared by the proposed receiving institution.

RECOMMENDATION/NEXT REVIEW DATE

Annex B - CONTENT GUIDELINES – ASSESSMENT FOR DECISION FOR MAINTENANCE AT THE SPECIAL HANDLING UNIT

CASE STATUS

Reasons for transfer to the Special Handling Unit.

Include the following statement: "This report is to be read in conjunction with the Assessment for Decision for Admission (of the offender) to the Special Handling Unit."

Update any information from Assessment for Decision for Admission to the Special Handling Unit regarding outstanding charges or detention status.

PROGRESS OVER REVIEW PERIOD

Outline what interventions have been attempted or have occurred with the Parole Officer or program staff. Indicate if the offender has incurred any disciplinary charges, if he has been placed in segregation, if he is working or attending school. Assess the quality of the offender's contacts with staff and other inmates. In the case of Aboriginal offenders, include comments from Elders and/or the Aboriginal Liaison Officer, if applicable. Include pertinent preventive security information.

Describe the offender's attitude and motivation towards addressing his violent behaviour and contributing factors. Outline progress made with respect to action plan established upon the offender's admission to the Special Handling Unit.

PSYCHOLOGICAL OR PSYCHIATRIC OPINION

Provide a synopsis of professional assessment of the offender's mental health, including the results of any yearly reviews on long-term Special Handling Unit offenders completed by the Psychologist. Include comments from the Mental Health Committee, and, in the case of offenders placed in segregation over the review period, summarize results of the psychological assessment for segregation report completed by the Psychologist.

OVERALL ASSESSMENT

Provide analysis as to why the offender's continued maintenance at the Special Handling Unit is believed to be necessary.

Provide a specific action plan for the offender, outlining expectations over the next review period and long-term plan.

RECOMMENDATION/NEXT REVIEW DATE

Annex C - CONTENT GUIDELINES – ASSESSMENT FOR DECISION FOR TRANSFER FROM THE SPECIAL HANDLING UNIT

Report to be completed as per Content Guidelines – Assessment for Decision for Transfers (Annex C of CD 710-2), including headings indicated below, under the overall heading "OTHER INFORMATION".

OFFENDER'S RESIDENCY AT SPECIAL HANDLING UNIT

Summarize the critical incident(s) that resulted in transfer to the Special Handling Unit.

Indicate when the offender was transferred and admitted, from which institution, and for how long he was maintained at the Special Handling Unit.

Provide a brief summary of offender's behaviour while at the Special Handling Unit, including any interventions in which he engaged. Include any pertinent preventive security information.

PSYCHOLOGICAL OR PSYCHIATRIC OPINION (as applicable)

Provide a synopsis of professional assessment of the offender's mental health, including any recommendations for interventions.

MANAGEMENT PLAN

Outline details of proposed Management Plan.

OVERALL ASSESSMENT

Provide assessment as to why the offender is deemed ready to transfer to a less structured environment.

RECOMMENDATION

Annex D - MANAGEMENT PLAN – REINTEGRATION INTO A MAXIMUM-SECURITY INSTITUTION

Prior to reaching any decision to transfer an offender from the Special Handling Unit, the proposed receiving institution will prepare a Management Plan outlining how the offender will be managed at the site should the decision be made to transfer the offender. By pre-planning for a potential transfer, Management Plans ultimately result in fewer management concerns and provide an easier transition for the offender.

The Management Plan is not a case review and therefore need not repeat information that has already been outlined in other reports on the offender. Rather, the Management Plan is expected to be brief and specific to the needs of the offender. For some offenders, a Management Plan may be as simple as a behavioural contract, while for others it might entail a specific unit/range location or Parole Officer, employment restrictions, establishment of a monitoring protocol, an immediate interview with a Psychologist upon arrival, etc.

A Management Plan is required regardless of whether or not the proposed receiving institution is supportive of the proposed transfer.

When there is no support for a transfer, the Institutional Head will ensure that the response details why support is not forthcoming, e.g. incompatibles, staff issues, gang issues, and institutional balance. The Management Plan must also outline a plan as to how the offender will be managed should the final decision be to transfer the offender.

The placement of an offender in administrative segregation upon arrival at the institution is not considered to be a viable component of a Management Plan, unless it can be justified as a result of specific case concerns.

Annex E - OFFENDER INTERVIEWS WITH THE NATIONAL ADVISORY COMMITTEE

Purpose of the Interview

The interview is not a decision-making forum. The information discussed or presented is used, along with other documentation pertaining to the case, to make a recommendation to the Senior Deputy Commissioner during the National Advisory Committee (NAC) review.

The interview provides the offender the opportunity to:

• present and submit to the Committee information that he feels is relevant to his case, which is not contained in, or requires clarification regarding, the documentation that the Committee uses to make its recommendation; and/or
• challenge what he considers to be erroneous information contained in the documentation that the Committee uses to make its recommendation.

Request to Attend

• The offender, and/or his lawyer, must indicate their intention, in writing, to participate in the interview within two working days of the NAC review.
• The written notice to attend the interview must be submitted to the Manager, Assessment and Intervention, who will advise the Senior Advisor to the Senior Deputy Commissioner of the request.

The Interview

• The interview panel must consist of, at a minimum, two members of the NAC. A member of the NAC will be selected to lead the interview.
• The Manager, Assessment and Intervention, will notify the NAC members, as soon as possible, of the scheduled interviews. The Committee members will familiarize themselves with the case and review prior decisions and any new information pertaining to the case.
• All persons who are present at the interview should identify themselves by name, position and/or their role in the NAC.
• All interviews will be recorded.
• At the beginning of the interview, an explanation of its purpose will be provided by the Committee member selected to lead the interview. T he NAC member leading the interview will indicate to the offender and/or his counsel that the interview is being conducted in accordance with paragraph 40 of Commissioner's Directive 551 and is not a "hearing". In describing the purpose of the interview, the NAC member may state, for example, that "We are here to consider any relevant information, either written and/or oral, that you would like to identify for consideration by the NAC. Your statements will be considered in the recommendations made to the Senior Deputy Commissioner and reflected in the decision that is taken."
• It should be made clear that the focus of the interview is on those issues related to a recommendation for admission to, maintenance at, or transfer from the Special Handling Unit, to a regular maximum-security institution. Other issues raised during the interview will be noted and referred to other sources for follow-up, as required.
• The presiding member will inform the participants that a timeframe of 30 minutes has been established for the interview in order to allow all offenders to have a fair opportunity to make their representations. If the time allotted is not sufficient to make meaningful representations, the presiding member will invite the inmate and/or his counsel to submit supplementary written representations within one working day and to append any relevant documentation to be considered by the NAC.
• The presiding member will also invite the offender and/or his counsel to clearly outline the points that they wish to raise and to focus upon these points during the interview in order to avoid repetitions. If the same points are raised again, the presiding member should stop the discussion and refocus the interview.
• The NAC members participating in the interview are not legally compelled to engage in discussion with the offender and/or his counsel. They are there to listen to the representations being made and to submit them to the Senior Deputy Commissioner for his consideration in the decision-making process.
• Detailed notes should be taken by a member of the interview group. All other members should also take notes. A summary of the interview notes will be introduced as part of the review of the offender's file by the NAC and will be considered in the recommendations made to the Senior Deputy Commissioner. Results of the review of the representations made by the offender and/or his legal counsel will be addressed as part of the decision record.

Recording the Interview

• A written record of the interview will be made (see below). All interviews will be taped. All interview information, including copies of the audio tape of the interview, must be retained with the offender's personal files for a period of two years after the decision is rendered.
• The Committee members will advise the offender and his legal counsel that the interview is being recorded and that a copy of the tape will be provided to the offender and/or his legal counsel, upon request.

Interview Form

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