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ADMINISTRATIVE AGREEMENT between

The National Parole Board and

The Correctional Service of Canada

I

MEMORANDUM NOTE DE SERVICE

SECURITY - CLASSIFICATION - DE SÉCURITÉ

OUR FILE - N / RÉFÉRENCE

YOUR FILE - V / RÉFÉRENCE

DATE

1985-03-18

14it° Government Gouvernement of Canada du Canada

Tl>À L_ DISTRIBUTION

T CHAIRMAN, NATIONAL PAROLE BOARD FROM PRESIDENT, COMMISSION NATIONALE DES

DE LIBERATIONS CONDITIONNELLES COMMISSIONER, CORRECTIONAL SERVICE OF CANADA

L- COMMISSAIRE, SERVICE CORRECTIONNEL DU-CIANADA

SUBJECT OBJET ADMINISTRATIVE AGREEMENT

BETWEEN THE NATIONAL PAROLE BOARD AND THE CORRECTIONAL SERVICE

It is with pleasure that we are able to present, as our first joint effort, the following document which sets out the terms and conditions of an Administrative Agreement entered into by the National Parole Board and the Correctional Service of Canada.

We have chosen to pilblish the document in separate French and English text simply because of its volume. Copies-of hoth texts:,are readily available.

The agreement provides the nature of the information and services that the CSC provide to the NPB, and vice versa, as well as the timeli-ness and frequency of the provision of the information. It also outlines the consultative mechanism to be followed by both organiza-tions in examining matters of mutual concern.

ENTENTE ADMINISTRATIVE ENTRE LA COMMISSION NATIONALE DES LIBE-RATIONS CONDITIONNELLES ET LE SERVICE CORRECTIONNEL_ DU CANADA

Nous sommes ravis de pouvoir présenter, à titre de premier effort commun, le document suivant exposant les stipula-tions d'une entente administra-tive conclue entre la Commission nationale des libérations conditionnelles et le Service correctionnel du Canada.

En raison de l'ampleur du document nous avons choisi de le publier séparément dans les deux langues officielles. On peut se le procurer facilement dans l'une ou l'autre des versions.

L'entente prévoit la nature des renseignements et les services que le SCC fournira à la CNLC, et vice versa, ainsi que l'apropos et la fréquehce de la communication des renseigne-ments. Elle décrit aussi les processus de consultation que doivent suivre les deux - organismes dans l'examen des

questions d'un intérêt mutuel.

GC 177 7540-21-798-8998

W.R. Outerbfridge

• -2-

The Administrative Agreement, which will be reviewed, at least on an annual basis by the Interlinkages Committee, becomes effective immediately.

L'entente administrative, qui sera révisée au moins annuellement par le Comité de liaison entre en vigueur immédiatement.

R.J. LeBlanc

•

1.-(V rbb

FI t ,P

Icr2Y:5 I Copyright of this document

doe,s not belong to

the Crown,

Proper authoréation

must be obtained from the author for any intended use.

f Les droits d'auteur du présent document

n'appartiennent

pas à l'État. Toute utilisation du contenu du présent

)

document doit être approuvée préalablement

par l'auteur.

//- ADMINISTRATIVE AGREEMENT ›es

between

The National Parole Board

and

The Correctional Service of Canada

February 21, 1985

File: 3405-4-3 p.p.:

81-22.

Diskette: Q-1

Title: A-14

LIBRARY MINISTRY OF THE SOLICITOR

GENERAL OF CANADA

18 199° BI6LIO1 HÉOUE

MINISTÈRE DU SOLLICITEUR GENERAL DU CANADA

OTTAWA, ONTARIO CArNADA OP8

A

CASE PREPARATION STANDARDS

•

In exercising its authority to grant or deny conditional release, the Parole Board must assure

itself that its decisions are consistent with the general objectives of protecting society and

contributing to the offender becoming a law-abiding citizen. Legislated criteria in the Parole

Act reflect these objectives and further stipulate that when the Board makes a decision to grant

parole it does so after having determined that the offender has derived the maximum benefit from

imprisonment.

It is therefore essential that Parole Board Members make their decisions after having considered

the full range of relevant information. The Board receives such information through the case

preparation process. By means of this process, staff of the Correctional Service of Canada

convey written reports and oral updating, a comprehensive blending of facts, interpretive

opinions and analytic judgements that culminate in an informed recommendation being made about

each offender's suitability for release. In preparing his reports the investigator must probe

sensitive and confidential areas, verify questionable information and ensure its accuracy and

objectivity.

In this way, the Board has à valuable assessment regarding significant aspects of en offender's

background, current circumstances and his future prospects. In many instances of decision-making

Board Members will also have the benefit of meeting the offender in a panel hearing and will be

able to augment the knowledge that they have available to them in making their decisions.

.../2

• -2-

•

The following sections outline the principles and operational goals for those who prepare case

preparation information for the National Parole Board.

Objectives of Case Preparation

The major objective of case preparation is to provide the National Parole Board with relevant

information in the form of facts, opinions, analytic judgements and recommendations in order that

the Board will be sufficiently informed about an offender to assess the degree of risk his

release would present to the community and his potential to become a law-abiding citizen.

Cam Preparation - Operational Principles

In order to provide Board Members with the information needed to assess the degree of risk that

the release of an offender would present to the community and his potential to become a

law-abiding citizen, the following principles should be adhered to:

Principle 1: To provide the Board with factual information regarding the offence(s) and an

in-depth analysis of the factors which contributed to the offender's involvement in criminal

behavior.

The Board requires information from the offender's personal history that may provide an

understanding of his subsequent criminality. Evepts pr circumstances which may have contributed

to his involvement in crime are to be documented and assessed. The information could and usually

will derive from many segments of the offender's background.

• .../3

• ...14

-3-.

•

•

Principle 2: To provide the Board with an assessment of the changes which have occurred within ;

the offender or his circumstances since the commission of the offence(s) relative to the factors

which contributed to his criminality, with a detailed description of these changes.

The Board should be advised of significant events and changes that have taken place since the

offence(s) was committed and during incarceration, with an analysis of the impact of these

developments on his potential future risk in the community and ability to lead a law-abiding

life-. This may include his behaviour on bail, his institutional adjustment and involvement in

institutional programs, as well as his relationships with institutional personnel, inmates, or

persons in the community. The analysis should also reflect the impact of these events on the

• offender's personal, psychological and emotional state.

Principle 3: To identify the current or anticipated risk factors that the release of the

offender will present to the commmunity and the factors which will enhance positive adjustment if

released.

The Board requires information about the environment to which the offender may be released.

Factors in the community will assist in determining the level of risk to the community and the

offender's ajustment. Although it is difficult to accurately predict the future, the analysis

should reflect the impact of such factors as the offender's family or marital relationships, his

prospects for employment, the availability of supervision, the need for special conditions or

specialized supervision methods, as well as any other relevant events or circumstances that might

affect the offender upon release.

• - 4 -

•

Principle 4: To provide an overall assessment of the offender, and evaluate the anticipated

degree of risk he will present if released to the community and his potential for law-abiding

behaviour.

After having described and analyzed information about an offender's background, term of

incarceration and probable future community situation, it is necessary to assess the relative

impact of the various significant factors that have been identified. Predictable assumptions

about a person's risk and potential for positive change do not lend themselves to being fixed

within specific, quantifiable limits. The professional judgment that is exercised in this

analysis will culminate in the recommendation to the Board and directly affect the future

supervision of the offender.

Principle 5: To propose alternative release options or to outline institutional program plans to

address the risk factors and to enhance his potential for law-abiding behaviour.

The analysis of positive and negative factors that will affect an offender's prospects to be

law-abiding will often suggest the appropriateness of considering various courses of action to be

taken.

It is expected that in many cases there will be a need for the Board to consider the benefits of

alternative decisions that might best apply to the circumstances being decided upon. This

necessitates that those who prepare recommendations to the Board will consider viable alternative

plans for an offender and document the rationale which supports these alternatives in making

their recommendations.

• .../ 5

• .../6

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•

•

CASE PREPARATION - OPERATIONAL GOALS

The Board requires a comprehensive picture of the offender, his background, the - offences(s), his

period of incarceration and his anticipated adjustment in the community. This requires that the

specific information that is identified in the Administrative Agreement be analyzed within the

comprehensive framework which is outlined below. However, it is important to note that because

provincial/territorial inmates serve shorter sentences, the NPB and CSC may develop modified case

preparation/documentation arrangements with provincial/territorial governments as a means of

accelerating the case preparation/parole review processes.

I) Assessment on Admission

Following conviction, a report shall document and assess all the relevant facts and

contributing factors to the offender's criminal behaviour. A detailed social history

focusing on such critical factors as family development and influence, educational and

training experiences, employment record, marital status, sexual behaviour, drug and alcohol

use, and mental health status is also necessary. In addition, information should be provided

regarding his criminal history, previous performance in institutions and on probation or

parole, a description of the offence(s), comments from the sentencing judge, performance on

bail and status of accomplices. In some cases, the victim's reaction to the offence and to

the possibility of the offender's release should be obtained.

• .../7

•

•

- 6 -

II) Institutional Experience

Comprehensive information is essential regarding the offender'a behaviour during

incarceration. Institutional progress reports should focus on the offender's involvement in

institutional programs, transfers, education and training, work involvement, use of leisure

time, treatment/counselling involvement, problematical behaviour, preventive security

information, and utilization of ETAs and UTAs. Up-to-date psychiatric and psychological

assessments should be available, particularly for sexual offenders and other offenders with a

propensity for violent behaviour. The overall focus of the report should be on what changes,

if any, have occurred within the offender and the status of the contributing factors to the

current offence(s) that were identified upon admission.

III) Community Assessment

In order to assist in assessing both the offender's and the community's readiness for his

release, a comprehensive community assessment should be conducted with detailed information

in the following areas: The offender's release plans, his sources of community support,

police reaction, supervision needs/supervision plan, and reaction of the community (and in

some cases the victim) to release. An analysis should be provided of the offender's risk

to the community, how this risk may best be reduced, and how the community situation has

changed from the time when the offender initially committed his offence(s).

.../8

•

•

-7..

IV) Final Evaluative Aseeement

A final review of all information should note the positive and the negative factors. These

factors would include those contributing to criminal behavior, the offender's involvement

in programs and his progress during incarceration. The review should also provide a

detailed analysis of how the offender has changed in order to reduce the risk of similar

behaviour if he is released. If release is not to be recommended, alternative plans of

action to facilitate reduction of his potential risk upon initial release must be outlined.

V) Fairness

The Parole Regulations provide that relevant information shall be furnished to the inmate

prior to his review for full parole. In addition, the inmate must be made aware of and

involved in his own planning and programming. The offender should also be informed of the

purpose of the Board's review in order that he will be in a better position both to

understand the decision rendered and to contribute to the Board'a decision-making process.

1) TYPE, CONTENT MO SOURCES OF REPORTS

The following represents the type and quality of information required as well .as timeliness,

frequency and sources of reports which will be provided by CSC staff for decisions related to

escorted or unescorted temporary absences, day parole, full parole or mandatory supervision.

- 8 -

•

A) Nature of Offence

i) The circumstances of the offence from the perspective of the following sources:

a) police agencies involved and/or the prosecution;

h) the judge or magistrate (obtained by NPB in certain cases) if available;

ii)Reports compiled from the above sources should, where possible, reveal the following

information:

a) how the offence was perpetrated;

h) part played by the inmate in the offence(s);

c) the degree of violence involved;

d) the name and status of any accomplices;

e) the level of co-operation by the offender;

f) the degree of harm done to the victim;

g) the existence of outstanding charges;

h) the status of any appeal pending;

i) the status regarding ongoing investigations;

j) information concerning the inmate's performance while on bail;

k) the purpose of sentencing;

1) the views of the sentencing judge;

m) any recommendations about parole.

.../9

• -9-.

•

Although important in all cases, police reports are of particular significance in the

more serious cases. In order that all pertinent data as outlined above is made

available, it may be necessary to contact police agencies to gain additional

information to that originally provided in the police reports submitted.

iii) The views of the inmate, his relatives or other interested persons concerning the

offence and, where feasible and advisable, the views of the victim.

iv) As is deemed appropriate in specific cases:

•

a) the inmate's plea at the trial;

h) portions of the transcript of the trial, especially judge's comments re

sentencing;

c) in life minimum sentences, the arrest date and any time spent in custody between

arrest and conviction date.

8) Criminal History

i) Information with respect to the inmate's criminal background:

a) dates and places of prior convictions;

h) type and circumstances of prior offences;

• .../10

• .../11

- 10 -

•

•

c) type and length of prior sentences as substantiated by FPS records;

d) any prohibition regarding possession of firearms.

ii) Description and in-depth analysis of the inmate's criminal history to assist the

Board in identifying a pattern of criminal behaviour and in predicting the

likelihood of the resumption of criminal behaviour in the foreseeable future.

C) Institutional and Parole History

In order to inform the Board and CSC about an inmate's conduct during previous sentences,

including while under supervision in the community, pertinent documentation and reports

kept on active files will be submitted to the Board upon re-admission of an inmate,

including a summary description of the inmate's performance during the sentences.

D) Institutional Behaviour Assessment

i) A description and assessment will be provided in relation to the following factors:

a) the level of the inmate's security and the level of security of the institution;

h) contact with the community through institutional or community release programs;

c) the nature of activities and degree of participation by the inmate in work,

educational, and rehabilitation programs;

d) inmate's relationship with staff and other inmates;

e) transfer history, including any transfer contemplated;

•

- 11 -

f) behaviour while on any temporary absence;

g) use of leisure time;

h) the nuMber, date and type of misconduct reports, ineludidg the diapôteitidh Of

these matters (loss of remission);

i) a summary analysis of relevant behaviour during the term of incarceration.

E) Pteventive Security Reports

CSC will advise NPO in writing of any confidential information in its possession and

provide a copy of all documentation regarding the status of any ongoing investigations or

data with respect to preventive security information as requested by the Board in

accordance with the provisions of the Divisional Instruction for Preventive Security

Information.

F) Ineate's Peraonal and Social Background

i) The following personal and social background data:

a) age and marital status; and number of dependents;

b) family background and social milieu of family;

c) physical or mental handicaps, disabilities or diseases;

d) educational history;

•

• .../12

• .../13

- 12 -

•

•

e) employment history (trade, skill, work habits);

f) financial situation;

g) drug or alcohol involvement;

h) other pertinent information derived during the investigation, including the

pre-sentence report (if available), which may assist Board Members to understand

the applicant;

i) in specific cases, and in accordance with NPB policy, CSC staff will ensure

arrangements are made for the preparation of psychiatric, psychological, medical

or neurological evaluations.

G) Inmate's Release Plans

0 The description and assessment of the inmate's release plans to include the

following;

a) community investigation of plans;

h) results of unescorted temporary absences;

c) the names of persons contacted in the community, their relationship with the

inmate and opinion of him;

d) observations about the persons contacted to indicate their attitude towards the

inmate and their understanding of the terms and conditions of release;

e) description of the inmate's proposed accommodation;

f) the verification of work or educational plans;

g) a description of attitudes of secondary contacts;

• .../1 4

- 13 -

•

•

h) an assessment of the nature and frequency of supervision which is contemplated

end available;

i) any recommended special conditions with rationale for them;

j) any special arrangements requested with regard to notice and timing of release;

k) the identification of other community resources which could help the inmate upon

release;

1) the name of the supervisor and the police department for reporting purposes;

m) as possible and appropriate, along with the inmate's preferred release plans, an

analysis of alternative release plans to those proposed by the inmate, together

with short and long term goals;

n) as appropriate, the views of the victim or the victim's family.

NOTE: Community Assessment in Parole for Deportation/Voluntary Departure Cases

While a community assessment cannot be obtained in all parole for

deportation/voluntary departure cases, CSC is required to endeavour to obtain

these reports in cases of high risk or special precaution, i.e., cases involving

a major crime of violence, organized crime etc. or cases where a community

assessment is required to verify grounds submitted by the inmate for release on

parole. Because of the length of time required to receive a community assessment

from a foreign country, CSC should initiate the inquiry well in advance of the

normal case preparation time requirements. Where CSC is unsure of the NPB

requirement for a community assessment in a particular case, it should obtain

•

- 14 -

direction from the Board well in advance of the scheduled review in order to

avoid unnecessary delays should a community assessment be required.

H) Information on Inmate's Accomplices

i) The status of accomplices if any, (sentence, whereabouts, eligibility and any

pertinent information which could have a bearing on the applicant's eventual

release).

I) Overall Evaluation Assessment

i) A drawing together in summary form of the major findings of the investigation,

including an overall evaluative analysis of the case and a recommendation to the

Board. This report will provide a description and analysis of the following factors:

a) the principal strengths and weaknesses of the applicant;

h) assessment of the principal dynamics and characteristics of behaviour;

c) the identification of any diverse opinions expressed by those involved . in the

investigative process;

d) an opinion regarding the likelihood of the applicant's probable adherence to

conditions of parole and of successful re-integration into the community.

•

.../15

—15-

J) Other Pertinent Information

i) Any other information and/or observations which may have a bearing on the decision or

which may be required by the Board or CSC.

K) Forms to be Ueed

The form of reports to be exchanged between CSC and NPB is subject to consultation

between the Board and CSC.

Sharing of .Information between the NPB/CSC is subject to the current agreement, the

Privacy Act, and to jurisprudence respecting Section 17 of the Parole Regulations.

0 Time Frame and Frequency for Submission of Reports

In order that CSC staff may initiate case preparation early enough, the NPB will advise

CSC staff and the inmate simultaneously of eligibility dates and subsequent review dates

following adverse decisions.

In order that the Parole Board may review cases within the time limit prescribed by the

Parole Act and Regulations, CSC staff will provide all information and documentation to

the Board as per the timeliness and frequency outlined in this Agreement. Exceptions to

these time frames may be made in accordance with the consultation process provided for

•

•

• .../16

•

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within this Agreement. Where applications for parole by exception are submitted, they

will be processed as expeditiously as possible.

H) Cates Requiring Special Action

In instances where the parole eligibility date is suddenly changed as a result of

unforeseen/unavoidable circumstances (cg, parole by exception, inoperative parole,

incorrectly calculated dates), the NPB is required by law to conduct its review as

quickly as possible and will therefore request immediate investigation of the case by

CSC. Where it is not feasible for CSC to complete its investigation in time for the new

review, the case will be submitted to the Board with a recommendation to "Reserve"

pending completion of inquiries. The NPB may then carry out its review as required by

the Parole Act and Section 14 of Parole Regulations.

II. PANEL HEARING

Unless a federal inmate in a federal institution has stated in writing that he does not want

to be considered for full parole, his case must be reviewed at the time prescribed by the

Parole Regulations. These compulsory reviews must include a hearing at which the inmate is

seen unless he has given written notice that he does not wish to appear. Federal inmates in

provincial institutions, including mental hospitals, do not appear before a panel of the

Board, except for those individuals serving life or indeterminate sentences.

•

• .../17

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In order to preserve the special value of the hearing and to ensure that the inmate's rights

are respected, certain requirements will be met as follows:

A) Attendance and Protocol at Panel Hearings

i) a) The right to privacy of the inmate will be respected and information presented by

the inmate at the hearing will be dealt with in a highly selective and

professional manner. The inmate may request, from the Board Members, permission

to address the Board in private;

b) all necessary steps will be taken to ensure that the environment of the hearing

is such that discussion remains confidential and that the importance of the

hearing is reflected in the dignified and serious nature of the proceedings.

ii) In addition to the attendance of the Board Members and the inmate (and an assistant,

if so obtained by the inmate), CSC will ensure that it is represented at the hearing

subject to the following arrangements:

a) CSC will submit, as part of its regular case preparation, an indication of the

' person(s) felt to be most appropriate to act as its representative(s) at the

hearing (in some cases, this may be limited to one person and, in others, two or

more when cases of particular complexity are to be considered). If the NPB

chooses not to respond to the proposed representation, the CSC recommendation

will be taken as accepted; if the NPB does not agree with the proposal, CSC will

respect the wishes of the Board so long as these wishes clearly relate to the

dynamics of the case to be considered.

•

• .../18

•

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h) When only one CSC representative attends the hearing, that person will be the

member of the Case Management Team whq is thoroughly familiar with the individual

case, particularly respecting up-to-date date information on all aspects of both

community and institutional information. The CSC representative should be able to

provide complete information representing institutional behaviour, the contents of

the community assessment and the release plan, as well as being able to discuss

alternatives and their implications.

c) In order to ensure a capacity to respond to unexpected issues or circumstances

that may arise during the hearing, CSC will provide a telephone, with speaker, in

each of the hearing rooms, to ensure direct telephone contact with the community

member of the inmate's Case Management Team and/or the Section Supervisor who

signed off the reports. This officer will be available at the other end of the

line for the half-day period during which the particular hearing will be held.

d) The NPB will provide 48 hours advance notification to the institution in all cases

where it wishes to have visitors attend the hearing.

iii) For administrative and security reasons every attempt will be made to conduct panel

hearings during the normal daily Working hours of the institution. The NPB will

notify CSC as soon as possible of any scheduling changes or possible overtime. CSC

will effect the necessary measures to ensure the safety and security of Board Members

at all hearings.

•

• .../19

• .../20

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iv) Inmates scheduled for hearings will be available at the appointed time and transfer

of inmates within two months of a hearing will be avoided whenever possible. When

such a transfer is necessary, CSC will notify the Board immediately by telex or

telephone. CSC officers will take the necessary steps to ensure that each case is

followed up where last minute transfers occur so that the panel hearing will not have

to be re-scheduled to a subsequent month unless that is unavoidable.

In the case of a pending parole review, the CMT in the originating area will provide

the NPB with a transfer summary of the inmate's behaviour, activities and progress

while in the institution as well as en assessment of the offender's release plan.

v) The Board will provide CSC . with a final list of cases to be interviewed for full

parole, day parole or unescorted temporary absenc e . at least two weeks prior to the

scheduled panel hearing date.

In instances where the list of hearings must be modified, prior consultation will

immediately take place between NPB/CSC but every attempt will be made to confirm the

changes as soon as possible prior to the hearing. It is recognized that this may not

always be possible.

In cases of post suspension hearings, the Board will confirm the date of the hearing

as soon as possible.

- 20 -

vi) Upon completion of its review the Board will notify the appropriate CSC staff of its

decision within 15 days in all cases. The Board will send its reaaons within the

same time frames as well as the next review date, and type of review. Subject to the

provisions of the Privacy Act, a copy of Board comments will be provided with the

above documentation.

vii) In cases where a Board decision cannot be implemented at the time prescribed, CSC

staff will immediately submit a report to the Board to advise of the reasons why

implementation cannot occur, including a recommendation regarding a different

implementation date or alternative decision.

13) Release of Information Pursuant to Section 17 of Parole Regulations

Currently under review.

•

•

• .../21

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2. CASE SUPERVISION

Parole Supervision: Authority and Responsibility

The Parole Act gives to the National Parole Board, exclusive jurisdiction and absolute

discretion to grant conditional release to inmates. Conditional release is a privilege which

enables an inmate to serve a portion of - his sentence in the community, subject to any terms

or conditions the Board may consider appropriate and necessary. In exercising this

authority, the Board has a responsibility to ensure that the presence in the community of the

conditionally-released inmate, whether on an'unescorted temporary absence, day parole, parole

or mandatory supervision, is compatible with the twin objectives of conditional release;

namely to protect society, and to assist the offender to become a law-abiding citizen.

The parole supervisor has the authority and indeed the responsibility to intervene in the

life of the released offender to ensure compliance with the terms and conditions of release.

In so doing, supervision is intended to promote the dual objectives of parole. Thus, the

kind and quality of parole supervision that can be provided is an important factor that is

considered in the decision to grant or deny conditional release.

A shared understanding and effective communication between the National Parole Board and the

parole supervisor concerning the objectives and methods of supervision are important to the

supervisor in carrying out his/her responsibilities in an effective manner'. In this regard,

the following statement of principles is intended to assist parole supervisors in determining

the nature and intensity of intervention that they should use in carrying out their

•

•

• .../22

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supervision responsibilities. Thus, the following principles should be regarded as criteria

to guide the judgements and decisions that parole officers are called upon to make in

discharging their duties.

NOTE: 1. The term "parole supervision" refers to the supervision of offenders on unescorted

temporary absences, day parole, parole and mandatory supervision.

2. The term "parole supervisor" refers to any person who undertakes the

responsibilities of parole supervision, whether as an employee of the federal or

provincial governments, or of a private sector agency.

Statement of Objectives

Parole supervision is intended to enhance the protection of society. It is recognized that

this may be best accomplished by guiding and attempting to control an offender's behaviour

while on conditional release in the community and by assisting the offender to become a

law-abiding citizen.

The two major objectives of supervision are: -

1. To enhance the protection of society by minimizing the risk of released offenders

committing further offences. This protection is enhanced by a careful selection of

conditions of release, by monitoring the offender's behaviour, by imposing special

controls on his/her activities in the community and, if necessary, by imposing sanctions

• .../23

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or having the offender incarcerated if hie presence in the community becomes an undue

risk.

2. To assist the offender in becoming a law-abiding citizen by providing assistance and

services including counselling, guidance, referral to community services and where

possible by the development of a supportive interpersonal relationship.

The Purpoee of Parole Supervision

Parole supervision, like other forms of supervision, implies a very direct and personal level

of intervention. When any kind of supervision is exercised over another, certain kinds of

authority are involved with the goal of meeting certain objectives. Depending on the role of

11110 the supervisor, the objectives will be different. In some instances the issuing of orders is

the only way to achieve goals. In most circumstances, however, the supervised person must

cooperate in order that the goals may be attainable. While one can impose a solution if the

object is to punish or to contain behaviour, to do so does not necessarily modify or change

behaviour. Thus, the use of coercion and exhortation have their limitations.

In corrections, a basic problem derives from the nonreciprocal nature of most "correctional

programs". Thus, we are accustomed to encountering resistance by most supervised offenders

to organized efforts to change their behaviour. Although we do not know a great deal about

the process of change, we do know that its occurrence is dependent on the person making a

choice to seek change. The choice often involves a decision to. abandon old and familiar

patterns of conduct and attitudes and to seek new ones. This process is frequently

•

• .../24

•

- 24 -

aided by others, who support the change, encourage a new direction and are ready to assist

the person in coping with the anxiety and uncertainty leach frequently accompanies this

process.

In its practical application, parole supervision reflects the intent that the perceived

elements of both the individual's risk and potential for improvement will be continually

assessed and accounted for. Thus parole supervision consists of a blend of attempts to

diminish risk by controlling the activities and behaviour of the released offender and by

encouraging his potential to be law-Ebiding through the supportive involvement of the parole

supervisor. It is in the balancing of these approaches that the practice of supervision

imposes its greatest demands.

In order to achieve the dual objectives of supervision, the following specific principles

must be adhered to:

Operational Principles of Supervision

1. To investigate and assess the incarcerated offender's needs and his release plan and, to

recommend to the Parole Board the most appropriate action or release plan, including any

proposed conditions and instructions regarding supervision.

Canprehensive release planning is an essential antecedent of good supervision. While some of' the

offender's needs or problems may have been resolved during incarceration, others, because of

their nature or the offerder's unwillingness or inEbility to deal with them rhile incarcerated,

•

• .../25

•

- 25 -

•

•

will remain unresolved at the time of release. It is important that a thorough analysis of the

offender's circumstances and available community support and resources be documented in order to

assist those making conditional release decisions.

The analysis and assessment of the offender's personal circumstances is an ongoing process

throughout supervision, since new problems may arise following release. In these instances, it

is incumbent on the parole supervisor to assess the nature and extent of the problems and review

with the offender the degree of interest and commitment that he has to deal with these problems.

2. To ensure that the offender is made aware of the terms and conditions of release in order

that he understands his responsibilities upon release.

The conditions of release serve as a reminder to the offender that he is continuing to serve his

sentence while in the community and must adhere to the restrictions placed upon

him. Shortly prior to any release, it is necessary that a counsellor carry out a thorough review

of the terms and conditions of release with the offender in order to explain the expectations and

responsibilities of release. In some situations, special conditons, expectations or instructions

may be placed on the offender by the National Parole Board and/or supervisor as additional

controls in order to address specific areas of concern. The counsellor should ensure that the

offender is advised of the specific nature of all conditions and the possible consequences of

non-compliance.

3. To assist the offender in meeting assessed needs by providing assistance and services and by

facilitating utilization of community-based services.

- 26 -

One of the major elements of supervision is the assistance that is provided by the supervisor to

the offender. Guidance, counselling and utilization of community resources are important in

assisting the offender to develop the personal capacity to become a law-abiding citizen. Prior

to release, the supervisor should be prepared to assist in the planning and arranging for such

essentials as medical coverage, financial assistance, transportation, accommodation and

employment. He must ensure appropriate notification of release is made to the police, the family

of the offender and other individuals who have a reason to be informed. Arrangements will also

have to be finalized to ensure that the supervisor is available to meet with the offender

•

•

as soon as possible upon release.

The supervisor should maintain knowledge of the kinds of resources that are present in the

community, the services they provide, the clientele they serve and policies regarding referrals

and admission. The spectrum of available resources may be very broad, including services

provided by the Correctional Service of Canada itself, other agencies or departments of the

government (federal, provincial and municipal), as well as private sector resources.

If appropriate resources are not available, the supervisor should determine the viability of

either implementing or seeking the assistance of others to support the development of the needed

resources or services.

4. To maintain sufficiently frequent contact with the offender and others with whom he relates

closely to ensure a comprehensive knowledge of the offender's activities.

• .../27

• 27 -

•

An offender will quickly develop a lack of respect for his supervisor and for conditional release

in general if he perceives that the supervisor is not well informed of the offender's activities

and behaviour.

In order to maximize the protection of the community, the parole supervisor must not only have

comprehensive knowledge of the offender and his release plans, but also his behaviour and

activities in the community. To achieve this, the supervisor should maintain sufficiently

frequent contact with the offender to provide opportunities for sharing of information and to

ensure the offender is accountable to the supervisor for his behaviour and activities.

Ongoing contact with the offender's family, friends, employer, the police and others in the

community who have knowledge of the offender's behaviour and activities will enable the

supervisor to gain a comprehensive understanding of the offender's environment end to know how he

interacts at home, at work and in his leisure hours. Special attention should be given to

identified problem areas in order to be able to respond to any perceived deterioration in

behaviour or warning signals regarding potential problems or increased risk to the community.

Also, it is important that other persons who are involved in the offender's life be aware of the

purpose and conditions relating to the offender's release. These people should also have access

to the supervisor to discuss problems that may arise.

Frequency of contact varies throughout the period of supervision based on the needs of the

offender, his degree of stability, his response to supervision, the support/involvement of

community contacts and the perceived risk to the community. In order to maintain comprehensive

knowledge of the offender's activities and to enhance development of the supervisory relationship

• .../28

•

- 28 -

described earlier, there must be a high frequency of personal contact with the offender during

the first 3-6 months of supervision. In this regard, volunteers may need to be utilized to

ensure adequate contact is maintained with offenders who live in areas which are distant from

parole offices. The first contact by the supervisor should occur as soon as possible upon

release, with subsequent appointments scheduled on a regular and mutually understood basis.

Although appointments in the parole office may be appropriate in specific instances, (i.e. for

disciplinary interviews or planning sessions), home contacts and visits in the community are an

extremely important part of supervision. Also, the supervisor or an appropriate delegate should

be available on a twenty-four hour basis to be able to respond to the offender's needs when

problems arise.

This approach to supervision should enable the supervisor to defuse many potential crisis

situations while placing him in a constructive position to intervene when crisis situations do

arise.

5. To seek to establish with the offender and others who have a close rapport with him a

relationship based on trust and understanding.

The initial period of adjustment is typically very difficult and therefore, it is important that

the supervisor seek to establish a positive relationship at this stage. The ability of the

supervisor to develop with the offender a relationship based on trust and understanding and to

assist the offender in his relationship with others, will enhance the degree to Which guidance

and counselling will be effective throughout the period of supervision.

•

• .../29

• .../30

- 29 -

•

•

In order to be effective, supervision must involve more than mere surveillance or monitoring of

the offender's behaviour and interaction with others in the community. The parole supervisor

must make a determined effort to establish a rapport and relationship with the released offender

in order to be in a position to positively assist and influence the offender's adjustment.

Because of the importance of an offender's family, friends and employer on his overall

adjustment, the supervisor must establish effective communication and relationships with them.

To accomplish such objectives, the supervisor must havé a genuine desire to be of assistance and

sensitivity to the different challenges facing released 'offenders. In addition,. the supervisor

should possess a knowledge of and skill in the utilization of various counselling methods.

As well as the supportive rôle described, the supervisor also has a disciplinary role to exercise

as may be required. The supervisor should demonstrate to the offender that adherence to release

conditions is required and that while he is firm and imposes discipline as necessary, he is also

fair, consistent, and sincerely interested in the offender's welfare as well as the protection of

the community.

6. To ensure that the National Parole Board is made aware on an ongoing basis of the offender's

behaviour and activities in the community and to ensure that any perceived undue risk or

violations of the conditons of release are reported to the Board immediately.

Given the Board's ultimate responsibility for all conditionally-released inmates, it must be kept

informed of the offender's activities and behaviour in the community. This information is

necessary to enable the Board to take whatever action is deemed appropriate in responding to a

•

- 30 -

perceived risk to the community. Such reports provide a comprehensive picture of the offender's

adjustment and are valuable in subsequent deliberations to revoke releases if necessary.

Special attention should be given to the identified problem areas. It is important that all

violations, including failure to abide by any special conditions or instructions be immediately

reported to the Board by the supervisor. These reports should reveal circumstances of the

violation, disciplinary action that has been taken, the offender's response to any such

intervention as well as the recommendation of the supervisor.

7. To initiate disciplinary measures, sanctions or restrictions when deemed appropriate to

. promote protection of the community.

The conditions of release and any special instructions or restrictions imposed by the Board or

supervisor are intended to control the offender's behaviour and to instill in him a sense of

discipline that may assist him to be law-abiding. In the event of a violation of these

conditions, depending upon the circumstances and seriousness of the offender's behaviour,

appropriate disciplinary action should be exercised. On these occasions, supervisors are called

upon to make decisions based on an awareness of the specific nature of the violation, assessed

risk and the offender's overall adjustment during conditional release. Such action may range

from a disciplinary interview to imposition of additional restrictions or instructions, or

ultimately suspension. However, whenever an individual is deemed to constitute a risk to

society, the supervisor must bear in mind that the protection of the public is of paramount

importance.

•

• .../31

•

- 31 -

The Duty to Act Fairly

In meeting all of the principles of parole supervision, the National Parole Board and the parole

supervisor must ensure that offenders are dealt with in a fair, humane and equitable manner and

that their rights are protected by ensuring adherence to legal, policy and procedural safeguards.

PAROLE SUPERVISION--OPERATIONAL GOALS

A. Pre-Release

The Parole Board requires an in-depth assessment of the offender's perceived problem areas

when released and a detailed release plan outlining the resources and opportunities in the

community which will be utilized in attempting to resolve those problem areas. The release

plan must also include an assessment of the required frequency and nature of contact by the

supervisor with the offender, as well as the need for special instructions or conditions,

special release arrangements, and/or contacts with collaterals. An assessment of the

offender's attitude, and the attitudes of his collateral contacts toward supervision and

their willingness to accept the conditions of release, shall also be provided.

Prior to release, the supervisor should be informed by the case management team of the

offender's needs which require immediate action upon release, such as the need for

accommodation, financial support, medical coverage, etc. The actual date of release must be

arranged by the Case Management Team with the supervisor and the offender's collateral

contacts to ensure the supervision process commences immediately upon release; the police

•

• .../32

• .../33

=0'32 ■IF

•

•

must also be informed of the date of release with any special concerns about the release of

potentially dangerous offenders being conveyed directly to the police by personal contact

from correctional officials.

The Case Management Team is responsible for preparing the release certificate and ensuring

that the offender is fully aware of the terms and conditions governing his release and the

consequences of failing to adhere to those terms and conditions; the National Parole Board

must receive confirmation that the offender has been briefed on all requirements of his

release and supervision.

B. POST-RELEASE

In order to meet the two major objectives of supervision, intensive supervision involving

frequent contact with the offender is essential. It will thus be the practice that each

offender released on day parole, full parole or mandatory supervision will be assigned to a

category of intensive supervision upon his release, for the following periods:

(1) For the duration of day parole, in the case of all day parolees;

(2) For a minimum of six full months, in the case of all offenders on full parole or M.S.,

except for the special categories described below;

• .../34

- 33 -

•

•

(3) For a minimum of one full year, in the case of offenders on full parole or M.S., wno:

(a)are serving their current sentence for a conviction of cometting or attempting to

commit a crime involving violence, or have received such a conVictiOn Within the

last seven years;

(b)have been identified as high profile cases or "cas célèbres" by the Parole Board at

the time of release; or

(c)have a history of involvement in organized crime.

If, at the end of the period of intensive supervision, the offender has made satisfactory

progress, he may be moved to a category of active supervision, which requires less frequent

contact while still demanding a careful and regular monitoring of hi s behaviour and adherence

to release conditions. All offenders -on full parole or M.S. will remain in the active

category for a period of three to six months, with the exception of those identified in (3)

above, who must remain there for a minimum of six full months.

Finally, after successful completion of the active supervision phase, the offender may be

placed under periodic supervision, wherein contacts take place at more widely spaced

intervals.

Supervision reports will be submitted to the National Parole Board after the first month, the

fourth month, the seventh month and every four months thereafter, unless otherwise directed

by the Parole Board. The initial supervision report will include an assessment of the

offender's understanding and initial acceptance of his release conditions and expectations

•

- 34 -

and the necessity for ongoing adherence to them.

The specific information that is identified later in the Administrative Agreement should be

analyzed within the comprehensive framework of supervision reports which is outlined below:

1. The frequency and nature of contacts with the offender and his collateral support.

2. The offender's behaviour, status, and activities regarding accommodation, employment, use

of leisure time.

3. How essential needs are being met, utilization of community resources to meet those needs

and what alternatives are being considered in order to respond to any areas of concern.

4. The nature of counselling and assistance provided to the offender and his reaction to

those interventions, and the attempts by the superviser to develop a close and supportive

relationship with him.

5. How the Board's or the supervisor's specific instructions are being implemented and

adhered to by the offender.

6. Any significant deterioration in behaviour, or other incidents or occurrences.

7. An assessment of the offender's overall community environment and the nature and quality

of his interpersonal relationships.

8 An assessment of the offender's needs and problem areas which will be the focus of

supervision efforts during the next supervision period.

9. The nature, extent, and response to contact with the volunteer supervisor (if

applicable).

•

•

- 35 -

In addition to the regular supervision reports, the Parole Board must be immediately notified

of the violation of special conditions, new criminal charges, and/or major deterioration in

the offender's behaviour indicating increased risk to the community, Reason:à for issuing

suspension warrants must be immediately conveyed to the National Parole Board and special or

post-suspension reports must be completed as soon as possible and include the following

information, if applicable:

- The nature of the violation, details of any charges, degree of deterioration.

- Detailed reasons for any disciplinary action, or suspension.

- An assessment of risk, what action has been taken, the offender's reaction to the

intervention and any recommended Board action/decision which is required.

- Information from community contacts, police.

- A detailed summary of the offender's overall progress on supervision since release,

response to supervision, analysis of alternatives in view of the violations including the

offender's plans if again released, an asSessment of risk, and any recommendations

regarding revised conditions or instructions.

- The reasons for recommending revocation and the implication of that decision.

Throughout the supervision period, the supervisor must be aware of the offender's rights and

inform him of those rights.

• .../36

• .../37

- 36 -

1. Type and Content of Reports

In order to ensure that the Board is apprised of all events that are relevant in assessing

the need for any further action, the following information will be provided as appropriate,

by CSC staff to the Board.

A) Uneecorted Temporary Absence Reports

A report outlining the following:

a) the inmate's proposed destination and, if different, the actual destination;

b) the nature of the relationship between the inmate and his contact in the community;

c) the name of the supervisor;

d) the nature of contacts with his supervisor;

e) the location of any interviews and those present;

0 the supervisor's opinion about the attitude of the inmate and his contact person, if

there is one;

g) the quality of the relationship between the inmate and those he visits;

h) adherence to or breach of conditions (or extra conditions);

i) activities participated in during the unescorted temporary absence;

j) general comments about the value of the unescorted temporary absence to the inmate;

k) comments regarding future UTA's and supervision required.

•

•

-37-

13) Dey Parole, Parole and Mandatory Supervision Reports

Supervision Reports submitted to the Board will provide the following:

a) the name of the supervisor, types, dates, number and location of contacts with the

offender and his collateral support during the period in question;

13) a description of the significant activities of the person (e.g., use of leisure time,

employment, etc.) while under supervision;

c) the inmate's financial situation;

d) the quality of co-operation with his supervisor;

e) conduct with regard to adherence to the ternis and conditions of release (breaches or

lifting of standard or special conditions);

f) relationship with familY and friends and an assessment of the offender's overall

community environnent;

g) an assessment of the offender% needs and problem areas which will be the focus of

supervision efforts during the next supervision period along with an evaluation of

the offender's ability to cope with these difficulties;

h) any restrictions or special instructions imposed by the supervisor;

i) any charges or deviant behaviour, indictable or summary convictions; and significant

deterioration in behaviour;

j) an overall assessment of the person's behaviour during the period under supervision.

NOTE: In all cases of offenders on reduced status, CSC shall, on an annual basis,

confirm in writing that the reporting schedule is being adhered to and that no

significant changes have occurred.

.../38

• .../39

- 38 -

•

•

In cases of day parole where the period of release is for six months or less, day parole

reports will be submitted at the beginning of the first month and at the end of the fifth

month (the latte r being a Progress Summary with a recommendation).

C) Special Reports to the MB

In those circumstances when a person under supervision requests a privilege or permission

which requires authorization beyond the authority of the supervisor or any other CSC

staff, a special submission will be forwarded to the Board as follows:

i) For Remoyal or Modification of a Standard or Special Condition

a) the reasons why modification, removal or recommendation of a special condition is

being submitted;

h) the person's progress while under supervision;

c) the significance of the action for the parole officer and the parolee;

d) his conduct in relation to the special condition;

e) an assessment of the risk anticipated as a result of the removal or modification.

ii) For Terminating Police Reporting

a) the reaction of the police;

b) assessment of risk;

c) the attitude of the person under supervision;

d) reasons why removal is being recommended.

• .../40

- 39 -

iii) For Parole Reduced and Discharge from Parole

a) the person's progress while under supervision;

b) the length of time since his conditional release;

c) an assessment of the degree of his re-integration into society;

d) the significance of the action to the - person under supervision.

For Parole Reduced, after 3 years a review will be conducted upon application by the

parolee or person under Mandatory Supervision, or upon submission by CSC. In the

case of sentences of life minimum, life maximum, preventive or indeterminate

detention, this review will not take place until 5 years of supervision have been

completed.

iv) Permission to Travel Within/Outside Canada or Leave Canada Permanently

a) the reason for the proposed travel;

b) the destination planned and duration of travel;

c) impact of travel on the release plan in general;

d) perceived benefit of the travel;

e) verification of travel plans and destination;

f) assessment of any risk that may occur.

A report outlining the above information should also be provided in the case of day

parolees who request permission to travel inside or outside the district or area

boundaries for more than three (3) days.

• .../41

- 40 -

•

•

NOTE: In parole, day parole and mandatory supervision cases, the travel permit shall

normally be prepared and given to the inmate and a copy placed on the inmate's

file. At least 5 days prior to . the travel date, a telex will be sent to

inform the destination parole office, the destination police and CRIC.

D) Violations, Suspensions and Revocation Reports

CSC will notify the Board immediately whenever a violation of special conditions, new

criminal charges, end/or major deterioration in the offender's behaviour indicating

increased risk to the community occurs. When new criminal charges are laid, CSC will

inform the Board during the ongoing process, including the verdict and disposition of the

charge(s), as long as the Board continues to have jurisdiction over the case (until the

inmate's Warrant Expiry Date).

When an offender is suspended, CSC will inform the NPB immediately by providing a copy of

the Warrant of Suspension along with the specific reasons for the suspension.

Delegated CSC staff have the authority to issue suspension warrants and have no

obligation to issue suspension warrants at the behest of the NPB. The NPB may issue

suspension warrants and CSC staff will take any requested follow up action including

re-issuing warrants where necessary. The administrative responsibility for delivery of

the warrant rests with CSC.

• .../42

- 41 -

•

•

Within ten (10) days after execution of the suspension warrant (or, in the case of a

revocation based upon outstanding warrants, the revocation warrant), CSC will advise the

suspended person in writing of the reasons for suspension, the facts Supporting Stith

reasons, and the right to a hearing.

In addition, a post suspension interview (or post revocation interview where revocation

occurs as a result of unexecuted warrants of suspension) will be conducted with the

suspended person as soon as possible, but not later than ten (10) days following

execution of the suspension/revocation warrant. During this interview the reasons for

the suspension will be explained to the inmate in as much detail as the limits of

confidentiality permit.

Upon completion of the interview and any further inquiries, a post suspension/revocation

report must be submitted to the Board within fourteen (14) days from the date of

execution of the warrants, to provide the following information:

a) the detailed reasons for suspension or any disciplinary action;

b) the nature of the violation(s), details of any charges and an assessment of the

degree of deterioration that has occurred;

e) the suspended person's version of the circumstances leading to the suspension;

d) in cases where criminal charges are laid, an official version of the offence with as

much information as possible on the case against the subject;

e) the result of further inquiries;

0 the overall analysis of the person's performance while under supervision;

.../43

- 42 -

•

•

g) the sentence remanet, the probable date of mandatory supervision, and the approximate

amount of remission that would be lost in case of revocation;

h) an analysis of alternatives in view of the violationà, includihg any releage plans

submitted by the suspended parolee, verified if possible, along with an assessment of

risk and any recommendations regarding revised conditions or instructions;

i) the supervisor's specific recommendation for action, the reasons for the

recommendation and the implications of that decision;

j) when the case ià referred to the Board, the referral must be made over the signature

of a designated person;

k) an indication that the supervisor has informed the suspended person of the right to a

Post-Suspension Hearing and, if possible, an indication of the intent of the

suspended person concerning a possible request for a Post-Suspension Hearing.

In cases where delegated CSC staff may do so, an order of cancellation of suspension may

be issued within fourteen (14) days following the execution of the suspension warrant.

CSC must advise the NPB within fourteen days of the execution of the suspension warrant

of any decision to cancel the suspension.

A CSC staff member from the community side will be present et the post-suspension

hearing. This person will be fully aware of all pertinent aspects of the case and will

provide an update of information obtained since submission of the post-suspension report,

including the status of any outstanding charge(s). If any charge(s) is disposed of prior

to the post-suspension hearing, NPB will be notified immediately.

• .../44

-.43-

•

•

E) Special Incident Report (Refer to Da 800-2-14)

When persons Wider supervision become involved in a special incident of Bud, a nature

that the Minister or Senior. Officials of the CSC or NPB may be called upon to respond to

inquiries by the media or other sources, the CSC will, in accordance with D.I. 800-2-14

(See Appendix), immediately provide the Board with a report of the incident by using the

NPB reporting format (Form NPB 9A(5-83)) as follows:

a) the name of the offender;

h) the FPS number of the offender;

c) the offender's date of birth;

d) the type of incident;

e) supervision;

f) the type of release at the time of the incident;

g) the date of release;

h) the date and place of the incident;

i) incident number;

j) details of incident;

k) media coverage;

1) current sentence and starting date;

m) convictions resulting in current sentence;

n) highlights of FPS;

i) UTA eligibility date,

• .../45

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•

•

ii) day parole eligibility date,

iii) full parole eligibility date,

iv) mandatory supervision date,

v) warrant expiry date.

o) Board decisions;

p) supervision performance.

In all instances where CSC has completed a Post-Audit report a copy will be sent to NPB

Regional and National Headquarters.

The D.I. regarding Special Incident Reports will not be amended without CSC/NPB

consultation.

2. Forme of Reports

The format of reports to be provided by CSC staff to the NPB will be subject to consultation

between the two organizations. However, all legal documents (certificates, warrants, etc.)

must be in accordance with the requirements of the Parole Act or Regulations.

3. Timeliness and Frequency of Reports

CSC/NPB staff will provide all information and documentation in accordance with the

timeliness and frequency outlined in the Administrative Agreement. Subject to any legal

• .../46

- 45 -

•

•

requirements, exceptions to these time frames may be made in accordance with the consultation

process provided within the Agreement.

•

4. Frequency of Supervision: Unescorted TeeporaryAbsences

Supervision of persons on unescorted temporary-absences will be carried out as per the

following standards:

a) Normally, every first temporary absence of twenty-four (24) hours or more will be

supervised. Subject to Board direction, the decision that subsequent unescorted

temporary absences will be supervised rests with CSC. However, for all inmates

designated in Section 8(1) of the Parole Regulations and for those inmates sentenced to

life maximum/life minimum sentences, preventive detention or indeterminate sentences,

every unescorted temporary absence will be supervised.

h) A Board requirement that the inmate be accompanied during the UTA will be imposed as a

special condition of release. Whenever the Board intends that an inmate is ta be

released with a special condition related to accompaniment, it will specify at the time

of the decision, the terms and conditions of the accompaniment (cg, whether the inmate is

to be released only into the care of someone or whether the inmate is to be accompanied

at all times by someone).

c) the inmate will be directed to report by telephone to the supervisor upon arrival at the

destination;

• .../47

- 46 -

•

•

d) arrangements will then be confirmed to provide for a mutually convenient interview time,

normally where the inmate is residing;

e) the supervisor will receive from the person a telephone number by means of which he may

be contacted directly or indirectly;

f) if CSC staff believe an exception should be made to the supervision requirements, (cg, no

supervision required for the first U.T.A.) a recommendation, supported by appropriate

rationale will be submitted to the Board at the time of the UTA case submission.

g) with regard to subsequent unescorted temporary absences that are supervised, the

supervisor or releasing authority will determine whether an interview will take place

with the inmate in the community or office and whether his community contacts should also

be interviewed following the inmate's return to the institution.

IV OTHER SERVICES

1) Outside Agencies and Volunteers

It is agreed that in certain instances and in certain cases, CSC will use the services of

outside agencies and private individuals to assume the functions of case preparation or

case supervision or residential services subject to the following:

•

•

•

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Prior to entering into a contract with outside agencies or private individuals to assume

the functions of case preparation, case supervision or residential services, CSC will

consult with the Board. In the case of renewals of existing service contracts, CSC will

provide a notice of intent to NPB who may identify any concerns to CSC 60 days prior to

the commencement date of that contract. CSC staff will also provide the Board with

copies of the evaluation reports which may identify any changes in the terms and

conditions of the contract.

When it i8 anticipated that the supervision of a case will be carried out by an

individual or outside agency, CSC will report this fact to the Board at the time of its

review regarding release.

When supervision of a case is anticipated by an individual or outside agency, CSC will

report this fact to the Board at the time of its review regarding release.

When supervision of a case is transferred from CSC to an outside agency or individual,

CSC will report this fact in the current supervison report. However, in cases where the

Board specified that such transfers should be brought to its attention, CSC will submit

the case for modification of terms and conditions.

2) Specialists' Evaluations

In accordance with the Joint NPB/CSC Agreement (see Appendix 8) on Specialists'

Evaluations, where the Board requests the preparation of psychiatric assessments or

other evaluations by outside agencies or private individuals, CSC will bear the costs of

such services.

.../48

• .../49

- 48 -

•

•

3) Research and Public Information

All data that is relevant to the functioning of the Board and is contained in CSC data

banks will be made available to the Board upon request. Any requests by a third party

for information will be dealt with in accordance with the provisions of the Privacy Act

and the Access to Information Act.

CSC/NPB will consult regarding any plans to modify or develop relevant information

systems.

4) Special Day Parole Projects

Reports involving day parolees and special projects, as defined by Board policy, will be

submitted by CSC staff to the Board for approval to include the following:

i) the nature of the project itself:

a) a description of the project;

b) a description of the place where the special project would be effected;

c) the activities involved;

d) the benefit of the project;

e) the duration and nature of supervision.

•

•

•

- 49 -

ii) For each person who is recommended for participation in the special project, the

usual day parole case preparation procedures will apply. The time required for case

preparation can be varied by mutual consent at the Regional level.

iii) Upon completion of the day parole project, CSC will conduct an evaluation of the

project and provide the Board with a report on its findings.

5) Transfer of Inmate

Where it is proposed to transfer an inmate (as described in paragraph 3.1(2) of the

Parole Act) to a provincial institution under an Exchange of Services Agreement, the

Board will be consulted in order to obtain its views with respect to the proposed

transfer although CSC may effect the transfer despite NPB's objections. CSC will advise

the NPB of all transfers of inmates to provincial institutions under the Exchange of

Services Agreement.

6) NPB Re-Examination of Decisions

CSC staff will conduct investigations and submit reports upon request for the Appeals

Committee of the NPB. These should be completed as soon as possible so that the request

for re-examination may be dealt with as expeditiously as possible.

7) Clemency and Pardons Investigation

CSC staff will conduct investigations and submit reports to the Board as requested.

.../50

.../51

- 50 -

•

•

8) Access to Forms and Documents

The NPB and CSC will ensure that all necessary forms and documents are made aVailable to

each other as required and requested.

9) Release Certificates

CSC will ensure that the release certificates/permits to which the Board's seal has been

affixed where necessary, are in possession of the inmate before release.

10) N.P.B. Seal

The Board will provide the district offices and area offices of CSC with its seal. CSC

staff will be responsible and accountable for the safekeeping of the Board's seal and

will advise the Board immediately in case of its loss.

11) Policy and Procedures Manual & Directives

NPB and CSC will provide copies of their respective policy and procedures manuals to

specified staff in both organizations.

- 51 - • V. Timeliness and Frequency of Information to be Provided to the National Parole Board

DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD

FEDERAL CASES

•

I. Initial Information

A. Admission Reports:

- admission form

- post sentence (where available)

- pen placement or RRC admission

- part I of Progress Summary

- psychological services - Reception assessment report (where available)

B. Warrants of Committal

C. Documents re.:

outstanding charges, additional convictions, appeals, deporta-tion

* Fwd: FORWARD T.B.R.: TO BE RECEIVED

Fwd.*ASAP - T.B.R.* not later than 2 months after admission

Fwd. ASAP - T.B.R. not later than 4 months after admission




Fwd. ASAP - T.B.R. not later than 1 month after admission

Fwd. ASAP where applicable and available

TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD

DOCUMENTATION

FEDERAL CASES

D. Pre-sentence report

E. Police Report (including where feasible, bail information)

F. Reports from Outside Sources: - where available, restitution

report and firearms restriction report

- judge, crown attorney, psychiatrist, psychologist, etc. where available

G. Other Reports Required in Specific Cases such as Violent Conduct

H. FPS

H. Pre-Review Reports

A.* Review For Unescorted Temporary Absence/Where NPB Approvàl or Recommendation is Required for ETA

1. Where Warden Has Authority:

- application

notice of withdrawal of application

copy of permit (and amend-ments if any)

Fwd. upon receipt

Fwd. upon receipt but withih 4 months of admission

Fwd. upon receipt

Fwd. upon receipt but within 4 months of admission

Fwd. ASAP

Fwd. ASAP after Warden has rendered his/her decision

Fwd. ASAP

Fwd. ASAP after Warden has rendered his/her decision

- 52 -

Where NPB approval or recommendation is required before the Warden can grant certain escorted TA's, the information to be submitted to the NPB will be the documents prepare.d for the Warden in order to make his decision. If the Warden's recommendation is positive, forward documentation to the NPB ASAP but not later than 4 weeks prior to the proposed ETA implementation date.

- 53 -


FEDERAL CASES

notice of refusal by Warden

- notice of suspension/cancel-lation/termination of UTA and reasons

- for up to 48 hours, notice of extension of UTA's and reasons

- for more than 48 hours, sub-mission of request for UTA extension and reason

2. Where NPB Retains Authority:

NB: Normally, 3 months will be provided for case preparation and review from the date of receipt of application to the date at which UTA is contemplated.

application form


- progress summary

- institutional TA report

- community assessments and updates

Fwd. ASAP - after Warden has rendered his/her decision

Fwd. ASAP

Fwd. ASAP

Fwd. ASAP

NB: In emergency cases, the Board may make an exception to the ti rules indicated below.

Fwd. upon receipt

Fwd. upon receipt

Fwd. ASAP - T.B.R. not later than 4 weeks prior to proposed implementation date of UTA



•

•

- 54 -

DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TU THE NATIONAL PAROLE BOARD

FEDERAL CASES

- special reports (psychiatric, psychological, medical, etc.) where available or upon request

submission for/or notification of cancellation of UTA prior to implementation and reasons

copy of permit (and amendments, if any)

notice of release

notice of termination/copy Of warrant of apprehension and reasons

notice of/or submission and reasons for extension of UTA beyond 48.hours

B. Review for Parole (Including Day Parole)

NB: Normally, 4 months will be provided for case preparation from the date of receipt of the application to the date of panel or paper review

application form

notice of withdrawal of application/refusal of hearing and/or review


Fwd. ASAP

Fwd. ASAP - not later than 5 days prior to implementation

Fwd. at release

Fwd. immediately

Fwd. immediately

Fwd. upon receipt

Fwd. upon receipt

•

•

- submission for modification of day parole terms including supervision reports

- submission for day parole continued including super-vision reports

55 -


FEDERAL CASES

•

- progress summary reports

- community assessment

- special reports (psychiatric, psychological, medical, etc.) where available or upon request

- written representations on behalf of the inmate

- submission for modification of release date

- parole certificate

- amended parole certificate

- notice of release

Fwd. ASAP - T.B.R. not later than 4 weeks prior to panel or paper review

Fwd. ASAP - T.B.R. not later than 4 weeks prior to panel or paper review

Fwd. ASAP - T.B.R. nOt later than 4 weeks prior to panel or paper review

Fwd. upon receipt

Fwd. immediately

Fwd. at release

Fwd. immediately

Fwd. at release

•

T.B.R. not later than 3 weeks prior to action to be effected (for regular cases)

T.B.R. not later than 4 weeks prior to action to be affected (for cases in which RCBM's are involved)

T.B.R. not later than 3 weeks prior to expiry. Not later than 1 week prior to expiry (for short periods of day parole e.g. 30 days for residential assessment)

- 56 -


FEDERAL CASES

C. Review for Parole by Exception

- application form

- special report outlining circuMstances tO détermine whether there are grounds for exception

- any other supportive document relating to special circumstances

if exception is contemplated, other reports as listed under °B" above.

D. Review for Mandatory Supervision

Pre-release report

- summary of progress since last review by the Board (including community assessment and release plans)

recommendation es to whether any special condition or action is required

- mandatory supervision certificate

- amendments to M.S. certificate

notice of release

notice of refusal of mandatory supervision release

Fwd. upon receipt

Fwd. ASAP - T.B.R. not later than 3 weeks after receipt of application

Fwd. ASAP - T.B.R. not later than 3 weeks after receipt of application

Fwd. ASAP

Fwd. ASAP - T.B.R. not later than 3 weeks prior to release

Fwd. ASAP - T.B.R. not later than 3 weeks prior to release

Fwd. at release

Fwd. immediately

Fwd. at release

Fwd. ASAP

•

•

- requests to travel outside Canada

- request to leave Canada permanently

- submission for deletion of police reporting (where applicable)

- other submissions such as proposed action, terms and conditions altered, parole reduced, discharge from parole

•

•

•

- 57 -


FEDERAL CASES

III. Supervision Reports for Parole, Day Parole, Mandatory Supervision and Unescorted Temporary Absences

- supervision reports: i) Parole/Mandatory Supervision

ii) Day Parole

- Activity Sheets

- post U.T.A. reports

Fwd. After the First Month, the Fourth Month, the Seventh Month, and every Four Months there-after unless otherwise directed by the Parole Board.

Fwd. At the beginning of the first month and at the end of the fifth month (the latter being a Progress Summary with a recommendation).

Fwd. upon request by NPB

Fwd. ASAP after return to institution

T.B.R. not later than 4 weeks prior to departure


T.B.R. not later than 4 weeks prior to proposed implementation date


NB: In emergency cases, the Board may make exceptions in respect to the 4 week time frames indicated above

Fwd. upon imposition, modification or removal.

Fwd. in first supervision report following transfer

Fwd. ASAP after action taken

Fwd. immediately

Fwd. immediately

Fwd. immediately

Fwd. immediately

Fwd. immediately

Fwd. immediately when issued and also when executed

Fwd. upon completion of the form

Fwd. immediately

•

•

- 58 -


FEDERAL CASES

- Notice of additional restrictions imposed by the District Director, and notice of modification or removal of such restrictions.

notice of transfer of supervision

- deletion of police reporting

- notice of new charges (special report)

updated reports on outstanding charges (court appearances, etc.)

notice of disposition of charges with conviction warrants/orders (where applicable)

violation. reports

special incident report - telex

- suspension warrant/notification - telex providing specific reasons as well as legal reasons

- copy of notification to inmate of reasons for suspension along with an updated report giving the detailed ressens for suspension

- notice of withdrawal of suspension

Fwd. immediately

Fwd. immediately

Fwd. immediately after expiration of 60 day period following issuance of suspension warrant or 3 weeks prior to W.E.D., whichever comes first

T.B.R. within 14 days after execution of warrant

Fwd. immediately when submitted and T.B.R. within 15 days of referral of post violation report to Board

Fwd. immediately

Fwd. immediately

Fwd. ASAP

Fwd. upon receipt of new information

Fwd. immediately by telex

Fwd. immediately after issuance and also when executed

Fwd. immediately upon conviction

Fwd. ASAP

- 59 -


FEDERAL CASES

order of cancellation of suspension

report on reasons for cancelling suspension or withdrawing warrants

- submission for revocation in cases of outstanding suspension warrant

- submission and recommendation following suspension, including calculation of remanet

- application for post-suspension hearing

- transfer warrant

- withdrawal of application for post-suspension hearing

- post-violation report including calculation of remanet and earliest possible mandatory supervision date in cases of suspension

- updated information

- status of outstanding charges

- warrant of revocation

warrant of committal

- submission for cancellation of revocation

•

- 60 -


FEDERAL CASES

submission in case of outstand-ing revocation warrant

- post-revocation report

- sentence calculation and admission report

IV. Other Reports

A - notice and details pertaining to special events (transfer, escape, U.A.L., additional charges and disposition of charges)

B - In all cases described in para-graph 3.1(2) of the Parole Act, submission when federal/ provincial transfer is considered.

C - submission for approval of special projects

D - evaluation report of special projects

E - special reports re Criminal Records Act and Royal Prerogative of Mercy

Fwd. ASAP after expiration of the 3 year or 5 year period following issuance of revocation warrant

Fwd. ASAP after return to custody

Fwd. not later than 2 weeks after re-admission

Fwd. ASAP after incident

T.B.R. 2 weeks prior to date at which transfer is contemplated

T.B.R. 2 months prior to implementation

T.B.R. within 4 weeke of completion of project - if it is an ongoing project, an evaluation report will be submitted on an annual basis

Fwd. upon request

•

•

- 61 -


FEDERAL CASES

F - CRC and after-care agencies annual evaluation report

G - all background reports available on inmates/parolees transferred to Canada from another country (under treaty)

T.B.R. not later than 1 month prior t renewal of contract

Fwd. ASAP after admission

NOTE: In cases of federal inmates incarcerated in provincial institutions, under the jurisdiction of the N.P.B., the same time frames for

submissions will apply.

•

•

Fwd. as soon as submitted

Fwd. along with application



Fwd. ASAP where applicable and available

Fwd. upon receipt

Fwd. upon receipt

Fwd. upon receipt (if available)

Fwd. upon receipt

Fwd. upon receipt

- 62 -


PROVINCIAL CASES

I. Initial Information

A. Admission Reports:

- application

- admission form (NPB 102)

- evaluation (inst. - NPB 103)

B. Warrant of Committal

C. Documents re:

- outstanding charges, additional convictions, appeals, deport-ation

D. Pre-Sentence Report

E. Police Report

F. F.P.S. Report

G. Reports from outside sources:

- judge, crown attorney, psy-chiatrist, psychologist, etc.

II. Pre-Review Reports

A. Review for Parole (including Day Parole)

N.B.: The Board will allow 4

months for case preparation from the date of receipt of the application to the date of review.

application form •

- 63 -


PROVINCIAL CASES


- Community Assessment

- Special reports (psychiatric, psychological, medical, etc) when available or upon request

- Written representations on behalf of the inmate

- Progress Summary and recommendation

- Submission for modification of release date

- Parole certificate (and amend-ments if any)

- Notice of release

- Submission for modification of day parole terms including supervision reports

- Submission for day parole con-tinued including supervision reports

B. Review for Parole by Exception

- application form

special report outlining cir-cumstances to determine whether there are grounds for exception

rwd. upon receipt

Fwd. ASAP - T.B.R. not later than 2 weeks prior to review


Fwd. upon receipt


Fwd. immediately

Fwd. at release

Fwd. at release

T.B.R. not later than 2 weeks prior to action to be effected

T.B.R. not later than 2 weeks prior to expiry

Fwd. upon receipt

Fwd. ASAP - not later than 2 weeks after receipt of application

•

•

•

- 64 -


PROVINCIAL CASES

other supporting documents relating to special circumr stances

other reports es listed under "B" above if exception is Oontemplated

III. Supervision Reports (For Parole, Day Parole)

- supervision reports i) For Parole

ii) For Day Parole

- request to travel outside Canada

- request to leave Canada permanently

notice of transfer of super-vision

- deletion of police reporting

- submission for deletion of police reporting (where appli-cable)

- other submissions such as proposed action, terms and conditions altered, parole reduced

- notice of new charges (special report) •

updated reports on outstanding charges (court appearances)

Fwd. ASAP - not later than 2 weeks after receipt of application

Fwd. ASAP

Fwd. After the First Month, the Fourth Month, the Seventh Month and every Pour Months thereafter, • unless otherwise directed by the Parole Board.

Fwd. At the beginning the first month and at the end of the fifth month (the latter being a Progress Summary with a recommendation).



Fwd. in first supervision report following transfer

Fwd. ASAP after action taken



Fwd. immediately

Fwd. immediately

•

•

- 65 -


_

PROVINCIAL CASES

- notice of disposition of charges with conviction warrants/order where applicable Fwd. immediately

- violation reports Fwd. immediately

- special incident report - telex Fwd. immediately

- suspension warrant/notification Fwd. immediately when issued and also - telex when executed

- copy of notification to inmate on reasons for suspension Fwd. upon completion of form

- notice of withdrawal of suspension Fwd. immediately

order of cancellation of suspension Fwd. immediately

- report on reasons for cancell-ing suspension or withdrawing warrants

submission for revocation in cases of outstanding suspen-sion warrants

Fwd. immediately

Fwd. immediately after expiration of 60 day period following issuance of suspension warrant or three weeks prior to W.E.O. whichever comes first.

- submission and recommendation following suspension including calculations of remanet T.B.R. within 14 days after execution

- transfer Warrant Fwd. immediately

- post violation report including calculation of remanet in cases Fwd. ASAP

of suspension

warrant of revocation Fwd. immediately after issuance and

also when executed •

- 66 -


PROVINCIAL CASES

order of revocation

- order of termination of day parole

- warrant of committal

- submission for cancellation of revocation

- submission in cases of out-standing revocation warrant

- post-revocation report, recom-mendation

- sentence calculation and admission report

IV. Other reports

A. Notice and details pertaining to special events (transfer, escape, U.A.L., additional charges and disposition of charges)

B. Submissions for approval of special projects

C. All background reports available on inmates/parolees transferred to Canada from another country (under treaty)

Fwd. immediately after issuance

Fwd. immediately after issuance

Fwd. immediately upon conviction

Fwd. ASAP

Fwd. ASAP after expiration of the 3 year or 5 year period since issuance of revocation warrant

Fwd. ASAP after return to custody

Fwd. ASAP after re-admission.

Fwd. ASAP after incident

T.B.R. 2 months prior to implementat ion

Fwd. ASAP after admission

•

•

•

Fwd. within 6 months of inmate's admission to custody

Fwd. 10 deys after receipt of request from C.S.C.

Fwd. upon receipt

- 67 - • VI TIMELINESS FOR DOCUMENTATION TO BE SENT TO

THE CORRECTIONAL SERVICE OF CANADA

DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE CORRECTIONAL SERVICES OF CANADA

1. Eligibiiity Dates (Federal Cases)

2. Eligibility Dates (in relation to

reqtiests for transfer to Canada)

3. Judge's, Magistrate's report (where possible or where permission

received)

•

4. Final list of panel hearings including institution, names of inmates, dates of hearings to be

provided to both the institution and Parole Office.

5. Decision for modification of a special condition

6. Parole Reduced

7. Negative decisions (made without hearing)

8. Order of Revocation

9. Order of Termination

10. Notification of Decisions

T.B.R. as far as possible not later than 10 working days prior to the hearing

T.B.R. not later than 2 weeks after receipt of report for 2 vote cases

T.B.R. not later than 3 weeks in 2 vote cases or 6 weeks in 5 vote cases.

Advise CSC staff before informing inmate

T.B.R. within 15 days of decision

T.B.R. within 15 days of decision

Fwd. not later than 15 days after decision rendered

•

- 68 -

VI TIMELINESS FOR DOCUMENTATION TO BE SENT TO THE CORRECTIONAL SERVICE OF CANADA

DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE CORRECTIONAL SERVICES OF CANADA

11. NPB Decision & Reasons

12. CRC/CCC Evaluations

TBR by CSC within 15 days of the decision

NPB Comments TBR 30 days following receipt of referral from CSC.

APPENDIX

•

APPENDIX "A"

SPECIAL INCIDENT REPORTS - DI 800-2-14, PART II - COMMUNITY REPORTING

•

•

•

APPENDIX A

•

•

PART II: COMMUNITY REPORTING

RESPONSIBILITIES

33. District Directors are responsible for reporting special incidents to

National Headquarters, Regional Headquarters and National Parole Board.

This responsibility can be delegated to the area managers and

superintendents of S-1 institutions.

34. When a special incident involves a parolee supervised by a private

agency, the latter shall provide the District Director or his designate

with the information required to complete the special incident report.

35. When a special incident occurs outside the boundaries of the supervising

parole office to which the parolee reports, this supervising parole

office will prepare the special incident report after consultation with

the parole office closest to the area in which the incident took place.

SPECIAL INCIDENT CATEGORY

36. Special incidents include any serious or sensational violation of

conditional release which achieves coverage in the media or is the

subject of a media inquiry.

37. Notwithstanding media coverage, the special incident category includes,

but is not limited to, the following incidents:

a) Murder or attempted murder;

h) Sexual assault;

c) sexual offences or children;

d) unlawful confinement;

.../2

e) hostage taking;

f) armed robbery with violence;

g) serious assaults;

h) arson;

i) possession of explosives;

j) shooting at police;

k) drug trafficking involving large quantities of narcotics;

1) murder of parolee or mandatory supervision subject;

m) any disturbance in a Parole office, S-1 institution or Community

Residential Centre;

n) any assault on staff by a parolee;

o) any escape from or failure to return to an S-1 institution which

will likely attract media attention. However, all escapes from, or

failure to return to, an S-1 institution must be reported to

preventive security.

any other occurrence likely to attract media attention. p)

. . ./3 •

•

38. Special incidents also include offences or breaches of condition by

individuals specified by the Parole Board at the time of release, for

example, high profile cases, or "cas célèbres".

METHOD OF REPORTING SPECIAL INCIDENTS

39. During normal working hours (Ottawa time) special incidents shall be

reported promptly to Regional and National Headquarters, Offender

Programs Quality Control, Community Release Programs Division and to the

Regional Chief Preventive Security via electronic mail or telex. The

incident shall be reported by 0900 hours the day following knowledge of

the incident.

40. Outside of normal working hours (Ottawa time) special incidents may be

reported directly to the Regional and National Headquarters Duty Officers

in those cases deemed by the District Director to be of immediate

interest.

41. Special incidents, shall be reported promptly to National Parole Board

and Regional Headquarters using NPB Form 9A(5-83) entitled "Special

Incident".

42. Offender Programs Quality Control, Community Release Programs Division at

National Headquarters will ensure that copies of special incident reports

are forwarded promptly to Director, Preventive Security.

.../4

•

REPORTING FORMAT FOR SPECIAL INCIDENTS

43. Special incident reports, shall be made in the sequence and format shown

in Annex "F" to this instruction. This is NPB . Form 9A (6-83) entitled

"Special Incident".

44. In all special incident cases the Area Manager, Section Supervisor or

Superintendent shall provide the District Director with a report Which

will enable him to;

a) Review the incident to establishe whether or not:

(1) the incident could have reasonably been prevented;

4110 (2) remedial or corrective action is appropriate as a preventive

measure;

(3) the case was managed according to policy;

(4) the incident warrants further investigation by the

District-Director;

(5) the incident warrants a Case Management Audit or Administrative

Inquiry.

h) Submit a brief report to the Deputy Cnmmissioner of the Region

indicating his findings and recommendations.

.../5 •

•

•

CASE MANAGEMENT AUDIT - ADMINISTRATIVE INQUIRY

45. After reviewing the Pre-Audit Report, the Deputy Commissioner of the

Region may direct a Case Manalament Audit or Administrative Inquiry be

conducted.

46. If the National Parole Board is also requesting a Case Management Audit,

consideration should be given to a joint NPB-CSC audit in order to avoid

duplication.

47. National Headquarters Offender Programs staff may be made available, on

request by the Deputy Commissioner Region, to participate in the Case

Management Audit.

48. Audits or inquiries would only be required for the most serious of

special incidents.

49. Distribution of the Audit Report would be as follows: •

a) Deputy ,Cbmmissioner of Region,

h) Inspector General,

c) National Parole Board,

d) Deputy Commissioner Offender Programs,

e) District Director.

APPENDIX "B"

AGREEMENT BETWEEN NPB/CSC

RE: PSYCHIATRIC/PSYCHOLOGICAL SERVICES •

•

• APPENDIX B

1) A joint Statement of Principles document covering the provision of

psychological and psychiatric services to inmates and parolees has been

prepared (a copy of this document is attached).

2) An expectations paper has been prepared by NPB in relation to the

provision of psychiatric/psychological assessments and services and the

Board's needs (copy attached).

3) A financial system has been developed by CSC to capture the true costs of

the provision of psychiatric/psychological services for fiscal year

1984-85 onwards (a detailed breakdown of this system is attached).

4) In relation to the issue of the use of external resources, the following

guideline principles have been agreed to:

a) CSC will assume financial responsibility for psychological/

psychiatric assessments and services requested by NPB provided that

needs and requirements are specifically and adequately identified in

each case.

h) Consultation will take place between CSC and NPB on the choice of

the external resource.

c) Wherever possible, external resources will be chosen from an

approved list to be established by the Regional Inter-linkages

Committee. One of the criteria for inclusion on the list will be

that the fee structure charged by the resource shall fall within

provincially established guidelines.

.../2

•

d) Should a case arise where the cost of the requested service could

not be met within the provincial guidelines and the choice of an

alternative resource has been mutually agreed upon by CSC and NPB,

CSC would assume financial responsibility for the cost of the

service.

e) Normally the NPB and CSC will rely on the process outlined in (A)

through (D) above. Should additional resources be requested by

either party, the referral shall be processed through the Regional Interlinkages Committee.

•

•

•

•

STATEMENT OF PRINCIPLES

1. CSC will ensure that medical, psychological and psychiatric services are

provided to'offenders where required and requested by the Court and/or

N.P.B. from admission to Warrant Expiry Date (WED).

2. When feasible, services will be provided internally (i.e., within CSC

resources).

3. Where services are not available internally, CSC will make every effort

to provide these services through external resources with consultation

with NPB. •

4. NPB's expectations should be clearly expressed and reflected through

mutually agreed upon purposes, formats, and content guidelines.

5. Continuity of approach - should be ensured throughout the sentence of the

Court by both the CSC and NPB.

6. Both agencies must put in place a system which will ensure effective

planning of resources.

7. Financial responsibility for, and administration of these resources and

services will lie with CSC.

•

• .../2

•

•

PAROLE BOARD'S EXPECTATIONS OF PSYCHIATRIC AND PSYCHOLOGICAL ASSESSMENTS

Generally, the Board is looking to psychiatric and psychological assessments

for a compilation of factual information and clinical judgements, as well as

recommendations from the investigative psychiatrist or psychologist, which

will assist the Board in analyzing and assessing the degree of risk that an

offender would present to the community. In addition, the purpose of this

investigation is to assess the potential of the inmate to become a law-abiding

citizen as well as of some indication of the symptomatology that would likely

emerge if his/her behaviour began to deteriorate. The following data

therefore is important to the Board:

1) If there is factual or background information not contained in the Parole

Board file or if the interpretation of that information on file is at

variance with the professional's judgement, an elaboration of these

points should occur.

2) The report should be written to focus directly upon the issues

surrounding conditional release. Thus psychiatric or psychological

assessments made for disciplinary purposes or for transfer or

reclassification purposes are not of considerable help for reasons that

will become obvious.

3) An overall personality description should be provided which draws

together factual information in the file and the professional assessment

of that information; this information could be presented either in a

longitudinal i.e. historical form, or it could be a cross sectional

personality profile.

4) Included should be a consideration of the dynamics of the offence, how it

was committed, what circumstances surrounded its commission and how if

any it fits into the pattern of the inmate's personality already

described and of his criminal history. This should include the inmate's

version of the offence, the professional's interpretation of this conduct

- 2-

within his overall life pattern (i.e. an analysis of hi s explanations of

the offence as compared to the police/court versions). In addition,

suggestions should be made as to why in the professional's opinion the

offence took place at the particular time it did and should outline the

factors that contributed to its commission.

5) What indicators are there of behavioural and attitudinal change since

incarceration? Reference should be made not only to change in a positive

but a negative direction. In addition, the clinical judgement as to what

these changes can be is also of significance.

6) Should he/she be considered for conditional release in the foreseeable

future? Upon what factors is this judgement based? If released, what is

the assessment as to the risks of repetition as well as of his/her level

of ability to function in the community crime-free and productively?

7) What kinds of control should be placed upon the offender's conduct in

order to aid in this process? This should include not only the kind and

frequency of parole supervision but any medication or ongoing treatment

needs. Consideration should also be given to whether special conditions

such as abstinence from drugs or alcohol would be required. Further, are

there any special residential or outpatient or other welfare needs which

should be met in preparation for release or as a part of reintegration?

8) Finally, if released and the inmate's behaviour begins to deteriorate,

what would be the kinds of situations within the community to which he

would become most vulnerable? Secondly, if on medication, what would

likely be the early signs of his failure to maintain his dosage? In a

more general way, what would be the early signs of deterioration in

conduct which might indicate a drift back into criminal behaviour.

FINANCIAL SYSTEM FOR CAPTURING

COSTS OF PSYCHIATRIC AND PSYCHOLOGICAL

SERVICES IN RELATION TO COMMUNITY RELEASE

To date, there has been no standardized, national procedure in which to

capture the costs of psychiatric and psychological services as they relate to

community release and, therefore, no base upon which to plan and provide for

similar expenses incurred by CSC for psychological/psychiatric assessments and

services rendered to parolees and to inmates. In the case of the latter, the

expenses relate particularly to costs incurred for psychological/psychiatric

assessments and services when assessing for parole (release) suitability. Nor

has there been sufficient attention paid to the standardization and control of

fees paid to external psychiatric and psychological resources based upon

accepted, established fee structures recommended by the respective provincial

professional associations or governing bodies.

In an effort to correct these procedural deficiencies, the following systems

and procedures are being put in place.

1) Financial coding system - it is now possible to capture more precisely

the costs of external psychiatric and psychological services by careful

coding of these expenditures at the line object level by the various

responsibility centres involved. In the case of psychiatric services,

the line object to be used is 0420, Health Care Services - Psychiatric.

In the case of external psychological services, the line object to be

used is 0473, After Care Agencies - Psychological Services. (This is a

new line object code established in 1982).

Careful coding of these expenditures will enable the capture of total cost for

fiscal year 1984-85 and appropriate resource planning for fiscal year 1985-86

and for future years.

2) Establishment of provincial fee schedules - the Psychological Services

Divison, Offender Programs Branch, NHQ, has established provincial fee

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schedules for external psychological assessments and services based upon

information provided by the various provincial professional psychological

associations. Similarly, information concerning fee structures for

psychiatric services has been obtained from the Medical Services Branch,

NHQ. The schedules are being distributed to the field. It is intended

that they will be updated on an annual basis.

NOTE: The above systems and procedures deal with CSC operations only.

NPB may wish to explore ways in which it can better define and capture

its data needs in this area and thus enhance the planning process even

further.

• APPENDIX "C"

COMMUNICATION AND CONSULTATION

MECHANISM

•

In order to provide for the implementation of the Administrative Agreement,

1110 the following mechanisms for consultation and communication have been adopted:

1) Matters related to "day to day" administration should be resolved through

direct office to office communication between NPB/CSC case management

personnel;

2) Matters unresolved at the local level and matters related to the

implementation., interpretation and clarification of the Administrative

Agreement will be dealt with by appropriate regional staff of both

organizations including the Regional Executive Officer, Senior Board

Members, Regional Manager, Offender . Programs ? and Regional Deputy

Commissioner;

3) Matters related to the Administrative Agreement which cannot be resolved

regionally will be referred to the National Interlinkages Committee

co-chaired by the Executive Director of the National Parole Board and the

Deputy Commissioner, Offender Programs for necessary action;

4) The Commissioner, CSC and the Chairman, NPB will meet regularly to

resolve any outstanding issues referred to them by the National

Interlinkages Committee.

The Interlinkages Committee will be a continuing joint committee which will

provide a forum for clarification and interpretation ofepolicy and will

coordinate discussion of matters of mutual interest on policy and practice for

both organizations. Additionally, specific reference will be directed to the

subject matters of statistics, research, information reporting formats and

public education.

As a general rule, when one of the agencies has been identified has having the

authority for a policy matter, the interpretation of that policy will be given

by the representative of the agency so identified. If such interpretation

.../2

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•

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causes concerns which cannot be resolved at the regional level, these concerns

will be raised for examination by the National Interlinkages Committee.

This agreement will be updated annually. CSC and NPB will each designate a

national coordinator who will receive suggested modifications and prepare

appropriate documentation. The National Interlinkages Committee will conduct

regular periodic reviews of the terms and conditions of the Administrative

Agreement and propose any amendments to the Agreement to the Commissioner, CSC

and the Chairman, NPB prior to its date of renewal.

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soLGEbICANADA L IIIrM ) i Ifi Ill 1111 Ill 10(1)Mi00011327

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