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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
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•
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.
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•
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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.
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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
•
•
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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
•
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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.
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•
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.
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•
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;
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•
•
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;
•
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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;
•
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•
•
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
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•
•
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
•
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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.
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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
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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.
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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.
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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.
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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.
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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.
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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
•
•
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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
•
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•
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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,
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•
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•
•
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.
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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.
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•
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
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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.
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•
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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
•
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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.
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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
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=0'32 ■IF
•
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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;
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•
•
(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
•
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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).
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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.
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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.
•
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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.
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•
•
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.
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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.
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•
•
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
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•
•
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;
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•
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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
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•
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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,
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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
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•
•
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;
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•
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.
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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.
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•
- 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 4 months after admission
Fwd. ASAP - T.B.R. not later than 4 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 documenta- tion to the NPB ASAP but not later than 4 weeks prior to the proposed ETA implementation date.
- 53 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
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
notice of withdrawal of application
- 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
Fwd. ASAP - T.B.R. not later than 4 weeks prior to proposed implementation date of UTA
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 - T.B.R. not later than 4 weeks prior to proposed implementation date of UTA
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 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
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 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
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 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
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 departure
T.B.R. not later than 4 weeks prior to proposed implementation date
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 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
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 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
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 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
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 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
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. along with application
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 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
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 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
PROVINCIAL CASES
notice of withdrawal of application
- 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. ASAP - T.B.R. not later than 2 weeks prior to review
Fwd. upon receipt
Fwd. ASAP - T.B.R. not later than 2 weeks prior to review
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 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
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).
T.B.R. not later than 4 weeks prior to departure
T.B.R. not later than 4 weeks prior to departure
Fwd. in first supervision report following transfer
Fwd. ASAP after action taken
T.B.R. not later than 4 weeks prior to proposed implementation date
T.B.R. not later than 4 weeks prior to proposed implementation date
Fwd. immediately
Fwd. immediately
•
•
- 65 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
_
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 -
DOCUMENTATION TIMELINESS AND FREQUENCY FOR DOCUMENTS TO BE FORWARDED TO THE NATIONAL PAROLE BOARD
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
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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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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.
•
soLGEbICANADA L IIIrM ) i Ifi Ill 1111 Ill 10(1)Mi00011327
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