Commissioner's directive 005-1: Institutional management structure, roles and responsibilities

GOAL

3. The fundamental goal in sharing roles and responsibilities is to meet the following challenges:
   1. providing appropriate support and supervision to the intervention function to enhance offender monitoring through programs and case management;
   2. providing appropriate support and supervision to the operational function to enhance safety by preventing and managing effectively security incidents; and
   3. facilitating open and ongoing cooperation between the intervention and operational functions to ensure an efficient exchange of information and effective decisions, and to avoid the creation of silos.

STRATEGIC OBJECTIVES

4. The purpose of this framework is to :
   1. ensure the appropriate integration of activities within the intervention function (e.g. case management, programs, psychology);
   2. ensure high quality decisions and interventions for offenders through a professional supervision structure;
   3. ensure that a sufficient number of excluded managers are present in institutions during peak periods;
   4. establish internal decision review processes consistent with the structure;
   5. establish a clear division of roles and responsibilities in the management of correctional operations; and
   6. maintain open and ongoing cooperation between intervention and operational managers.

OPERATING FRAMEWORK

5. The roles and responsibilities in the management structure are defined in the following annexes:
   • Annex A: Roles and Responsibilities (Management of Institutions, Management of Operations and Management of Interventions)
   • Annex B: Responsibility Matrix – Operations
   • Annex C: Responsibility Matrix – Interventions
   • Annex D: Acronyms.

PRINCIPLES

6. Unless otherwise directed by the Warden through Standing Orders, responsibilities, roles and authorities are defined in the attached documents.
7. When a role is assigned to a "designated person", the Warden will formalize the designation through the Standing Orders.
8. If a position does not exist in an institution, responsibilities are automatically assigned to the next highest position in the organizational chart.
9. The roles and responsibilities defined in these Guidelines reflect the revised structure and supersede previous policy documents.
10. Agreements of services and auxiliary agreements between Health Services and the operational units serve to define the framework and protocol to govern their relationship.

Signed by Don Head
Senior Deputy Commissioner

Annex A - ROLES AND RESPONSIBILITIES

Deputy Warden (DW)

The Deputy Warden position has the authority and accountability for operations, interventions and security intelligence in the institution and is considered the second in command. He or she transmits executive decisions and ensures that they are implemented. He or she replaces the Warden in the event of absence or inability to act. In addition to case management responsibilities, operations management and spiritual services (Aboriginal spirituality and chaplaincy), this function combines all responsibilities involving program management and offender activities. Finally, the Deputy Warden is responsible for security intelligence in the institution. In the area of intervention, he or she approves case management and program planning and the review of security classifications (same level). In the area of operations, he or she approves all work schedules, Post Orders, the institutional routine, contingency plans and any interception (correspondence or telephone), except for privileged correspondents.

The following positions report directly to the Deputy Warden:

• Assistant Warden, Operations;
• Manager, Operations;
• Assistant Warden, Interventions; and
• Security Intelligence Officer.

Assistant Warden, Operations (AWO) or Manager, Operations (MO)

The Assistant Warden, Operations (or Manager, Operations) is responsible for all security operations within the institution. This individual is responsible for: managing institutional operations (e.g. planning, budget, human resources); proposing local policies involving institutional routine, offender movement and counts, management of discipline and search plans; reviewing the contingency plan periodically and recommending its update; coordinating the Institutional Emergency Response Team and segregation unit if applicable; preparing Post Orders and related Standing Orders, and ensuring deployment practices. This individual is also responsible for ensuring the secure and efficient management of institutional security devices and equipment. He or she also ensures that situational reports are completed in accordance with existing standards. The AWO (or MO) may attend and/or chair the Segregation Review Board for case review at 60 days and beyond. The incumbent of this position supervises all Correctional Managers and is functionally linked with the Regional Administrator, Security.

Correctional Manager (CM)

This individual is essentially responsible for the daily operations in the institution. The Correctional Manager may be assigned to different posts within the institution: CM, Operational Desk (in charge of the institution); CM, Unit or Sector (in charge of operations in a unit or sector of the institution); CM, Operations (responsible, in medium and maximum-security institutions, of some centralized activities); or CM Scheduling and Deployment (developing and maintaining work schedules, deployment of personnel). In one or more of their assigned rotational posts, and as members of the Operations Management Committee, Correctional Managers assume responsibility for operational planning, financial management, staffing and personnel management, and decisions affecting offenders (e.g. disciplinary court, visits, segregation, inmate movement). Each CM will normally supervise a group of Correctional Officers (I and II).

A Correctional Manager must be scheduled to work on a 24-hour basis in all types of institutions (excluding Grierson Institution and the CCCs). A second Correctional Manager must be scheduled to work the evening shift in all maximum-security institutions and in all medium and multi-level security institutions with an inmate population over 300. In the event of an absence, the decision to replace the second Correctional Manager is based on an assessment of institutional climate.

In medium and maximum-security institutions, the main duties of each CM post can be summarized as follows:

CM(d) – Operational Desk:

• In charge of the institution
• Roll call, daily deployment and call-back (in accordance with the institution's established rules)
• Routine and non-routine offender movement
• Management of offender counts and patrols
• Authorization for placement in segregation and cell extraction
• Threat and Risk Assessment for unplanned escorts
• Approval of special searches (e.g. visitor, vehicle, employee)
• Management of searches (at institutional level)
• In charge of crisis management awaiting the arrival of the crisis manager
• Assignment of tasks (including to multi-function officers)
• Authorization of overtime and allowances
• Briefing escorts
• Notification to victims outside normal working hours

CM(u) – Unit or Sector:

• In charge of unit operations and deployment within unit or sector
• Oversees specialized programs (e.g. intensive support units, Pathways)
• Attends or may occasionally chair the Segregation Review Board (i.e. reviews for less than 60 days)
• Coordinates sector searches
• Claims against the Crown
• Offender movements within unit or sector
• Cell changes
• Offender assignments to Correctional Officers II or Primary Workers
• Quality control of CO II/PW and CO I work in the unit or sector
• Threat and Risk Assessment of planned escorts

CM(o) – Operations (operations and budget management in the following areas):

• Security devices and equipment (e.g. policies, maintenance, training, inspection, control)
• Key and tool control
• Detection program (contraband smuggling control)
• Urinalysis Program
• Offenders' personal property
• Coordinates the activities of the Operations Management Committee

CM(s&d) – Scheduling and Deployment:

• Develops a human resource plan for the correctional staff that includes a renewal strategy as well as required abilities, skill set and training
• Prepares documentation regarding human resource utilization
• Develops and updates schedules
• Plans and coordinates routine and non-routine deployment activities (emergencies, escorts, special activities)
• Plans and coordinates training activities
• Coordinates annual leave allotment
• Develops operational adjustment plans and practices
• Coordinates and participates in risk assessments pertaining to security activities and deployment practices

CM as designated by the Warden:

• Offender discipline (major disciplinary court: assessor; minor disciplinary court: chair)
• Visits and correspondence (including chairing the Visits Committee)
• Reviews and analyzes uses of force

Assistant Warden, Interventions (AWI)

The Assistant Warden, Interventions is responsible for managing all professional correctional interventions in the institution (i.e. human, financial and material resources related to programs, case management, psychology, education, volunteers' activities, chaplaincy and Aboriginal spiritual activities). He or she determines the needs, resources and operating procedures, recommends internal local procedures, and ensures the integrity of practices and compliance with policies. The AWI has the authority to approve the prioritization and implementation of activities and programs for offenders. He or she chairs the Segregation Review Board for case review at 60 days and beyond. He or she provides links with correctional authorities in the community. He or she chairs the Intervention Management Team (IMTi) and provides functional links with the Regional Administrator, Programs and Reintegration and shares all relevant information with the Manager, Programs, Manager, Assessment and Interventions, and Psychologists.

Manager, Assessment and Intervention (MAI)

The Manager, Assessment and Intervention, is responsible for the administration of case management and sentence management duties in the institution. On an average ratio of 1 to 6 (in order to have a second MAI the ratio is now 0 to 7.1), this individual supervises the Parole Officers and may supervise a Sentence Manager and administrative support staff. Aboriginal liaison services report to the MAI. The incumbent supervises case management activities (assignment of cases to Parole Officers, assessment, monitoring) and conducts quality control of documents completed and submitted for decision to senior management or the National Parole Board. He or she also provides professional supervision of Parole Officers, assists them in developing intervention strategies with offenders and determines the most appropriate intervention. He or she participates in or chairs the Correctional Intervention Board (described below). The MAI brings institutional case management practices and programs and release strategies in line, in cooperation with community managers. The MAI participates in or chairs the Segregation Review Board (reviews of less than 60 days). The MAI receives and refers restorative justice requests (one designated MAI per institution).

Manager, Programs (MP)

The Manager, Programs is responsible for managing programs (i.e. financial management, needs planning, supervising program facilitators, including Psychologists assigned to program delivery, and ensuring program availability), and social activities for offenders (volunteers and socio-cultural activities) and making decisions on offender pay and work assignments. He or she manages contracts with educational service providers and monitors all activities related to the Inmate Committee. He or she participates in or chairs the Correctional Intervention Board.

Manager, Intensive Intervention Strategy (MIIS)

The Manager, Intensive Intervention Strategy is responsible for the implementation and management of the National Intensive Intervention Strategy in a women's institution. He or she has a line responsibility for Behavioural Counsellors and functional responsibility for a multidisciplinary team composed of Primary Workers, Nurses, Psychologists, Parole Officers and others.

To ensure proper planning, strategic management of correctional operations, integration of operations and interventions, and ongoing flow of information, four components will be critical.

Membership includes the Warden, Deputy Warden, all Assistant Wardens or equivalents, the Operational Manager CORCAN and the Chief Health Care. The Institutional Management Team is responsible for planning, organizing, directing and analysing the performance of all institutional activities. The meetings are for operational planning (i.e. adoption of contingency plan, search plan, operation strategies), the organization of work (e.g. review of internal policies, allocations, ongoing analysis and adoption of budget; human resources planning, Post Orders), management of operations (e.g. strategic discussions, Standing Orders, service orders) and performance analysis (Management Control Framework, overtime, budget, reintegration programs). Smaller institutions may have a limited number of managers reporting directly to the Deputy Warden.

In some circumstances (e.g. Regional Management Committee debriefing, discussion or communication on operating strategies), the meetings can be enlarged and include other institutional managers.

Population management is critical at local, regional and national levels. At the local level, this refers to an ongoing analysis of offender profiles, security intelligence and offender movements (i.e. internally between units or ranges, and transfers between institutions). The management of criminal gang affiliations/disaffiliations and management of incompatibles are also critical elements. Many individuals contribute to population management. An Institutional Strategic Intelligence Committee should be put in place to provide coordination of this function through a senior manager.

Institutional Strategic Intelligence Committee (ISIC)

This committee generally consists of the Warden, Deputy Warden (DW), Assistant Warden, Operations, Assistant Warden, Interventions and Security Intelligence Officer (SIO). In smaller institutions, it would be the DW, the Manager, Operations and the SIO. The ISIC is responsible for reviewing the outcome of the analysis of security information collected by the SIO and assessing the risks and impacts on the institution, operations and personnel. At the end of the meeting, the Warden may give instructions regarding operations (e.g. searches, intelligence gathering, and restrictions of offender movements, segregation of certain offenders) and case management (Assessment for Decision: suspension / restriction of absences, transfer). The Committee meets as required and is chaired by the Warden. The Manager, Assessment and Intervention may present the most contentious cases of requests for transfers to the Committee for discussion.

From time to time, the Committee extends its analysis to a complete review of the institution's population: population profile (e.g. gang, mental health, length of sentence, special needs and ethnic profile), movement and administrative segregation, and security incidents, as well as trends in these areas. As part of its work, the Committee could review the institution's operational practices and how they contribute to the administrative segregation situation.

The Committee shares its findings with the Institutional Management Team and the Regional Strategic Intelligence Committee (where applicable).

Every morning, there is a meeting to review operational concerns, including incidents over the last 24 hours (or weekend), and to provide specific direction for the day's operations. Security incidents, the latest security intelligence entries, cases placed in segregation, human resource utilization and other non-routine activities are reviewed. These briefings can entail specific instructions on the day's operations, as well as activities to the case management teams.

The Assistant Wardens (or Manager, Operations) are in charge of conveying specific directions. Shift briefings focus on operational situations that require special attention and any non-routine activities that are planned. It is important that units continue to include as many managers (e.g. Correctional Manager and Manager, Assessment and Intervention) as possible so that they can jointly plan the unit's operations on a daily basis.

This practice may be crucial for maintaining the relationship and cooperation between security operations and interventions at the unit level, but it will be complemented with the Sector Management Team.

As offenders live in one unit and as Correctional Managers are assigned by unit or sector (more than one unit), it is important for each sector to be assigned at least one Manager, Assessment and Intervention. This allows the CM and MAI, as a team, to address operational and case management issues together.

Correctional Managers and Managers, Assessment and Intervention meet on a regular basis (at least every two weeks) to discuss and analyze common issues, such as population management problems at the unit level (drugs, debts, movements, affiliations, segregation, discipline) and systemic case management issues (e.g. interaction between offenders, Correctional Officers II or Primary Workers and Parole Officers and their contribution to case management). Any specific problem regarding an offender must be referred to the Case Management Team. In minimum-security institutions, the Manager, Operations should be involved in the Sector Management Team.

The Responsibility Matrix – Operations (Annex B) provides a detailed picture of all operational aspects. This section provides a broader picture of operations management.

An important component in any operation is planning, which includes performance agreements (i.e. objectives), institutional routine, search plan, contingency plan, human resources, budget allocation (including overtime), Post Orders and Standing Orders. Regular follow-up in these areas, including a review of the Management Control Framework and corporate results, is essential.

These are the responsibilities of the Assistant Warden, Operations or Manager, Operations with the support of the Operations Management Team.

Operations Management Team (OMT)

Consisting of an Assistant Warden, Operations or a Manager, Operations and available Correctional Managers (deployment, operations and unit), this team supports the Assistant Warden, Operations or Manager, Operations in planning operations, developing search plans and the institutional routine, ensuring the operationalization of national and regional policies, and periodically reviewing Post Orders and Standing Orders related to operations and contingency plans. The team also reviews human resources planning, deployment, vacations and overtime, and develops intervention strategies on this basis. The Deputy Warden will attend the team's meeting from time to time as needed.

The team meets as required, with at least one annual meeting (bringing together all Correctional Managers) focused on planning (e.g. search plan, routine and commitments). Meetings are coordinated by a Correctional Manager.

The Correctional Manager, Schedule and Deployment (or another identified CM) coordinates schedules on the basis of activities planned (including health services) and absences, and advises on operational adjustment options. The schedule will take into consideration annual leave, training, long-term leave and other planned absences. For each shift, the Correctional Manager, Operational Desk coordinates unplanned absences and operational adjustments, prepares the roll call and deploys staff to security activities. He or she authorizes overtime and allowances. Deployment is based on the general routine and other planned activities for the day (e.g. escorts, movements, etc.).

To set priorities, there is a need to look at strategic and critical information, planned activities, needs regarding health services and changes in the environment (including regional and national priorities). To help in this responsibility, the daily briefing is the most appropriate forum.

Following the briefing, there may be adjustments to the final deployment of staff for the day to offset factors raised during the meeting (normally limited to tasks performed by multifunction officers).

Most staff activities pertain to managing situations with offenders. This includes conflict resolution (between offenders), personal property issues, unplanned movements, contraband and unauthorized items, illegal activities, and aggressive or non-compliant behaviour. Handling these situations is the responsibility of the Correctional Manager, Unit/Sector and will be managed in conjunction with Correctional Officers.

For any planned use of force, the Correctional Manager, Unit/Sector will coordinate the intervention with the Warden, who will give the final approval. In the absence of the Warden (or designated Crisis Manager), the Correctional Manager, Operational Desk, as officer in charge and acting Crisis Manager, will initiate the intervention.

Some operations are managed from a central point in the institution: management of security equipment, Urinalysis Program, visits and correspondence, discipline and segregation. These operations may be under the responsibility of the Correctional Manager, Operations or a CM designated by the Warden.

CSC operates through manuals, Commissioner Directives and Guidelines that outline requirements regarding the management of security equipment (e.g. firearms, ammunition, chemical agents, handcuffs, keys, vests). The responsibility of the Correctional Manager, Operations (or equivalent) is to ensure the proper acquisition, maintenance and distribution of the security equipment in a safe and timely manner.

The Correctional Manager, Operations (in medium and maximum-security institutions) or the Correctional Manager or Manager, Operations (in other institutions) is responsible for the program as a whole, including random sampling (subparagraph 54(b)), or as a condition of participation in a program (subparagraph 54(c)). He or she also authorizes sampling on the basis of reasonable grounds (subparagraph 54(a) or section 55) or establishes a frequency for a release program (section 55). Visits and Correspondence Management of the program is the responsibility of a Correctional Manager as designated by the Warden. Authority for interception rests with the Deputy Warden (except for privileged correspondents) and authority to allow special visits rests with the Assistant Warden, Operations or Manager, Operations. Any other decisions regarding visits are made by the Visits Board, which also makes recommendations for special visits.

Management of the program is the responsibility of a Correctional Manager as designated by the Warden. Authority for interception rests with the Deputy Warden (except for privileged correspondents) and authority to allow special visits rests with the Assistant Warden, Operations or Manager, Operations. Any other decisions regarding visits are made by the Visits Board, which also makes recommendations for special visits.

Chaired by a Correctional Manager, the Visits Board consists of at least a Correctional Officer, Visits and Correspondence. The Security Intelligence Officer would be ad hoc member in some cases. The Visits Board makes decisions involving approval/suspension for regular visits and private family visits.

The management of discipline is also under the responsibility of the Correctional Manager, Operations. This includes management of the disciplinary courts and entries into the Offender Management System (OMS). Every staff member must produce offence reports, but the charge is generally the responsibility of a Correctional Manager.

The major disciplinary court is chaired by an Independent Chairperson, supported by an assessor designated by the Warden.

The minor disciplinary court can occur institutionally or by unit, based on the Warden's decision. To respect the duty to act fairly, the Correctional Manager who makes the decision on the offender's charge cannot chair the minor disciplinary court. The Correctional Manager acting as Chair is designated by the Warden.

Management of the Segregation Unit is the responsibility of the Assistant Warden, Operations or Manager, Operations. This includes making sure a daily visit is done at the unit, ensuring access to daily activities, shower, services, etc. The Segregation Review Board is chaired by the Manager, Assessment and Intervention or equivalent for reviews of cases of less than 60 days and by the Assistant Warden, Interventions or equivalent for the review of cases of 60 days and beyond.

Chaired by the Manager, Assessment and Intervention or equivalent (Correctional Manager) (for cases of less than 60 days) or by the Assistant Warden, Interventions or equivalent (Assistant Warden, Operations or Manager, Operations) (for cases of 60 days and subsequent reviews) and comprising one Correctional Manager, one Manager, Assessment and Intervention and the assigned Parole Officer, the Board reviews all cases of administrative segregation (voluntary or involuntary) at intervals established by regulatory and policy requirements, evaluates all alternatives, recommends the measures to be taken, and submits everything to the Warden for decision.

The Responsibility Matrix – Interventions (Annex C) provides a detailed picture of all intervention aspects. This section provides a broader picture of the management of interventions.

As with operations, an essential component of interventions is planning in such areas as: offender activities, program availability, schooling, offender employment and pay, reintegration activities, human resources, performance objectives, budget allocation and preparation of Standing Orders. Follow-up on all activities, including a review of Management Control Framework and corporate results, is an essential component of the process.

These are the responsibilities of the Assistant Warden, Interventions, with the support of the Intervention Management Team. In smaller institutions that do not have this position, these responsibilities are assigned to the Deputy Warden.

Consisting of the Assistant Warden, Interventions, Manager, Assessment and Intervention, Manager, Programs, Chief Psychologist, as well as the Chaplain and Elder as ad hoc members if needed, the Intervention Management Team provides support to the Assistant Warden, Interventions in performance planning and management for case management (i.e. intervention, case preparation), programs (i.e. availability, relevance and program delivery) and other professional activities. The team assesses the needs of the institution's population on an annual basis and ensures programs designed to meet these needs are available. It also develops and approves a list of possible assignments to the institution (e.g. programs, jobs, school) and case prioritization procedures for programs. The team periodically reviews performance (in monitoring cases, compliance with standards), evaluates and recommends approval of special activities, and provides follow-up to decisions related to the Inmate Committee. It develops strategies concerning offender employment.

The team meets as required, including at least one annual meeting that focuses on planning (programs, special activities, policies on offender employment, strategy for professional development of staff).

Directed by the Manager, Assessment and Intervention, all activities related to case management are described in CD 700. This includes ongoing assessment of risks and needs, orientation and referral to specialized services (e.g. programs, Elders, psychology and health services), targeted intervention by the Parole Officer, and Assessment for Decision.

One major responsibility of the Manager, Assessment and Intervention is to provide professional supervision to Parole Officers. This means providing the Parole Officer with support and advice, challenging assessments and intervention strategies, being actively involved in case conferences, and providing or fostering professional development. The Case Management Team and Correctional Intervention Board are part of the continuum of professional supervision from the Parole Officer through the Manager, Assessment and Intervention.

Offender case management is the responsibility of the Parole Officer, but the Case Management Team supports the Parole Officer.

Consisting of the Parole Officer, Correctional Officer II or Primary Worker and Manager, Assessment and Intervention, and as ad hoc members, the Correctional Manager, the Psychologist, Program Officer, Aboriginal Liaison Officer and Security Intelligence Officer, the Case Management Team remains the offender's primary intervention unit. The team determines the intervention strategy for the offender and conducts ongoing progress monitoring, case discussions concerning behavioural problems (e.g. discipline, drug use, relations with other offenders, lack of progress, intelligence requiring a re-assessment of risk), referrals to programs and special services (e.g. psychology, Aboriginal spirituality, methadone) and reviews for decision (e.g. visit, transfer, perimeter clearance, escorted temporary absence, unescorted temporary absence, work release, day release, full parole, statutory release). Once the case is reviewed and the various points of view have been represented in the reports, the offender's case can then be submitted directly to the decision-making authority (Warden or delegated individual, Commissioner or National Parole Board (NPB)).

The Case Management Team meets at intervals determined by policies, events or the pressing need for analysis or decision on a specific case.

To support the Case Management Team and review problem cases for decision, orientation, referral or development of strategic intervention, or to agree on an integrated approach for the offender, the Correctional Intervention Board can play a critical role in the integration of all intervention activities. Here is a broader description of its role.

Chaired alternately by the Manager, Assessment and Intervention and the Manager, Programs, the Board may request participation by any staff member who may contribute to the discussion or decision (such as the Parole Officer, Program Officer, other Parole Officers, Correctional Officer II or Primary Worker, Correctional Manager, Psychologist, Aboriginal Liaison Officer or other). Depending on the size of the institution, there may be more than one Board. A half-day meeting per week could be held, where the cases to be reviewed or discussed could be prioritized.

The Board will approve assignments to correctional and educational programs. It will proceed to case discussions regarding problematic cases, decision review for complex cases and referral for detention. To be effective, cases to be reviewed or discussed should be properly selected.

Unless there is a disagreement or an appeal, there will be no need to convene a Board to make a decision on offender pay, or work assignment or reassignment. Decisions in those areas will be made by the Manager, Programs.

There are three types of psychological services provided: interventions based on risk and need factors (psychological monitoring); psychological assessments for decision purposes by CSC (e.g. placement, security classification) or NPB (e.g. parole, detention); and interventions for mental health support. For mental health issues, the Psychologist will be supported by the Mental Health Team.

The Mental Health Team consists of the Psychologist, Nurse, Manager, Assessment and Intervention, Parole Officer and, if necessary, the Psychiatrist and other ad hoc members. The functions of the team include identifying the needs and services required, prioritizing mental health services, and monitoring and documenting the clinical progress of individual offenders on a monthly basis.

This area, led by the Program Manager, includes various types of activities, such as program delivery, schooling, library, offender activities (social, cultural, physical), work assignments (employment and employability), offender pay, social programs and the coordination of volunteer activities. The Program Manager also coordinates activities related to the Inmate Committee.

Reporting directly to the Assistant Warden, Interventions, spiritual services include chaplaincy and Aboriginal spirituality services.

Annex B - RESPONSIBILITY MATRIX – OPERATIONS

Annex C - RESPONSIBILITY MATRIX – INTERVENTIONS

Annex D - ACRONYMS