Commissioner's directive 705-6: Correctional planning and criminal profile

Responsibilities

1. The Institutional Head/District Director will ensure that:
   1. the Criminal Profile Report, the Correctional Plan and all related reports are completed within the prescribed timeframes.
   2. procedures are in place to assist the offender in obtaining appropriate pieces of identification such as birth certificate, Indian Status card, Metis card, citizenship/permanent resident card, health coverage, Social Insurance Number.
2. The Parole Officer Supervisor/Manager, Assessment and Interventions, will :
   1. determine the intake assessment process required for all admissions, including the Compressed Offender Intake Assessment
   2. provide quality control for the Custody Rating Scale, Revised Statistical Information on Recidivism, Criminal Profile Report, amended Criminal Profile Report and Correctional Plan
   3. ensure completion of the Primary Information Sharing Checklist (CSC/SCC 1199) and the Procedural Safeguard Declaration (CSC/SCC 1198).
3. The Parole Officer will:
   1. assist and support the offender during the intake process
   2. complete, as required, actuarial and risk assessment tools, static and dynamic factors assessment
   3. complete the Criminal Profile Report
   4. complete, if required, the assessments for offender security level and penitentiary placement
   5. complete the Correctional Plan, Annex G in consultation with the offender and the Case Management Team, and :
      1. determine the key ratings including offender accountability, motivation, responsivity and engagement.
      2. review current pieces of identification and confirm validity
      3. determine the requirement for the offender to obtain outstanding pieces of identification
      4. explain the application process to obtain outstanding pieces of identification to the offender and provide assistance, when necessary
      5. document the above information in the Correctional Plan along with the offender’s plan for acquiring needed identification, including a health card when/if possible (refer to Appendices F and H of the National Essential Health Services Framework).
4. The offender is expected to:
   1. participate in the intake assessment process
   2. participate in the development of Correctional Plan
   3. comply with the requirement to submit to urinalysis in accordance with section 54 of the CCRA and/or supervision requirements.

Procedures

5. The Parole Officer and, if required, members of the Case Management Team will interview the offender prior to completing the intake assessment reports. If the offender refuses to participate, or is unable to participate (e.g. illness), the completed report will include a notation of the circumstances.

Timeframes

6. The Criminal Profile Report and the Correctional Plan will be completed within the following timeframes:
   1. Compressed Offender Intake Assessment - within 60 days after admission for offenders who:
      1. are serving a sentence of four years or less for a non-violent offence
      2. have limited criminal history (five or less prior convictions, including those as a young offender) or no criminal history
      3. do not need a psychological risk assessment pursuant to criteria in CD 705-5 - Supplementary Assessments
      4. are not likely to be referred for detention
      5. do not have a long-term supervision order
   2. within 70 days after admission:
      1. for all other offenders serving four years or less
      2. for young persons transferred to a penitentiary pursuant to sections 76, 89, 92 or 93 of the Youth Criminal Justice Act
   3. within 90 days after admission date, for all other offenders serving sentences of more than four years (including indeterminate and life).

Intake Assessment Process

7. The Parole Officer will complete the intake assessment documents and initial Correctional Plan using at least the minimum required information sources, pursuant to CD 705-2 - Information Collection.
8. Upon receipt of additional official information and if required, the Parole Officer will update the intake assessment documents and the Correctional Plan.

Custody Rating Scale

9. The Custody Rating Scale will be completed for all offenders, pursuant to CD 705-7 - Security Classification and Penitentiary Placement, prior to determining the level of intervention based on static factors.

Revised Statistical Information on Recidivism Scale

10. The Revised Statistical Information on Recidivism Scale will be completed, pursuant to Annex B, for all offenders (except Indigenous offenders, women offenders, and provincial offenders) prior to determining the level of intervention based on static factors.
11. The Revised Statistical Information on Recidivism Scale needs to be reviewed and updated if necessary following receipt of new information, revocation and/or new conviction.

Static Factors Assessment Report

12. The Static Factors Assessment in OMS will be completed for all offenders at intake pursuant to Annex D. If the criteria for Compressed Offender Intake Assessment outlined above are met, the Criminal History Record section of the Static Factors Assessment will be completed at intake to determine the Criminal Risk Index score pursuant to Annex C. The overall Static Factors Assessment will be contained within the Correctional Plan.
13. If serious harm was caused, pursuant to CD 705-8 - Assessing Serious Harm, Sentence Management will be advised.
14. The guidelines for determining the overall rating for level of intervention based on static factors are:
    1. a rating of High reflects cases in which:
       1. the Criminal History Record reflects considerable involvement with the criminal justice system, or
       2. the Offence Severity Record reflects considerable harm to society in general, and victims in particular, or
       3. the Sex Offence History Checklist reflects considerable sex offending
    2. a rating of Low reflects cases where all of the following conditions are met:
       1. the Criminal History Record reflects little or no involvement with the criminal justice system
       2. the Offence Severity Record reflects little or no harm to society in general, and victims in particular
       3. the Sex Offence History reflects little or no sex offending
       4. a review against detention criteria, as well as the score on the Revised Statistical Information on Recidivism, if applicable, supports all of the aforementioned indices
    3. a rating of Medium signifies that the offender is clearly not a Low criminal risk and there exists sufficient latitude to not rate the offender as High.

Dynamic Factors Assessment Report

15. The Dynamic Factor Identification and Analysis Revised Assessment Report will be completed at intake using the Dynamic Factor Identification and Analysis, Revised in Annex E. If the criteria for the Compressed Offender Intake Assessment outlined above are met, the dynamic factors assessment will be contained within the Correctional Plan.
16. The Parole Officer will determine dynamic contributing factors and prioritize the domain needs.
17. Within the domain analysis contained in the Dynamic Factors Assessment Report, or the Correctional Plan, the reasons why the specific dynamic factor is rated as contributing must be provided. The results from available supplementary assessments will be included in the rationale. For Indigenous offenders, explain how the Indigenous Social History may have impacted each specific dynamic factor rated as contributing. Refer to Annex H - Dynamic Factors and Indigenous Social History for guidance.
18. Participation in Adult Basic Education must be included in the offender's Correctional Plan pursuant to CD 720 - Education Programs and Services for Inmates when:
    1. the grade level achieved by the offender is below grade twelve or the equivalent, or
    2. upgrading is required for participation in correctional programming or vocational training (CORCAN).
19. For dynamic factors not directly related to criminal behaviour, but where intervention will improve safe and timely reintegration, provide a clear explanation of why such factors require intervention.
20. If a domain has no bearing on the offender's criminal behaviour, this should be indicated.
21. The guidelines for determining the overall rating for the level of intervention based on dynamic factors are:
    1. Low
       1. No identified dynamic factors (i.e. factors seen as an asset to community adjustment and/or no immediate need for improvement)
       2. Relatively few identified dynamic factors and rated as low or medium need for improvement
    2. High
       1. Few identified dynamic factors but rated as high need for improvement
       2. Multiple dynamic factors identified, (regardless of degree or severity of needs)
    3. Medium
       1. Any combination of dynamic factor severity and number that lie outside of either the low or high guidelines as identified above.

Domain Motivation Level

22. The domain motivation level is assessed for eight need areas: education, employment, marital/family, associates, substance abuse, community functioning, personal/emotional orientation, and attitude using the following criteria:
    1. High
       The offender fully recognizes a need requiring intervention and is fully ready to start intervention. They haves committed to change and may have already started actively engaging in behaviours related to change. While still recognizing external benefits for pursuing intervention (e.g., securing early release), they have primarily motivated for internal reasons (e.g., doing it for themselves, "I'm tired of the lifestyle or I want a change").
    2. Medium
       The offender may not fully accept or recognize need area as deficit but is willing to participate in recommended programs or other interventions. Genuine commitment to change may still be absent. While the offender may commit to intervention, they may only be doing so for external reasons (e.g., to secure early release or be transferred to a lower security institution).
    3. Low
       The offender would benefit from motivational interviewing prior to programming. There is absolutely no recognition that a need exists in this area. There is no genuine commitment to change.

Criminal Profile Report

23. The Criminal Profile Report will be completed for all offenders pursuant to Annex F.
24. An amended Criminal Profile Report is completed when:
    1. outstanding appeals or charges are processed
    2. additional documents are received that impact on the outcome of the Criminal Profile, including:
       1. Crown information
       2. police reports
       3. judge's reasons for sentence and relevant court orders
       4. psychiatric and/or psychological assessments completed for trial
       5. post-assessment/treatment reports completed for the purpose of developing an offence cycle
    3. the offender is convicted of new offences while incarcerated or while under community supervision
    4. the offender is readmitted with new conviction(s).
25. The operational unit that is responsible for the offender at the time of the receipt of new information or convictions, or upon revocation, will amend the Criminal Profile Report.

Correctional Plan

26. The Correctional Plan will be completed in consultation with the offender and the Case Management Team, pursuant to Annex G. The Correctional Plan will contain the following:
    1. level of intervention with respect to the offender's needs
    2. objectives for the offender's behaviour (i.e. conduct that demonstrates respect for other persons and property, penitentiary rules, and conditions of any release)
    3. programs and interventions required to manage risk
    4. court-ordered obligations (i.e. restitution to victims or child support).

Offender Accountability

27. The guidelines for establishing the overall accountability rating are:
    1. High
       1. The offender accepts responsibility for actions and recognizes problems.
       2. Willingness to self disclose, displays guilt and victim empathy with evidence indicating a low level of cognitive distortions.
    2. Medium
       1. The offender may not fully accept responsibility for actions but recognizes some problems.
       2. Displays some guilt and victim empathy with some evidence of denial and cognitive distortions.
    3. Low
       1. The offender rejects responsibility for actions and fails to recognize problems.
       2. Does not disclose emotional states, display guilt or victim empathy with evidence indicating a high level of denial and cognitive distortions.

Offender Motivation

28. The guidelines for establishing the overall motivation rating are:
    1. High
       The offender is self-motivated and is actively addressing problem areas.
    2. Medium
       The offender may not fully accept overall assessment, but will participate in recommended programs or other interventions.
    3. Low
       The offender strongly rejects the need for change.

Responsivity Factors

29. Identify the offender's responsivity factors and consider barriers or facilitators, if applicable, pursuant to Annex E.

Offender Engagement

30. Engagement is determined by combining ratings on motivation, accountability and responsivity. In order to be engaged there must be a rating of either medium or high in both accountability and motivation.

Reintegration Potential

31. Reintegration potential of male, non-Indigenous offenders is determined by using the Custody Rating Scale, the Revised Statistical Information on Recidivism and the Static Factor Rating.
32. Reintegration potential of women offenders and Indigenous offenders is determined by using the Custody Rating Scale, the Static Factor Rating and the Dynamic Factor Rating.
33. The reintegration potential is calculated as follows:
    1. a low reintegration potential is assigned to offenders who received a high score in two or more of the three tools
    2. a moderate reintegration potential is assigned to offenders who received one high score in any one tool and a moderate score in at least one of the other two tools, or who received a moderate score on all three tools
    3. a high reintegration potential is assigned to all other offenders, i.e. all those who did not score high in any of the three tools, or scored high in one of the tools and no worse than low in the other two tools.
34. When the Parole Officer disagrees with the determined reintegration potential, a clear rationale must be documented in the Correctional Plan, based on the following:
    1. High
       Offenders with high reintegration potential should not normally require formal correctional interventions. If required, these interventions should preferably be provided in the community. Other correctional interventions, services and work placements (including employability skills development) may be used, as well as any other risk management strategies, other than programs, in both institutions and the community.
    2. Medium
       Offenders with medium reintegration potential should require institutional correctional interventions based on the dynamic factors and the offender's level of risk and need(s).These interventions can also be provided in the community during the period of day parole or unescorted temporary absence program for personal development prior to full parole release.
    3. Low
       Offenders with low reintegration potential require institutional correctional interventions based on the dynamic factors and the offender's level of risk and need(s). Other risk management strategies are to be provided in institutions prior to release, and continued in the community as required.

Psychological/Psychiatric/Mental Health Information

35. In the Correctional Plan, include the offender's psychological, psychiatric, mental health and/or physical health information on risk, risk management strategies, and recommended interventions.

Offence Cycle

36. Summarize the offence cycle and the offender’s understanding of the cycle. For Indigenous offenders, their offence cycle must be explained within the context of their Indigenous Social History.

Correctional and Sentence Planning

37. Correctional programs will be prioritized as the first correctional intervention for those who meet the referral criteria as set out in GL 726-2 - National Correctional Programs Referral Guidelines.
38. Education programs will be prioritized as the second correctional intervention for those who meet the criteria as set out in GL 720-1 - Guidelines for Education Programs.
39. Employment programs will be prioritized as the third correctional intervention for those who meet the eligibility criteria for all correctional interventions. If the offender has:
    1. limited cooperative work skills or employment history is absent, a referral to Employability Program will be made
    2. limited marketable job skills obtained through experience, formal training or is dissatisfied with job skills, a referral to Vocational Training will be made.
40. Sentence planning in the Correctional Plan will identify the objectives and significant events for the offender to gain support for reduced security classification, temporary absences, work release and/or conditional release.
41. These objectives and significant events will be individualized, structured and timeframed. They will initially focus on the next review period while setting the framework for managing the offender's sentence.
42. These objectives and significant events will be prioritized based on public safety, institutional adjustment and adaptation, interventions required and safe reintegration.
43. The Case Management Team, in consultation with the offender, will identify clear goals and expected results that support progress against the Correctional Plan.
44. Sentence planning for offenders serving sentences of 10 years or more will include the four phases, pursuant to Annex G - Correctional Plan - Report Outline. The initial focus is on adaptation and integration to the institutional environment. Offenders classified as medium security must be in the "preparation for release" or "reintegration to the community" phase to be eligible for placement in, or transfer to, an environment without a secure and directly controlled perimeter pursuant to CD - 706 - Classification of Institution.
45. In cases where the offender’s reintegration potential is rated as low and the Case Management Team is not supporting the release, a Community Strategy is not required unless the offender is:
    1. pursuing a release under the provisions of section 84 or section 84.1 of the CCRA
    2. being released on statutory release, or
    3. being released at warrant expiry and is subject to a long-term supervision order.
46. For offenders serving three years or less who have applied for day parole or are eligible for full parole within six months of completion of intake, a Community Strategy is required. Following completion of the intake assessment, the institutional Parole Officer, Intake Assessment Unit, will request the Community Strategy from the proposed release destination pursuant to Annex G - Correctional Plan - Report Outline.

Offender Readmissions/Offenders With New Convictions Pre or Post-Release

47. Offenders who are readmitted without having committed a new offence do not normally require a comprehensive reassessment.
48. For offenders who are readmitted with one or more new convictions, or following an escape, the Criminal Profile Report and the Revised Statistical Information on Recidivism Scale will be amended and the Correctional Plan will be reviewed to determine if the current Correctional Plan remains appropriate, or if a comprehensive reassessment is required.
49. In the case of an escaped offender, the region in which the offender has been recaptured becomes responsible for completing all reviews and updates to the Criminal Profile Report and the Correctional Plan.
50. A decision to refer an offender readmitted with new convictions to the Intake Assessment Unit for a more comprehensive re-evaluation of the offender's static and dynamic factors could be made under the following circumstances:
    1. the offender's criminal behaviour has taken a significant shift (e.g., a property offender has committed violent offence(s), an offender previously not identified as a sex offender has committed a sexual offence) and there is no information in the offender's previous assessment or in the file that would assist in the development of a strategy to deal with that shift
    2. there is no comprehensive Correctional Plan on the offender
    3. the Correctional Plan does not provide the level or quality of information necessary to plan an adequate strategy for dealing with the offender, or
    4. the offender has been on conditional release or at large for five years or more, and the new offence(s) or other relevant information lead staff to consider that a review of the offender's previous assessment is necessary to determine an appropriate strategy.
51. For offenders who commit new offences while incarcerated, use the same criteria found in the previous paragraphs to determine whether to refer the offender to the Intake Assessment Unit for reassessment. The transfer process, pursuant to GL 710-2-3 - Inmate Transfer Processes, is required and a decision should take place within 30 days of readmission or within 30 days from the date the offender is convicted of a new offence committed while incarcerated.
52. If an offender is returned to the Intake Assessment Unit for reassessment, staff should review the previous assessment and only change or reassess those areas where the offender's situation has changed.

Commissioner,

Original Signed by:

Anne Kelly

Annex A
Cross-References and Definitions

• CD 001 - Mission, Values and Ethics Framework of the Correctional Service of Canada
• CD 700 - Correctional Interventions
• CD 701 - Information Sharing
• CD 702 - Indigenous Offenders
• CD 703 - Sentence Management
• CD 705-1 - Preliminary Assessments and Post-Sentence Community Assessments
• CD 705-2 - Information Collection
• CD 705-3 - Immediate Needs Identification and Admission Interviews
• CD 705-4 - Orientation
• CD 705-5 - Supplementary Assessments
• CD 705-7 - Security Classification and Penitentiary Placement
• CD 705-8 - Assessing Serious Harm
• CD 710-2 - Transfer of Inmates
• GL 710-2-3 - Inmate Transfer Processes
• CD 720 - Education Programs and Services for Inmates
• GL 720-1 - Guidelines for Education Programs
• CD 726 - Correctional Programs
• GL 726-2 - National Correctional Programs Referral Guidelines
• CD 784 - Victim Engagement
• CD 800 - Health Services
• CD 843 - Interventions to Preserve Life and Prevent Serious Bodily
• Access to Information Act
• Canadian Charter of Rights and Freedom
• Canadian Human Rights Act
• Controlled Drugs and Substances Act
• Immigration and Refugee Protection Act
• Official Languages Act
• Privacy Act
• Youth Criminal Justice Act
• Integrated Mental Health Guidelines
• Indigenous Social History Tool
• National Essential Health Services Framework

Accountability: the level of involvement of the offender in their Correctional Plan in relation to the obligation to modify behaviours identified as being problematic. Attitude, behaviour, and insight are critical components to offender accountability.

Case Management Team: the individuals involved in managing an offender's case, which include at a minimum the Parole Officer and the offender, and in institutions, the Correctional Officer II/Primary Worker.

Criminal Risk Index: a research based tool used to assess static risk and guide offender intervention levels, which is derived from the Criminal History Record section of the Static Factors Assessment.

Custody Rating Scale: a research-based tool used to assist in assessing the most appropriate level of security for the penitentiary placement of an offender.

Domain Analysis: a concise narrative of a specific domain which qualifies or expands on the factors identified during the intake assessment process. This analysis provides a better understanding of how each area relates to the present offence and the offender's overall criminality. For Indigenous offenders, each domain analysis must consider the impact of the offender’s Indigenous Social History.

Dynamic Factor Identification and Analysis, Revised: primary instrument for assessing dynamic factors upon offender's admission to federal custody. Its main function is to identify and prioritize criminogenic needs according to seven dynamic risk areas (employment and education, marital/family, associates, substance abuse, community functioning, personal/emotional and attitudes) so as to focus correctional intervention on factors that, when appropriately addressed, reduce the likelihood of re-offending.

Engagement: the demonstrated willingness of an offender:

1. to actively participate in their assigned Correctional Plan
2. be free of criminal and gang activity while under sentence
3. display conduct that demonstrates respect
4. obey the penitentiary rules and/or supervision requirements.

Healing component: a component of the Correctional Plan that allows for consideration to be given to the circumstances and background of Indigenous offenders following a healing path.

Motivation: the desire or willingness to change.

Responsivity: the presence of a characteristic(s) that influences the offender's capacity to benefit from the targeted intervention(s).

Revised Statistical Information on Recidivism: a statistically derived tool for predicting recidivism, which combines measures of demographic characteristics and criminal history.

Serious harm: severe physical injury or severe psychological damage, as defined in section 99 of the CCRA.

Young person: a person who is or, in the absence of evidence to the contrary, appears to be twelve years old or older, but less than eighteen years old and, if the context requires, includes any person who is charged under the Youth Criminal Justice Act with having committed an offence while they were a young person or who is found guilty of an offence under this Act.

Annex B
Revised Statistical Information on Recidivism Scale (SIR-R1)

In the SIR screen in the Offender Management System (OMS), assign an individual score to each of the 15 items using the scoring guidelines and notes that follow:

1. Current offence
2. Age at admission
3. Previous incarceration
4. Revocation or forfeiture
5. Act of escape
6. Security classification
7. Age at first adult conviction
8. Previous convictions for assault
9. Marital status at most recent admission
10. Interval at risk since last offence
11. Number of dependants at most recent admission
12. Current total aggregate sentence
13. Previous convictions for sex offences
14. Previous convictions for break and enter
15. Employment status at arrest.

1. An item score may be positive, zero, or negative. Read each of the descriptions under an item. If one of them applies to the offender, enter the corresponding value in the OMS field. If no descriptions apply, then enter a value of zero. OMS calculates an offender's total score by adding the 15 individual item scores together.
2. Ensure that all information about the offender is accurate. Verify the information through all available sources (file review, offender, collateral contacts, etc.). However, it is important that each of the 15 items be scored. So, if accurate data is not available, it is preferable to make an approximation rather than omitting the item or entering a value of zero by default.
3. When scoring the items, include Young Offender Act or Youth Criminal Justice Act involvement (e.g., convictions, incarcerations, escapes, etc.) if the offender was 16 or over. Also, as a general principle, do not ignore information that is not on the official record. For example, where the FPS indicates assault, but other reliable sources allow us to determine that the offender actually committed a sexual assault, treat the offence as a sexual assault and score accordingly.
4. To avoid confrontation at a hearing, the Parole Board of Canada should be alerted if the offender disputes the score. The Board should also know if the score is approximated.
5. This scoring tool is to be used only for federal non-Indigenous male offenders.
6. Indigenous, women, and provincial offenders are excluded from SIR use. However, to date there is no reason to exclude other groups from this scoring tool.
7. Absolute and/or conditional discharges do not count as a conviction for purposes of the scale.

Annex C
Criminal Risk Index

The Criminal Risk Index (CRI) score is generated when the Criminal History Record section of the Static Factors Assessment is completed at intake.

Each indicator marked as applying in the Criminal History Record of the Static Factors Assessment will have a value of one and will contribute to the final CRI score and resulting grouping.

In the Static Factors Assessment screen in the Offender Management System (OMS), provide a “Yes” response to all of the Criminal History Record indicators that apply using the scoring guidelines and notes that follow:

Scoring Guidelines

Some of the indicators apply if any element within a numerical range is true. For example, if the indicator question specifies a range of 10-14 inclusive, this includes all the numbers (10/11/12/13/14).

When reporting on the number of convictions, count the total number even if they formed part of same court proceeding and sentence. For example an offender convicted of Robbery x 3 on a certain date would count as three separate convictions.

Criminal History Record

Previous Offences - Youth Court

The indicators in this section apply to offences committed by the offender as a young offender. This applies to individuals who are under eighteen (18) years old at the time the crime was committed.

Number of Convictions:

Count the number of convictions on the youth record (i.e., offender found guilty of the offence).

Check all indicators that apply.

Type of Convictions:

Refers to the current schedules of offences listed in the Corrections and Conditional Release Act (CCRA - Schedules I and II).

Youth Court Dispositions:

This refers to the sentence received from a youth court for the conviction of a youth offence.

Check all that apply.

If the offender had a number of separate convictions as a youth and received all types of sentences, check all the indicators that apply.

Disposition Outcomes:

This section refers to the offender’s behaviour/performance during a sentence imposed by a youth court.

This does not include conditional releases granted during a sentence.

Previous Offences - Adult Court

This section gathers information involving previous convictions as an adult (18 years or older).

Number of Convictions:

Count the number of convictions on the adult record.

Check all that apply.

Types of Convictions:

Refers to the current schedules of offences listed in the Corrections and Conditional Release Act (CCRA - Schedule I and II).

Adult Court Sanctions:

Refers to sentences previously imposed on the offender for convictions in adult court.

Sanction Outcomes:

These refer to the offender’s behaviour/performance during any previous sentences imposed by adult court.

These include sentences or orders imposed by the court to community-based supervision and/or periods of incarceration.

Crime-Free Period:

Current Offences

Refers to the offences for which the offender is currently serving time in the federal system.

Number of Convictions:

Count the number of convictions on the warrant of committal.

Where there is a requirement to obtain or update the Criminal History Record section of the Static Factors Assessment component of the Offender Intake Assessment for offenders who are supervised on a Long-Term Supervision Order (LTSO), use only the convicted offences that correspond to the sentence containing the LTSO. However, for offenders whose LTSO has been interrupted by another sentence, use only the convicted offences corresponding to the interrupting sentence: the offences that correspond to the initial sentence or previous interrupting sentences are to be considered as previous offences

Check all that apply.

Types of Convictions:

Refers to the current schedules of offences listed in the Corrections and Conditional Release Act (CCRA - Schedule I and II).

Score Groupings

Once the Criminal History Record has been completed, the system will generate a total Criminal History Record score. The total score is used to place the offender into the appropriate score grouping based on gender as per the following tables:

Professional Discretion

The Criminal Risk Index is a reliable tool to assess static risk and to guide intervention levels. Nevertheless, there will be certain cases in the federal system whereby professional discretion is to be used in assessing the offender’s overall risk level and potential program and/or intervention placement. For example, a first time offender sentenced to life for multiple murders may score low on the CRI due to the lack of previous criminal history and/or previous periods of custody/supervision. In these cases, the Parole Officer (in conjunction with their supervisor) will need to exercise professional discretion in reliance on the CRI in determining intervention levels. Discretion will also be required in other assessment decisions referring to Indigenous Social History, information about the degree of harm caused to victims, whether sexual offending occurred as well as information from the Dynamic Factor Identification and Analysis - Revised and other available assessment tools.

The CRI is used as a static risk assessment and is applied in conjunction with other assessment tools to manage individual offenders and guide the development of correctional plans and supervision strategies to manage the risk to re-offend. Once the offender is released to the community, the degree to which the CRI influences the supervision levels will decrease the longer the offender is succeeding and performing in line with their Correctional Plan while under community supervision.

Annex D
Static Factors Assessment

Number of Convictions

• Previous offences youth court?
• Fifteen or more convictions?
• Ten to fourteen convictions?
• Five to nine convictions?
• Two to four convictions?
• One conviction?

Type of Convictions

• Scheduled convictions?

Youth Court Dispositions

• Community supervision?
• Open custody?
• Secure custody?

Disposition Outcomes

• Failure during community-based supervision?
• Disciplinary transfers from open to secure?
• Disciplinary reports while in secure custody?
• Attempt escape/UAL/escape from secure custody?
• Transfer from secure custody to adult facility?

Number of Convictions

• Previous offences adult court?
• Fifteen or more convictions?
• Ten to fourteen convictions?
• Five to nine convictions?
• Two to four convictions?
• One conviction?

Type of Convictions

• Scheduled convictions?

Adult Court Sanctions

• Community supervision?
• Provincial terms?
• Federal terms?

Sanction Outcomes

• Failure during community-based supervision?
• Segregation for disciplinary infractions?
• Attempt escape/UAL/escapes?
• Reclassified to higher levels of custody?
• Failures on conditional release?

Crime-Free Period

• Less than six months since last incarceration?
• No crime-free period of one year or more?

Number of Convictions

• Fifteen or more current convictions?
• Ten to fourteen current convictions?
• Five to nine current convictions?
• Two to four current convictions?
• One current conviction?

Type of Convictions

• Scheduled current convictions?

Type of Convictions

• Previous offences?
• Previous serious offences?
• Drug cultivation?
• Drug trafficking?
• Drug importation?
• Arson/fire-setting?
• Use of prohibited weapons?
• Discharge firearms?
• Forcible confinement/kidnapping?
• Violence (assault, robbery)?
• Sexual offences?
• Attempted murder?
• Homicide
• Conspire to any of the above?
• Break and enter with commission of any of the above?

Type of Victim

• Victims were children?
• Victims were handicapped/infirm?
• Victims were elderly?
• Three or more victims?
• Two victims?
• One victim?

Degree of Force Used on Victim

• Use of power/position/authority on victim?
• Threat of violence to victim?
• Threaten victim with a weapon?
• Violence used against victim?
• Weapons used against victim?

Degree of Physical Harm to Victim

• Caused death of victim?
• Serious injury (wounding, maiming, disfiguring) to victim?
• Minor injury (hitting, slapping, striking) to victim?

Degree of Psychological Harm to Victim

• Serious psychological harm to victim?
• Moderate psychological harm to victim?
• Mild psychological harm to victim?

Sentence Length

• Sentence length over 24 years?
• Sentence length 10 to 24 years?
• Sentence length 5 to 9 years?
• Sentence length 1 day to 4 years?

Type of Conviction

• Current serious offences?
• Drug cultivation?
• Drug trafficking?
• Drug importation?
• Arson/fire-setting?
• Use of prohibited weapons?
• Discharge firearms?
• Forcible confinement/kidnapping?
• Violence (assault, robbery)?
• Sexual offences?
• Attempted murder?
• Homicide?
• Conspire to any of the above?
• Break and enter with commission of any of the above?

Types of Victims

• Victims were children?
• Victims were handicapped/infirm?
• Victims were elderly?
• Three or more victims?
• Two victims?
• One victim?

Degree of Force Used on Victims

• Use of power/position/authority on victim?
• Threat of violence to victim?
• Threaten victim with a weapon?
• Violence used against victim?
• Weapons used against victim?

Degree of Physical Harm to Victims

• Caused death of victim?
• Serious injury (wounding, maiming, disfiguring) to victim?
• Minor injury (hitting, slapping, striking) to victim?

Degree of Psychological Harm to Victims

• Serious psychological harm to victim?
• Moderate psychological harm to victim?
• Mild psychological harm to victim?

Sentence Length

• Sentence length over 24 years?
• Sentence length 10 to 24 years?
• Sentence length 5 to 9 years?
• Sentence length 1 day to 4 years?

Sex Offender Status

• Sex offence history (current or past)?
• Is currently serving a sentence for a sex offence?
• Has been convicted in the past for one or more sex offences?
• Is currently serving a sentence for a sex-related offence?
• Has previously been convicted of a sex-related offence?

Sexual Offence Type - Current Sentence

• Incest?
• Paedophilia?
• Sexual assault?
• Other current sex offence (voyeurism, exhibitionism)?

Sexual Offence Type - Past Sentence(s)

• Incest?
• Paedophilia?
• Sexual assault?
• Other previous sex offence(s) (voyeurism, exhibitionism)?

Number Of Victim(s)

• Three or more?
• Two?
• One?

Female Victim(s)

• Victims were female children (under 12 years)?
• Victims were female children (12 to 17 years)?
• Victims were female adults (18 to 64 years)?
• Victims were female elderly (65 years or older)?

Male Victim(s)

• Victims were male children (under 12 years)? Children (< 12 years)?
• Victims were male children (12 to 17 years)?
• Victims were male adults (18 to 64 years)?
• Victims were male elderly (65 years or older)?

Serious Harm

• Current offence resulted in death or serious harm?

Assessment/Treatment History

• Prior psychological/psychiatric assessments in relation to sex offences?
• Prior treatment/intervention in relation to sex offending?
• Current treatment/intervention in relation to sex offending?

Annex E
Dynamic Factor Identification and Analysis, Revised (DFIA-R)

A dynamic factor rating is the compilation of professional judgements derived from DFIA-R assessment results (i.e., degree or severity of need) on each of the seven target domains.

The number of target domains identified and severity of each need are considered.

For those offenders who have no identified needs (i.e., "Factors seen as asset to community adjustment" and/or "No immediate need for improvement") or relatively few identified needs which have been rated as "Low need for improvement", an overall case needs rating of Low is warranted.

Overall ratings of Medium or High case needs are determined from a systematic review of professional judgements identifying the need for intervention within each target domain (i.e., "Moderate need for improvement" and "High need for improvement").

Again, the number of target domains identified, both individually and in combination, and severity of each need are considered.

For those offenders assessed as having few identified needs but indicate "High need for improvement" in those areas, an overall rating of High case needs should be given.

Regardless of degree or severity of needs, offenders who have been identified to be multi-need individuals also warrant an overall rating of High case needs.

Where professional judgement concludes that the offender is clearly not a Low case needs and there exists sufficient latitude to not rate the offender as High, then an overall rating of Medium case needs is deemed appropriate.

Annex F
Criminal Profile - Report Outline

• Name, age, citizenship, sentence length and offence(s).
• Confirm through Sentence Management court orders, outstanding appeals and outstanding charges including source and details (if it is confirmed that there are no outstanding charges, make a statement to that effect).
• If offender discloses information about outstanding charge(s), results can be incorporated into the Criminal Profile Report.

Concise official version of index offence(s) based on official documentation.

For multiple offences that were committed in a similar manner, do not describe the details of each individual offence but summarize pattern.

Note the following:

Reference source document(s) and include:

• date and place of offence(s)
• how the offence was perpetrated (who, what, where, when, how and why)
• offender's role in the offence
• nature and gravity of the offence and the degree of responsibility of the offender, including the degree of violence and the use of any weapons
• name, role and status of accomplices, co-accused and/or co-convicted
• date of arrest and level of cooperation by the offender with authorities following arrest
• whether or not the offender's version is consistent with the official version
• if offender's version in Preliminary Assessment changes, provide a brief comment about major discrepancies
• whether the offence(s) and/or conviction(s) received extensive publicity
• information concerning the offender's performance if released on bail
• sentencing judge's comments and/or recommendations.

• Victim Impact Statement(s) and description of physical and/or psychological harm and summary of victim impact.
• Determination of serious harm, as set out in the Corrections and Conditional Release Act (CCRA) and CD 705-8 - Assessing Serious Harm, in the current offence(s).

Reference source document(s) and include a brief analysis of criminal behaviour, and if applicable, include:

• a concise summary of the offender's juvenile, young offender, and adult criminal history (include prior stayed, withdrawn and/or dismissed charges). For Indigenous offenders, make links between the offender’s offending and their Indigenous Social History
• brief details of serious schedule I and II offences
• number of offences causing physical or psychological harm
• use of a weapon
• explicit threats of violence
• behaviour of a sexual nature associated with any offence
• the number of serious drug-related offences
• impact on victim(s)
• patterns of convictions
• escalation in offence severity
• information on crime free periods
• organized crime connections and/or gang affiliations
• terrorism-related convictions.

Provide a brief summary of past institutional history, reference source, and if applicable, include:

• synopsis of young offender and adult offender institutional adjustment
• most recent institutional (federal, provincial or territorial) adjustment
• behaviour and attitude while at the remand unit pending federal admission.

Provide a brief summary of past attempted escape, conspiracy to escape, and/or escape behaviour/history, reference source, and if applicable, include:

• date of incident (unlawfully at large, escape custody of confinement, police, escort) location, how, with whom, reason and disposition.

Provide a brief summary of past community supervision history and pattern, reference source, and if applicable include:

• positive periods of community supervision
• previous bail supervision, youth and adult probation, community supervision orders, federal supervision
• breach of trust history (fail to comply, fail to appear, breach of recognizance).

Summarize mental health screening results. If applicable, provide summary analysis of psychological and mental health assessments/reports, and psychiatric assessments from the courts or other sources.

If applicable, provide a summary analysis of family violence concerns and/or the results of the Family Violence Risk Assessment. For Indigenous offenders, consider the impact the offender’s Indigenous Social History had on family violence.

Based on the available information, make a preliminary statement whether the offender meets the criteria for a referral for detention.

Provide an analysis of the offence cycle based on the overall pattern of criminal behaviour, not only the current offence. All factors that lead to criminal behaviour(s) must be examined, including the offender's understanding of the behaviour and a description of the events or situations that lead to the commission of any offence. For Indigenous offenders, the offence cycle must be explained within the context of the offender’s Indigenous Social History.

Consider the following:

• crisis situations (personal, financial problems, emotional loss, family, social)
• substance abuse (consumption with disinhibiting effect on thinking or emotions, exacerbated aggressiveness, crime used to support consumption)
• peer pressure (threats, provocation, incitement, seeking approval, association, debts)
• potential victims (victims are accessible, vulnerable)
• potential means (organization, information, weapons and accomplices)
• emotional states (frustration, aggressiveness, loss, negative feelings, mental health issues)
• cognitive processes (perceptions, interpretations, distortion, images, and errors in thought processes)
• adaptation processes (projection, denial, rationalization, and introjection)
• actions and motives (behaviour, impulsivity, etc.).

Annex G
Correctional Plan - Report Outline

Include the offender's age, length of sentence, current offence(s), court-ordered obligations, outstanding charges or appeals, immigration, deportation or extradition status. Identify members of the Case Management Team and the offender's level of participation in the development of the Correctional Plan.

Provide a brief analysis of the offender's criminal history and level of intervention based on static factors.

Provide a brief summary of each domain incorporating supplementary assessments and prioritizing areas of need. For all Indigenous offenders, each domain must be explained within the context of their Indigenous Social History. Refer to Annex H - Dynamic Factors and Indigenous Social History for assistance making links between dynamic factors and an offender’s Indigenous Social History.

For contributing factor(s) or areas of need, identify the program(s) and/or intervention(s) required, including cultural and restorative options (such as interventions with an Elder), the domain level of motivation and the expected objectives and gains in measurable, positive goal statements.

Under personal/emotional orientation domain related to the offender’s needs, include information pertaining to psychological, psychiatric, mental health information, and comments from an Elder if applicable.

Under the employment domain include an initial education, vocational and employment plan that will address the offender’s needs and identify the expectations for behaviour, skill or knowledge development related to work placements and future community employment.

Indicate whether the offender has appropriate identification, such as Social Insurance Number, Indian Status Card, Métis card, Non-Insured Health Benefits (NIHB) N-Number, birth certificate/citizenship card, and health coverage, (refer to Appendices F and H of the National Essential Health Services Framework), and if not, outline the offender's plan for acquiring needed identification.

For offenders following a Healing Plan

Incorporate healing components through consultation with the Elder or Indigenous Liaison Officer and referencing the Elder Review. Indicate the offender's understanding in relation to the four aspects of traditional healing, and how this may assist in the management of risk. Integrating the Indigenous Continuum of Care, identify the Elder-supported short and long-term traditional goals.

Through consultation with the Elder and/or Indigenous Liaison officer, and referencing the Elder's Review, outline the plans for each component over a specified period of time (e.g., until the change of season, next parole decision date or transfer to lower security).

Physical Aspect
What ceremonies/teachings/activities will address the physical aspects outlined in the Elder Review?

Emotional Aspect
What ceremonies/teachings/activities will address the emotional aspects outlined in the Elder Review?

Spiritual Aspect
What ceremonies/teachings/activities will address the spiritual aspects outlined in the Elder Review?

Mental Aspect
What ceremonies/teachings/activities will address the mental aspects outlined in the Elder Review?

Provide a brief analysis considering the following:

• level of acceptance of responsibility for their criminal behaviour
• level of remorse and victim empathy
• institutional adjustment and/or behaviour under community supervision
• conduct that demonstrates respect for other persons and property
• communication to their Parole Officer of willingness to engage in their Correctional Plan
• active participation in setting and achieving the objectives of their Correctional Plan
• an understanding of their offence cycle
• an understanding and commitment to their relapse prevention
• the meeting of court-ordered obligations.

The overall rating of offender accountability is obtained by the following:

Low - Offender rejects responsibility for their actions and fails to recognize their problems. Does not disclose emotional states, display guilt or victim empathy with evidence indicating a high level of denial and cognitive distortions.

Medium - Offender may not fully accept responsibility for their actions but recognizes some of their problems. Displays some guilt and victim empathy with some evidence of denial and cognitive distortions.

High - Offender accepts responsibility for their actions and recognizes their problems. Willing to self-disclose, displays guilt and victim empathy with evidence indicating a low level of cognitive distortions.

Provide a brief analysis considering the following:

• recognition that a problem exists with lifestyle, behaviour and resulting consequences
• level of comfort with problem and its impact on the offender's life
• level of feeling of personal responsibility for the problem(s)
• willingness to change, i.e. expression of wish to change, or of intention to fully participate in Correctional Plan
• possession of skills, knowledge required to effect change in behaviour, i.e. is ready to change
• level of external support from family, friends or other community members
• the offender's past history related to demonstrating change.

The overall rating of offender motivation is obtained by the following:

Low - Offender strongly rejects the need for change.

Medium - Offender may not fully accept overall assessment but will participate in recommended programs or other interventions.

High - Offender is self-motivated and is actively addressing their problem areas.

If responsivity factor(s) exists, provide a brief analysis. When determining whether the offender's responsivity is affected, consider the following:

• language barriers interfere with learning work or intervention
• basic reading and/or writing skills problematic
• concentration problems are evident
• introverted/shy
• displays chronic antisociality
• may have a learning disability
• low self-esteem
• intellectually disabled
• may have other issues that would interfere with programming
• suicide attempts/self-injury history
• grief and loss
• has unique cultural communication style
• any other factor.

Provide a brief analysis of the offender's engagement to:

• actively participate in their assigned Correctional Plan
• be free of criminal and gang activity while under sentence
• display conduct that demonstrates respect
• obey the penitentiary rules, lawful orders, and/or supervision requirements.

In order to be engaged, there must be a rating of either moderate or high in both accountability and motivation.

Using the results of the relevant actuarial tools, the reintegration potential is calculated as follows:

1. a low reintegration potential is assigned to offenders who received a high score in two or more of the three tools
2. a moderate reintegration potential is assigned to offenders who received one high score in any one tool and a moderate score in at least one of the other two tools, or who received a moderate score on all three tools
3. a high reintegration potential is assigned to all other offenders, i.e. all those who did not score high in any of the three tools, or scored high in one of the tools and no worse than low in the other two tools.

When the Parole Officer disagrees with the determined reintegration potential, a clear rationale must be documented, based on the following:

High

Offenders with high reintegration potential should not normally require formal correctional interventions. If required, these interventions should preferably be provided in the community. Other correctional interventions, services and work placements (including employability skills development) may be used, as well as any other risk management strategies, other than programs, in both institutions and the community.

Medium

Offenders with medium reintegration potential should require institutional correctional interventions based on the dynamic factors and the offender's level of risk and need(s).These interventions can also be provided in the community during the period of day parole or unescorted temporary absence program for personal development prior to full parole release.

Low

Offenders with low reintegration potential require institutional correctional interventions based on the dynamic factors and the offender's level of risk and need(s). Other risk management strategies are to be provided in institutions prior to release, and continued in the community as required.

Include a brief analysis of psychological, psychiatric, or mental health information on risk, risk management strategies, and intervention recommendations , including interventions with an Elder. If applicable, incorporate the Integrated Management Plan.

Summarize the offence cycle and the offender's understanding of the cycle. For Indigenous offenders, explain the offence cycle within the context of their Indigenous Social History.

Sentence planning for all offenders will identify the objectives and significant events to reach in order to gain support for reduced security and/or conditional release. These objectives and significant events will be individualized, structured, measurable, attainable, relevant and time-bound, while setting the framework for managing the sentence. For Indigenous offenders, objectives tied, for example, to Pathways initiative should be identified in consultation with the Elder and documented in the Healing Plan.

The objectives and significant events will be prioritized based on:

1. institutional adjustment and adaptation
2. interventions required
3. public safety, being the paramount consideration
4. safe reintegration.

The Case Management Team, in consultation with the offender, will identify clear goals and expected results that support progress against the Correctional Plan.

Sentence planning for offenders serving sentences of 10 years to life, who are not approaching release eligibility, is developed according to the four phases of a long-term sentence:

1. adaptation - coming to terms with the reality of confinement
2. integration to the prison environment - living within the context of that reality
3. preparation for release - preparing for release in a progressive manner. This can include consideration for placement or transfer to an institution without a secure and directly controlled perimeter
4. reintegration into the community - assuring a coherent and continuous process leading to safe reintegration. This can include consideration for placement or transfer to an institution without a secure and directly controlled perimeter assuring a coherent and continuous process leading to safe reintegration.

Indicate whether Community Strategy is being requested, and if not requested, provide a rationale.

If release is being considered, summarize the offender’s release plan, including the following:

• the outstanding risk factors requiring intervention in a community setting
• the community interventions that would be required to target the outstanding risk factors, and in the case of an Indigenous offender following, or interested in following, a traditional path, also include any community cultural activities/ceremonies that will be undertaken which will help to assist the offender, and why they are necessary within the context of the offender’s Indigenous Social History, as well as any interventions noted in a section 84 or section 84.1 agreement
• specifics of the proposed release plan, including destination (and, if applicable, whether section 84 or section 84.1 of the Corrections and Conditional Release Act (CCRA) applies and any resulting agreement with the offender’s home community or alternately another Indigenous community that engages in a section 84 or section 84.1 with the offender), employment, accommodation, family support
• offender’s current financial situation, if relevant to risk
• victim considerations, including possible restrictions on travel, requests from victims for non-association conditions and sentencing judge comments.

If completing for statutory release or long-term supervision order at warrant expiry date, review the early discretionary release and accompaniment criteria pursuant to CD 712-4 - Release Process.

Annex H
Dynamic Factors and Indigenous Social History

This table provides general examples of how to incorporate Indigenous Social History within the dynamic factors and how different cultural and restorative options may be able to meet a need area. This table is not inclusive of all considerations or options, but provides an example.

*Please note that Elder interventions may vary from what is presented above depending on the Elder and their traditional teachings. The Elder interventions presented above are examples, with the purpose of illustrating how connections can be made between conventional and cultural interventions.